James Ferrandini

T: +1 415 686 1666 

jamesferrandini@gmail.com

September 26, 2014 

U. S. Department of 

Transportation Docket 

Management System

1200 New Jersey Ave., 

SE Washington, DC 

20590 

Re: Exemption Request Section 333 of the FAA Reform Act 

and Part 11 of the Federal Aviation Regulations from 14 

C.F.R. 45.23(b);14 CFR Part 21;14 CFR 61.113 (a) & (b); 

91.7 (a);91.9 (b) (2);91.103(b); 91.109;91.119; 91.121; 

91.151(a);91.203(a) & (b);91.405 (a); 91.407(a) (1); 91.409 

(a) (2);91.417 (a) & (b). 

Dear Sir or Madam: 

Pursuant to Section 333 of the FAA Modernization and Reform 

Act of 2012 (the Reform Act) and 14 C.F.R. Part 11, Upward Aerial, 

operator of Small Unmanned Aircraft Systems (“sUASs”) equipped to 

conduct aerial videography and photography for the motion picture, 

television, and commercial videography industry for closed set filming, 

hereby applies for an exemption from the listed Federal Aviation 

Regulations (“FARs”) to allow commercial operation of its sUASs, 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.

As described more fully below, the requested exemption would 

permit the operation of small, unmanned and relatively inexpensive 

sUAS under controlled conditions in the NAS that is 1) limited 2) 

predetermined 3) controlled as to access. Approval of this exemption 

would thereby enhance safety and fulfill the Secretary of 

Transportation’s (the FAA Administrator’s) responsibilities to 
“...establish requirements for the safe operation of such aircraft 

systems in the national airspace system.” Section 333(c) of the 

Reform Act. 

The name and address of the applicant is: 

Upward Aerial

Attn:James Ferrandini

Ph:415-686-1666

Email:jamesferrandini@gmail.com

Address: 208 San Rafael Ave., San Rafael CA 94901

Regulations from which the exemption is requested: 

14 CFR Part 21

14 C.F.R. 45.23(b)

14 CFR 61.113 (a) & (b) 14 C.F.R. 91.7 (a)

14 CFR 91.9 (b) (2)

14 C.F.R. 91.103

14 C.F.R. 91.109

14 C.F. R. 91.119

14 C.F.R. 91.121

14 CFR 91.151 (a)

14 CFR 91.203 (a) & (b) 14 CFR 91.405 (a)

14 CFR 407 (a) (1)

14 CFR 409 (a) (2)

14 CFR 417 (a) & (b) 

This exemption application is expressly submitted to fulfill Congress’ 

goal in passing Section 333(a) through (c) of the Reform Act. This law 

directs the Secretary of Transportation to consider whether certain 

unmanned aircraft systems may operate safely in the national 

airspace system (NAS) before completion of the rulemaking required 

under Section 332 of the Reform Act. In making this determination, the 

Secretary is required to determine which types of UASs do not create 

a hazard to users of the NAS or the public or pose a threat to national 

security in light of the following: 
 • 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 visual line of sight of the operator. 

Reform Act § 333 (a). Lastly, if the Secretary determines that 

such vehicles “may operate safely in the national airspace system, the 

Secretary shall establish requirements for the safe operation of such 

aircraft in the national airspace system.” Id. §333(c) (emphasis 

added).

 The Federal Aviation Act expressly grants the FAA the authority 

to issue exemptions. This statutory authority by its terms includes 

exempting civil aircraft, as the term is defined under §40101 of the Act, 

that includes sUASs, from the requirement that all civil aircraft must 

have a current airworthiness certificate.

The Administrator may grant an exemption from a requirement of 

a regulation prescribed under subsection (a) or (b) of this section or 

any sections 44702-44716 of this title if the Administrator finds the 

exemption in the public interest. 49 U.S.C. §44701(f) See also 49 USC 

§44711(a); 49 USC §44704; 14 CFR §91.203 (a) (1). 

Upward Aerial’s sUASs are rotorcraft, weighting 55 or fewer lbs. 

including payload. They operate, under normal conditions at a speed 

of no more than 50 knots and have the capability to hover, and move 

in the vertical and horizontal plane simultaneously. They will operate 

only in line of sight and will operate only within a predetermined and 

closed off property area under the permission of the property 

representative. Such operations will insure that the sUAS will “not 

create a hazard to users of the national airspace system or the public” 

as per the Reform Act Section 333 (b).
Given the small size of the sUASs involved and the restricted 

sterile environment within which they will operate, the applicant falls 

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 UASs to commence immediately. Also due 

to the size of the UASs and the restricted areas in which the relevant 

sUASs will operate, approval of the application presents no national 

security issue. Given the clear direction in Section 333 of the Reform 

Act, the authority contained in the Federal Aviation Act, as amended; 

the strong equivalent level of safety surrounding the proposed 

operations, and the significant public benefit, including enhanced 

safety, reduction in environmental impacts, including reduced 

emissions associated with allowing UASs for movie and commercial 

videography operations, the grant of the requested exemptions is in 

the public interest. Accordingly, the applicant respectfully requests that 

the FAA grant the requested exemption without delay. 

AIRCRAFT AND EQUIVALENT LEVEL OF SAFETY 

The applicant proposes that the exemption requested herein apply to 

civil aircraft that have the characteristics and that operate with the 

limitations listed herein. These limitations provide for at least an 

equivalent or even higher level of safety to operations under the 

current regulatory structure because the proposed operations are 

conducted on closed off property under the permission of the property 

owner or property representative. 

These limitations and conditions to which Upward Aerial agrees to be 

bound when conducting commercial operations under an FAA issued 

exemption include:

 1. The sUAS will weigh less than 55 lbs. 

 2. Flights will be operated within line of sight of a pilot and/or 

observer. 
 3. Maximum total flight time for each operational flight will be 30 

minutes. Flights will be terminated at 25% battery power reserve 

should that occur prior to the 30 minute 

limit. 

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

AGL or, not more than 200 feet above an elevated platform from 

which filming is planned. If a structure being surveyed or 

photographed has a height which exceeds 400 feet AGL, the 

UAS will not exceed 100’ in height above the highest point on 

that structure.

 5. Minimum crew for each operation will consist of the sUAS Pilot, 

and the Visual Observer.

 6. sUAS Pilot will be Pilot in Command (PIC). If the PIC deems 

another operator to be qualified with the necessary skills to be 

PIC, that person can also be designated as PIC provided they 

have a minimum of 40 hours of flight time with the sUAS.

 7. Flights will be operated at a lateral distance of at least 100 feet 

from any inhabited structures, buildings, vehicles, vessels, or 

people not associated with the operation or who have not signed 

a waiver in advance of the operation. 

 8. A briefing will be conducted in regard to the planned sUAS 

operations prior to each day’s production activities. It will be 

mandatory that all personnel involved with the operational duties 

of the flight within the boundaries of the safety perimeter be 

present for this briefing. 
 9. The operator will file an FAA Form 7711-1, or its equivalent, as 

modified in light of the requested exemption, with the appropriate 

local Flight Standards District Office. 

 10 . The operator will obtain the consent of all persons involved in the 

filming and ensure that only consenting persons will be allowed 

within 100 feet of the flight operation, and this radius may be 

reduced to 30 feet based upon an equivalent level of safety 

determination. With the advanced permission of the relevant 

FSDO, operations at closer range can be approved. 

 11. The operator will file an FAA Form 7711-1, or its equivalent, as 

modified in light of the requested exemption, with the Flight 

Standards District Office ("FSDO"). 

 12. Pilot and observer will have been trained in operation of UAS 

generally and received up-to-date information on the particular 

UAS to be operated. 

 13 . The observer designated for any operation will have at least a 

class 2 medical certificate.

 14. Observer and pilot will at all times be able to communicate by 

voice, radio, and/or text. 

 15. Written and/or oral permission from the relevant property holders 

or property representatives will be obtained. 

 16 . All required permissions and permits will be obtained from 

territorial, state, county or city jurisdictions, including local law 
enforcement, fire, or other appropriate governmental agencies. 

 17. If the sUAS loses communications or loses its GPS signal, the 

UAS will have the capability to return to a pre-determined 

location within the Security Perimeter and land autonomously. 

 18. The sUAS will have the capability to abort a flight in case of 

unpredicted obstacles, weather, or emergencies. 

14 C.F.R. Part 21, Subpart H: Airworthiness Certificates 14 C.F.R. 

§91.203 (a) (1) 

Subpart H, entitled 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 the 

Applicant, 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. In all cases, an analysis of these criteria demonstrates 

that the UAS 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 

rotorcraft) operating with an airworthiness certificate without the 

restrictions and conditions proposed. 

The sUAS to be operated hereunder is less than 55 lbs. fully loaded, 

carries neither a pilot nor passenger, carries no explosive materials or 

flammable liquid fuels, and operates exclusively within a secured area. 

Unlike other civil aircraft, operations under this exemption will be 
tightly controlled and monitored by both the operator and under the 

requirements and in compliance with local public safety requirements, 

to provide security for the area of operation as is now done with 

conventional filming. The FAA will have advance notice of all 

operations. These safety enhancements, which already apply to civil 

aircraft operated in connection with motion picture and television 

production, 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 posed by the UAS, due to its size, 

speed of operation, location of operation, lack of explosive materials 

or flammable liquid fuels, and inability to carry a substantial external 

load. 

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

The regulation requires: 

When marks include only the Roman capital letter "N" and the 

registration number is displayed on limited, restricted or light-sport 

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. 

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 sUAV, two-inch 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 sUAV 

marked on its fuselage as required by §45.29 (f) where the pilot, 

observer and others working with the sUAV will see the identification 

of the UAS as “Experimental.” The FAA has issued the following 
exemptions to this regulation to Exemptions Nos. 10700, 8738, 10167 

and 10167A. 

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

Limitations: Pilot in Command. 

Sections 61.113 (a) & (b) limit private pilots to non-commercial 

operations. Because the UAS will not carry a pilot or passengers, the 

proposed operations can achieve the equivalent level of safety of 

current operations by requiring the PIC operating the aircraft to have 

no less than 40 hours of flight time with the UAS. Unlike a 

conventional aircraft that carries the pilot and passengers, the sUAS is 

remotely controlled with no living thing on board. The area of 

operation is controlled and restricted, and all flights are planned and 

coordinated in advance. 

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

The regulation requires that no person may operate a civil aircraft 

unless it is in airworthy condition. As there will be no airworthiness 

certificate issued for the aircraft, should this exemption be granted, no 

FAA regulatory standard will exist for determining airworthiness. Given 

the size of the aircraft for maintenance and use of safety check lists 

prior to each flight, as set forth in Sections J, L and Q, an equivalent 

level of safety will be provided. 

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

Section 91.9 (b) (2) provides:

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. 
The sUAS, 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 

sUAS 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: Preflight action 

This regulation requires each pilot in command to take certain 

actions before flight to insure the safety of flight. As FAA approved 

rotorcraft flight manuals will not be provided for the aircraft an 

exemption will be needed. The PIC will take all actions including 

reviewing weather, flight battery requirements, landing and takeoff 

distances and aircraft performance data before initiation of flight. 

14 C.F.R. §91.109: Flight instruction: 

Section 91.103 provides 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. 

sUASs and remotely piloted aircraft, by their design do not have 

fully functional dual controls. Flight control is accomplished through 

the use of a control box that communicates with the aircraft via radio 

communications. The FAA has approved exemptions for flight training 

without fully functional dual controls for a number of aircraft and for 

flight instruction in experimental aircraft. See Exemption Nos.5778K & 

9862A. The equivalent level of safety provided by the fact that neither 

a pilot nor passengers will be carried in the aircraft and by the size 

and speed of the aircraft. 

14 C.F.R. §91.119: Minimum safe altitudes 
Section 91.119 establishes safe altitudes for operation of civil 

aircraft. Section 91.119 (d) allows helicopters to be operated at less 

than the minimums prescribed, provided the person operating the 

helicopter complies with any route or altitudes prescribed for 

helicopters by the FAA. As this exemption is for a sUAS that is a 

helicopter and the exemption requests authority to operate at altitudes 

up to 400 AGL, or not more than 200 above an elevated platform from 

which filming is planned, an exemption may be needed to allow such 

operations. As set forth herein, the UAS will never operate at higher 

than 400 AGL with the exception that in circumstances where the UAS 

is used to survey or photograph a structure whose height exceeds 400 

feet AGL, the UAS will not be operated more than 100' above the 

highest point on the structure. It will however be operated in a 

restricted area with security perimeter, where buildings and people will 

not be exposed to operations without their pre-obtained consent.

The equivalent level of safety will be achieved given the size, weight, 

speed of the UAS as well as the location where it is operated. No flight 

will be taken without the permission of the property owner or local 

officials. Because of the advance notice to the property owner and 

participants in the filming activity, all affected individuals will be aware 

of the planned flight operations. Compared to flight operations with 

aircraft or rotorcraft weighting far more than the maximum 55lbs. 

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

with these operations is far less than those presently presented with 

conventional aircraft operating at or below 500 AGL in the movie 

industry. In addition, the low-altitude operations of the sUAS will 

ensure separation between these small- UAS operations and the 

operations of conventional aircraft that must comply with Section 

91.119. 

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 sUAS may not have a barometric 

altimeter, but instead a GPS altitude read out, an exemption may be 

needed. An equivalent level of safety will be achieved by the operator, 
pursuant to the safety check list and live flight data monitoring, 

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 

Section 91.151 (a) prohibits an individual from beginning “a flight in an 

airplane under VFR conditions unless (considering wind and forecast 

weather conditions) there is enough fuel to fly to the first point of 

intended landing, and, assuming normal cruising speed – (1) During 

the day, to fly after that for at least 30 minutes; or (2) At night, to fly 

after that for at least 45 minutes.” 

The battery powering the sUAS provides approximately 30 minutes of 

powered flight. To meet the 30 minute reserve requirement in 14 CFR 

§91.151, sUAS flights would be limited to approximately 10 minutes in 

length. Given the limitations on the UAS’s proposed flight area and the 

location of its proposed operations within a predetermined area, a 

longer time frame for flight in daylight or twilight VFR conditions is 

reasonable. 

Applicant believes that an exemption from 14 CFR §91.151(a) falls 

within the scope of prior exemptions. See Exemption 10673 (allowing 

Lockheed Martin Corporation to operate without compliance with FAR 

91.151 (a)). Operating the small UAS, in a tightly controlled area 

where only people and property owners or official representatives who 

have signed waivers will be allowed, with less than 30 minutes of 

reserve fuel, does not engender the type of risks that Section 

91.151(a) was intended to alleviate given the size and speed of the 

small UAS. Additionally, limiting sUAS flights to 10 minutes would 

greatly reduce the utility for which the exemption will be granted. 

Applicant believes that an equivalent level of safety can be achieved 

by limiting flights to 30 minutes or 25% of battery power— whichever 

happens first. This restriction would be more than adequate to return 

the sUAS 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) and (b): Carrying Civil Aircraft Certification 

and Registration 

The regulation provides in pertinent part: 

(a) Except as provided in § 91.715, no person may operate a civil 

aircraft unless it has within it the following: 

(1) 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. 

The UAS fully loaded weighs no more than 55 lbs and is operated 

without an onboard pilot. As such, there is no ability or place to carry 

certification and registration documents or to display them on the 

sUAS. 

An equivalent level of safety will be achieved by keeping these 

documents at the ground control point where the pilot flying the sUAS 

will have immediate access to them, to the extent they are applicable 

to the sUAS. The FAA has issued numerous exemptions to this 

regulation. A representative sample of other exceptions includes 

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

10700. 

14 C.F.R. §91.405 (a); 407 (a) (1); 409 (a) (2); 417(a) & (b): 

Maintenance Inspections 

These regulations require 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...,” and others shall inspect or 

maintain the aircraft in compliance with Part 43. 
Given that these section and Part 43 apply only to aircraft with 

an airworthiness certificate, these sections will not apply to the 

applicant. Maintenance will be accomplished by the operator pursuant 

to the flight manual and operating handbook. An equivalent level of 

safety will be achieved because these small UASs are very limited in 

size and will carry a small payload and operate only in restricted areas 

for limited periods of time. If mechanical issues arise the UAS can 

land immediately and will be operating from no higher than 400 feet 

AGL. The operator will ensure that the UAS is in working order prior to 

initiating flight, perform required maintenance, and keep a log of any 

maintenance performed. Moreover, the operator is the person most

familiar with the aircraft and best suited to maintain the aircraft in an 

airworthy condition to provide the 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 Aircraft 

OperationsManual. As provided in the Operations Manual, the 

operator will ensure that the sUAS is in working order prior to initiating 

flight and perform required maintenance needed. 

Additional Views and Information

 The applicant works for Northern California’s busiest wedding 

videography company. Aerial videography is in high demand in Napa 

for wineries in this world famous wine growing region. Many 

videography companies already film and sell their aerial videography 

and an example should be shown as to how a safe and legal aerial 

videography company can conduct themselves by benefiting not only 

the local economy, but also by demonstrating how to go about safe 

storage and operation of equipment under specific and safe FAA laws. 

I feel I could be a useful example to not only other aerial 

videographers out there, but also an example to the public as to how a 

safe and educated UAS operator should conduct their aerial 

operations.
********* 

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 needed: 

Applicant seeks an exemption from the following rules:

14 C.F.R. §21, subpart H; 14 C.F.R 45.23(b);14 C.F.R. §§ 

61.113( a) & (b);91.7 

(a); 91.9 (b) (2);91.103(b);91.109; 91.119; 91.121; 

91.151(a);91.203(a) and (b); 91.405 (a); 91.407 (a) (1); 

91.409 (a) (2); 91.409 (a) (2) and 91.417 (a) & (b) to 

operate commercially a small unmanned vehicle (55lbs or 

less) in motion picture, television, and commercial 

videography operations. 

Approval of exemptions allowing commercial operations of 

sUASs in the film industry will enhance safety by reducing risk. 

Conventional film operations, using jet or piston power aircraft, 

operate at extremely low altitudes just feet from the subject being 

filmed and in extreme proximity to people and structures; and present 

the risks associated with vehicles that weigh in the neighborhood of 

4,000lbs., carrying large amounts of jet A or other fuel (140 gallons for 

jet helicopters.) Such aircraft must fly to and from the film location. In 

contrast, a sUAS weighing fewer than 55 lbs. and powered by 

batteries eliminates virtually all of that risk given the reduced mass 

and lack of combustible fuel carried on board. The sUAS is carried to 

the film set. The sUAS will carry no passengers or crew and, 

therefore, will not expose them to the risks associated with manned 

aircraft flights. 

The operation of small UASs, weighting less than 55 lbs., 

conducted in the strict conditions outlined above, will provide an 

equivalent level of safety supporting the grant of the exemptions 

requested herein, including exempting the applicant from the 

requirements of Part 21 and allowing commercial operations. These 

lightweight aircraft operate at slow speeds, close to the ground, and in 

a sterile environment and, as a result, are far safer than conventional 
operations conducted with turbine helicopters operating in close 

proximity to the ground and people. 

Privacy 

All flights will occur over private or controlled access property 

with the property representative or owner’s prior consent and 

knowledge. Filming will be of people who have also consented to 

being filmed or otherwise have agreed to be in the area where filming 

will take place. 

All flights will occur in accordance with any state or local laws 

regarding privacy. 

 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 and operation within visual line of sight 

and national security – provide more than adequate justification for the 

grant of the requested exemptions allowing commercial operation of 

applicant’s UAS in the motion picture, television, and commercial 

videography industry. 

Sincerely,

James Ferrandini

Upward Aerial

President and Lead UAS Operator