Ocean UAS, Inc.

11550 Aviation Blvd, Suite 1

West Palm Beach, FL 33412

(561) 542-6734

December 5, 2015

U.S. Department of Transportation

Docket Management System

1200 New Jersey Ave., SE

Washington, Dc 20590

Re: Petition of Ocean UAS, Inc. for Exemption Pursuant to Section 333 of the

FAA Modernization and Reform Act of 2012.

To Whom It May Concern:

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

hereby applies for an exemption from the Federal Aviation Regulations (FARs) identified below, to allow

commercial operations of small unmanned aerial systems (sUAS), so long as such operations are conducted

within and under the conditions outlined herein or as may be established by the FAA as required by Section

333.

This exemption is requested based on information in this petition, the attached manuals, information/technical

sheets and checklists, and any other requirements established by the FAA pursuant to Section 333 of the

Reform Act.

This exemption would permit Ocean UAS, Inc. to utilize the DJI Phantom 3 Standard, DJI Phantom 3

Professional, DJI Phantom 3 Advanced, and Tarot X8 sUAS to conduct the following commercial operations:

• To offer flight training to persons individually or belonging to both private and/or public organizations

that have an interest in the use and application of sUAS for the purpose of the safe operation of sUAS to

enhance the safety of the National Airspace System (NAS) as well as for the protection of the persons

and property.

• Aerial photography and/or video work for public/private use including real estate, architecture,

construction, land surveying, electronic news gathering, commercials, and other related activities.

• Aerial inspection/photography of residential/commercial structures under contract with the owners or

local government's authority and permission.

• Aerial video/live video feed/photography to assist with search and rescue operations in cases of an

emergency or natural disaster only when local authorities or government has requested it by contract

or donation.

• To proactively encourage sUAS capability and safety demonstrations to the general public and local

government agencies in an effort to collectively convince these organizations that the operation of

sUAS is safe, controlled, and in the public interest.

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1. Description of Petitioner 

2. Description of Proposed Operations and Qualification for Approval Under Section 333 of the Reform

Act

3. Exemption Requests and Equivalent Level of Safety

4. Public Interest

5. Privacy

6. Conclusion

7. List of Attachments

1. Description of Petitioner 

The Petitioner, Ocean UAS, Inc., is part-owned by David Harmon and Andrew McAllister. David Harmon is also

part-owner and President of Ocean Helicopters, Inc., a Part 141 helicopter flight school, and is an active FAA

Rotorcraft/Helicopter Commercial Pilot (certificate number 2649338) and Certified Flight Instructor with a

current Second Class Medical. Mr. Harmon has accumulated 5,000 hours of helicopter flight experience in the

areas of flight instruction, aerial photography/video work, aerial surveys, and commercial banner towing.

Andrew McAllister is also an active FAA Rotorcraft/Helicopter Commercial Pilot (certificate number 2821853)

and Certified Flight Instructor with Instrument rating and current Second Class Medical. Mr. McAllister has

accumulated 3,700 hours of helicopter flight experience in the same areas as Mr. Harmon. Mr. McAllister is

currently the Chief Pilot of Ocean Helicopters, Inc. Part 133 External Load operations and has logged 270 hours

of external load flight time. Mr. McAllister is a competent radio-controlled helicopter pilot with in-depth

knowledge and experience in the setup, maintenance, and safe operation of radio-controlled aircraft.

This combined aviation experience and knowledge will ensure "the safe operation of such aircraft systems in

the National Airspace System" as outlined in Section 333(c) of the Reform Act.

The contact information for the Petitioner is as follows:

Ocean UAS, Inc.

11550 Aviation Blvd, Suite 1

West Palm Beach, FL 33412

Tel: (561) 542-6734

Email: andy@ocean-uas.com

2. Description of Proposed Operations and 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 relevant factors are satisfied. Ocean UAS, Inc. and the

operator/Pilot-in-Command (PIC) will guarantee that operations adhere to strict standards as set forth below: 

• UAS pilot/operator will be an FAA licensed airman with at least a private pilot certificate and third class

medical. 

• The PIC must demonstrate to Ocean UAS, Inc. that they are able to thoroughly and competently

conduct a pre-flight inspection of the UAS and survey of the area of operations, and demonstrate safe

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operation of the UAS prior to conducting flight operations under this grant of exemption.

• A thorough pre-flight inspection of the UAS will take place prior to each flight.

• The UAS will be operated and maintained in accordance with the requirements of the manufacturer's

manuals and any manufacturer Safety Bulletins. 

• All UAS operations will occur in daylight Visual Flight Rules ("VFR") conditions. Instrument Flight Rules

(IFR) flights are prohibited, and no flights will occur at night, or in adverse weather conditions.

• The Phantom 3 and Tarot X8 will be controlled by the Phantom 3 Remote Control System and the

Spektrum DX9 transmitter respectively, both of which transmit over the 2.4GHz frequency band. The

radio frequency spectrum used for operation and control of the UA and all associated equipment shall

comply with the Federal Communications Commission ("FCC") or other appropriate government

oversight agency requirements.

• The UAS will be operated at airspeeds below 87 knots (100 miles per hour). 

• Flights will be operated at an altitude of no more than 400 feet above ground level (AGL) and will not

be conducted within navigable controlled airspace without prior written authorization from the FAA.

• If required, Ocean UAS, Inc. will file FAA Form 7711-1, or its equivalent with the appropriate Flight

Standards District Office and/or air traffic control ("ATC") facility between 72 and 48 hours before the

flight.

• All operations will utilize a Visual Observer (VO). The VO will hold at least a third class medical. The UAS

will be operated within the visual line of sight of the PIC and VO at all times. 

• The VO will not perform any other duties beyond assisting the PIC with seeing and avoiding traffic and

other ground based obstacles. 

• The UAS may not operate within 5 nautical miles of an airport reference point unless a letter of

agreement with, and approval from, that airport’s management is obtained prior to operation.

• The UAS must remain clear of and give right-of-way to all other air traffic. 

• The UAS may not be operated less than 500 feet below or less than 2,000 feet horizontally from a

cloud, or when visibility is less than 3 statute miles from the PIC. 

• The PIC must maintain a battery reserve that allows the UAS to return to the intended point of landing

at normal cruise speed and land with 20% battery power remaining. 

• The UAS will have in place a fail-safe that forces the UAS to autonomously return to, and land at, a

predetermined secure location in the event of lost radio communications from the ground station.

• Flight operations will remain 500 feet from all nonparticipating persons, vehicles, and structures unless:

a) Barriers or structures are present that sufficiently protect nonparticipating persons from debris in

the event of an accident. 

b) All participating persons will be made aware of the dangers of flying a UA and the safety

precautions and features that are in place. 

c) The aircraft is operated near vessels, vehicles, or structures where the property owner/controller

has granted permission and the PIC has made a safety assessment in regard to the close operation

to these objects. 

d) Operations near the PIC or VO do not present an undue hazard to the PIC or VO per 91.119(a). 

• All operations will be conducted over private or controlled-access property with prior permission from

the property owner/controller or authorized representative. 

Following the strict safety standards set by Ocean UAS, Inc., the FAA, and the inherent small size and physical

safety properties of the sUAS will allow for safe and efficient operations. 

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3. Exemption Requests and Equivalent Level of Safety

The regulations from which exemption is requested are as follows:

14 CFR Part 21;

14 CFR 45.23(b);

14 CFR 61.113(a) & (b); 61.133(a);

14 CFR 91.7(a) & (b);

14 CFR 91.9(b)(2);

14 CFR 91.103;

14 CFR 91.109; 91.319(a)(1);

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) & (a)(2);

14 CFR 91.409(a)(1) & (a)(2);

14 CFR 91.417(a) & (b);

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

Subpart H, 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 aircraft to be utilized by Ocean UAS, Inc., an exemption from Part 21 Subpart H meets the

requirements of an equivalent level of safety under Part 11 and Section 333 of the Reform Act. The Federal

Aviation Act (49 U.S.C.§44701 (f)) and Section 333 of the Reform Act 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. Our small UAS's will

be operated at low speed in a controlled environment, away from airports and any densely populated area. An

analysis of these criteria demonstrates that the UAS's 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 helicopter) operating with an airworthiness certificate without the restrictions and

conditions proposed. The UAS to be operated weigh less than 55 lbs. fully loaded, carry neither a pilot nor

passenger, carry no flammable liquid fuels, and operate exclusively within a secured area. Like other civil

aircraft, operations under this exemption will be tightly controlled and monitored by the PIC. If required, the

FAA and general public will have advance notice of all operations. These safety enhancements, which already

apply to civil aircraft operated in connection with private property, industrial sites, railroad yards and the like

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 and the NAS posed by the UAS, due to

its size, speed of operation, location of operation, lack flammable liquid fuels, and limited payload ability.

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

This regulation requires certain experimental, provisionally certificated aircraft, or light-sport category aircraft

to be marked with letters between 2 inches and 6 inches high "limited," "restricted," "lightsport,"

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"experimental," or "provisional," near each entrance to a cabin, cockpit, or pilot station. 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, twoinch lettering will be impossible. The word "Experimental" will be placed on the fuselage in compliance with

§45.29 (f). The equivalent level of safety will be provided by having the UAS marked on its fuselage as required

by §45.29 (f) where the pilot, observer and others working with the UAS will see the identification of the UAS as

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

10167 and 10167A.

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

Pilot Privileges and Limitations.

Part 61.113 (a) states that 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 or an aircraft. Part 61.113 (b) states that 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. Section 61.133(a) requires an individual with a commercial pilot’s license

to be pilot in command of an aircraft for compensation or hire. Ocean UAS, Inc. proposes that all operations

require that the PIC must hold a minimum of a Commercial Pilot Rotorcraft Certificate issued by the FAA. 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 commercial UAS pilot's license, using pilots qualified under other categories

and classes meets or exceeds the present level of safety provided under 14 C.F.R. § 61.113(a) & (b). Given the

unique nature of commercial UAS operations we do not believe that it rises to the level of requiring a

commercial pilot to operate the aircraft under§ 61.133(a) although a thorough understanding and experience in

commercial aircraft operations enhances safe operation of UAS.

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

These regulations require that no person may operate a civil aircraft unless it is in airworthy condition. Should

the exemption be granted allowing commercial operation of the UAS without an airworthiness certificate, no

standard will exist for airworthiness of the UAS. Given the size of the aircraft and the requirements published by

the manufacture for maintenance and the use of safety checklists prior to each flight, an equivalent level of

safety will be provided.

14 C.F.R. § 91.9(b)(2): Civil Aircraft Flight Manual in the Aircraft.

The UAS, given its size and configuration, has no ability or place to carry such a flight manual on the aircraft, not

only because there is no pilot on board, but because there is no room or capacity to carry such an item on the

aircraft. The equivalent level of safety will be maintained by keeping the flight manual at the ground control

point where the pilot flying the UAS will have immediate access to it. The FAA has issued the following

exemptions to this regulation: Exemption Nos. 8607, 8737, 8738, 9299, 9299A, 9565, 9565B, 10167,

10167A, 10602, 32827, and 10700.

14 C.F.R. 91.103: Pre-flight Action

This regulation requires each pilot in command take certain actions before flight to ensure the safety of flight.

An exemption is needed from this requirement as the pilot will take separate pre-flight actions, including

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checking for weather conditions, checking flight battery requirements, checking takeoff and landing distances,

and all other actions in the manufacturer's pre-flight checklist. These actions will provide an equivalent level of

safety.

14 C.F.R. § 91.109(a) & 91.319(a)(1): Flight Instruction

These regulations provide that 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. By design, UASs and

remotely piloted aircraft do not have fully functional dual controls. Flight control is accomplished through the

use of a control station that communicates with the aircraft via radio communications. The FAA has previously

approved exemptions for aircraft without fully functional dual controls. The equivalent level of safety is

provided by the fact that neither a pilot nor passengers will be carried in the aircraft, the ability to control the

UAS via radio signals from the controller, and by the size and speed of the aircraft.

14 CFR § 91.119: Minimum Safe Altitudes

This regulation states that no person may operate an aircraft below 500 feet above the surface as well as within

500 feet of any person, vessel, vehicle, or structure. We believe that, because of the nature of most UAS

operations, an exemption is required in order to allow operation closer than 500 feet to vessels, vehicles, or

structures as long as permission is granted from the owning/controlling parties and an assessment is made to

assure that people and property are safe from undue harm. We also request that operations be allowed over

congested areas as long as the operations stay within the following standards: 

• Flight operations will remain 500 feet from all nonparticipating persons, vehicles, and structures unless:

a) Barriers or structures are present that sufficiently protect nonparticipating persons from debris in

the event of an accident. 

b) Participating persons are made aware of the dangers of the UAS operation and the safety

precautions that have been put into place. 

c) The aircraft is operated near vessel, vehicles, or structures only where the property

owner/controller has granted permission and the PIC has made a safety assessment in regard to the

close operation to these objects. 

d) Operations near the Pilot-in-Command or Visual Observer do not present an undue hazard to the

PIC or VO per 91.119(a). 

14 C.F.R § 91.121 Altimeter Settings

This regulation requires each person operating an aircraft to maintain cruising altitude by reference to an

altimeter that is set "...to the elevation of the departure airport or an appropriate altimeter setting available

before departure." As the UAS does not have a barometric altimeter, but instead a GPS altitude read out, an

exemption is needed. An equivalent level of safety will be achieved by the operator confirming the altitude of

the launch site shown on the GPS altitude indicator before flight. 

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.” An

equivalent level of safety can be achieved by limiting flights to the manufacturer's recommendation, or enough

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battery reserve to ensure that the UAS lands at the ground station with at least 20% of battery power (as

determined by the on-board monitoring system and the pilot), whichever occurs first. This restriction would be

more than adequate to return the UAS to its planned landing zone from anywhere in its limited operating area.

Similar exemptions have been granted to other operations, including Exemptions 2689F, 5745, 10673, and

10808.

14 C.F.R. § 91.203(a) & (b): Carrying Civil Aircraft Certification and Registration

This regulation requires: “no person may operate a civil aircraft unless it has [. . .] an appropriate and

current airworthiness certificate”. “(b) No person may operate a civil aircraft unless the airworthiness

certificate required by paragraph (a) of this section or a special flight authorization issued under §91.715

is displayed at the cabin or cockpit entrance so that it is legible to passengers or crew”. An equivalent level of

safety will be achieved by keeping these documents at the ground control point where the pilot flying the UAS

will have immediate access to them. The FAA has issued numerous exemptions to this regulation: Exemption

Nos. 9565, 9665, 9789, 9789A, 9797, 9797A, 9816A, and 10700.

14 C.F.R. § 91.405(a); 91.407(a)(1); 91.409(a)(1) & (a)(2); 91.417(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; Sections 91.409(a)(1) & (a)(2) states that

no person may operate an aircraft unless either an annual inspection or inspection for the issuance of an

airworthiness certificate be performed within the preceding 12 calendar months. Sections 91.417(a) & (b)

require 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. An exemption from these regulations is needed because Part 43 and these sections only apply to

aircraft with an airworthiness certificate, which the UAS to be operated under this grant of exemption will not

have. An equivalent level of safety will be achieved by the thorough pre-flight inspection of the UAS by the

operator prior to every flight, and by the operator accomplishing and documenting all required maintenance

specified by the manufacturer, or any preventative maintenance necessary to remedy discrepancies found in a

pref-light inspection prior to further operation. As UAS are a new and developing technology, Ocean UAS, Inc.

will periodically review safety procedures and maintenance practices, and if deemed necessary, introduce

measures over and above those outlined by the manufacturers. 

4. Public Interest

The public as a whole will benefit from a collaborative relationship between the FAA and Ocean UAS, Inc. that

focuses on the safe promotion of best practices for training and qualification needs specific to the UAS industry,

and the safe application of UAS in the areas of aerial photography, video, and surveys. The proposed UAS

operations in this Petition for Exemption will also improve safety and reduce risk by reducing public exposure to

the dangers associated with flight operations utilizing full size fixed-wing aircraft and rotorcraft. The UAS the

Petitioner intends to use are battery-powered and create no emissions. Moreover, in the unlikely event of a

sUAS accident, there is no combustible fuel on board, further reducing the risk of injury and damage to

property. Any accident involving the lightweight UAS outlined herein will present significantly less danger to the

pilot and other individuals on the ground than one involving a full size aircraft.

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5. Privacy

All operations by Ocean UAS, Inc. shall be conducted in accordance with applicable federal, state, or local laws

regarding privacy. Ocean UAS, Inc. will not conduct flight operations over property that it does not own or

control without prior consent of the property owner. 

6. Conclusion

Ocean UAS, Inc.'s Petition for Exemption satisfies the criteria articulated in Section 333 of the Reform Act of

2012 including weight, speed, operating capabilities, proximity to airports and populated areas, operation

within visual line-of-sight, and national security. The proposed UAS operations will benefit the public as a whole

by fostering a collaborative relationship between the FAA and Ocean UAS, Inc. which focuses on UAS training,

qualifications, and the safe and efficient integration of commercial sUAS operations into the NAS. 

7. List of Attachments

1. DJI Phantom 3 Standard Quick Start Guide (click to open)

2. DJI Phantom 3 Standard User Manual (click to open)

3. DJI Phantom 3 Standard Safety Guidelines and Disclaimer (click to open)

4. DJI Phantom 3 Advanced Quick Start Guide (click to open)

5. DJI Phantom 3 Advanced User Manual (click to open)

6. DJI Phantom 3 Professional Quick Start Guide (click to open)

7. DJI Phantom 3 Professional User Manual (click to open)

8. DJI Phantom 3 Professional and Advanced Safety Guidelines and Disclaimer (click to open)

9. DJI Phantom 3 Charging Hub User Manual (click to open)

10. DJI Phantom 3 Intelligent Flight Battery Safety Guidelines (click to open)

11. DJI Phantom 3 Professional and Advanced Intelligent Flight Battery Safety Guidelines (click to open)

12. Tarot x8 User Manual (click to open)

13. 3DR Pixhawk (Tarot X8 Flight Computer) User Manual (click to open)

14. 3DR Pixhawk (Tarot X8 Flight Computer) Checklist (click to open)

15. Gens Ace Tattu LiPo Battery (Tarot X8 Battery) Operating Instructions (click to open)

If additional information is required, or if you have any questions, please contact Ocean UAS, Inc., at 

(561) 542-6734 or andy@ocean-uas.com

Sincerely,

Andrew McAllister

Ocean UAS, Inc.

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