APPENDIX A

EXEMPTION REQUEST AND EQUIVALENT LEVEL OF SAFETY SHOWINGS UNDER 

APPLICABLE

RULES SUBJECT TO EXEMPTION

NICC requests an exemption from the following regulations as well as any additional regulations 

that may technically apply to the operation of the DJI Phantom 3 Professional:

14 C.F.R. § 61.113(a) & (b); 61.133(a): Private Pilot Privileges and Limitations; Pilot in 

Command; Commercial Pilot Privileges and Limitations.

Section 61.113(a) & (b) limit private pilots to non-commercial operations. Unlike a conventional 

aircraft that carries a pilot, passengers, and cargo, the DJI Phantom 3 Professional in this case is 

remotely controlled with no passengers or property of others on board. Section 61.133(a) 

requires an individual with a commercial pilot's license to be pilot in command of any aircraft for 

compensation or hire. NICC respectfully proposes that operator requirements should take into 

account the characteristics of the particular UAS. NICC's DJI Phantom 3 Professional has a high 

degree of pre-programmed control and various built-in technical capabilities that strictly limit the 

potential for operation outside of the operating conditions set forth in the exemption application.

The DJI Phantom 3 Professional has a navigation and control system capable of conducting preprogrammed missions. Flights can be pre-programmed with precision GPS guidance and, 

although monitored by the PIC and Observer, do not require human intervention. The aircraft 

also can operate in guided mode, in which the aircraft will fly to a location designated by the 

operators. In the case of unplanned events, the operator can manually intervene to take one of the 

following actions: (i) command the aircraft to begin a return to the recovery area and land; (ii) 

command the aircraft to conduct a return to the recovery area where the pilot will assume control 

and land the aircraft; or (iii) manually assume control of the aircraft via the hand controller and 

return the craft to the recovery area where the operator lands it manually.

Additional automated safety functions and safety enhancing features of the DJI Phantom 3 

Professional include the following:

• Auto-pilot detection of lost GPS initiates GPS failsafe mode, in which the aircraft switches to 

manual control in an altitude hold mode.

• Low battery power on the aircraft triggers the landing sequence, and the craft will land at the 

current location.

• If the aircraft detects a lost-link to the ground control station, it will return to the launch point 

and land.
The DJI Phantom 3 Professional is on the List of Approved Unmanned Aerial Systems (UAS) 

under Section 333 at regulatory docket FAA–2007–3330

Given these safety features, NICC proposes that operators of the DJI Phantom 3 Professional 

should not be required to hold a commercial pilot certification. Instead, operators should be 

required to hold only a private pilot certification.

The risks associated with the operation of the DJI Phantom 3 Professional (given its size, speed, 

operational capabilities, and lack of combustible fuel) are so diminished from the level of risk 

associated with commercial operations contemplated by Part 61 with conventional aircraft (fixed 

wing or rotorcraft) that allowing operations of the UAS as set forth above meets or exceeds the 

present level of safety provided under 14 C.F.R. § 61.113{a) & (b) and does not rise to the level 

of requiring a commercial pilot to operate the aircraft under§ 61.133{a).

Given these conditions and restrictions, an equivalent level of safety will be provided by 

allowing operation of the DJI Phantom 3 Professional with a private pilot's certificate, under the 

conditions set forth in the exemption request. The FAA has granted exemptions to conduct 

similar operations in Exemptions 11062 through 11067, 11080, 11109, 11110, 11136, and 

11138. 

14 C.F.R. § 91.7{a): Civil Aircraft Airworthiness.

This regulation requires that no person may operate a civil aircraft unless it is in airworthy 

condition. Should the exemption be granted allowing commercial operation of the DJI Phantom 

3 Professional without an airworthiness certificate, no standard will exist for airworthiness of the 

DJI Phantom 3 Professional. Given the size of the aircraft and the requirements that the operator 

has agreed to as relates to airworthiness, an equivalent level of safety will be achieved by 

ensuring compliance with the NICC manuals prior to each flight. The FAA has granted 

exemptions to conduct similar operations in Exemptions 11062 through 11067, 11080, 11109, 

11110, 11136, and 11138.

14 C.F.R. § 91.119(c): Minimum Safe Altitudes.

Section 91.119 establishes safe altitudes for operation of civil aircraft. Specifically, 91.119{c) 

limits aircraft flying over areas other than congested areas to 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.

As set forth herein, the DJI Phantom 3 Professional will never operate at higher than 200 feet 

AGL. It will, however, be operated to avoid congested or populated areas that are depicted in 

yellow on VFR sectional charts. Because it is necessary to operate at altitudes less than 500 feet 

AGL to record accurate imagery of crops and collect other imagery related to research and 

demonstration, an exemption from Section 91.119{c) is needed.

The equivalent level of safety will be achieved given the size, weight, speed, and material with 

which the DJI Phantom 3 Professional is built. Also, no flight will be taken without the 
permission of the landowner or those who control the land as well as local officials1

. Because of 

advance notice to the landowner, all affected individuals will be aware of and will have signed 

waivers consenting to the flights. NICC will ensure that the aircraft remains at least 500 feet 

away from nonparticipants unless they are sheltered from potential hazards by barriers or 

structures, as described in the NICC UAS (Unmanned Aerial Vehicle) Operations Policy. 

Compared to operations conducted with aircraft or rotorcraft weighing far more than 10 lbs. and 

carrying flammable fuel, any risk associated with these operations will be far less than the risks 

that would be posed by conventional aircraft operating at or below 500 feet AGL. Indeed, the 

low-altitude operations of the UAS will maintain separation between these small-UAS 

operations and the operations of conventional aircraft that must comply with Section 91.119. The 

FAA has granted exemptions to conduct similar operations in Exemptions 11062 through 11067, 

11080, 1110, 11136, and 11138.

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

This regulation prohibits an individual from beginning "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; or (2} At night, to fly after that for at least 45 minutes." 

The batteries powering the DJI Phantom 3 Professional provides up to 23 minutes of powered 

flight. Without an exemption from§ 14 C.F.R. 91.151, the UAS's flights would not be permitted. 

Given the limitations on its proposed operations and the location of those proposed operations, a 

longer time frame for flight in daylight VFR conditions is reasonable. NICC will not initiate 

flight unless (considering wind and forecast weather conditions) there is enough power to fly at 

normal cruising speed to the intended landing point and land the UAS with a minimum of 5 

minutes of battery power remaining.

NICC believes that an exemption from 14 C.F.R. § 91.151(a} is safe and within the scope of 

prior exemptions. See Exemption 10673 (allowing Lockheed Martin Corporation to operate 

without compliance with 91.151(a)). Operating the small UAS without 30 minutes of reserve 

fuel does not engender the type of risks that Section 91.151(a} was meant to prevent given the 

size and speed at which the UAS operates. The level of safety is enhanced because the aircraft 

carries no pilot, passenger, or cargo. Flights also will be very short, and far shorter than the 

capacity of the batteries allows. When the DJI Phantom 3 Professional reaches a low battery state 

it initiates a return to home sequence. In the unlikely event that the DJI Phantom 3 Professional 

could not return to home, it would initiate a landing sequence. Given its weight and construction 

material, the risks are less than contemplated by the current regulation. NICC submits that, as a 

result, its proposed operations of the DJI Phantom 3 Professional achieve an equivalent level of 

safety. Similar exemptions have been granted to other operators, including Exemptions 2689F, 

5745, 10673, 10808, and Exemptions 11062 through 11067, 11080, 11109, 1110, 11112, 11136, 

11138, and 11150.

 

1

See attached UAS Flight Permission Form
14 C.F.R. § 91.405(a); 407(a)(1); 409(a)(2); 417(a) & (b): Maintenance Inspections

Section 91.405(a) requires that an aircraft operator or owner "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 

.... " Section 91.407 similarly makes reference to requirements in Part 43; Section 91.409(a)(2) 

requires an annual inspection for the issuance of an airworthiness certificate. Section 91.417(a) 

requires the owner or operator to keep records showing certain maintenance work that has been 

accomplished by certificated mechanics, under Part 43, or licensed pilots and records of approval 

of the aircraft for return to service. 

Maintenance of the DJI Phantom 3 Professional will be accomplished by the owner/operator 

pursuant to the manuals. An equivalent level of safety will be achieved because the UAS is small 

and light, will carry a small payload, will operate only in restricted predetermined areas and is 

not a complex mechanical device. The operator will ensure that the UAS is in working order 

prior to initiating flight, perform required maintenance, and keep a log of any maintenance that is 

performed; moreover, the operator is the person most familiar with the aircraft and is best suited 

to maintain the aircraft in an airworthy condition and to ensure an equivalent level of safety. The 

FAA has granted exemptions for similar operations in Exemptions 11062 through 11067, 11080, 

11109, 11110, 11112, 11136, and 11138.