James E. Mackler

Member

615.251.5569 (t)

615.251.5551 (f)

jmackler@fbtlaw.com

November 10, 2015

The Pinnacle at Symphony Place | 150 3rd Avenue South, Suite 1900 | Nashville, Tennessee 37201 | 615.251.5550 

www.frostbrowntodd.com

Offices in Indiana, Kentucky, Ohio, Tennessee and West Virginia

U. S. Department of Transportation

Docket Management System

1200 New Jersey Ave., SE, 

West Building Ground Floor, Room W12-140,

Washington, DC 20590

Re: Request for Exemption under Section 333 of the FAA Modernization and 

Reform Act and Part 11 of the Federal Aviation Regulations from 14 C.F.R. 

61.23(a) and (c); 61.101(e)(4) and (5); 61.113(a); 61.315(a); 91.119(c); 

91.121; 91.151(a)(1); 91.405(a); 91.407(a)(1); 91.409(a)(1) and (2); 

91.417(a) & (b).

PETITION FOR SUMMARY EXEMPTION

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, OCEAN ALLIANCE, INC., (“OCEAN ALLIANCE”) an operator of 

Small Unmanned Aircraft (UA) hereby applies for an exemption from the listed Federal Aviation 

Regulations ("FARs") to operate an unmanned aircraft system (UAS) for aerial photography and 

video. OCEAN ALLIANCE is eligible for a summary exemption for aerial data collection, 

specifically in the areas of oceanography, limnology, and environmental science.

1

 

 

1 Aerial data collection includes any remote sensing and measuring by an instrument(s) aboard 

the UA. Examples include imagery (photography, video, infrared, etc.), electronic measurement 

(precision surveying, RF analysis, etc.), chemical measurement (particulate measurement, etc.), 

or any other gathering of data by instruments aboard the UA. See exemption # 13286.
U. S. Department of Transportation

November 10, 2015

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INTRODUCTION:

Ocean Alliance strives to increase public awareness of the importance of whale and ocean health 

through research and public education. The organization works with its scientific partners to 

collect a broad spectrum of data on whales and ocean life. Ocean Alliance uses this data to 

advise educators, policy makers, and the general public on wise stewardship of the oceans to 

mitigate pollution, prevent the collapse of marine mammal populations, and promote ocean and 

human health. Ocean Alliance, Inc., a 501(c)(3) not-for-profit Organization, and was founded in 

1971.

Unmanned aircraft (UA) can serve as a tool for the collection of critical data that is of benefit to 

whales and ultimately humanity. Also, this is a collection tool that will be easily replicable by 

others. The UA (referred to by Ocean Alliance as “snotbots,”) can be used to learn about whales 

while removing the need to harass them in the process – saving lives of incredible, yet 

endangered animals. The snotbots hover in the air above a surfacing whale and collect the blow 

(or snot) exhaled from its lungs. The snotbot then returns that sample back to researchers a 

significant distance away.

Having a sample of the fluid that acts as a lubricant in the whale’s lung is critical. With it 

researchers can see virus and bacteria loads, analyze DNA, and look for environmental toxins 

that have been absorbed into the whale’s system. Perhaps most importantly, researchers can test 

for levels of hormones, which gives them information on the reproductive cycles and stress 

levels of these creatures as they are increasingly impacted by human activity in their natural 

habitats. 

Without a UA, the standard way of getting a data sample of a whale (living outside captivity) 

involved chasing an extremely acoustically sensitive mammal with a loud motorboat and 

subsequently shooting it with a sampling dart from a crossbow. By using Snotbots, the whale 

never knows the data is being collected. The aircraft fly well above the surface of the water and 

into the blow, the subjects are never touched or approached closely.

QUICK REFERENCE SUMMARY:

 Type of aircraft to be flown: 

 Yuneec Typhoon Q 500 4K

o Weight 3.75 lbs

o Maximum speed 36 mph

o http://www.yuneec.com/download/manuals/typhoon_q500plus_user_manual_v2.0

.pdf
U. S. Department of Transportation

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 DJI Matrice 100

o Weight 7.5 lbs

o Maximum speed 50 mph

o http://download.djiinnovations.com/downloads/dev/Matrice/en/M100_User_Manual_v1.4__en.pdf

 Splash Drone Mariner 2 Pro Version

o Weight 2500 grams

o Maximum Speed 22 mph

o http://fpvfactory.com/images/SplashAuto-10-14-15/Splash-DronePRO_Professional_User_Manual_v2-3_en.pdf

 Proprietary technical documents will be provided under separate cover. 

 The operations will be for aerial data collection to conduct research, education, and UAS 

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

science.

2

 OCEAN ALLIANCE agrees to all the restrictions listed in numerous previous 

exemptions, including exemption # 12618 to Woods Hole Oceanographic Institution on 

August 26, 2015. Those restrictions are listed below. Based upon the FAA’s recent 

guidance, this petition is eligible for summary exemption and should be granted 

immediately. 

OCEAN ALLIANCE requests that the publication and comment procedures be waived in 

accordance with 14 C.F.R. § 11.87 which states:

§ 11.87 Are there circumstances in which FAA may decide not to publish a summary of 

my petition for exemption?

The FAA may not publish a summary of your petition for exemption and request 

comments if you present or we find good cause why we should not delay action on your 

petition. The factors we consider in deciding not to request comment include:

(a) Whether granting your petition would set a precedent. 

(b) Whether the relief requested is identical to exemptions granted previously. 

(c) Whether our delaying action on your petition would affect you adversely. 

 

2

Exemption # 12618 to Woods Hole Oceanographic Institute was for “aerial data collection” to 

conduct research, education, and UAS platform development in the areas of oceanography, 

limnology, and environmental science.
U. S. Department of Transportation

November 10, 2015

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(d) Whether you filed your petition in a timely manner.

Corresponding to the above sub-sections, OCEAN ALLIANCE has good cause to request 

the FAA to waive the comment period and not delay action on the petition because:

(a) OCEAN ALLIANCE would not set any precedent. OCEAN ALLIANCE agrees to the 

SAME exact limitations as Exemptions # 12618, which lists the Splash Drone Mariner 2 

for data collection. It further agrees to the SAME limitations contained in exemption # 

12697 which lists the DJI Matrice and Yuneec Typhoon, among others, for aerial data 

collection.

(b) The relief requested is identical to that granted, without publication for comment, in 

Exemptions #12681, #12697 and #11342. The FAA has also issued grants of exception 

in circumstances similar in all material respects to those presented in this petition in 

exemption # 11062 to Astraeus Aerial, 11109 to Clayco, Inc, # 11112 to VDOS Global, 

LLC, and # 11213 to Aeryon Labs, Inc.

(c) Delaying the granting of this petition would adversely affect the public, the FAA, and 

OCEAN ALLIANCE. Granting the petition is in the public interest:

 The public, as well as the FAA, would be better served by the FAA quickly 

granting this petition and thereby freeing up limited FAA resources and 

allowing FAA inspectors to dedicate their time and attention to much higher 

priorities. 

 Moreover, OCEAN ALLIANCE is adversely affected by the above listed 

regulations.

 The enhanced safety achieved using an unmanned aircraft with the 

specifications described in this petition and carrying no passengers or crew, 

rather than a manned aircraft of significantly greater proportions, carrying 

crew in addition to flammable fuel, gives the FAA good cause to find that the 
U. S. Department of Transportation

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UAS operation that would be enabled by this exemption is in the public 

interest. 

 If the petitioner does not have the option of using the Petitioner’s UA, another 

way to obtain the data is by using manned aircraft which can cause stress to 

the animals being studied, and pose a danger to the pilot as well as individuals

and animals below. There is no pilot on board the UA and due to the small 

size of the UA, there is less risk danger posed to the researchers, observers, or 

their subjects in case of an emergency. Additionally, the UA has multiple 

motors while most manned aircraft have only one engine.

 Another alternative to the use UAs is the use of harpoons or darts to collect 

samples from marine mammals. This is much more invasive to the subjects 

and causes greater danger for the researchers and the marine life with less 

accurate results due to the stress inherent in using these tools. The UA allows 

much less invasive data collection.

 Manned airplanes and helicopters produce great amounts of noise pollution 

disrupting the marine life being studied. UA are much quieter and will not 

disrupt the subjects as much as manned aircraft; thus, the public will benefit 

from reduced stress on marine life, resulting in more reliable scientific 

research and improved conservation efforts.

 In addition to the noise, engine or turbine powered aircraft produce exhaust 

which affects the environment while the UA of the petitioner are electric and 

do not produce any emission. The environment and the public are benefited by 

the use of UA.

 UA use batteries for power which are not as flammable and explosive as 

100LL or Jet A. If there was an emergency where the UA crashed, there is less 

chance of individuals being injured from an explosion or fire. UA also use 

smaller propellers than manned helicopters which will cause far less damage 

in the case of a crash than the “grenading” that typically happens during a 

manned helicopter crash.
U. S. Department of Transportation

November 10, 2015

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 The UA will be operated at lower altitudes than manned aircraft. Thus, the 

public benefits because the danger of a mid-air collision is lessened.

(d) The petition has been filed in a timely manner.
U. S. Department of Transportation

November 10, 2015

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Petitioner’s contact info:

Frost Brown Todd, LLC

Attn: James Mackler 

Phone: 615-251-5569

Email: jmackler@fbtlaw.com

Address: 150 3rd Avenue South, Suite 1900, Nashville, TN 37201

OCEAN ALLIANCE, INC.

Attn: Iain Kerr

Phone: 978-281-2814

Email: info@whale.org

Address: 32 Horton Street, Gloucester, MA 01930

Regulations from which the exemption is requested:

 14 C.F.R. § 61.23(a) and (c)

 14 C.F.R. § 61.101(e)(4) and (5)

 14 C.F.R. § 61.113(a)

 14 C.F.R. § 61.315(a)

 14 C.F.R. § 91.7(a)

 14 C.F.R. § 91.119(c)

 14 C.F.R. § 91.121

 14 C.F.R. § 91.151(a)(1)

 14 C.F.R. § 91.405(a)

 14 C.F.R. § 91.407(a)(1)

 14 C.F.R. § 91.409(a)(1) & (2)

 14 C.F.R. § 91.417(a) & (b)

This exemption application is expressly submitted to fulfill Congress' goal in passing 

Section 333(a) through (c) of the FAA Modernization and Reform Act of 2012. 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 FAA Modernization and Reform Act. In making this 

determination, the Secretary is required to determine which types of UA 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 UA’s size, weight, speed, and operational capability;
U. S. Department of Transportation

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

 Operation of the UA within visual line of sight of the operator (VLOS).3

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).4

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 UAS’s, 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 

U.S.C. § 44711(b). As already stated, the exemption is in the public interest because:

 The enhanced safety achieved using an unmanned aircraft with the 

specifications described in this petition and carrying no passengers or crew, 

rather than a manned aircraft of significantly greater proportions, carrying 

crew in addition to flammable fuel, gives the FAA good cause to find that the 

UAS operation that would be enabled by this exemption is in the public 

interest. 

 If the petitioner does not have the option of using the Petitioner’s UA, another 

way to obtain the data is by using manned aircraft which can cause stress to 

the animals being studied, and pose a danger to the pilot as well as individuals

and animals below. There is no pilot on board the UA and due to the small 

size of the UA, there is less risk danger posed to the researchers, observers, or 

 

3

 FAA Modernization and Reform Act of 2012 at § 333(a).

4 Applicant interprets this provision to place the duty on the Administrator to not only process applications for 

exemptions under section 333, but for the Administrator to craft conditions for the safe operation of the UAS, if it 

should be determined that the conditions set forth herein do not fulfill the statutory requirements for approval.
U. S. Department of Transportation

November 10, 2015

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their subjects in case of an emergency. Additionally, the UA has multiple 

motors while most manned aircraft have only one engine.

 Another alternative to the use UAs is the use of harpoons or darts to collect 

samples from marine mammals. This is much more invasive to the subjects 

and causes greater danger for the researchers and the marine life with less 

accurate results due to the stress inherent in using these tools. The UA allows 

much less invasive data collection.

 Manned airplanes and helicopters produce great amounts of noise pollution 

disrupting the marine life being studied. UA are much quieter and will not 

disrupt the subjects as much as manned aircraft; thus, the public will benefit 

from reduced stress on marine life, resulting in more reliable scientific 

research and improved conservation efforts.

 In addition to the noise, engine or turbine powered aircraft produce exhaust 

which affects the environment while the UA of the petitioner are electric and 

do not produce any emission. The environment and the public are benefited by 

the use of UA.

 UA use batteries for power which are not as flammable and explosive as 

100LL or Jet A. If there was an emergency where the UA crashed, there is less 

chance of individuals being injured from an explosion or fire. UA also use 

smaller propellers than manned helicopters which will cause far less damage 

in the case of a crash than the “grenading” that typically happens during a 

manned helicopter crash.

 The UA will be operated at lower altitudes than manned aircraft. Thus, the 

public benefits because the danger of a mid-air collision is lessened.



OPERATING DOCUMENTS

OCEAN ALLIANCE will operate only within the limitations below and the performance 

parameters set forth in the aircraft manuals and in the proprietary technical documents that will 

submitted under separate cover:
U. S. Department of Transportation

November 10, 2015

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 Flight Operations and Procedures Manuals (FOPM). 

 Aircraft Flight Manuals

 Training Manuals for the Pilot In Command (PIC). 

 Training Manuals for the Visual Observer (VO). 

AIRCRAFT AND EQUIVALENT LEVEL OF SAFETY

The applicant proposes that the exemption requested herein applies 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.

These limitations and conditions are identical to exceptions #12618 (using the Mariner 2) 

and #12697 (using the DJI Matrice and Yuneec Typhoon). OCEAN ALLIANCE agrees to be 

bound by those conditions when conducting commercial UA operations. The list of limitations 

and conditions include the following:

1. Operations authorized by this grant of exemption are limited to the aircraft listed above 

when weighing less than 55 pounds including payload. Proposed operations of any other 

aircraft will require a new petition or a petition to amend this exemption.

2. Operations for the purpose of closed-set motion picture and television filming are 

not permitted.

3. The UA may not be operated at a speed exceeding 87 knots (100 miles per hour). The 

exemption holder may use either groundspeed or calibrated airspeed to determine 

compliance with the 87 knot speed restriction. In no case will the UA be operated at 

airspeeds greater than the maximum UA operating airspeed recommended by the aircraft 

manufacturer.

4. The UA must be operated at an altitude of no more than 400 feet above ground level 

(AGL). Altitude must be reported in feet AGL.

5. The UA must be operated within visual line of sight (VLOS) of the PIC at all times. This 

requires the PIC to be able to use human vision unaided by any device other than 
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corrective lenses, as specified on the PIC’s FAA-issued airman medical certificate or U.S. 

driver’s license.

6. All operations must utilize a visual observer (VO). The UA must be operated within 

the visual line of sight (VLOS) of the PIC and VO at all times. The VO may be used to 

satisfy the VLOS requirement as long as the PIC always maintains VLOS capability. 

The VO and PIC must be able to communicate verbally at all times; electronic 

messaging or texting is not permitted during flight operations. The PIC must be 

designated before the flight and cannot transfer his or her designation for the duration 

of the flight. The PIC must ensure that the VO can perform the duties required of the 

VO.

7. This exemption and all documents needed to operate the UAS and conduct its 

operations in accordance with the conditions and limitations stated in this grant of 

exemption, are hereinafter referred to as the operating documents. The operating 

documents must be accessible during UAS operations and made available to the 

Administrator upon request. If a discrepancy exists between the conditions and 

limitations in this exemption and the procedures outlined in the operating documents, 

the conditions and limitations herein take precedence and must be followed. Otherwise, 

the operator must follow the procedures as outlined in its operating documents. The 

operator may update or revise its operating documents. It is the operator’s 

responsibility to track such revisions and present updated and revised documents to the 

Administrator or any law enforcement official upon request. The operator must also 

present updated and revised documents if it petitions for extension or amendment to 

this grant of exemption. If the operator determines that any update or revision would 

affect the basis upon which the FAA granted this exemption, then the operator must 

petition for an amendment to its grant of exemption. The FAA’s UAS Integration 

Office (AFS−80) may be contacted if questions arise regarding updates or revisions to 

the operating documents.

8. Any UAS that has undergone maintenance or alterations that affect the UAS operation 

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

functional test flight prior to conducting further operations under this exemption. 
U. S. Department of Transportation

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Functional test flights may only be conducted by a PIC with a VO and must remain at 

least 500 feet from other people. The functional test flight must be conducted in such a 

manner so as to not pose an undue hazard to persons and property.

9. The operator is responsible for maintaining and inspecting the UAS to ensure that it is in 

a condition for safe operation.

10. Prior to each flight, the PIC must conduct a pre-flight inspection and determine the UAS 

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 is prohibited from 

operating until the necessary maintenance has been performed and the UAS is found to 

be in a condition for safe flight.

11. The operator must follow the UAS manufacturer’s maintenance, overhaul, replacement, 

inspection, and life limit requirements for the aircraft and aircraft components.

12. Each UAS operated under this exemption must comply with all manufacturer safety 

bulletins.

13. Under this grant of exemption, a 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 Columbia, 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.

14. The operator may not permit any PIC to operate unless the PIC demonstrates the 

ability to safely operate the UAS in a manner consistent with how the UAS will be 

operated under this exemption, including evasive and emergency maneuvers and 

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

qualification flight hours and currency must 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 in a manner consistent with how the UAS will be operated 

under this exemption are permitted under the terms of this exemption. However, 
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training operations may only be conducted during dedicated training sessions. During 

training, proficiency, and experience-building flights, all persons not essential for flight 

operations are considered nonparticipants, and the PIC must operate the UA with 

appropriate distance from nonparticipants in accordance with 14 CFR § 91.119.

15. UAS operations may not be conducted during night, as defined in 14 CFR § 1.1. All 

operations must be conducted under visual meteorological conditions (VMC). Flights 

under special visual flight rules (SVFR) are not authorized.

16. The UA may not operate within 5 nautical miles of an airport reference point (ARP) as

denoted in the current FAA Airport/Facility Directory (AFD) or for airports not denoted

with an ARP, the center of the airport symbol as denoted on the current FAA-published 

aeronautical chart, unless a letter of agreement with that airport’s management is obtained

or otherwise permitted by a COA issued to the exemption holder. The letter of agreement

with the airport management must be made available to the Administrator or any law

enforcement official upon request.

17. 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.

18. 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.

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

20. 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 five minutes or with the reserve power 

recommended by the manufacturer if greater.

21. Air Traffic Organization (ATO) Certificate of Waiver or Authorization (COA). All

operations shall be conducted in accordance with an ATO-issued COA. The 

exemption holder may apply for a new or amended COA if it intends to conduct 

operations that cannot be conducted under the terms of the attached COA.

22. All aircraft operated in accordance with this exemption must be identified by serial 

number, registered in accordance with 14 CFR part 47, and have identification 
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(N−Number) markings in accordance with 14 CFR part 45, Subpart C. Markings must be

as large as practicable.

23. Documents used by the operator to ensure the safe operation and flight of the UAS and

any documents required under 14 CFR §§ 91.9 and 91.203 must be available to the PIC 

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

documents must be made available to the Administrator or any law enforcement official

upon request.

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

at all times.

25. The UAS may not be operated by the PIC from any moving device or vehicle.

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

persons, vessels, vehicles, and structures unless:

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.

c. The PIC, VO, operator trainees or essential persons are not considered 

nonparticipating persons under this exemption.

27. 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.

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

boundaries of the operational area as defined by the applicable COA must be reported to
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the FAA's UAS Integration Office (AFS−80) within 24 hours. Accidents must be 

reported to the National Transportation Safety Board (NTSB) per instructions contained

on the NTSB Web site: www.ntsb.gov.

STATUTORY CRITERIA PROVIDED IN SECTION 333 

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 and under the restrictions 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.

Since the UA fully loaded weighs no more than 55 lbs. and is operated without an 

onboard pilot, there is no ability or place to carry certification and registration documents or to 

display them on the unmanned aircraft. An equivalent level of safety will be achieved by keeping 

these documents at the ground control point where the pilot flying the UA will have immediate 

access to them. Given the size of the unmanned aircraft, the FAA registration number will be 

displayed on the airframe in as large a font as possible.

14 C.F.R. § 61.23(a) & (c): MEDICAL CERTIFICATES

Exemption # 11221, # 11284, #11326 and many others have provided that a U.S. 

driver’s license could be used in lieu of the medical certificate. 

14 C.F.R. § 61.101(e)(4) & (5): RECREATIONAL PILOT PRIVILEGES AND LIMITATIONS & 14

C.F.R. § 61.315(a): SPORT PILOT LIMITATIONS.

Exemption #12961, #12956# 11221, # 11284, #11326 and many others have provided 

that the “PIC must hold either an airline transport, commercial, private, recreational, or sport 

pilot certificate.” Likewise, OCEAN ALLIANCE is also performing commercial UAS work 

and is asking for the same restrictions which have been previously deemed to provide an 

equivalent level of safety as the burdensome regulations. 
U. S. Department of Transportation

November 10, 2015

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14 C.F.R. § 61.113 (a): PRIVATE PILOT PRIVILEGES AND LIMITATIONS: PILOT IN COMMAND.

Sub-sections 61.113(a) 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 a 

private pilot's license rather than a commercial pilot's license to operate this small UAS. 

Unlike a conventional aircraft that carries the pilot and passengers, the UAS is remotely 

controlled with no living thing on board. 

14 C.F.R. § 91.7(a): CIVIL AIRCRAFT AIRWORTHINESS.

As already noted, the DJI Inspire 1 and Phantom 3 have been previously approved in 

many past exemptions. Exemptions #11342, #12364, and #12377, among others, were for 

the DJI Inspire 1. Exemption # 12294 was for the Phantom 3. The aircraft in this petition 

should not be required to have an airworthiness certificate based upon the FAA’s previous 

determinations.

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. 

Because of 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 addition, the low-altitude operations of the UAS 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 UAS may not have a barometric altimeter, 
U. S. Department of Transportation

November 10, 2015

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Offices in Indiana, Kentucky, Ohio, Tennessee and West Virginia

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 operating manuals.

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."

Applicant believes that an equivalent level of safety can be achieved by prohibiting the 

PIC from beginning a UAS flight unless (considering wind and forecast weather conditions and 

assuming normal cruising speed) “there is enough available power for the UA to conduct the 

intended operation and to operate after that for at least five minutes or with the reserve power 

recommended by the manufacturer if greater.” Exemption # 11326, at page 5.

14 C.F.R. § 91.405 (a); § 91.407 (a) (1); § 91.409 (a) (2); § 91.417(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"5and others shall inspect or maintain the aircraft in compliance with Part 43. Given 

that these sections and Part 43 apply only to aircraft with an airworthiness certificate, these 

sections will not apply to the applicant. An equivalent level of safety will be achieved because 

these small UAS’s are very limited in size and will carry a small payload and operate only in 

restricted areas for limited periods of time. 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. Lastly, the petitioner will operate in accordance with the manuals 

submitted confidentially which will provide an equivalent level of safety as the burdensome 

regulations. 

 

5

14 C.F.R. § 91.405(a).
U. S. Department of Transportation

November 10, 2015

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Offices in Indiana, Kentucky, Ohio, Tennessee and West Virginia

CONCLUSION:

The operation of OCEAN ALLIANCE using a small UAS, weighing less than 55 lbs., 

conducted under the proposed restrictions outlined above, will provide an equivalent level of 

safety supporting the grant of the exemptions requested herein. 

If I can be of any assistance to further expedite this petition, please do not hesitate to 

contact me at (615) 251-5569 or at my email jmackler@fbtlaw.com.

Sincerely yours,

___________________

James E Mackler, Esq.

JEM:pt

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