ALPHA & OMEGA SERVICES, INC. - SECTION 333 EXEMPTION REQUEST Page 1 of 3

November 19, 2015

U.S. Dept. of Transportation, Docket Operations

West Building Ground Floor, Room w12-140

1200 New Jersey Avenue, SE.,

Washington, DC 20590

Submitted Electronically via the Federal Docket Management System (FDMS) 

Re: Exemption Request under Section 333 of the FAA Reform Act and Part 11 of the Federal

Aviation Regulations

Dear Sir or Madam:

On behalf of Alpha & Omega Services, Inc., and pursuant to Section 333 of the FAA Modernization and 

Reform Act of 2012 and 14 C.F.R. Part 11, I, Frank Keller, President and CEO of Alpha & Omega Services, 

Inc., am seeking an exemption from Part 21 Subpart H; and Sections 91.203 (a) (1), 45.23 (b), 91.7 (a), 

91.9, 61.113, 61.133, 91.109, 91.119, 91.121, 91.151, and (91.401 - 91.417) Subpart E, of Title 14, Code 

of Federal Regulations (14 CFR). This proposed exemption would allow for the operation of our 

unmanned aircraft (UAS): DJI Phantom 3 Professional and the DJI S900 as part of our operations.

THE UNMANNED AIRCRAFT (UAS):

 The UAS is a lightweight (under 55lb. gross weight), battery operated, multi-rotor copter that 

takes off and land vertically and has the ability to hover in one location during flight. 

THE UAS INCLUDES:

 An on-board flight computer with GPS navigation and location ability that receives signals for 

flight controls from a ground-based transmitter/controller.

 An on-board camera or sensor package used to document physical and/or environmental 

conditions of structures and the natural environment. 

 An on-board telemetry system that delivers flight data from the on-board flight computer to the 

on-board radio transmitter including altitude AGL, horizontal and vertical speed, compass 

direction of flight and direction back to its launch site.

 A 2.4GHz or 5.8GHz on-board radio transmitter that transmits live video from the on-board 

camera plus all the flight data from the telemetry system described above.

THE GROUND STATION PART OF THE SYSTEM INCLUDES:

 A Pilot in Command (PIC) in operational control of a mission from beginning to end who controls 

the UAS while in the air.

 A 2.4GHz radio transmitter/controller operated by the PIC to control the UAS while in flight.

 A Ground Station (computer, tablet or smart phone based app) which receives and displays 

video and system telemetry real time from the UAS.

 A Visual Observer (VO), a person who provides a second pair of eyes to visually track the UAS

while in flight.
ALPHA & OMEGA SERVICES, INC. - SECTION 333 EXEMPTION REQUEST Page 2 of 3

PILOT IN COMMAND (PIC) AND VISUAL OBSERVER (VO):

The PIC and VO will meet the requirements outlined in FAA Policy N 8900.227 Section 16 Personnel 

Qualifications. Additionally, the PIC and VO will perform maintenance on the system and will complete a 

course of maintenance instruction as part of their initial training.

I submit that with the combination of the UAS light weight, flight performance and ability, fully qualified 

flight crew and strict operation under the guidelines established in 8900.227, and under all of the 

Restrictions listed above, the FAA can have full confidence that the operation will have an equivalent or

greater level of safety than manned aircraft performing the same mission.

INTENDED USE / PUBLIC GOOD: 14 CFR § 11.81(d)

The requested exemption would allow us to use the UAS for assisting Federal, State and Local law 

enforcement with traffic management and other services at major outdoor events and in search and 

rescue operations. 

As the Manager of Crowd Services at large outdoor festivals our team works closely with Federal, State 

and Local Law Enforcement to insure a safe environment for our employees, patrons and the local 

community. In this effort the proper management of traffic into and out of the event is of major 

concern to law enforcement and the local community. 

In order to properly manage vehicle traffic operations, information must be passed to State and Local 

law enforcement on the flow of traffic into and out of the event along with the current status of parking 

lot capacities. Due to the limited number of police officers available to monitor traffic operations and 

the excessive cost of renting a helicopter, our UAS offers immediate information to all involved at an 

economical cost.

The inherent ability of UAS to capture imagery from a low altitude including oblique photos and video 

from several angles is far more effective than ground-based capture for monitoring crowds and traffic. 

Further, UAS can access locations not accessible to conventional aircraft due to their own flight 

restrictions. The use of our UAS in the previously listed applications allow for safe management of large 

events which themselves generate revenue and opportunity for the local economy and promote local 

business. 

PUBLIC SAFETY:

UAS’s are powered by batteries; they are smaller, lighter and more maneuverable than larger aircraft 

running on combustible fuel; they operate at lower altitudes (under 400’) with no people on board,

thereby reducing current risk levels and enhancing public safety. With a small payload and maximum 

flight time of approximately 20 minutes, UAS’s offer little or no risk to national security due to their size, 

payload capacity and flight duration. 

DJI models have their own built in failsafe functionality which will cause the UAS to return to its take-off 

location and land before the battery becomes empty or the system loses communication.
ALPHA & OMEGA SERVICES, INC. - SECTION 333 EXEMPTION REQUEST Page 3 of 3

SUMMARY GRANT REQUEST:

This request follows many others using similar systems and processes that have been granted 

previously. I am requesting the FAA issue a summary grant of exemption as this request would not set a 

precedent.

 The reasons stated by the FAA for granting Exemption Nos. 13207, 13004, 12557, 12369, 12366 

and 12026 also apply to this request.

 A grant of exemption would be in the public interest (see above).

THE REGULATIONS FROM WHICH THE EXEMPTIONS ARE BEING REQUESTED 

Beside each regulation number is the page of the attached Addendum upon which each may be found 

together with a proposed equivalent level of safety for each regulation:

- 14 CFR Part 21 Subpart H Addendum Page 1

- 14 CFR 91.203 (a) (1) Addendum Page 1

- 14 CFR 45.23 (b) Addendum Page 1

- 14 CFR 91.7 (a) Addendum Page 2

- 14 CFR 91.9 Addendum Page 2

- 14 CFR 61.113, 61.133 Addendum Page 2

- 14 CFR 91.109, 91.119, 91.121 Addendum Page 3

- 14 CFR 91.151 Addendum Page 3

- 14 CFR Subpart E (91.401 - 91.417) Addendum Page 4

- FAA Policy 8900.227 Paragraph 16(c)(4) and Paragraph 16(e)(1) Addendum Page 4

I am prepared to modify or amend any part of this request to satisfy the need for an equivalent level of 

safety. Please contact us at any time if you require additional information or clarification. I am the 

primary point of contact for this request and look forward to working with your office.

Sincerely, 

Frank Keller

President and CEO

Alpha & Omega Services, Inc.

Phone: 817-379-6607

Email: fkeller@mountedpatrol.com

Addendum Containing Exemption Requests and Equivalent Level of Safety

Appendix A – Flight Operations/Procedures

Appendix B – User’s Manuals
ALPHA & OMEGA SERVICES, INC. - EXEMPTION REQUEST AND LEVEL OF SAFETY Page 1 of 4

ADDENDUM

EXEMPTION REQUESTS AND EQUIVALENT LEVEL OF SAFETY

I, Frank Keller, President and CEO of Alpha & Omega Services, Inc., request an exemption from the

following regulations as well as any additional regulations that may technically apply to the 

operations of the DJI Phantom 3 Professional.

14 C.F.R. Part 21, Subpart H: Airworthiness Certificates 14 C.F.R. 91.203 (a) (1)

Subpart H, entitled Airworthiness Certificates, establishes the procedural requirements for the issuance 

of airworthiness certificates as required by FAR 91.203(a) (1). 

Given the size and limited operating area associated with the UAS to be utilized by the Petitioner, an 

exemption from Part 21 Subpart H meets the requirements of an equivalent level of safety under Part 

11 and Section 333 of the FMRA. The Federal Aviation Act (49 U.S.C.44701 (f)) and Section 333 of the 

FMRA both authorize the FAA to exempt aircraft from the requirement for an airworthiness certificate, 

upon consideration of the size, weight, speed, operational capability, and proximity to airports and 

populated areas of the particular UAS. In all cases, an analysis of these criteria demonstrates that the 

UAS operated without an airworthiness certificate, in the restricted environment and under the 

conditions proposed will be at least as safe, or safer, than a conventional aircraft (fixed wing or 

rotorcraft) operating with an airworthiness certificate without the restrictions and conditions proposed. 

The UAS to be operated hereunder is less than 55 lbs. fully loaded, is by definition unmanned and carries 

neither a pilot nor passenger, carries no explosive materials or flammable liquid fuels, and operates 

exclusively within a limited flight area. Unlike other civil aircraft, operations under this exemption will 

be tightly controlled and monitored by the Operator and will also remain within the requirements of, 

and in compliance with, local public safety requirements. These safety enhancements, which already 

apply to civil aircraft provide a greater degree of safety to the public and property owners than 

conventional operations conducted with airworthiness certificates issued under 14 C.F.R. Part 21, 

Subpart H. Lastly, application of these same criteria demonstrates that there is no credible threat to 

national security posed by the UAS due to its size, speed of operation, location of operation, lack of 

explosive materials or flammable liquid fuels, and inability to carry a substantial external load.

14 C.F.R. 45.23 (b). Marking of the Aircraft

The regulation requires: When marks include only the Roman capital letter "N" and the registration 

number is displayed on limited, restricted or light-sport category aircraft or experimental or 

provisionally certificated aircraft, the operator must also display on that aircraft near each entrance to 

the cabin, cockpit, or pilot station, in letters not less than 2 inches nor more than 6 inches high, the 

words "limited," "restricted," "light-sport," "experimental," or "provisional," as applicable. 

Even though the UAS will have no airworthiness certificate, an exemption may be needed as the UAS

will have no entrance to the cabin, cockpit or pilot station on which the word "Experimental" can be 

placed. Given the size of the UAS, two-inch lettering will be impossible. 

The FAA has issued the following exemptions to this regulation to Exemptions Nos. 10700, 8738, 10167 

and 10167A.
ALPHA & OMEGA SERVICES, INC. - EXEMPTION REQUEST AND LEVEL OF SAFETY Page 2 of 4

14 C.F.R. 91.7(a): Civil aircraft airworthiness.

The regulation requires that no person may operate a civil aircraft unless it is in airworthy condition. 

As there will be no airworthiness certificate issued for the aircraft, should this exemption be granted, no 

FAA regulatory standard will exist for determining airworthiness. Given the size of the aircraft and the 

requirements contained herein for the use of safety check lists prior to each flight, an equivalent level of 

safety will be provided.

14 CFR 91.9 Civil aircraft flight manual, marking, and placard requirements.

This regulation provides that no person may operate an aircraft unless a current, approved flight 

manual is in the aircraft. We assume that the intent of this requirement is to ensure that flight manual 

information is available to the aircrew while operating the aircraft. We request an exemption to this 

requirement since the aircraft is not only too small to carry documentation, the documentation would 

not be available to the crew during flight operations.

To obtain an equivalent level of safety and meet the intent of 91.9, we propose that current, approved 

UAS Flight Operations/Procedures (Appendix A) must be available to the crew at the ground station 

anytime the aircraft is in, or preparing for, flight. 

The FAA has issued the following exemptions to this regulation: Exemption Nos. 8607, 8737, 8738, 

9299, 9299A, 9565, 95658, 10167, 10167A, 10602, 32827, and 10700.

14 CFR 61.113 Private pilot privileges and limitations: Pilot in Command and 61.133 Commercial pilot

privileges and limitations.

The regulation provides that no person that holds a private pilot certificate may act as pilot in 

command of an aircraft for compensation or hire. Subparagraph (b) allows a private pilot to act as pilot

in command of an aircraft in connection with any business or employment if: (1) The flight is only

incidental to that business or employment; and (2) The aircraft does not carry passengers or property

for compensation or hire. 

Our proposed operations require that the PIC must either

1. Hold a Private or Sport Pilot Certificate issued by the FAA, and have logged 5 hours of flight 

experience in this type of UAS, or

2. Meet the requirements of 8900.227 para 16(c)(2)(c) "Operations without a pilot certificate" in 

which the PIC is required to complete "FAA private pilot ground instruction" and pass "the

FAA Private Pilot written examination." Since there are currently no means available for the 

pilot of a UAS to gain the experience in an equivalent category and class in order to apply for 

a private pilot's license, we propose to generate an equivalent level of safety by requiring our 

pilots to complete, at a minimum, FAA private pilot ground instruction and pass the FAA

Private Pilot written examination in addition to completing the private pilot requirements. 

Since the aircraft cannot carry passengers or property, we feel that we meet the intent of 

61.113 Subparagraph (b) even though the intent of this application is to conduct a business.
ALPHA & OMEGA SERVICES, INC. - EXEMPTION REQUEST AND LEVEL OF SAFETY Page 3 of 4

14 CFR 91.109 Flight Instruction; Simulated instrument flight and certain flight tests 

The regulation states that "No person may operate a civil aircraft that is being used for flight 

instruction unless that aircraft has fully functioning dual controls."

The UAS’s ground-based control station consists of a small hand-held radio transmitter and while it 

does not offer a second set of "controls", both the student and instructor can, and will, operate the

single set of controls simultaneously. With both student and instructor having "hands-on" the controls 

during flight, we feel that this technique meets the intent 91.109 and provides an equivalent level of 

safety.

14 CFR 91.119 Minimum safe altitudes: General.

The regulation states that over sparsely populated areas the aircraft cannot be operated closer than 

500 feet to any person, vessel, vehicle, or structure. Since the aircraft will be operating at a maximum 

of 400 feet AGL, we cannot comply with this requirement.

In order to provide an equivalent level of safety the UAS will not be operated over congested areas or

over any open air assembly of persons without prior approval. Any property owner affected will be 

briefed on the expected route of flight and the associated risks to persons and property on the ground.

The aircraft will be operated at a low altitude allowing, if a power unit fails, an emergency landing

without undue hazard to persons or property on the surface. Therefore, we maintain that due to the 

small size of the UAS, the hazard to persons, vehicles and structures is minimal compared to manned

aircraft, which should be considered in granting the exemption.

14 CFR 91.121 Altimeter Settings.

The regulation requires that aircraft shall maintain cruising altitudes by reference to an altimeter 

setting available within 100 NM of the aircraft.

The UAS will always fly below 400 feet AGL and will not need to maintain cruising altitudes in order to 

prevent conflict with other aircraft. An Above Ground Level altimeter measurement above the takeoff 

point is transmitted via radio from the UAS’s on-board computer to the display screen held by the PIC,

providing a constantly updated AGL readout.

14 CFR 91.151 Fuel requirements for flight in VFR conditions.

The regulation provides that no person may begin a flight in an airplane under day-VFR conditions 

unless there is enough fuel to fly to the first point of intended landing and to fly after that for at least 

30 minutes.

The intention of this paragraph is to provide an energy reserve as a safety buffer for delays to landing. 

Each UAS is battery operated and the maximum duration of flight from a single battery charge is 22 

minutes with a 20% reserve for the Multi Rotors and 60 minutes with a 20% reserve for the Fixed Wing 

eBee. Since the aircraft will never fly more than 3⁄4 NM from the point of intended landing, a full battery

charge at launch will ensure that we meet the reserve energy requirement of this paragraph. We
ALPHA & OMEGA SERVICES, INC. - EXEMPTION REQUEST AND LEVEL OF SAFETY Page 4 of 4

request an exemption to the word "fuel" and ask for an equivalent interpretation with the word 

"energy".

14 CFR Subpart E (91.401 - 91.417) - Maintenance, Preventive Maintenance, 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.

It is our intention that the PIC perform maintenance and inspection of the aircraft and "be authorized to 

approve the aircraft for return to service." As provided in the Pre-Flight Checklist in Appendix A, the PIC 

will ensure that the aircraft is in an airworthy condition prior to every flight. Maintenance performed by

the PIC is limited to repairing small cracks, replacing a propeller, checking electrical connections and 

updating software and firmware for the on-board computer. All other maintenance will be performed 

by the manufacturer or their designated repair facility. The PIC will document work performed in 

accordance with 91.417. We feel that due to the size, construction, and simplicity of the aircraft, the

PIC can ensure an equivalent level of safety.

8900.227 Paragraph 16(c)(4) PIC Medical. And Paragraph 16(e)(1) Observer Medical. 

This policy provides that both the PIC and VO must have a valid FAA second-class medical certificate 

issued under Part 67 in order to perform as a pilot or observer.

The UAS’s maximum gross weight is each less than 55lbs. and it is constructed primarily of plastic and 

carbon fiber. The PIC is not on board. Both the PIC and the VO are required to be in VLOS. Given the

unlikely event that both the PIC and VO become medically incapacitated while the aircraft is in flight, 

the UAS will return autonomously to the site of launching and land without crew intervention. 

Therefore, requiring the PIC and VO to meet the same medical requirements as commercial pilot 

carrying passengers in a large aircraft is an unnecessary burden.

We propose that the minimum medical requirements for the PIC and VO be vision corrected to20/20 

and a valid, state issued driver's license. The 20/20 vision requirement will ensure that the PIC and VO 

see and avoid air traffic; a licensed driver is medically qualified to operate a much larger vehicle. 
UPRISING PHOTOGRAPHIC, INC. – APPENDIX A– FLIGHT OPERTIONS/PROCEDURES

APPENDIX A – FLIGHT OPERATIONS/PROCEDURES

The UAS will be operated under the following flight restrictions. 

OPERATIONAL FLIGHT RESTRICTIONS

The UAS will be operated in the field with both a PIC and a VO in accordance with and with the following 

Restrictions:

 All operations must occur in FAA Class G airspace at no more than 400 ft AGL, at an airspeed of 

no more than 25 knots and no further than 3/4 NM from the PIC;

 All operations must utilize a visual observer (VO). The VO and PIC must be able to communicate 

by voice at all times during a flight operation;

 The PIC must have accumulated and logged, in a manner consistent with 14 CFR §61.51 (b), 10

hours of total time as a UAS rotorcraft pilot and at least 5 hours logged as a UAS pilot with a 

similar UAS type;

 The UAS will not be operated over densely populated areas without prior approval;

 The UAS will not be operated over any open-air assembly of people without prior approval;

 The UAS will not be operated within 5 NM of an airport or heliport without prior approval;

 Operations will be restricted to day only and weather conditions equivalent to VFR; 

 The PIC will brief the VO and property owner about the operation and risk before operation;

 No flight will be made without a Pre-Flight Inspection by the PIC before each operation to 

ascertain that the UAS is in a condition safe for flight.

PRE-FLIGHT CHECKLIST

Prior to operation, preflight checklists provided by the manufacturer of the UAS will be followed. Below 

is such an example. 

1. Remote Controller, Batteries, Range Extender and smartphone/tablet are fully charged.

2. Propellers are mounted correctly.

3. Damping absorbers are in good condition, not broken or worn.

4. Camera lens cap has been removed.

5. Memory/Storage card has been inserted if necessary.

6. Gimbal is functioning as normal.

7. Motors can start and are functioning as normal.

8. Smartphone/tablet can connect and communicate with UAS and/or payload.

TAKE OFF/LANDING PROCEDURES

Manufacturer recommended Takeoff and Landing procedures will be followed. The following is an 

example of such procedures: 

Place the UAS on ground with the battery level indicator facing you.

1. Power on base station.

2. Power on the remote controller.

3. Power on the payload (Camera/Sensor Package).
UPRISING PHOTOGRAPHIC, INC. – APPENDIX A– FLIGHT OPERTIONS/PROCEDURES

4. Power on the aircraft.

5. Connect the base station to the UAS.

6. Ensure the base station is communicating/receiving data from the UAS and payload. 

7. Confirm GPS satellite lock.

8. Push the throttle stick up slowly to lift the aircraft off the ground. 

9. Verify remote controller and UAS are operating normally. 

10. Proceed with mission.

11. When landing, be sure to be hovering over a level surface. 

12. Pull down on the throttle stick gently to descend and land.

13. After landing the aircraft on the ground, keep the throttle stick at its lowest position until 

the motors stop. 

FAILSAFE FUNCTION

The UAS will enter Failsafe mode when the connection from the remote controller is lost. The flight 

control system will automatically control the aircraft to return to home and land to reduce injuries or 

damage. The following situations would make the aircraft fail to receive a signal from the remote 

controller and enter Failsafe mode:

1. The remote controller is powered off.

2. The aircraft has flown out of the effective communication range of the remote controller.

3. There is an obstacle obstructing the signal between the remote controller and the aircraft.

4. There is interference causing a signal problem with the remote controller.
ALPHA & OMEGA SERVICES, INC. – APPENDIX B– USERS MANUASLS

APPENDIX B – USER’S MANUASLS DJI Phantom 3 Professional and DJI S900

The current User’s Manual for the DJI Phantom 3 Professional can be downloaded via the following link. 

Alpha & Omega Services, Inc. will keep a copy with each UAS. 

DJI Phantom 3 Professional User’s Manual

DJI S900 User’s Manual

Upon request these will be provided