1

April	15,	2015

Marine	Conservation	Ecology	UAS	Program

Nicholas	School	of	the	Environment,	

Duke	University	Marine	Laboratory

135	Duke	Marine	Lab	Road

Beaufort,	NC	28516

U.S.	Department	of	Transportation

Docket	Operations

1200	New	Jersey	Ave.,	SE

Washington,	DC	20590

RE: Petition	for	Exemption	and	Relief	from	Specific	Regulations	of	Title	14	of	the	

Code	of	Federal	Regulations	Pursuant	to	Section	333	of	the	FAA	Modernization

and	Reform	Act	of	1012	(Public	Law	112-95)	Regarding Commercial

Employment	of	Unmanned	Aircraft	Systems	(UAS)

Dear	Sir/Madam,

Pursuant	to	Section	333	of	Public	Law	112-95	commonly	known	as	the	“FAA	

Modernization	and	Reform	Act	of	2012”	or	“The	Reform Act”,	Duke	University	hereby	

applies	for	authorization	to	conduct	commercial	unmanned	aerial	systems	(UAS)	

operations	within	the	United	States	National	Airspace	System	(NAS)	for	the	purpose	of	

Research,	Education	and	UAS	platform	development.

Federal	Register	Summary

Pursuant	to	14	CFR	§11.81,	the	following	summary	is	provided	for	publication	in	the	

Federal	Register,	should	it	be	determined	that	publication	is	needed:

Duke	University	seeks	exemption	from	14	CFR	Part	21,	Subpart	H;	14	CFR	Part	27;	14	CFR	

45.23(b);	14	CFR	61.113(a)(b);	14	CFR	91.7(a);	14	CFR	91.9(b)(2)(c);	14	CFR	91.103;	14	CFR	

91.109(a);	14	CFR	91.119;	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)(1);	CFR	91.409(a)(1)	and	(a)(2);	14	CFR	91.417(a)(b)	to	allow	

commercial	employment	of	Unmanned	Aerial	Systems	(UAS)	in	support of	research,	education	

and	UAS	platform	development	in	the	areas	of	oceanography,	limnology,	and	environmental	

science.				This	exemption	will	enhance	safety	by	reducing	risk to	the	general	public	and	

property	owners	from	the	substantial	hazards	associated	with	performing	equivalent	work	

with	conventional	aircraft	and	rotorcraft.
2

The	name	and	address	of	the	applicant	is:

Dr.	David	W.	Johnston

Marine	Conservation	Ecology	UAS	Program

Nicholas	School	of	the	Environment,	

Duke	University	Marine	Laboratory

135	Duke	Marine	Lab	Road

Beaufort,	NC	28516

david.johnston@duke.edu

252-504-7593

Signed:
3

GLOSSARY	OF	ABBREVIATIONS

AGL Above	Ground	Level

AOI Area	of	Interest

ATC Air	Traffic	Control

ATO Air	Traffic	Organization

AV Aerial Vehicle

CFR Code	of	Federal	Regulations

COA Certificate	of	Authorization

FAA Federal	Aviation	Administration

FAR Federal	Aviation	Regulation

GCS Ground	Control	Station

LOL Loss	of	Link

NAS National	Airspace	System

NOTAM Notice	to	Airmen

PIC Pilot	in	Command

Section	333 FAA	Modernization	and	Reform	Act	of	2012,	Section	333

SOP Standard	Operating	Procedures

UA Unmanned	Aircraft

UAS Unmanned	Aircraft	System

VFR Visual	Flight	Rules

VLOS Visual	Line	of	Sight
4

VMC Visual	Meteorological	Conditions

VO Visual	Observer

INTRODUCTION	AND	INTEREST	OF	THE	PETITIONER

The	use	of	small unmanned	aerial	systems	(sUAS)	in	terrestrial	commercial	and	science	

applications	is now	widespread and	transforming	agricultural	assessments,	

environmental	compliance	regimes	and	spatial	ecological	science.	These	devices	are	

used	regularly	to	reduce	costs,	increase	safety and	boost	knowledge	of	key	agricultural	

parameters,	to	assess	progress	and	environmental	compliance	in	mining	operations	and	

occasionally	to	study	the	terrestrial	habitats	and	aggregations	of	wildlife	[3].	The	use	of	

sUAS	in	ocean	science	applications	is	also	growing,	and	the	availability	of	safe	and	

sophisticated	commercial	hardware	and	software	solutions	is	now	facilitating	their	use	

by	marine	researchers.	The	use	of	sUAS	by	marine	researchers	can	provide	significant	

benefits	including	reduced	costs,	greater	survey	efficiency,	reduced	wildlife	disturbance,	

reduced	risk	to	human	pilots	and	observers	and	higher	data	quality and	quantity,	yet

there	are	few	programs	exploring	these	opportunities.	The	Duke	University	Marine	

Laboratory	is	developing	a	UAS	program	to	1)	help	meet	the	growing	educational	needs	

of	marine	scientists	seeking	to	use	sUAS	in ocean	and	coastal	applications	and; 2)	to	

support	sUAS-based	research	in	coastal	and	marine	environments nationally	and	

internationally.	To	achieve	these	goals,	our	research	program	must	engage	in	domestic	

sUAS	operations	for	research,	education	and	training	purposes.	Due	to	the	nature	of	our	

work, these flights	will	occur	predominantly	in	remote	coastal	areas,	away	from	human	

activities and	often	exclusively	over	water.		UAS	are	developing	as	a	legitimate	and	

robust	means	of	conducting	research	that	heretofore	have	been	possible	only	from	

manned	aircraft.		Such	traditional	survey	techniques	are	expensive, incur	substantial	risk	

to	personnel and	produce	lower	quality	data.	Our	work	addresses these	issues	through	

marine	science	UAS	applications	to	the	benefit	of	society	at	large.

OVERVIEW	CHARACTERISTICS	OF	PROPOSED	UAS

SenseFly	eBee Mikrokopter	Hex	XL Freefly	CineStar	6

Aircraft	Type Fixed	wing Multirotor	(6 Rotor) Multirotor	(6 Rotor)

Aircraft	Weight 0.69kg/1.52lbs 1.5kg/3.31bs 2.65kg/5.84lbs

Max	Take	off	Weight 0.69kg/1.52lbs 5.00kg/11.02lbs 5.80kg/12.79lbs

Dimensions 980mm Wingspan 730x730x350mm 900x800x350mm

Max	Flight	time	(aprox) 50min 32min 30min

Max	airspeed 48kts 40kts 40kts

Propulsion Brushless	DC	motor Brushless	DC	motor Brushless	DC	motor

Power 11.1v	3	Cell	Lithium	

Polymer	battery

14.8v	4	Cell	Lithium	

Polymer	battery

14.8v	4	Cell	Lithium	

Polymer	battery

Payload Digital	compact	 Digital	compact	/Video	 Digital	compact	/	SLR	/	
5

camera camera Video	camera

Airframe	material EPP	foam & carbon	

structure	

Carbon	Fiber &	

Aluminum

Carbon	Fiber

QUALIFICATION	FOR	APPROVAL	UNDER	SECTION	333	OF	THE	REFORM	ACT

The	proposed	operations	in	this	petition	for	exemption	qualify	for	expedited	approval	

under	Section	333	of	the	Reform	Act.	Each	of	the	statutory	criteria	and	other	potentially	

relevant	factors	are	satisfied.	

The	proposed	operations	would	permit	the	use	of	small	and	relatively	inexpensive	UAS	

under	controlled	conditions	in	airspace	that	is:	(1)	limited;	(2)	predetermined;	(3)	away	

from	populated	areas;	(4)	would	provide	an	increased	level	of	safety	beyond	that	

existing	when	fixed	or	rotor	wing	aircraft	are	used	to	accomplish	the	same	purpose.

The	UAS's	planned	to	be	operated	are	rotorcraft	and	fixed	wing	aircraft,	each	weighing	

typically	less	than	15	lbs.,	and	always	less	than	55	lbs.,	including	payload.	They	would	

operate,	under	normal	conditions,	at	a	speed	of	no	more	than	50	knots.	The	principal	

construction	material	of	the	UAS	aircraft	would	typically	be	foam,	carbon	fiber,	

aluminium and/or	plastic.	Operations	will	be	performed	by	a	qualified	UAS	Pilot	in	

Command	(PIC),	as	outlined	below,	to	insure	that	the	UAS	will	"not	create	a	hazard	to	

users	of	the	national	airspace	system	or	the	public."	Given	the	small	size	of	the	UAS	

involved	and	the	pre-planned	environment	within	which	they	will	operate,	the	applicant	

believes	that	these	operations	fall	squarely	within	that	zone	of	safety	(an	equivalent	

level	of	safety)	in	which	Congress	envisioned	that	the	FAA	must,	by	exemption,	allow	

commercial	operations	of	UAS	to	commence	immediately.		Also,	due	to	the	size	of	the	

UAS	and	the	pre-defined,	restricted	area	in	which	the	UAS	will	operate approval	of	the	

application	presents	no	national	security	issue.	The	operation	of	UAS	by	knowledgeable	

professionals	will	serve	to	enhance	safety,	add	to	the	public	benefit,	and	reduce	

environmental	impacts	related	to	current	methods	of	manned	aircraft	flight	operations.	

These	limitations	and	conditions	to	which	the	operator,	or	its	employees,	acting	as	UAS	

PIC	agrees	to	be	bound	when	conducting	commercial	operations	under	a	FAA	issued	

exemption:

1. Operations	authorized	by	this	grant	of	exemption	are	limited	to	the	following	

aircraft:	SenseFly	eBee, MikroKopter HEX	XL and	Freefly	Cinestar	6.

2. UA	(aircraft	and	payload)	will	weigh	less	than	55lbs.

3. UA	will	be	operated	at	altitudes	not	greater	than	400	feet	AGL.		Altitudes	

reported	to	ATC	will	be	in	feet	AGL.

4. UA	will	be	flown	at	ground	speeds	not	greater	than	87 knots.
6

5. The	UAS PIC	will	hold	either	an	airline	transport,	commercial,	private,	

recreational	or	sport	pilot	certificate.		The	PIC	must	also	hold	a	current	FAA	

airman	medical	certificate	or	a	valid	U.S	driver’s	license	issued	by	a	state,	the	

District	of	Columbia,	Puerto	Rico,	a	territory,	a	possession,	or	the	Federal	

government.		The	PIC	must	also	meet	the	recent	flight	experience	requirement	

stated	in	14	CFR	§	61.57	and	flight	review	requirements	stated	in	14	CFR	§	61.56.		

The	Duke	University	Marine	Conservation	Ecology	UAS	Program (applicant)	

employs	a	full-time	instrument	rated	commercial	pilot.

6. In	addition	to	holding	an	FAA	issued	airman	certificate,	UAS	PIC	must	complete	a	

Duke	University	Marine	Conservation	Ecology	UAS	Training	Program.		This	

training	will	include	detailed	review	of	manufacturer	operating	manuals and

practical	demonstration	of	ability	to	safely	operate	UAS	in	a	manner	consistent	

with	how	the	UAS	will	be	operated	under	this	exemption	(to	include	evasive	and	

emergency	maneuvers	and	maintaining	appropriate	distances	from	persons,	

vehicles,	vessels	and	structures).		PIC	qualification	will	have	a	currency	

requirement	of	at	least	three	take-offs	and	landings	within	the	preceding	90	

days.		PIC	qualification	flight	hours	will	be	logged in	a	manner	consistent	with	14	

CFR	§	61.51.	

7. UA	will	not	be	operated	within	5	nautical	miles	(NM)	of	an	airport	having	an	

operational	control	tower,	or	3	NM	of	an	airport	with	a	published	instrument	

flight	procedure	but	not	an	operational	control	tower,	or	2	NM	of	an	airport	

without	a	published	instrument	flight	procedure	or	operational	control	tower,	or	

2	NM	of	a	heliport	with	a	published	instrument	flight	procedure. Flights	will	be	

operated	in	Class	G	airspace	whenever possible.	If	operation	in other	airspace	is	

required,	the relevant	controlling	agency	will	be	notified	at	least	24	hours prior	

to the	operation	and,	if required,	any	necessary permission	obtained

8. UAS	flights	will	operate	within	visibility	and	cloud	clearance	requirements	

equivalent	to	Visual	Flight	Rules	(VFR).

9. UAS	operations	will	not	be	conducted	during	night,	as	defined	within	14	CFR	§	

1.1.

10. UA	flights	over	land	will	not	be	operated	by	the	PIC	from	any	moving	vehicle	or	

device.		UA	flights	conducted	entirely	over	water	may	be	operated	from	a	

suitable	vessel.

11. UA	will	not	be	operated	from	a	raised	platform.

12. The	UA	will	remain	clear	of and	yield	right	of	way	to	manned	aviation	operations.

13. UA	will	be	operated	within	visual	line	of	sight	(VLOS)	of	the	PIC	at	all	times.		The	

PIC	will	use	human	vision	unaided	by	device	other	than	corrective	lenses	as	

specified	on	PIC’s	FAA	medical	certificate.

14. UAS	operations	will employ	a	visual	observer	(VO).		The	VO	may	be	used	to	

satisfy	the	VLOS	requirement	as	long	as	the	PIC	maintains	VLOS	capability.		The	
7

VO	and	PIC	must	be	able	to	communicate	verbally	for	the	duration	of	the	flight.		

Electronic	messaging	or	texting	is	not	allowed	during	flight	operations.

15. The	VO	will	perform no	duties	other	than	assisting	the	PIC see	and	avoid	other	

aircraft,	obstacles,	persons	or	property.

16. UAS	will	be	equipped	with	an	autopilot	system	which	will	be	at	least	equivalent

to	a	MikroKopter	or	Sensefly	system.		The	UAS	will	utilize	GPS	navigation,	

failsafe’s,	return-to-home	(RTH)	and	flight	abort	safety	features.

17. Prior	to	each	flight	the	PIC	will	inspect	the	UAS	to	ensure	it	is	in	a	condition	for	

safe	flight.		Checklists	developed	from	manufacturer	operating	documents	will	

be	the	basis	for	this	inspection.		If	the	inspection reveals	a	condition	that	affects	

safe	operation	of	the	UAS,	the	aircraft	is	prohibited	from	operating	until	

necessary	maintenance	has	been	performed	and	the	UAS	is	found	to	be	in	a	safe	

condition	for	flight.		The	Ground	Control	Station	must	be	included	in	the	preflight	

inspection.

18. All	UAS	operations	will	be	conducted	over	remote	and	sparsely	populated	

property	or	over	open	waters.		Permission	for	flight	will	be	obtained in	advance	

from	property	owners	or	controlling	agency. A	Ground	Station	will	be	connected,	

by	radio communication,	to	the	UAS during	the	entire	flight,	which will	give	the	

PIC	flight	information	such	as	GPS	Position, Altitude,	Air	speed,	Battery	

Remaining,	and	other	telemetry information.

19. Flight	boundaries	will	be	established	for	each	flight	and	such	boundaries	will	be	

designed	such	that	the	UA	will	pass	no	closer	than	500	feet	from	

nonparticipating	persons,	vehicles	or	structures.

20. If	the	UAS	loses	communications	or	loses	GPS	signal,	the	UA	will	return	to	a	

predetermined	location	within	the	established	flight	boundary	and	land	or	be	

recovered	in	accordance	with	manufacturer	operations	documents.

21. The	PIC	will	abort	any	flight	in	the	event	of	unpredicted	obstacles,	occurrence	of	

adverse	weather	or	loss	of	UAS	flight	control	capability	in	accordance	with	

manufacturer	operations	documents.

22. The	PIC	is	prohibited	from	beginning	a	flight	unless	(considering	wind	and	

forecast	conditions)	there	is	enough	power	to	fly	the	planned	route	to	the	

intended	landing	point	and	land	the	UAS with 25%	of	battery	capacity remaining.

23. Documents	required	by	14	CFR	§	91.9	and	91.203	will	be	available	to	the	PIC	at	

the	Ground	Control	Station	of	the	UAS	whenever	the	aircraft	is	operating.		These	

documents	will	be	made	available	to	the	Administrator	or	any	law	enforcement	

official	upon	request.

24. Before	conducting	flight	operations,	the	radio	frequency	spectrum	used	for	

operation	and	control	of	the	UA	must	comply	with	Federal	Communications	

Commission	(FCC)	or	other	appropriate	government	oversight	agency	

requirements.
8

25. A	Flight	Operations	and	Maintenance	Log	will	be	maintained	for	each	UAS.		

Cumulative	flight	hours,	maintenance	activities,	repairs,	alterations	and	

inspections	will	be	noted.

26. Any	UAS	maintenance	or	alterations	that	affect	UAS	operation	or	flight	

characteristics,	e.g.	replacement	of	a	flight	critical	component,	must	undergo	a	

functional	test	flight.		The	PIC	who	conducts	the	functional	test	flight	must make	

an	entry	in	the	Flight	Operations	and	Maintenance	Log.

SPECIFIC	SECTIONS	OF	14	CFR	FROM	WHICH	PETITIONER	SEEKS	EXEMPTION	OR	RELEIF

14	CFR	Part	21,	Subpart	H	– Airworthiness	Certificates and	14	CFR	§	91.203(a)(1)

The	FAA	has	stated	that	no	exemption	is	needed	from	this	section	if	a	finding	is	made	

under	Part	11	and	Section	333	of	the	Reform	Act	that	the	UAS	selected	provides	an	

equivalent	level	of	safety	when	compared	to	civil	aircraft	normally	used	for	the	same	

application.		The	petitioner	submits that	given	the	small	size	of	the	UAS,	the	limited	

operating	areas	and	procedures	defined	within	the	training	and	operations	section	of	

the	petition,	an	equivalent	level	of	safety	is	obtained	and	exemption	is	not	required	(see	

Grant	of	Exemption	to	Astraeus	Aerial,	Docket	No.	FAA-2014-0352).		If	however,	the	FAA	

determines	that	there	are	some	characteristics	of	the	chosen	UAS	that	fail	to	meet	the	

requirements	of	the	Reform	Act,	an	exemption	is	requested.

14	CFR	Part	27	– Airworthiness	Standards:	Normal	Category	Rotorcraft

14	CFR	Part	27	sets	forth	the	procedural	requirements	for	airworthiness	certification	of	

normal	category	rotorcraft.		To	the	extent	petitioner’s	UAS	would	otherwise	require	

certification	under	Part	27,	petitioner	seeks	exemption	for	the	same	reasons	identified	

in	the	request	for	exemption	from	14	CFR	Part	21,	Subpart	H.

14	CFR	§	45.23	(a)(b)	and	91.9	(c) – Marking	of	the	Aircraft

Regulation	45.23	provides:		(a) Each	operator	of	an	aircraft	must	display	on	that	aircraft	

marks	consisting	of	the	Roman	capital	letter	“N”	(denoting	United	States	registration)	

followed	by	the	registration	number	of	the	aircraft.	Each	suffix	letter	used	in	the	marks	

displayed	must	also	be	a	Roman	capital	letter.	(b) When	marks	include	only	the	Roman	

capital	letter	“N”	and	the	registration	number	is	displayed	on	limited,	restricted	or	lightsport	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.
9

Regulation	91.9 (c)	provides:		No	person	may	operate	a	U.S.-registered	civil	aircraft	

unless	that	aircraft	is	identified	in	accordance	with	part	45	of	this	chapter.

The	UAS	has	no	entrance	to	the	cabin,	cockpit	or	pilot	station	on	which	markings	can	be	

placed.		Given	the	small	size	of	the	UAS,	two-inch	lettering	will	not	be	possible.	 In	a	

previous	Grant	of	Exemption,	the	FAA	determined	that	exemption from	these	

requirements	was	warranted	provided	that	the	aircraft “have identification	(N-Number)	

markings	in	accordance	with	14	CFR	Part	45,	Subpart	C	if	the	markings	are	as	large	as	

practicable.”		The	petitioner	additionally	proposes	to	place	all	required	markings,	

placards,	flight	envelope	restrictions,	cautionary	notices	in	an	easily	visible	location	at	

the	UAS	Ground	Control	Station.		The	FAA	has	issued	several	exemptions	to	this	

regulation:	see	Exemptions	Nos.	8738,	10167,	10167A	and	10700.

14	CFR	§	91.9(b)(2)	– Aircraft	Flight	Manual	in	the	Aircraft

Regulation	91.9	stipulates	(b)	No	person	may	operate	a	U.S.-registered	civil	aircraft— (2)	

For	which	an	Airplane	or	Rotorcraft	Flight	Manual	is	not	required	by	§21.5	of	this	

chapter,	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.

Given	the	size	of	the	UAS,	they	have	no	place	or	ability	to	carry	a	flight	manual	aboard	

the	aircraft.		An	equivalent	level	of	safety	will	be	achieved	by	keeping	the	flight	manual	

at	the	Ground	Control	Station	where	the	pilot	operating	the	UAS	will	have	immediate	

access	to	it.		The	FAA	has	issued	several	exemptions	to	this	regulation:	see	Exemptions	

Nos.	8607,	8737,	8738,	9299,	9299A,	9565,	10167,	10602,	32827	and	10700.

14	CFR	§	61.113	(a)(b)	and	61.133(a)(i)(ii)	– Private	and	Commercial	Pilot	Privilege	and	

Limitations

Regulation	61.113	stipulates	(a)	Except	as	provided	in	paragraphs	(b)	through	(h)	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	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	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.

Regulation	61.133	stipulates	(a) Privileges—(1) General. A	person	who	holds	a	

commercial	pilot	certificate	may	act	as	pilot	in	command	of	an	aircraft—
10

(i)	Carrying	persons	or	property	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;	and

(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.

Unlike	a	conventional	aircraft	that	carry	pilot,	passengers	and	cargo,	the	proposed	UAS	

are	remotely	controlled	and	carry	no	persons	or	cargo.		The	UAS	are	capable	of	a	high	

degree	of	flight	automation	and	employ	technical	capabilities	that	limit	the	potential	for	

operation	in	an	unintended	manner.		It	is	the	petitioner’s	belief	that	given	the	size,	

weight,	speed,	operating	environment and	operating	capabilities	of	the	UAS,	an	

equivalent	level	of	safety	may	be	obtained	by	stipulating	the	UAS	PIC	must	hold	either	

an	airline	transport,	commercial,	private,	recreational,	or	sport	pilot	certificate.	The	PIC	

must	also	hold	a	current	FAA	airman	medical	certificate	or	a	valid	U.S.	driver’s	license	

issued	by	a	state,	the	District	of	Colombia,	Puerto	Rico,	a	territory,	a	possession,	or	the	

Federal	government.	The	PIC	must	also	meet	the	flight	review	requirements	specified	in

14	CFR	§ 61.56	in	an	aircraft	in	which	the	PIC	is	rated	on	his	or	her	pilot	certificate.		The	

FAA	has	issued	several	exemptions	to	this	regulation:	see	Exemptions	Nos.	11284,	

11281,	11282	and	11296.

14	CFR	§	91.7(a)	– Civil	Aircraft	Airworthiness

Regulation	91.7 stipulates	(a)	No	person	may	operate	a	civil	aircraft	unless	it	is	in	an	

airworthy	condition.

Should	this	exemption	be	granted	allowing	commercial	operation	of	UAS	without	an	

airworthiness	certificate,	no	FAA	regulatory	standard	will	exist	for	airworthiness	of	the	

UAS.		An	equivalent	level	of	safety	will	be	obtained	by	ensuring	compliance	with	UAS	

operator	and	maintenance	manuals	and	safety	checklists	prior	to	each	flight.

14	CFR	§	91.121	– Altimeter	Settings

Regulation	91.121	requires	that	(a)	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— (1)	Below	18,000	feet	MSL,	to— (i)	The	current	

reported	altimeter	setting	of	a station	along	the	route	and	within	100	nautical	miles	of	

the	aircraft;	(ii)	If	there	is	no	station	within	the	area	prescribed	in	paragraph	(a)(1)(i)	of	

this	section,	the	current	reported	altimeter	setting	of	an	appropriate	available	station;	or	

(iii)	In	the	case	of	an	aircraft	not	equipped	with	a	radio,	the	elevation	of	the	departure	

airport	or	an	appropriate	altimeter	setting	available	before	departure.
11

Conventional	aircraft	are	provided	altitude	data	by	a	barometric	altimeter	that	is	most	

commonly	set	to	a	local	barometric	pressure	and	therefore	reports	altitude	relative	to	

MSL	(Mean	Sea	Level).		UAS	operations	are	restricted	to	altitudes	no	greater	than	400	

feet	AGL	(Above	Ground	Level).		For	those	UAS	with	a	barometric	sensor,	greater	utility	

and	an	equivalent	level	of	safety	will	be	obtained	by	setting	the	altimeter	to	read	“zero	

altitude”	when	the	UAS	is	on	the	ground	prior	to	takeoff	thus	providing	an	AGL	altitude	

readout.		If	no	barometric	sensor	is	aboard	the	UAS,	a	GPS	derived	altitude	similarly	set	

to	zero	at	the	takeoff	point	will	provide	an	equivalent	level	of	safety.		The	FAA	has	

issued	several	exemptions	to	this	regulation:	see	Exemptions	Nos.	11066,	11065,	11062	

and	11063.

14	CFR	§	91.151	– Fuel	Requirements	for	Flight	in	VFR	Conditions

Regulation	91.151	stipulates	that	(a)	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;	or	(2)	At	night,	to	fly	

after	that	for	at	least	45	minutes.	(b)	No	person	may	begin	a	flight	in	a	rotorcraft	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,	to	fly	after	that	for	at	least	20	minutes.

This	regulation	is	written	based	on	the	capabilities	of	traditional	civil	aircraft	which	

typically	have	flight	times	with	full	fuel	of	several	hours.		For	the	majority	of	UAS	which	

have	flight	times	of	an	hour,	or	much	less,	this	regulation	would	effectively	deny	an	

ability	for	the	UAS	to	operate.		The	petitioner	submits	that	an	equivalent	level	of	safety	

will	be	obtained	by	requiring that	no	UAS	flight	will	begin	unless	(considering	wind	and	

forecast	conditions)	there	is	enough	fuel	(battery)	to	fly	the	planned	route	to	the	first	

point	of	intended	landing	and	land	with	25%	of	battery	capacity in	reserve. This

restriction	would	be	more	than	adequate	to	return	the	sUAS	to	its	planned	landing	zone	

from	anywhere	in	its	limited	operating	area.	

The	FAA	has	issued	several	exemptions	to	this	regulation:	see	Exemptions	Nos.	2689F,	

5745,	10673	and	10808.

14	CFR	§	91.405(a),	91.407(a)(1),	91.409(a)(2),	91.417(a)	and	(b)	– Maintenance	

Inspections

Regulation	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...”		Regulation	91.407(a)(1)	similarly	makes	
12

reference	to	requirements	in	Part	43.		Regulation	91.409(a)(2)	requires	an	annual

inspection	for	the	issuance	of	an	airworthiness	certificate.		Regulation	91.417(a)	and	(b)	

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.

Exemption	from	these	regulations	is	needed	because	Part	43	and	these	sections	apply	

only	to	aircraft	with	an	airworthiness	certificate.		An	equivalent	level	of	safety	will	be	

obtained	by	requirement	that	each	UAS	will	have	a	flight	and	maintenance	log.		

Maintenance	and	inspections	will	be	accomplished	in	accordance	with	manufacturer	

recommendations.		The	FAA	has	issued	several	exemptions	to	this	regulation:	see	

Exemptions	Nos.	11066,	11062, 11067A	and	11065.

14	CFR	§	91.103	– Preflight	Action

Regulation	91.103	stipulates	Each	pilot	in	command	shall,	before	beginning	a	flight,	

become	familiar	with	all	available	information	concerning	that	flight.	This	information	

must	include—(a)	For	a	flight	under	IFR	or	a	flight	not	in	the	vicinity	of	an	airport,	

weather	reports	and	forecasts,	fuel	requirements,	alternatives	available	if	the	planned	

flight	cannot	be	completed,	and	any	known	traffic	delays	of	which	the	pilot	in	command	

has	been	advised	by	ATC; (b)	For	any	flight,	runway	lengths	at	airports	of	intended	use,	

and	the	following	takeoff	and	landing	distance	information: (1)	For	civil	aircraft	for	

which	an	approved	Airplane	or	Rotorcraft	Flight	Manual	containing	takeoff	and	landing	

distance	data	is	required,	the	takeoff	and	landing	distance	data	contained	therein;	and

(2)	For	civil	aircraft	other	than	those	specified	in	paragraph	(b)(1)	of	this	section,	other	

reliable	information	appropriate	to	the	aircraft,	relating	to	aircraft	performance	under	

expected	values	of	airport	elevation	and	runway	slope,	aircraft	gross	weight,	and	wind	

and	temperature.

The	petitioner	seeks	exemption	to	the	extent	that	an	FAA-approved	Flight	Manual	is	

required.		An	equivalent	level	of	safety	will	be	provided	by	following	the	Operations	

Manual	provided	by	the	manufacturer.		Additionally,	the	PIC	will	conduct	preflight	

actions,	to	include	performing	all	required	checklists,	reviewing	weather,	flight	

requirements,	battery	charge,	landing	and	takeoff	distance,	aircraft	performance	data,	

and	contingency	landing	areas,	before	initiation	of	flight.

14	CFR	§	91.109	– Flight	Instruction

Regulation	91.109	stipulates,	in	part,	that	(a)	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.
13

UAS	by	their	design	do	not	have	fully	functional	dual	controls.		Flight	control	is	

accomplished	through	the	use	of	a	control	interface	that	communicates	with	the	aircraft	

via	radio.		Given	the	size,	speed	and	limited	operational	parameters of	the	UAS,	an	

equivalent	level	of	safe	training	can	be	performed	without	dual	controls.		The	FAA	has	

issued	several	exemptions	to	this	regulation:	see	Exemptions	Nos.	11066,	11062,	

11067A	and	11065.

14	CFR	§	91.119	– Minimum	Safe	Altitudes

Regulation	91.119	stipulates,	in	part,	that,	Except	when	necessary	for	takeoff	or	landing,	

no	person	may	operate	an	aircraft	below	the	following	altitudes:	(a) Anywhere. An	

altitude	allowing,	if	a	power	unit fails,	an	emergency	landing	without	undue	hazard	to	

persons	or	property	on	the	surface.	(b) Over	congested	areas. 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.

An	exemption	to	91.119(c)	is	required	because	UAS	operations	will	be	conducted	at	

altitudes	no	greater	than	400	feet	above	the	surface.		The	size,	speed,	weight	and	

limited	operational	parameters of	the	UAS	allow	for	an	equivalent	level	of	safety.

WHY	GRANTING	THIS	PETITION	IS	IN	THE	PUBLIC	INTEREST

As	introduced	above,	the	requested	exemption	would	authorize	the	Applicant	to	

perform	commercial	operations	with	sUAS	that	will	provide	significant benefits to	the	

public	interest:

1. The	commercial	use	of	sUAS	to	perform	marine research	and	educational	

activities	at	Duke	University	in	support	of	government	entities,	private	research	

institutions,	scientific	studies	and	wildlife	monitoring,	all	of	which	are	critical	to	

the	well-being	of	the	general	public. This	includes	rapid	studies	of	coastal	

geomorphology	crucial	to	storm	assessments	and	sea	level	rise,	water	quality	

studies,	wildlife	population	assessments	and	critical	habitat	mapping.

2. A	significant	reduction	in	costs	to	conduct	research,	training	and	education	

programmes.	At	present,	our	marine	research	programs	that	use	aerial	surveys	

can	cost	tens	of	thousands	of	dollars	per	day.	By	incorporating	sUAS	into	these	

programs	we	can	incur	significant	savings	and	more	efficiently	conduct	research	

in	the	public	interest
14

3. The	use	of	sUAS	will	decrease	congestion	in	the	National	Airspace	System	along	

with	reducing	the	noise	and	air	pollution	generated	during	traditional	manned	

aircraft	flight	operations.

4. When	using	UAS	to	complement	field	personnel,	they reduce	safety	concerns	

when	gathering	data	from	inaccessible	or	unstable/unsafe	areas	and	in	extreme	

weather	or	terrain.

5. Operation	of	sUAS	will	substantially	reduce	the	risk	to	life	and	property	in	the	air,	

and	on	the	ground,	which	is	commonly	associated	with	traditional	manned	

aircraft	flight	operations for	marine	science	missions.

6. Similar	to	the	current	manned	aircraft	flight	operations	in	marine	science	that	

have	been	conducted	for	many	decades,	sUAS	used	for	similar	tasks	will	not	

generate	any	new	privacy	issues.

Approval	of	this	exemption	would	thereby	enhance	safety	and	fulfill	the	Secretary	of	

Transportation’s	(the	FAA	Administrator's)	responsibilities	under	Section	333(c)	of	the	

Reform	Act	to	"establish	requirements	for	the	safe	operation	of	such	aircraft	systems	in	

the	national	airspace	system." Approval	of	this	exemption	will	allow	for	safer,	more	

efficient	and	less	costly	marine	science	missions,	and	produce	much	higher	data	quality.

SUMMARY	OF	REGULATIONS	FROM	WHICH	PETITIONER	SEEKS	EXEMPTION	OR	RELIEF

14	CFR	Part	21,	Subpart	H

14	CFR	Part	27

14	CFR	45.23(b)

14	CFR	61.113(a)(b)

14	CFR	91.7(a)

14	CFR	91.9(b)(2)(c)

14	CFR	91.103

14	CFR	91.109(a)

14	CFR	91.119

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)(1)

CFR	91.409(a)(1)	and	(a)(2)

14	CFR	91.417(a)(b)	

SUPPORTING	AND	TECHNICAL	DOCUMENTS
15

To	be	delivered	under	separate	attachment

Duke	eBee	User	manual

DUKE	MikroKopter/Cinestar	Pilot	Operating	Manual

Duke	sUAV	Specifications	and	Logbooks

Duke	MCE	sUAS	SOP	all	aircraft