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3/11/16

U.S. Department of Transportation

Docket Management System

1200 New Jersey Ave., SE

Washington, D.C. 20590

Re: Petition of Michael Caplinger, for an Exemption Pursuant to Section 333 of the 

FAA Modernization and Reform Act of 2012

Dear Gentlemen:

Pursuant to Section 333 of the FAA Modernization and Reform Act of 2012 (“Reform 

Act”) and 14 C.F.R. Part 11, Michael Caplinger (“petitioner”), hereby applies for an exemption 

from the Federal Aviation Regulations (“FARs”) 14 CFR §§ 61.23(a) and (c), 61.101(e)(4) and 

(5), 61.113(a) and (b); 91.119(c); 91.121; 91.151(a); 91.405(a); 91.407(a)(1); 91.409(a)(1) and (2); 

and 91.417(a) and (b) to the extent necessary to allow commercial operations of small unmanned 

aerial vehicles (i.e. “small unmanned aircraft “ or “UAS”) for the purposes of aerial data collection 

and videography.

As in the Grant of Exemption No. 11062, 11109, 11112, 11213, and 12645, enhanced 

safety is achieved by using an unmanned aircraft rather than a much larger manned aircraft which 

contains flammable fuel and living persons. Using a UAS for aerial data collection is a tool which

adds flexibility and supplements the capabilities of manned aircraft.

For your convenience, the petition is organized as follows:
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TABLE OF CONTENTS

I. DESCRIPTION OF PETITIONER ..................................................................................................1

II. TYPES OF OPERATIONS............................................................................................................1

A. Request to Use UASs for Aerial Data Collection..........................................................................1

III. RELEVANT STATUTORY AUTHORITY.................................................................................1

IV. PROPOSED OPERATIONS MEET SECTION 333 REQUIREMENTS.................................2

A. Approval is Warranted Based on the UASs Size, Weight and Operational Capability ...........2

B. Approval is Warranted Based on the Operational Restrictions Set Forth in the Operations 

Manual .....................................................................................................................................................2

V. REGULATIONS FROM WHICH EXEMPTION IS REQUESTED ............................................5

A. 14 C.F.R. § 61.23: Medical Certificates: Requirement and Duration........................................5

B. 14 C.F.R. § 61.101(e) and § 61.315(a): Recreational Pilot as PIC for compensation or hire ...5

C. 14 C.F.R. § 91.119: Minimum Safe Altitudes...............................................................................6

D. 14 C.F.R. § 91.121: Altimeter Settings..........................................................................................6

E. 14 C.F.R. § 91.151(a): Fuel Requirements for Flight in VFR Conditions..................................7

F. 14 C.F.R § 91.405(a), 91.407(a)(1), 91.409(a)(2); 91.417(a) and (b): Maintenance Inspections7

G. 14 C.F.R. § 61.113: Private Pilot Privileges and Limitations..................................................9

VI. PUBLIC INTEREST ......................................................................................................................9

VII. PRIVACY........................................................................................................................................9

VIII. FEDERAL REGISTER SUMMARY........................................................................................9

IX. CONCLUSION .............................................................................................................................10
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I. DESCRIPTION OF PETITIONER

Michael Caplinger is a West Virginia native with a high level of experience in Historical 

Preservation and Information Technology. Recently, multiple companies have approached 

Michael, expressing interest in hiring Michael to provide aerial photography, videography, and 

aerial data collection services for use in historical society publications as well as local commercial 

and real estate advertisement.

Michael Caplinger

243 Fields Park Road

Morgantown, WV 26508

Counsel for Petitioner:

Michael Lyons

9three Solutions Inc.

1281 Suncrest Towne Center Dr.

Morgantown, WV 26505

II. TYPES OF OPERATIONS

A. Request to Use UASs for Aerial Data Collection

The petitioner requests the ability to perform unmanned aerial missions for the purposes 

of aerial data collection, photography, and videography. This includes but is not limited to 

inspection of homes and properties, surveillance, monitoring of events, etc. and would allow the 

petitioner to film people, events, properties, and buildings for the purposes of marketing, 

promotion, and recreation.

III. RELEVANT STATUTORY AUTHORITY

This petition for exemption is submitted in accordance with Section 333(a) through (c) of 

the FAA Modernization and Reform Act of 2012. Congress has directed the FAA “to safely 

accelerate the integration of civil unmanned aircraft systems into the national airspace system.” 

Pursuant to Section 333 of the Reform Act, The FAA Administrator is to permit unmanned aircraft 

systems to operate in the National Airspace (“NAS”) where it is safe to do so based on the 

following considerations:

 The UAS’s size, weight, speed and operational capability;

 Operation of the UAS in close proximity to airports and populated areas; and

 Operation of the UAS within the visual line of sight of the operator.

Additionally, the FAA Administrator has general authority to grant exemptions from the 

agency’s safety regulations and minimum standards when the Administrator decides a requested 
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exemption is in the public interest. See 49 U.S.C. § 106(f) (defining the authority of the 

Administrator); 49 U.S.C. § 44701(f) (permitting exemptions from § 44701(a), (b) and § 44702 –

44716, et seq.). A party requesting an exemption must explain the reasons why the exemption: (1) 

would benefit the public as a whole, and (2) would not adversely affect the safety (or how it would 

provide a level of safety at least equal to the existing rules). See 14 C.F.R. § 11.81 (petitions for 

exemption).

IV. PROPOSED OPERATIONS MEET SECTION 333 REQUIREMENTS

The proposed operations in the 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.

A. Approval is Warranted Based on the UASs Size, Weight and Operational 

Capability

The petitioner will employ the UASs identified in Section IV, B below..1 of this document. 

These UASs will be used for all of the operations as set forth in the manufacturer’s user manual, 

hereinafter referred to as the “Operations Manual,” The UASUASs will be limited to a maximum 

flightground speed of 33mph, and vertical ascent speed will be limited to 14mph,less than 50 kts

and will not have a weight in excess of 1755 pounds. The UAS hasUASs have an integrated GPS 

system to calculate the UASs’ position and height and to relay that information via a secure 

connection to the operator. In addition, the UAS hasUASs have failsafe modes that are triggered 

by certain events. The system permits the aircraft to return to a predetermined location and land to 

prevent injury.

B. Approval is Warranted Based on the Operational Restrictions Set Forth in the 

Operations Manual 

The manufacturer’s user manual, hereinafter referred to as the “Flight Operations Manual,”

contains all of the procedures and limitations to successfully perform aerial data collection, 

photography, and videography. The aforementioned manual will be referred to hereafter as the 

“operator’s manual” To assist the FAA in its safety assessment of the petitioner’s operations, listed 

below is a summary of operational limitations and conditions which will ensure a level of safety 

equal to or exceeding the level of safety for operations that are conducted under the current 

regulatory guidelines:

1. The UAS that is used will weigh 55 pounds or less. The aircraft used will be a DJI 

Phantom 2 Vision + and a DJI Phantom 3 Professional

2. Aircraft speed will not be flown at a ground speed exceeding 50 knots.

3. Flights will be operated at an altitude of no more than 400 feet AGL.

4. Flights will be operated within visual line of sight (VLOS) of the Pilot-InCommand (PIC) at all times
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5. All operations will utilize a visual observer (VO). The VO and PIC will be able to 

communicate verbally at all times.

6. The granted exemption and all documents needed to operate the UAS and conduct 

its operations will be accessible during UAS operations and made available to the 

Administrator upon request. Revisions and updates will be tracked and available to 

the Administrator upon request. 

7. Any UAS that has undergone maintenance or alterations that affect the UAS 

operation or flight characteristics, e.g. replacement of a flight critical component, 

will undergo a functional test flight in accordance with the operator’s manual. The 

PIC who conducts the functional test flight will make an entry in the UAS aircraft 

records of the flight. The requirements and procedures for a functional test flight 

and aircraft record entry are located in the operator’s manual.

8. The operator is responsible for maintaining and inspecting the UAS to ensure that is 

in a condition for safe operation

9. Prior to each flight, the PIC will conduct a pre-flight inspection to ensure it is in a 

condition for safe flight. The pre-flight inspection must account for all potential 

discrepancies, e.g., inoperable components, items, or equipment. If the inspection 

reveals a condition that affects the safe operation of the UAS, the aircraft will be 

prohibited from operating until the necessary maintenance has been performed and 

the UAS is found to be in a condition for safe flight. 

10. The operator will follow the manufacturer’s UAS aircraft/component, maintenance, 

overhaul, replacement, inspection, and life limit requirements. 

11. Each UAS operated under this exemption will comply with all manufacturer Safety 

Bulletins.

12. The Pilot In Command (PIC) will possess 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. The PIC will 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.

13. The operator will not permit any PIC to operate unless the PIC demonstrates the 

ability to safely operate the, including evasive and emergency maneuvers and 

maintaining appropriate distances from persons, vessels, vehicles, and structures. 

PIC qualification flight hours and currency will be logged in a manner consistent 

with 14 CFR § 61.51(b). Flights for the purposes of training the operator’s PICs 

and VOs (training, proficiency, and experience-building) and determining the 

PIC’s ability to safely operate the UAS will be conducted only during dedicated 

training sessions, where all persons not essential for flight operations are considered 
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nonparticipants, and the PIC will operate the UA with appropriate distance from 

nonparticipants in accordance with 14 CFR § 91.119

14. UAS operations will be conducted under visual meteorological conditions (VMC).

15. The UA will not be operated within 5 nautical miles of an airport unless a letter of 

agreement (LOA) with that airport’s management is obtained or otherwise 

permitted by a COA issued. This LOA will be made available to the Administrator 

or any law enforcement official upon request.

16. The UA 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.

17. If the UAS loses communications or loses its GPS signal, the UA must return to a 

pre-determined location within the private or controlled-access property.

18. The PIC must abort the flight in the event of unpredicted obstacles or emergencies.

19. The PIC will be prohibited from beginning a flight unless (considering wind and 

forecast weather conditions) there is enough available power for the UA to conduct 

the intended operation and to operate after that for at least 5 minutes or with the 

reserve power recommended by the manufacturer if greater.

20. All operations shall be conducted in accordance with an Air Traffic Organization 

(ATO) -issued Certificate of Waiver or Authorization (COA).

21. All aircraft operated will be identified by serial number, registered in accordance 

with 14 CFR part 47, and have identification (N−Number) markings in accordance 

with 14 CFR part 45, Subpart C. Markings will be as large as practicable.

22. The documents required under 14 CFR §§ 91.9 and 91.203 will be available to the 

PIC at the Ground Control Station of the UAS any time the aircraft is operating. 

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

enforcement official upon request.

23. The UA must remain clear and give way to all manned aviation operations and 

activities at all times.

24. The UAS will not be operated by the PIC from any moving device or vehicle.

25. All Flight operations must be conducted at least 500 feet from all nonparticipating 

persons, vessels, vehicles, and structures unless:
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a. Barriers or structures are present that sufficiently protect nonparticipating 

persons from the UA and/or debris in the event of an accident. The operator 

must ensure that nonparticipating persons remain under such protection. If a 

situation arises where nonparticipating persons leave such protection and are 

within 500 feet of the UA, flight operations must cease immediately in a manner 

ensuring the safety of nonparticipating persons; and

b. The owner/controller of any vessels, vehicles, or structures has granted

permission for operating closer to those objects and the PIC has made a safety 

assessment of the risk of operating closer to those objects and determined that 

it does not present an undue hazard.

26. All operations shall be conducted over private or controlled-access property with 

permission from the property owner/controller or authorized representative. 

Permission from property owner/controller or authorized representative will be 

obtained for each flight to be conducted.

27. Any incident, accident, or flight operation that transgresses the lateral or vertical 

boundaries of the operational area as defined by the applicable COA will be 

reported to the FAA's UAS Integration Office (AFS−80) within 24 hours. 

Accidents will be reported to the National Transportation Safety Board (NTSB) 

per instructions contained on the NTSB Web site: www.ntsb.gov.

V. REGULATIONS FROM WHICH EXEMPTION IS REQUESTED

The petitioner seeks and exemption from several interrelated provisions of 14 C.F.R. Parts 

45, 61, and 91 for purposes of conducting the requested operations using a UAS. Listed below are 

(1) the specific sections of 14 C.F.R. for which exemption is sought, and (2) the operating 

procedures and safeguards that the petitioner has put into place which will ensure a level of safety 

that is better than or equal to the rules from which the exemption is sought.

A. 14 C.F.R. § 61.23: Medical Certificates: Requirement and Duration

The petitioner requests and exemption from the medical certificate requirements of 14 

C.F.R. § 61.23(a) and (c). 

Equivalent Level of Safety

Compared to flight operations that are conducted with a manned rotorcraft flight, 

weighing far more than the maximum weights proposed herein, containing flammable fuel, and 

living persons, the equivalent level of safety for medical criteria in determining UAS operator 

requirements will be achieved by requiring at least a U.S. Driver’s License as the FAA has 

granted in other exemptions.

B. 14 C.F.R. § 61.101(e) and § 61.315(a): Recreational Pilot as PIC for 

compensation or hire
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The petitioner requests and exemption from the requirements of 14 C.F.R. § 61.101 (e) 

and § 61.315 (a) which state that a recreational or sport pilot may not act as pilot in command of 

an aircraft for compensation or hire or in furtherance of a business.

Equivalent Level of Safety

The FAA has exempted several UAS operators from this requirement and sets the 

limitations that the Pilot In Command (PIC) must possess either an airline transport, commercial, 

private, recreational, or sport pilot certificate.

C. 14 C.F.R. § 91.119: Minimum Safe Altitudes

The petitioner requests and exemption from the minimum safe altitude requirements of 14 

C.F.R. § 91.119. Section 91.119 prescribes the minimum safe altitudes under which aircraft may 

not operate, including 500 feet above the surface and away from any person, vessel, vehicle, or 

structure in non-congested areas. See 14 C.F.R. § 91.119(c). Section 91.119(d) allows for a 

helicopter to operate at less than those minimum altitudes when it can be operated “without hazard 

to persons or property on the surface,” provided that “each person operating the helicopter 

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

Equivalent Level of Safety

Compared to flight operations that are conducted with rotorcraft weighing far more than 

the maximum weights proposed herein, and given the lack of flammable fuel, any risk associated 

with these operations is far less than those that presently exist with conventional aircraft. An 

equivalent level of safety will be achieved given the size, weight, and speed of the UAS, as well 

as the location where it will be operated. In order to avoid any risk to aircraft, flight operations 

will be restricted to 400’ AGL or below. 

D. 14 C.F.R. § 91.121: Altimeter Settings

The petitioner seeks an exemption from 14 C.F.R. § 91.121, which requires a person 

operating an aircraft to maintain cruising altitude or flight level by reference to an altimeter that is 

set to the elevation of the departure airport or barometric pressure. An exemption is required to the 

extent that the UAS does not have a barometric altimeter, but rather a GPS altitude read out. 

Equivalent Level of Safety

The FAA has states that an equivalent level of safety can be achieved if the UAS will be 

operated at 400’ AGL or below and within VLOS in addition to GPS based altitude information 

relayed in real time to the operator. See Grant of Exemption to Astraeus Aerial, Docket No. FAA2014-0352. As the attached Operations Manual indicates, the chosen UAS meets these 

requirements in that a zero altitude initiation point will be obtained prior to flight operations. 
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E. 14 C.F.R. § 91.151(a): Fuel Requirements for Flight in VFR Conditions

The petitioner requests an exemption from 14 C.F.R. § 91.151(a)’s fuel requirements for 

flight in VFR conditions. Section 91.151 states:

(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.

Here, the technological limitations on UAS battery power means that no meaningful flight 

operations can be conducted while still maintaining a 30 minute reserve power supply. 

Equivalent Level of Safety

The FAA has stated that an equivalent level of safety is provided the PIC is prohibited from 

beginning a flight unless (considering wind and forecast weather conditions) there is enough 

available power for the UA to conduct the intended operation and to operate after that for at least 

5 minutes or with the reserve power recommended by the manufacturer if greater. See Grant of 

Exemption to CME Engineering LP, Docket No. FAA-2015-4663.

F. 14 C.F.R § 91.405(a), 91.407(a)(1), 91.409(a)(2); 91.417(a) and (b): Maintenance 

Inspections

The petitioner seeks an exemption from the maintenance inspection requirements 

contained in 14 C.F.R. § 91.405(a), 91.407(a)(1), 91.409(a)(2); 911.417(a) and (b). These 

regulations specify maintenance and inspections standards in reference to 14 C.F.R. Part 43. See, 

e.g., 14 C.F.R. § 91.405(a) (stating that each owner or operator of an aircraft “[s]hall have the 

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

...have discrepancies repaired as prescribed in part 43 of this chapter”). An exemption from these 

regulations is needed because Part 43 and these sections only apply to aircraft with an 

airworthiness certificate, which the UAS will not have.

Equivalent Level of Safety

An equivalent level of safety will be achieved because maintenance and inspections will 

be performed in accordance with the UAS Manufacturer’s Manual, as referenced in the Operations 

Manual. Flights will not be conducted unless a flight operations checklist is completed by the PIC 

that includes all aircraft components. The Operations Manual also sets requirements for 

maintenance log book and record keeping as well as routine and post-flight maintenance. The 

Operations Manual sets requirements for both annual maintenance and preventative maintenance 

based on hours of flight.
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G. 14 C.F.R. § 61.113: Private Pilot Privileges and Limitations

The petitioner seeks exemption from 14 C.F.R § 61.113(a) and (b), which restricts private 

pilot certificate holders from flying aircraft for compensation or hire, and would also require a 

second class medical certificate. The purpose of Part 61 is to ensure that the skill and competency 

of any PIC matches the airspace in which both the PIC and UAS will be operating, as well as 

requiring certifications if the private pilot is carrying passengers or cargo for hire. In this care, 

while the UAS will be operated as part of a commercial operation, it will carry neither passengers 

nor cargo. In the Grant of Exemption in FAA Docket No. FAA-2014-0507, the FAA determined 

that a person holding a private pilot certificate “would not adversely affect operations in the NAS 

or present a hazard to persons or property on the ground.”

Equivalent Level of Safety

In addition to these flight restrictions, the petitioner will further ensure safe flight operation 

by requiring that any PIC be thoroughly familiar with the airspace being operated in but also in 

the unique aspects of UAS flight. Pilots will also be required to conduct training flights at a local 

AMA site to gain flight experience and become familiar with the way the UAS flies and how it 

responds to inputs. The petitioner believes that this system will provide a higher level of 

competency and proficiency for its pilots resulting in a safer operational environment.

VI. PUBLIC INTEREST

Granting the petitioner’s exemption request furthers the public interest in many ways. 

National policy set by Congress favors early integration of UAS into NAS in controlled, safe 

working environments such as those proposed with this petition. Additionally the public also has 

an interest in reducing the hazards and emissions associated with the alternate use of helicopters 

or other aircraft used to conduct similar operations. The UAS are much lighter than their passenger 

carrying counterparts, do not carry any human life or flammable fuel thus reducing the risk to 

human life in the event of an accident. Currently these operations are performed with helicopters 

or light aircraft; if these operations were performed with a UAS instead it would benefit the public 

as the risk of an accident affecting human life are drastically reduced. In light of these advantages 

it furthers the public interest to use a UAS instead of other aircraft for these operations.

VII. PRIVACY

All flights will be conducted in accordance with any federal, state or local laws regarding 

privacy.

VIII. FEDERAL REGISTER SUMMARY

Pursuant to 14 C.F.R. Part 11, the following summary is provided for publication in the 

Federal Register, should it be determined that publication is necessary:
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 The petitioner seeks an exemption from the following rules: 

 14 CFR §§ 61.23(a) and (c), 61.101(e)(4) and (5), 61.113(a) and (b); 91.119(c); 91.121; 

91.151(a); 91.405(a); 91.407(a)(1); 91.409(a)(1) and (2); and 91.417(a) and (b) 

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

owners from the hazards associated with performing the same work with conventional rotorcraft 

and aircraft. 

IX. CONCLUSION

Satisfaction of the criteria provided in Section 333 of the Reform Act of 2012: size, weight, 

speed, operating capabilities, proximity to airports and populated areas, operation within visual 

line of sight, and national security; provides more than adequate justification for the grant of the 

requested exemptions to permit the petitioner to operate the selected UAS in the manner described 

within. 

 Granting the requested exemption will benefit the public interest in many ways including 

(1) significantly improving safety and reducing risk to human life, and (2) improving the quality 

of services offered and decreasing the operating costs compared to those of conventional aircraft 

and rotorcraft. 

 Michael Caplinger 

 

________________________ 

 243 Fields Park Road 

 Morgantown, WV 26508