Petition for a Section 333 Exemption

to operate small multi-rotor Unmanned Aerial Systems (UAS) 

for the purposes of scientific research and conservation.

13 August 2015

1. Name, mailing address, contact information.

Dr. James Hain

Associated Scientists at Woods Hole

PO Box 721

Woods Hole, MA 02543

www.aswh.org

jhain@earthlink.net

(508) 540-5050

2. Sections of 14 CFR from which we seek exemption.

2.a. Preface

Pursuant to Section 333 of the FAA Modernization and Reform Act of 2012 and 14 CFR Part 11, 

Associated Scientists at Woods Hole seeks to operate small Unmanned Aircraft Systems 

(sUASs) to conduct aerial imaging for environmental monitoring and wildlife conservation. 

Section 333, titled “Special Rules for Certain Unmanned Aircraft Systems,” provides a 

mechanism for seeking expedited FAA authorization of safe civil UAS operations in the 

National Airspace System. Section 333(a) states that the FAA “shall determine if certain 

unmanned aircraft systems may operate safely in the national airspace system before completion 

of the (comprehensive) plan and rulemaking required by section 332(b)(1) of this Act or the 

guidance required by section 334 of this Act. In Section 332(b)(1), Congress stated that Section 

333 provides a mechanism for “expedited operation authorization” if several factors are met. 

The Petitioner (Associated Scientists at Woods Hole, a non-profit scientific and educational 

organization) meets all requirements to permit FAA approval of UAS operations for the purposes 

of scientific research and conservation. 

2.b. Sections from which exemption is sought (16 total).

14 CFR Subchapter B, Part 11, Subpart A, § 11.87 Publication and comment procedures.
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14 CFR 21 Certification procedures for products and parts, Subpart H―Airworthiness 

certificates.

14 CFR § 45.23(b) Aircraft marking and identification requirements.

14 CFR § 61.113 (a)(b) and 61.113(a)(1)(ii) Private and commercial pilot privilege and 

limitations.

14 CFR § 61.23(a) and (c) Medical certificates.

14 CFR § 91.7 Civil aircraft airworthiness.

14 CFR § 91.9 (b)(2) Civil aircraft flight manual in the aircraft.

14 CFR § 91.109 Flight Instruction.

14 CFR § 91.121 Altimeter settings.

14 CFR § 91.151 (a)(1) Fuel requirements for flight in VFR conditions.

14 CFR § 91.207 (a)(1) Emergency locator transmitters (ELTs).

14 CFR § 91.307 (a) Parachutes and parachuting.

14 CFR § 91.405 (a) Maintenance required.

14 CFR § 91.407 (a)(1) Operation after maintenance, preventative, rebuilding, or alteration.

14 CFR § 91.409(a)(1)(2) Inspections.

14 CFR § 91.417 (a)(b) Maintenance records.

3. Extent of relief you seek and the reason you seek relief.

3.a. Extent of relief sought and responses.

14 CFR § 11.87 Publication and comment procedures.
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>> The petition of ASWH would not set a precedent, is similar to exemptions granted 

previously, a delay would adversely impact initiating needed science and conservation activities, 

and our petition has been filed in a timely manner).

14 CFR 21 Certification procedures for products and parts, Subpart H―Airworthiness 

certificates.

>> In consideration of the size, weight, speed, and limited operating area; as well as the relief 

provided in previously granted exemptions, ASWH submits that these requirements are not 

necessary.

>> The use of the proposed platforms, a DJI Phantom 2 and a DJI Inspire 1, has been authorized 

by the FAA in exemption numbers 12052, 12031, 11959, 11815, and others.

>> The operator will maintain the UAS in safe operating condition and will conduct a pre-flight 

safety inspection.

14 CFR § 45.23(b) Aircraft marking and identification requirements.

>> The UAS operated by ASWH will meet the intent of the regulation by displaying the 

registration number in the largest practicable lettering. In addition, the number will be displayed 

at the ground station and on the operator’s manual. 

14 CFR § 61.113 (a)(b) and 61.113(a)(1)(ii) Private and commercial pilot privilege and 

limitations.

>> We request a two-tier system. The PIC on staff holds a multi-engine commercial and 2nd

class airman medical certificates. Appropriate knowledge and experience specific to UAS 

operation will be acquired. On the second tier, we request that the additional operators of the 

UAS have experience and knowledge consistent with the UAS operation described. The training 

and activities of our operators will be overseen by the qualified multi-engine commercial pilot. 

The operators will have a driver’s license that addresses the medical requirement, will have a 

Sport Pilot ground-school certificate or equivalent, may attend a UAS or drone school (including 

simulator time), and will have ~ 10 flight hours of experience prior to deployment. These 

qualifications are consistent with those in the FAA’s proposed Small UAS Rule. These 

qualifications also meet the majority of the language in the regulation, and fully meet the spirit 

and intent of the regulation. We submit that the key factors needed by the operator are 

knowledge of the airspace, and experience and dexterity in the control and operation of the 

type(s) of UAS. Therefore, the additional operators are exempted from having a pilot’s license 

(the required fixed-wing flight time is not directly relevant), but in our case, the required flight 

time will be specific to the UAS, and will focus on the knowledge and experience specific to the 

task. This component of our petition meets the “equivalent” or “better than” test for operations 

safety.
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14 CFR § 61.23(a) and (c) Medical certificates

>> Exemptions # 11221, 11284, and others have provided that a U.S. driver’s license could be 

used in lieu of the medical certificate.

14 CFR § 91.7 Civil aircraft airworthiness.

>> Currently there is no airworthiness certificate for sUASs. Pre- and post-flight inspections 

will be accomplished following the manufacturer’s maintenance manual(s) and guidance. 

During flight, the PIC will abort operations immediately upon identification of an in-flight 

emergency or other unsafe condition. By complying with these procedures an equivalent level of 

safety will be achieved.

14 CFR § 91.9 (b)(2) Civil aircraft flight manual in the aircraft.

>> The operators manual, UAS documents, and exemption documents will be maintained on-site 

at the ground station, with a second copy on file in the office. 

14 CFR § 91.109 (b)(2) Flight Instruction.

>> The majority of UAS’ by design are developed with a single operational control. The design 

does not allow for dual controls during flight training, and therefore an exemption is requested to 

train operators, build experience, and maintain proficiency. An equivalent level of safety will be 

achieved by conducting all training in a sterile environment. Training sessions will be 

accomplished separately from operational flights.

14 CFR § 91.121 Altimeter settings.

>> The UAS is equipped with a global positioning system (GPS), which provides altitude, 

heading, and geo-location data to the operator without utilizing an altimeter. The GPS is precise 

within a few feet and combined with fail-safes and a visual observer, the operation will meet an 

equivalent level of safety.

14 CFR § 91.151 (a)(1) Fuel requirements for flight in VFR conditions.

>> The regulation is written based on capabilities of traditional aircraft, which have flight times 

of several hours or more. The majority of UASs of the type we propose to use have limited 

flight times (typically ≤ 20 minutes). We will employ battery changes for multiple flights. The 

requirement as written would preclude our ability to operate.

>> The UAS will display a low-battery alert at the operator ground station. There is also a builtin automatic landing sequence for a low battery situation. Based on this, and the limited 

operational area, an equivalent level of safety will be achieved.

14 CFR § 91.207 (a)(1) Emergency locator transmitters (ELTs).
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>> The size and weight of available ELT systems preclude their installation into the proposed 

small UAS. ASWH submits that an equivalent level of safety is achieved with the real-time 

telemetry feed of position, altitude, and heading within visual range.

14 CFR § 91.307 (a) Parachutes and parachuting.

>> Parachutes typically used by aviators as well as those for aircraft recovery in emergency 

situations are not of a practical size and weight to be compatible with the proposed small UAS. 

Additionally, no human lives are at stake. Therefore ASWH submits that this regulation is not 

applicable and seeks exemption.

14 CFR § 91.405 (a) Maintenance required; 14 CFR § 91.407 (a)(1) Operation after 

maintenance, preventative, rebuilding, or alteration; 14 CFR § 91.409(a)(1)(2) Inspections; 

and 14 CFR § 91.417 (a)(b) Maintenance records.

>> Pre- and post-flight inspections will be conducted in accordance with the manufacturer’s 

guidance and operations manual. Logs will be maintained of flight operations and maintenance. 

If maintenance is required a dedicated test flight will be conducted to ensure safety prior to 

resuming flight operations. These actions will meet the intent of the regulations from which 

exemption is being requested and result in an satisfactory and equivalent level of safety.

3.b. Reason relief is sought.

* The reason we seek relief is so that the requirements for our operation are not unduly 

burdensome, but at the same time satisfy the requirements of safe operation.

4. The reason why granting our request would be in the public interest, and how it would benefit 

the public as a whole.

* Study and protection of endangered species and ocean habitats is mandated by the Marine 

Mammal Protection Act of 1972, the Endangered Species Act of 1973, the North Atlantic Right 

Whale Recovery Plan of 2005, and other acts and regulations.

* Scientific data, including photographs and video, are required for natural resource management 

and conservation.

* The use of UAS’ represents a significant advance in the cost-benefit relationship of aerial data 

collection. The costs are reduced, and the data and photographs in many cases are equivalent or 

better.

* Directly or indirectly, our work is funded by the public. Therefore, obtaining needed 

information at a lesser cost for conservation of a public resource has merit and benefit.
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5. The reasons why granting an exemption would not adversely affect safety, or how the 

exemption would provide a level of safety at least equal to that provided by the rule from which 

you seek exemption.

* Operations will occur over the ocean (coastal waters), a low-risk environment, and away from 

the public and population areas.

* Operation will be by a licensed pilot with sufficient experience, or, by a trained operator with 

sufficient training and experience.

* Operations will be within visual line of sight, enhanced by a point-of-view remote monitor.

* The UAS will have an automatic return-to-base capability.

* Operations will not take place at altitudes greater than 400 ft., and will generally take place 

below 200 ft.

* In all cases, a spotter will be on site to assist the operator.

* We will prepare an operations and protocols manual specific to our mission.

* Notices and communication with local FAA/FSDO will occur.

6. A summary the FAA can publish in the Federal Register, stating:

6.a. The rule from which you seek exemption.

* 14 CFR Part 11, Subpart A, § 11.**; Part 21―Subpart H, § 21.**; Part 45 § 45.**; Part 

61, § 61.**; and Part 91, § 91.**. (The asterisks designate one or more subsections within 

the designated Part, detailed elsewhere in this petition.)

6.b. A brief description of the nature of the exemption you seek.

Dr. James Hain, Associated Scientists at Woods Hole, Woods Hole, Massachusetts, has applied 

for an exemption to 14 CFR Section 333, “Special Rules for Certain Unmanned Aircraft 

Systems,” to allow for operation of a small multi-rotor unmanned aerial system for scientific 

research and data collection on endangered species, ocean life, and ocean habitats. The area of 

operation will be near-shore waters of northeastern Florida and elsewhere along the east coast of 

the U.S. and Canada. A typical operation will be to launch the UAS from the beach or a research 

vessel in the vicinity of whale(s) or other animals under study, collect data and photographs, and 

recover at the launch location. Several deployments may occur to allow for battery changes. 

Typical operations will be daylight operations at altitudes less than 200 ft, within 3 miles of the 

shoreline, greater than 5 miles from an airport, and maintaining a line-of-sight visual with the 

platform.

7. Any additional information, views, or arguments available to support your request
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* the Petitioner, Dr. James Hain, has 25 years of experience with scientific aerial platforms, 

including fixed- and rotary-wing, blimps, and aerostats.

* Dr. James Hain is a past member of the University-National Oceanographic Laboratory 

System/Scientific Committee for Oceanographic Aircraft Research (UNOLS/SCOAR), and 

continues as a participant.

* Associated Scientists currently operates a twin-engine aircraft for ocean studies and data 

collection. We are familiar with operations, regulations, and aviation safety.

* An amendment to NOAA/NMFS Scientific Research Permit No. 13927 authorizing use of 

UAS’s for marine mammal research, has been applied for and is expected to be authorized by 

September of 2015.

* The FAA has authorized other Section 133 amendments for scientific research and data 

collection, e.g. no’s 12069, 12031, 11959, and 11941. 

8. If you want to exercise the privileges of your exemption outside the United States, the reason 

why you need to do so.

* We have in the past and may in the future do work in nearshore waters of Atlantic Canada.

Thank you.