February 4, 2016

U.S. Department of Transportation

Docket Operations

West Building Ground Floor

Room W12-140

1200 New Jersey Avenue, SE.,

Washington, DC 20590-0001

Subject: Exemption Request Section 333 of the FAA Reform Act of 2012 and Part 11 of the 

Federal Aviation Regulations

Dear Sir or Madam;

This application is being submitted on my own behalf.

In accordance with the Public Guidance for Petitions for the Exemption filed under Section 333, 

the petitioner Kenneth Ballard Jr, requests exemption from the Federal Aviation Regulations

identified to allow for commercial UAS operations of a DJI Phantom 3 Advanced for the purpose 

of aerial photography, so long as operations are conducted within and under the conditions 

outlined herein or as may be established by the Federal Aviation Administration (FAA) as 

required by Section 333. 

The requested exemption would permit the operation of the DJI Phantom 3 Advanced is to 

provide images and or video (either recorded or viewed by via monitor in real time) under 

controlled conditions to provide clients aerial footage of the following: photography of:

 

a. Real Estate Photography

b. Inspection of Real Estate properties

c. Construction site inspection and monitoring

d. Tower/ structural inspection or imaging

e. Aerial photo/ video of public/ private events

f. Promotional advertising material

g. News media coverage

h. other flight operations that could be performed safely and more cost effectively than a 

traditional manned aircraft.

As an additional service to the community, the UAS can provide aerial video/ photography or 

provide live video feed to assist with search and rescue operations in cases of an emergency or 

natural disaster only when the local authorities or government has requested it by contract or 

donation.

To enhance safety, the DJI Phantom 3 Advanced UAS is equipped with automated features 

which include takeoff, flight, and landing. It weighs less than 55 lbs. fully loaded, will be 
operated at a speed no more than 30 MPH. It does not carry a pilot, passenger, and it carries no 

explosive materials or flammable liquids. The DJI Phantom 3 Advanced uses a radio frequency 

spectrum for operation and control that complies with Federal Communications Commission 

(“FCC”) requirements and has integrated safety features as described within user manual

(provided). It’s equipped with redundant safety mechanisms allowing the Phantom to operate 

safely after experiencing certain in-flight failures. If a lost-link event occurs, including the loss of 

ground communications and/or the loss of a GPS signal, it has the ability to perform a precoordinated, predictable, automated flight maneuver and return to a predetermined location 

within a designated security parameter for landing. If automatic flight appears unsafe, the PIC

can easily regain control. The UAS further has the ability to abort a flight in the event of 

unpredicted obstacles or emergencies. 

As described fully below, the requested exemption would permit the operation of the UAS

under controlled conditions in the NAS that would be limited, controlled, predetermined, and

will provide safety enhancements to the already safe operations in the industry presently using 

conventional aircraft

Applicant

Kenneth Ballard Jr.

Madison, AL 35756

(305) 394-1152

k.l.ballard72@gmail.com

Regulations from which the exemption is requested

14 CFR 21, Subpart H

14 CFR 45.23 (b)

14 CFR 61.113 (a) & (b) & 14 CFR 61.133 (a)

14 CFR 91.7 (a)

14 CFR 91.9 (b)(2)

14 CFR 91.103 (b)(2)

14 CFR 91.119 (c)

14 CFR 91.121

14 CFR 91.151 (a)

14 CFR 91.203 (a) & (b)

14 CFR 91.405 (a)

14 CFR 91.407 (a)(l)

14 CFR 91.409 (a)(l) & (a)(2)

14 CFR 91.417 (a) & (b)

14 CFR 21, Subpart H- In consideration of the size, weight, speed, and limited operating area

associated with the UAS and its operation, the petitioner requests relief from 14 CFR part 21, 
Subpart H, and any associated noise certification and testing requirements of part 36. The small 

UAS will not carry a pilot, passenger, explosive materials or flammable liquids.

14 CFR 45.23 (b) - Even though the UAS will have no airworthiness certificate, an exemption 

may be needed, given the size of the small UAS, two-inch lettering will be impossible. The small 

UAS registration number currently assigned is FA3M9KYAC3 as a recreational sUAS. A new 

registration number will be applied for as per 14 CFR 47 Aircraft Registration, for commercial 

use, if exemption request is granted, to which that registration number will be placed on the 

fuselage in compliance with §45.29 where the operator, visual observer and others working 

with the UAS will see the identification.

14 CFR 61.113 (a) & (b) & 14 CFR 61.133 (a)- Since the sUAS cannot carry a pilot or passengers 

the petitioner Kenneth Ballard Jr requests a relief from these regulations. 

-The operator (PIC) Kenneth Ballard Jr (Ret-US Navy) is a retired military Air Traffic Controller

that is familiar with the NAS, airport operations and communications, airspace designations and 

limitations, commercial and private aircraft flight procedures and route of flight. In addition, 

Kenneth Ballard Jr tested and obtained a certificate of completing the US Army BUQ Level-II 

(Basic Unmanned Aircraft Systems Level II) Qualification course that meets or exceeds the 

knowledge requirements of 14 CFR Sub-Part J 61.309 and 61.311 for a FAA Sport Pilot license. 

As a recreational r/c operator, Kenneth Ballard Jr has at least completed a minimum of 100

hours UAS multi-rotor copter flight time. 

-A visual observer or (VO) will be utilized and required to communicate verbally at all times. The 

UAS will be limited to operations within visual distance of both the PIC and VO. All UAS

operations will take place in a controlled area. The risks associated with the use of a UAS are far 

less than similar commercial aircraft operations.

14 CFR 91.7 (a)- Since the UAS will not carry a pilot or passengers there will be no 

airworthiness certificate issued for the aircraft, should this exemption be granted, no FAA 

regulatory standard exists for determining airworthiness. Given the size of the aircraft, 

maintenance, and use of safety checklist prior to each flight, an equivalent level of safety will be 

provided. All flights will be in accordance with the safety and maintenance recommendations 

found in the DJI Phantom 3 Advanced attachments.

14 CFR 91.9 (b)(2)- Given the size and configuration, the UAS has no ability to carry a flight

manual on the aircraft. There is no room, capacity, or pilot on board to adequately carry a flight

manual. An equivalent level of safety will be maintained by keeping the flight manual at the 

ground station where the UAS pilot will have immediate access to it.

14 CFR 91.103 (b)(2)- As no FAA approved flight manuals will be provided for the aircraft an

exemption is needed. Alternate procedures including but not limited to reviewing weather 

conditions, checking flight battery requirements, checking takeoff and landing distances along 

with those found in the attached Training Manuals will be implemented. These actions will 
provide an equivalent or higher level of safety. As a safety precaution, the operator will perform 

preflight inspections and ensure UAS is in working condition before initiating each flight.

14 CFR 91.119 (c)- The regulation provides that over sparsely populated areas the aircraft 

cannot be operated closer than 500 feet AGL to any person, vessel, vehicle, or structure. 

Petitioner is requesting exemption from this regulation since, due to the type of services 

intended, the normal operation of the UAS will be 200 feet AGL and below. To provide an 

equivalent level of safety, the UAS will operate in safe areas away from public and traffic and 

only with permission of the property and structure owners. The UAS will also be restricted by 

the flight controller to a maximum vertical height of 300 feet AGL, and 1500 feet horizontal. 

Given the size, weight, maneuverability and speed of the UAS, an equivalent or higher level of 

safety will be achieved.

14 CFR 91.121- The aircraft will fly below 400 feet AGL and will not need to maintain 

hemispherical cruising altitudes in order to de-conflict with other aircraft. As such, an 

appropriate altimeter measurement presented to the PIC should be Above Ground Level and 

should be based on the digitally encoded telemetric data feed, which downlinks from the 

aircraft to a ground-based on-screen display. The altitude information will be generated by 

equipment installed onboard the UAS, using GPS triangulation, digitally encoded barometric 

altimeter, radio altimeter, or any combination thereof. Prior to each flight, a zero altitude 

initiation point will be established and confirmed for accuracy by the PIC. Since the aircraft will 

fly no more than 25 minutes, even rapid changes in barometric pressure will have limited effect 

on the safety of the flight.

14 CFR 91.151 (a)- The UAS has a limited range and will be limited to operations in a controlled

environment. The battery power of the UAS provides approximately 20 to 25 minutes of flight 

time. The UAS is unable to meet the 30-minute reserve requirement and therefore requires an 

exemption. An equivalent level of safety will be achieved by monitoring the battery through the 

ground station and landing with a minimum of 30 percent battery power remaining during lineof-sight operations with the UAS.

14 CFR 91.203 (a) & (b)- Similar to, 14 CFR91.9 (b) (2), given the size and configuration, the UAS 

has no ability to carry certificate and registration documents on the aircraft. An equivalent level 

of safety will be achieved by keeping these documents, to the extent they are applicable to the 

UAS, at the ground control point where pilot has immediate access to them

14 CFR 91.405 (a), 14 CFR 91.407 (a)(1), 14 CFR 91.409 (a)(l) & (a)(2), 14 CFR 91.417 (a) & (b)-

As it pertains to maintenance, preventive maintenance, and alterations, the regulation provides 

that the operator is primarily responsible for maintaining the aircraft in an airworthy condition, 

including compliance with part 39 and 43. Paragraphs 91.407 and 91.409 require that the 

aircraft be "approved for return to service by a person authorized under 43.7" after 

maintenance and inspection. The petitioner submits that the operator performs maintenance 

and inspection of the aircraft and "be authorized to approve the aircraft for return to service." 
-The UAS will be maintained IAW DJI’s maintenance, overhaul, replacement, inspection, and life 

limit requirements for both the system and related components. Maintenance performed by 

the operator is limited to repairing small cracks, replacing a propeller, and updating software 

and firmware. All other maintenance, alterations, or repair will be performed by the DJI directly 

or DJI authorized/ certified personnel. 

-The operator will document work performed in accordance with 91.417. We feel that due to 

the size, construction, and simplicity of the aircraft, the operator can ensure an equivalent level 

of safety. Any UAS that has undergone maintenance or alterations that affect the UAS

operation or flight characteristic will undergo a functional test flight prior to conducting further 

operations. Functional test flights will only be conducted by the operator with a VO and will 

remain 500 feet from other people.

Additional Safety standards

In addition to the safety standards mentioned above the petitioner, Kenneth Ballard Jr, will 

adhere to the following additional guidelines:

1. 1. The UAS will not operate within 5 miles of an airport unless prior contact to Air Traffic 

Control or the Airport Manager has been made.

2. Preflight inspections and protocol will be followed prior to all operations.

3. The UAS will only be piloted within visual line of sight.

4. Flights will not exceed an airspeed of 30 mph

5. Flights will be operated at or below an altitude never exceeding 300 feet AGL. Normal 

operations will be at 200 feet AGL or below. PIC and VO will ensure UAS remain at least 500 

feet horizontally from other people.

6. The PIC and VO will communicate verbally at all times.

7. All operations will be conducted under Visual Meteorological Conditions.

8. UAS operations will only occur between sun rise and sun set. UAS operations will not be 

conducted during night.

9. All flights will occur over private or controlled areas with the owner’s/ custodian’s consent.

10. The UAS will land with a minimum 30 percent battery reserve remaining.

11. The UAS will utilize an internal flight safety feature that will return to a preprogrammed 

position and land if communication with the remote control is lost.

12. The UAS will abort flight in the event of unpredictable obstacles or emergencies.

13. For proficiency, the operator will perform at least 3 take offs and landings within a 60-day 

time frame of the DJI Phantom 3 Advanced. All flights will be recorded in the pilot logbook.

14. All maintenance, repairs, or alterations will be documented in the maintenance logbook. 

Summery

Approval of exemptions allowing commercial operations of the UAS by a responsible, 

knowledgeable operator will enhance safety to the community and increase awareness of 

properly flown UAS, eliminate the risk of collision with aircraft operating in the airspace and 
around airports, and provide jobs to the community. To acquire footage of structural/ tower/ 

residential property inspection, real estate or construction areas, at certain heights or via aerial 

photos by way of traditional methods, manual climbing or piloted aircraft are either: 

1. Costly, and restrictive by traditional piloted manned helicopters or planes.

2. Of a safety concern to populated areas due to noise, combustible fuels and size of 

manned aircraft

3. Time consuming and safety hazard concerning, by requiring personnel to climb and scale 

structures with use of safety harnesses 

4. Services unobtainable at angles and altitudes that a small UAS can provide.

The services provided by small UASs will increase productivity, open new avenues of 

opportunity, and narrow risks. The footage collected will provide valuable information to 

professionals and engineers to enhance their decision making process, reduce time consuming 

tasks, and serve as an affordable, efficient alternative that is less of a safety concern to the 

general public compared to Manned aircraft. 

Thank you,

Kenneth L. Ballard Jr.