Operational Risk Management (ORM) Assessment Tool for the DJI Phantom 3 Advanced Small Unmanned Aircraft System (sUAS)

Operational Risk Management (ORM) Assessment Tool for the

DJI Phantom 3 Advanced Small Unmanned Aircraft System (sUAS)

The DJI Phantom 3 quadcopter is a commercial small unmanned aircraft system (sUAS) used for aerial video and photography.  The Phantom 3 is available in three model configurations: Standard, Advanced, and Professional (DJI, 2015).  The features discussed below pertain to both the Advanced and Professional models; however, only the Advanced is specifically addressed in this paper. 

The Phantom 3 Advanced is capable of auto takeoff and landing, as well as various levels of automatic flight, using both GPS and GLONASS satellite positioning (DJI, 2015).  When satellite signal is not available, the aircraft can use its barometer to maintain altitude, or ultrasound and image data to maintain its current position (DJI, 2015).  The Phantom 3 Advanced features three flight safety modes: Smart Return-to-Home (RTH), Low Battery RTH, and Failsafe RTH (DJI, 2015).  The Smart RTH automatically returns the aircraft to the last recorded home point (DJI, 2015).  The Low Battery RTH notifies the user to RTH or land immediately in the event of a low battery condition (DJI, 2015).  The aircraft will automatically return to the last recorded home point if no user action is taken within ten seconds (DJI, 2015).  The Failsafe RTH will automatically return the aircraft to the last recorded home point if remote controller signal is lost for more than three seconds (DJI, 2015).  The Phantom 3 Advanced also offers five Intelligent Orientation Control (IOC), or flight modes, which automatically “lock” the control orientation of the aircraft (DJI, 2015).  According to the DJI website (http://www.dji.com/product/intelligent-flight-modes) these include:

·       Course Lock (CL), in which the nose direction of the aircraft remains the “forward” direction regardless of the orientation or position of the,

·       Home lock (HL), in which the forward and backward controls move the aircraft farther from or closer to, respectively, the recorded home point regardless of aircraft orientation, 

·       Point of Interest (POI), in which the aircraft circle a recorded POI with the nose of the aircraft always pointed toward the POI,

·       Waypoints, in which the aircraft automatically follows a preprogrammed flight path, and

·       Follow Me, in which the aircraft automatically follows the user, keeping the user in the camera’s view at all times.

Finally, the Phantom 3 Advanced features a No Fly Zone (NFZ) informational feature that helps users avoid inadvertent operation in restricted areas

Operational Risk Management (ORM) Assessment

An Operational Risk Management (ORM) assessment was conducted for the Phantom 3 Advanced in order to identify risks associated with the aircraft’s operation.  An ORM Assessment Tool was then developed, based on a Preliminary Hazard List (PHL), a Preliminary Hazard Assessment (PHA) and an Operational Hazard Review and Analysis (OHR&A) of the Phantom 3 Advanced sUAS, in order to provide users with a checklist of conditions and/or events that can used to help mitigate human factors errors associated with the operation of the aircraft during all stages of flight.

Preliminary Hazard List (PHL)

The PHL is simply a “…brainstorming tool used to identify initial safety issues early in the UAS operation” (Barnhart, Marshall, & Shappee, 2012, p. 124), and can be used to evaluate the five main stages of flight: planning, staging, launching, flight and recovery (Barnhart, Marshall, & Shappee, 2012).  Hazards for each stage are identified, and the probability and severity of each is estimated (Barnhart, Marshall, & Shappee, 2012).  Finally, the risk level (RL) is established based on the probabilities and severities that have been identified (Barnhart, Marshall, & Shappee, 2012).  The PHL for the Phantom 3 Advanced, which combines all stages of flight, is listed in Table A1.

Preliminary Hazard Assessment (PHA)

Once the PHL is complete, the PHA is done to identify methods to mitigate the hazards that have been identified (Barnhart, Marshall, & Shappee, 2012).  The PHA lists the mitigating action to reduce the probability and severity of the hazard, and the new, or residual risk level (RRL), resulting from the mitigating action (Barnhart, Marshall, & Shappee, 2012).  The PHA also lists any special notes, instructions, etc. that may be required to implement the mitigating action (Barnhart, Marshall, & Shappee, 2012).  The PHA for the Phantom 3 Advanced is included in Table A1.  Based on the results for the PHL/A and the risk assessment matrix listed in MIL-STD-882D/E, the risk assessment code (RAC) assigned for each hazard identified is Low.

Operational Hazard Review and Analysis (OHR&A)

The OHR&A analyzes the hazards identified, and mitigating actions implemented, in the PHL/A (Barnhart, Marshall, & Shappee, 2012).  If the mitigating action is deemed to not be adequate or the hazard has not changed, then the hazard is relisted (Barnhart, Marshall, & Shappee, 2012).  Additionally, if the mitigating action has altered the hazard, the new hazard is listed (Barnhart, Marshall, & Shappee, 2012).  The OHR&A for the Phantom 3 Advanced is shown in Table A2.  Based on the results for the OHR&A and the risk assessment matrix listed in MIL-STD-882D/E, the RAC assigned for each hazard identified is Low.

Operational Risk Management (ORM) Assessment Tool

As stated by Barnhart, Marshall and Shappee (2012), the risk assessment tool is a decision-making tool that “…provides the UAS/RPA operator with a quick look at the operation before committing to the flight activity (a go/no-go decision)” (p. 128), and “…allows safety and management of real-time information needed to continually monitor the overall safety of the operation” (p. 128).  The assessment tool is developed using hazards identified in the PHL/A as well as inputs concerning operational factors from all personnel involved in the operation (Barnhart, Marshall, & Shappee, 2012).  Once these factors have been identified, they are evaluated in terms of probability and severity for each stage of flight, and individual and overall risk values are assigned (Barnhart, Marshall, & Shappee, 2012).  The ORM assessment tool for the Phantom 3 Advanced can be seen in Table A3.

 References

Barnhart, R. K., Shappee, E., & Marshall, D. M. (2011). Introduction to Unmanned Aircraft Systems. London, GBR: CRC Press. Retrieved from http://www.ebrary.com.ezproxy.libproxy.db.erau.edu

Department of Defense. (2012, May 11). Department of Defense standard practice: System Safety. Retrieved from https://acc.dau.mil/adl/en-US/683694/file/75173/MIL-STD-882E%20Final%202012-05-11.pdf

DJI. (2015, April). Phantom 3 Advanced User Manual (v1.0). Retrieved from http://download.dji-innovations.com/downloads/phantom_3/en/Phantom_3_Advanced_User_Manual_v1.0_en.pdf

 Appendix A

Table A1

Preliminary Hazard List and Preliminary Hazard Assessment (PHL/A)

Stage	Track #	Hazard	Probability	Severity	RL	Mitigating Action	RRL	Notes
Planning	1	Inaccurate or incorrect waypoints entered	Remote	Negligible	19	Waypoint validation by a second individual	20
Staging	2	All components not fully charged	Remote	Negligible	19	Follow Preflight Checklist provided in User Manual	20
Staging	3	Compass not calibrated	Occasional	Negligible	18	Follow User Manual guidance and procedure for compass calibration	20	Warning indication given on controller.
Launch	4	Launch/ attempted launch of aircraft within a safety zone	Remote	Negligible	19	Verify location in relation to established safety zones.	20
Launch	5	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller
Flight	6	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller
Flight	7	Compass error	Remote	Negligible	19	Follow User Manual guidance and procedure	19	Warning indication given on controller
Flight	8	Deteriorating weather conditions	Occasional	Negligible	18	Verify weather conditions in operating area.  Enable Smart RTH as required.	19
Recovery	9	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller

Note.  Assessments based on the Severity categories and probability levels listed in MIL-STD-882D/E

Table A2

Operational Hazard Review and Analysis (OHR&A)

Stage	Track #	Action Review	Probability	Severity	RL	Mitigating Action	RRL	Notes
Planning	1	Waypoint validation by a second individual	Improbable	Negligible	20		20
Staging	2	Follow Preflight Checklist provided in User Manual	Improbable	Negligible	20		20
Staging	3	Follow User Manual guidance and procedure for compass calibration	Improbable	Negligible	20		20
Launch	4	Verify launch location in relation to established safety zones.	Improbable	Negligible	20		20
Launch	5	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller
Flight	6	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller
Flight	7	Compass error	Remote	Negligible	19	Follow User Manual guidance and procedure	19	Warning indication given on controller
Flight	8	Verify weather conditions in operating area.  Enable Smart RTH as required.	Remote	Negligible	19		19
Recovery	9	Lost signal/link with controller	Remote	Negligible	19	None - Aircraft Failsafe RTH applies	19	Warning indication given on controller

Note.  Assessments based on the Severity categories and probability levels listed in MIL-STD-882D/E

Table A3

Operational Risk Management (ORM) Assessment Tool

Conditions	1	2	3	4
Aircraft Condition	Damaged, repairs not made or questionable	Damaged, repairs made	Batteries low, Compass not calibrated	No issues
User Skill Level	Novice	Intermediate	Advanced	Expert
Flight Plan/Mode	Course Lock (CL)	Waypoint (waypoints not validated)	HL, POI, ‘Follow Me’	Waypoint (waypoints validated)
Line of Sight (LOS)	Numerous Obstructions	Some Obstructions	Potential Obstructions	Unobstructed
Environment and Terrain	Urban (operating w/in close proximity to structures)	Urban (NOT operating w/in close proximity to structures)	Rural (operating w/in close proximity to large terrain features)	Rural (operating in open space)
Weather Conditions	Low Ceiling, High winds, Gog/Haze	Mostly cloudy, Gusty winds	Mostly clear, Light wind w/ no gusts	Clear, Calm
Airspace	Near restricted area	Near populated area	Authorized area, in vicinity of other UAS	Authorized and open area

                                               

Note.  Individual risk levels are defined as 1 (High), 2 (Serious), 3 (Moderate) and 4 (Low).  Overall risk levels are defined as 7-10 (High), 11-17 (Serious), 18-24 (Moderate) and 25-28 (Low).