October 13, 2015 

U.S. Department of Transportation 

Docket Management System 

1200 New Jersey Ave., SE 

Washington, DC 20590 

RE: Exemption Request Pursuant to Section 333 of the FAA Modernization and 

Reform Act of 2012, 49 U.S.C. § 44701(f), and Part 11 of the Federal Aviation 

Regulations 

Dear Sir or Madam: 

We represent SWAT Consulting, Inc. and are submitting this Petition for Section 333 Exemption 

on their behalf under Section 333 of the FAA Modernization and Reform Act of 2012 

(“FMRA”). 

Applicant Information:

The name of the applicant: SWAT Consulting, Inc. 

The primary contact for this application, which a copy to me at the address above, is: 

 Benito Vavra 

 SWAT Consulting, Inc. 

 313 Squaw Creek 

 Marshall, MI 49068 

SWAT Consulting, Inc. is a profit corporation formed under the State laws of Michigan on or 

about October 14, 2011, and Benito Vavra is Spill Responder Foreman and Lead Consultant of 

SWAT Consulting, Inc. 

Pursuant to Section 333 of the FMRA, SWAT Consulting, Inc. hereby requests a determination 

by the Secretary of Transportation authorizing commercial operations of UAS for the purposes 

of emergency response, emergency preparedness and other work related to aerial response 

management photography in the NAS. SWAT Consulting, Inc. does not intend to use for closed 

set filming. Flight operations will utilize the off the shelf DJI family of unmanned aircraft. 

Conduct of UA operations will be with respect to FMRA Section 333(c) and the UAS “Blanket 

COA”. 
October 13, 2015 

Page 2 of 11 

Exemption is necessary to effect the determination requested pursuant to FMRA Section 333. 

The attached documentation includes detailed exemption requests that demonstrate how these 

exemptions are in the public interest and will maintain at least an equal level of safety to existing 

regulations. Authorizing SWAT Consulting, Inc. to conduct commercial UAS operations will 

result in less disruptive, safer, and more cost effective solutions than manned aviation 

equivalents due to the low altitude environment, given the size, speed and inherent risk of 

traditional commercial helicopter operations. These commercial operations often occur in the 

unsafe areas of the height-velocity diagram requiring special precision and skill. SWAT 

Consulting, Inc. will conduct the commercial UAS operation in a manner that will meet, and in 

many cases exceed, the current level of safety of commercial helicopter operations. UA that are 

under 10 lbs., have a low noise signature, and carry no volatile fuel, will limit collateral damage 

in the event of catastrophic failure. The low expense of operation compared to cost prohibitive 

manned aviation alternatives allow a greater economic benefit to businesses. For these reasons, 

granting an exemption under FMRA Section 333(c) is in the public interest. UAS technology 

used for these commercial purposes benefit the public interest in the following ways: 

 Reduces the collateral damage risks to life and property associated with low altitude 

helicopter operations in undesirable portions of the height-velocity envelope. 

 Increased economic wellbeing to local businesses via cost reductions. 

 Enabling aerial business solutions to be available to a larger market. 
October 13, 2015 

Page 3 of 11 

Table of Contents 

I. Exemptions Requested 

II. Commercial Operation/Operator 

III. Unmanned Aircraft System (UAS) 

IV. UAS Pilot-in-Command (PIC) 

V. Public Interest 

VI. Summary 

VII. List of Attachments 

I. Exemptions Requested 

Pursuant to 14 C.F.R. § 11.81(e), SWAT Consulting, Inc. requests exemption from the following 

regulations: 

 14 C.F.R. Part 21 Subpart H – Airworthiness Certificates 

o Establishes: The procedural requirements for the issuance of airworthiness 

certificates as required by 14 C.F.R. § 91.203(a)(1) 

Given the small size of the UA and the safeguards that will be taken as outline below, 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 with consideration “of the size, weight, 

speed, operational capability, and proximity to airports and populated areas of the 

particular UAS.” 

 14 C.F.R. § 45.23(b) – Aircraft Marking and Identification Requirements

o 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. 

SWAT Consulting, Inc. will ensure compliance with § 45.29(f) to meet the intent of the 

regulation by displaying the registration number in the largest practicable lettering. 

 14 C.F.R. 61.113 (a)(b) and 61.133(a)(1)(ii) and 61.101 – Recreational, Private and 

Commercial Pilot Privilege and Limitations

o 14 C.F.R. § 61.113: (a) Except as provided in paragraphs (b) through (g) of this 

section, no person who holds a private pilot certificate may act as pilot in 

command of an aircraft that is carrying passengers or property for compensation 

or hire; nor may that person, for compensation or hire, act as pilot in command of 
October 13, 2015 

Page 4 of 11 

an aircraft. (b) A private pilot may, for compensation or hire, act as pilot in 

command of an aircraft in connection with any business or employment 

o 14 C.F.R. § 61.133: (a) Privileges – (1) General. A person who holds a 

commercial pilot certificate may act as pilot in command of an aircraft – (ii) For 

compensation or hire, provided the person is qualified in accordance with this part 

and with the applicable parts of this chapter that apply to the operation. 

o 14 C.F.R. § 61.101: (a) A person who holds a recreational pilot certificate may 

not act as pilot in command of an aircraft: 

 For compensation or hire; 

 In furtherance of a business; 

UA operations will employ a PIC who holds, at a minimum, a recreational or sport pilot 

certificate of any category or class and a valid driver’s license. 

 14 C.F.R. 91.7(a) – Civil Aircraft Airworthiness

o No person may operate a civil aircraft unless it is in an airworthy condition. 

The PIC will conduct daily pre and post flight inspections in accordance with 

manufactures maintenance manual(s) and guidance. During flight, the PIC will adhere to 

§ 91.7(b) and abort air operations immediately upon identification of an in-flight 

emergency or other unsafe condition. By complying with procedures outlined by the 

manufacturer, an equivalent level of safety will be achieved. 

 14 C.F.R. 91.9(b) Civil aircraft flight manual, marking, and placard requirements

o (b)(2) prohibits operation of U.S.-registered civil aircraft unless there is available 

in the aircraft a current approved Airplane or Rotorcraft Flight Manual, approved 

manual material, markings, and placards, or any combination thereof. 

By keeping all operating documents, manuals, authorizations and exemptions in a binder 

co-located with the GCS, SWAT Consulting, Inc. meet the intent of the regulations and 

therefore achieve an equivalent level of safety. 

 14 C.F.R. 91.109(a) – Flight Instruction 

o No person may operate a civil aircraft (except a manned free balloon) that is being 

used for flight instruction unless that aircraft has fully functioning dual controls.

The majority of sUAS by design are developed with single operational control through 

the use of pre-determined GPS enabled waypoints programmed before or during flight in 

addition to the use of a single hand held transmitter or control station controlled by the 

PIC. The design does not allow for dual controls during flight training and therefore the 

exemption is requested to train operators, build experience, and maintain proficiency. An 

equal level of safety will be achieved by conducting all training in stile environment. 

Training sessions will be accomplished separately from flights conducted for 

compensation or hire. 
October 13, 2015 

Page 5 of 11 

 14 C.F.R. 91.119 (c) – Minimum Safe Altitudes 

o Except when necessary for takeoff or landing, no person may operate an aircraft 

below the following altitudes: (b) Over any congested area of a city, town, or 

settlement, or over any open air assembly of persons, an altitude of 1,000 feet 

above the highest obstacle within a horizontal radius of 2,000 feet of the aircraft. 

(c) Over other than congested areas. An altitude of 500 feet above the surface, 

except over open water or sparsely populated areas. In those cases, the aircraft 

may not be operated closer than 500 feet to any person, vessel, vehicle, or 

structure. (d) Helicopters, powered parachutes, and weight-shift-control aircraft. If 

the operation is conducted without hazard to persons or property on the surface— 

(1) A helicopter may be operated at less than the minimums prescribed in 

paragraph (b) or (c) of this section, provided each person operating the helicopter 

complies with any routes or altitudes specifically prescribed for helicopters by the 

FAA.

Commercial UAS operations will be conducted at or below the maximum altitude 

authorized by COA. Given the size, weight and lack of fuel; combined with operation 

limitations listed below, the operation will be conducted with a greater level of safety 

than exists with current manned aviation operations. 

 14 C.F.R. 91.121 – Altimeter Settings

Each person operating an aircraft shall maintain the cruising altitude or flight level of that 

aircraft, as the case may be, by reference to an altimeter that is set, when operating... 

SUAS are equipped with Global Positioning System (GPS), which provide altitude and geolocation data to the operator without utilizing an altimeter. Due to this fact, an exemption is 

required. GPS are precise within a few feet and combined with fail-safes and a visual observer the 

operation will meet an equivalent level of safety. 

 14 C.F.R. 91.151(a) – Fuel Requirements for Flight in VFR Conditions 

o No person may begin a flight in an airplane under VFR conditions unless 

(considering wind and forecast weather conditions) there is enough fuel to fly to 

the first point of intended landing and, assuming normal cruising speed— (1) 

During the day, to fly after that for at least 30 minutes;

This regulation is written based on the capabilities of a traditional aircraft, which have 

flight times of several hours or greater; therefore, with the majority of sUAS which have 

flight times of only an hour or less, this regulation would effectively deny the ability of 

the air vehicle to operate. 

The PIC will achieve an equivalent level of safety by complying with all manufacturer 

guidelines and the DJI low battery failsafe system. 
October 13, 2015 

Page 6 of 11 

 14 C.F.R. 91.215(b) – ATC Transponder and Altitude Reporting Equipment and 

Use. 

o All airspace. Unless otherwise authorized or directed by ATC, no person may 

operate an aircraft in the airspace described in paragraphs (b)(1) through (b)(5) of 

this section, unless that aircraft is equipped with an operable coded radar beacon 

transponder having either Mode 3/A 4096 code capability, replying to Mode 3/A 

interrogations with the code specified by ATC, or a Mode S capability, replying 

to Mode 3/A interrogations with the code specified by ATC and intermode and 

Mode S interrogations in accordance with the applicable provisions specified in 

TSO C-112, and that aircraft is equipped with automatic pressure altitude 

reporting equipment having a Mode C capability that automatically replies to 

Mode C interrogations by transmitting pressure altitude information in 100-foot 

increments. This requirement applies—

(1) All aircraft. In Class A, Class B, and Class C airspace areas; 

(2) All aircraft. In all airspace within 30 nautical miles of an airport listed in 

appendix D, section 1 of this part from the surface upward to 10,000 feet MSL; 

(3) Notwithstanding paragraph (b)(2) of this section, any aircraft which was not 

originally certificated with an engine-driven electrical system or which has not 

subsequently been certified with such a system installed, balloon or glider may 

conduct operations in the airspace within 30 nautical miles of an airport listed in 

appendix D, section 1 of this part provided such operations are conducted— 

(i) Outside any Class A, Class B, or Class C airspace area; and

(ii) Below the altitude of the ceiling of a Class B or Class C airspace area 

designated for an airport or 10,000 feet MSL, whichever is lower; and 

(4) All aircraft in all airspace above the ceiling and within the lateral boundaries 

of a Class B or Class C airspace area designated for an airport upward to 10,000 

feet MSL; and 

(5) All aircraft except any aircraft which was not originally certificated with an 

engine-driven electrical system or which has not subsequently been certified with 

such a system installed, balloon, or glider— 

(i) In all airspace of the 48 contiguous states and the District of Columbia at and 

above 10,000 feet MSL, excluding the airspace at and below 2,500 feet above the 

surface; and 
October 13, 2015 

Page 7 of 11 

(ii) In the airspace from the surface to 10,000 feet MSL within a 10-nautical-mile 

radius of any airport listed in appendix D, section 2 of this part, excluding the 

airspace below 1,200 feet outside of the lateral boundaries of the surface area of 

the airspace designated for that airport. 

The sUAS to be used in the proposed operation does not come equipped with a 

transponder. No transponder exists for the sUAS, which can be installed. The petitioner 

requests relief from the exemption to the extent required to operate in areas in which a 

transponder is required according the applicable regulations in this part. 

The PIC will achieve an equivalent level of safety by complying with all provisions of 

the COA under which operations are to be conducted. By issuing appropriate NOTAMS 

and prior ATO coordination, an equivalent level of safety can be achieved as other 

manned aircraft, which receive authorization to fly in airspace where a transponder is 

required but not operable. In order to give proper notice to the ATO, the PIC will comply 

with the provisions of 91.215(d)(3). The sUAS flown under this exemption will comply 

with all altitude limits and airport standoff distances required by COA, which mitigate 

hazards to aircraft controlled by the ATO in congested airspace. 

 14 C.F.R. 91.405(a), 91.407(a)(1), 91.409(a)(2) and 91.417(a) & (b) – Maintenance 

Inspections 

o 91.405(a) States: Each owner or operator of an aircraft—(a) Shall have that 

aircraft inspected as prescribed in subpart E of this part and shall between 

required inspections, except as provided in paragraph (c) of this section, have 

discrepancies repaired as prescribed in part 43 of this chapter

o 91.407(a)(1) States: (a) No person may operate any aircraft that has undergone 

maintenance, preventive maintenance, rebuilding, or alteration unless—(1) It has 

been approved for return to service by a person authorized under § 43.7 of this 

chapter

o 91.409(a)(2) States: (a) Except as provided in paragraph (c) of this section, no 

person may operate an aircraft unless, within the preceding 12 calendar months, it 

has had—(2) An inspection for the issuance of an airworthiness certificate in 

accordance with part 21 of this chapter. No inspection performed under paragraph 

(b) of this section may be substituted for any inspection required by this 

paragraph unless it is performed by a person authorized to perform annual 

inspections and is entered as an ‘‘annual’’ inspection in the required maintenance 

records.

o 91.417(a) & (b) States: (a) Except for work performed in accordance with §§ 

91.411 and 91.413, each registered owner or operator shall keep the following 

records for the periods specified in paragraph (b) of this section: (paragraphs 1 (i 

– iii), 2 (i – vi)); (b) The owner or operator shall retain the following records for 

the periods prescribed: (paragraphs 1 – 3)
October 13, 2015 

Page 8 of 11 

The PIC will conduct Pre/Post flight inspections and maintenance in accordance with the 

manufacturer’s guidance as stated in the operations manual. If maintenance is required, 

the PIC will conduct a dedicated test flight to ensure safety before resuming commercial 

operations. All inspection, maintenance and alterations will be documented and 

maintained in a record. These actions will meet the intent of the regulations from which 

exemption is being requested and lead to an equivalent level of safety. 

II. Commercial Operator/Operation 

Any UA flown under this exemption will be controlled by a certificated PIC. The PIC will hold, 

at a minimum, a recreational or sport pilot certificate. 

For each flight, SWAT Consulting, Inc.: 

 Will contact the controlling air traffic organization to issue a NOTAM. 

 Will conduct a comprehensive worksite inspection and analysis, identifying limits of 

customer property or authorized access areas. 

 Will conduct preflight planning in accordance with Section 91.103 Preflight Action.

 Will operate in those areas only with the consent of the landowner or designated 

representative. 

 Will identify potential obstructions or other hazards to safe operation. 

 Will clear the area of personnel or bystanders that are non-essential to the operation, 

maintaining at a minimum, 500 feet away from non-participating persons. 

 Will conduct a preflight safety briefing to Visual Observer (VO) and participating 

persons. 

 Will at all times yield to manned air traffic. 

 Will operate within VLOS of both PIC and VO during daylight hours only.

 Will maintain voice communications with VO and participating persons.

 Will operate under visual flight rules, in visual meteorological conditions, for the airspace 

in which the flight is conducted.

 Will not exceed the maximum altitude as defined in the COA under which flight 

authorized, as determined by the installed GPS.

 Will keep operating documents, manuals, authorizations and exemptions in a binder colocated with the GCS.

 Will immediately terminate flight, in the safest manner possible, when safety to persons 

or property become compromised. 

 Will terminate flight, in the safest manner possible, when unable to comply with these 

limitations or any other limitations granted as part of this exemption.

In order to remain at an altitude at or below the attitude prescribed by the applicable COA, relief 

is needed from Section 91.119 (c). By following these operating standards, the commercial 

operation will meet an equivalent level of safety to the regulation in which relief is sought. 
October 13, 2015 

Page 9 of 11 

III. Unmanned Aircraft System 

SWAT Consulting, Inc. seeks exemption to operate DJI UAS. Other UAS types may be 

requested in future amendments. The DJI Phantom 2 Vision Plus is the primary aircraft in our 

operation for which we seek exemption. The UA will be flown via a combination of RC control 

and tablet GCS. The UA type is GPS equipped, multirotor helicopters. A quad-copter type 

rotorcraft utilizing four motors. Lithium-polymer batteries power the UA. 

The UA also has several fail-safes for loss of RC signal, loss of GPS, and low battery as outlined 

in the respective Operation Manuals. The UA display visual and emit an audible low battery 

alerts at which time the UA will automatically engage the landing sequence. Based upon those 

safeguards, I request exemption from Section 91.151(b) Fuel requirements for flight in VFR 

conditions. 

Given the size, weight, speed, and controlled operating area associated with the UA to be 

utilized, an exemption from 14 CFR part 21, Subpart H (Airworthiness Certificates) and § 

91.203 (a) and (b) is requested. Exemption is sought from § 45.23 Marking of the aircraft. The 

UA will display the registration number in the largest practicable lettering. SWAT Consulting, 

Inc. seeks to be exempt from § 91.405(a), 91.407(a)(1), 91.409(a)(2) and 91.417(a) and (b) 

Maintenance inspections will be conducted according to operations manual and prudent 

judgment as previously outlined to determine the integrity and safety of the UA and associated 

equipment. Further, relief is required from 91.7(a), which prohibits the operation of an aircraft 

without an airworthiness certificate and 91.9(b) (2) requiring an approved flight manual in the 

aircraft. The UA will not be operating with an airworthiness certificate therefore, this would be 

inappropriate. The UAS are too small to carry the operating documents so an equivalent amount 

of safety can be achieved through keeping the operating documents and manuals at the GCS. 

IV. UAS Pilot in Command (PIC) 

Under part § 61, recreational, sport and private pilots are limited to non-commercial operations, 

however SWAT Consulting, Inc. can ensure UA operations will achieve an equivalent level of 

safety as current regulation because UA do not carry any pilots or passengers. A commercial 

pilot certificate will not ensure RC piloting ability, as the psychomotor skills are different. The 

inherent risks of operating a UAS are far less than in the commercial activities outlined in 14 

CFR part 61, et seq., thus exemption is requested from § 61.101 Recreational Pilot Privileges 

and Limitations. PICs will maintain recent flight experience on the UAS. Training and 

experience flights will be conducted separate from commercial operations. 

V. Public Interest 

Given the above stated evidence, procedures, and precautions operating UAS commercially for 

the purposes of emergency response, emergency preparedness and other work related to aerial 

response management photography will ultimately be in the public interest. These operations, 

when executed with prudence, will exceed the current level of safety as the regulations from 
October 13, 2015 

Page 10 of 11 

which exemption is sought. UA operations will allow greater access to commercial aerial 

services that were not previously economically feasible for many firms. This will provide a much 

needed economic uplift to the community and hence the public. UA operations are associated 

with less risk of collateral damage to persons and property while limiting disruptive noise 

pollution associated with low altitude aviation operations. 

VI. Summary 

Pursuant to Section 333 of PL 112-95 commonly known as the “FAA Modernization and Reform 

Act of 2012”, SWAT Consulting, Inc., hereby applies for authorization to conduct commercial 

unmanned aerial systems (UAS) operations for the purposes of emergency response, emergency 

preparedness and other work related to aerial response management photography Rules for 

which exemption is sought: 

 14 C.F.R. Part 21 Subpart H 

 14 C.F.R. § 45.23(b) 

 14 C.F.R. § 61.101, 61.113 and 61.133(a)(1)(ii) 

 14 C.F.R. § 91.7(a) 

 14 C.F.R. 91.9(b) 

 14 C.F.R. § 91.103 

 14 C.F.R. § 91.109(a) 

 14 C.F.R. § 91.119 

 14 C.F.R. § 91.121 

 14 C.F.R. § 91.151(a) 

 14 C.F.R. § 91.215(b) 

 14 C.F.R. § 91.405(a) 

 14 C.F.R. § 91.407(a)(1) 

 14 C.F.R. § 91.409(a)(2) 

 14 C.F.R. § 91.417(a) & (b) 

VII. Attachments: 

1. Specific UAV manuals. 

a. Phantom 2 Vision Plus Disclaimer 

b. Phantom 2 Vision Plus Pilot Training Guide – Version 1.1 

c. Phantom 2 Vision Plus Release Notes 

2. UAV user manual 

a. Phantom 2 Vision Plus User Manual – Version 1.8 

3. Battery Manuals 

a. Smart Flight Battery Safety Guidelines 

4. Quick Start guides. 

a. Phantom 2 Vision Plus Quick Start Guide 
October 13, 2015 

Page 11 of 11 

Thank you for your prompt attention and consideration. Traverse Legal and its clients are 

committed to safe UAS operation and ambassadors. Please do not hesitate to contact me 

directly with any questions or concerns at 866-936-7447. 

 Very truly yours, 

 Traverse Legal, PLC

 

 Enrico Schaefer 

 Attorney at Law 

 www.dronelaw.pro 

 enrico@traverselegal.com 

ES/cam 

Enclosures