September 18, 2015 

U.S. Department of Transportation, Docket Operation 

West Building Ground Floor, Room w12-140 

1200 New Jersey Avenue, SE Washington, 

DC 20590 

Submitted Electronically via the Federal Docket Management System (FDMS) 

Re: Request for exemption under Section 333 of the FAA Reform Act and Part 11 of the 

Federal Aviation Regulations. 

Dear Sir or Madam: 

On Behalf of The Sigma Group, Inc. and Pursuant to Section 333 of the FAA 

Modernization and Reform Act of 2012 and 14 C.F.R. Part 11, I, David F. Scherzer, 

Principal at The Sigma Group, Inc., request an exemption from Part 21 Subpart H; and 

Sections 91.203 (a)(1), 45.23(b), 91.7 (a), 91.9, 61.113, 61.133, 91.109, 91.119, 91.121, 

91.151, and (91.401 – 91.417) Subpart E, of Title 14, Code of Federal Regulations (14 

CFR). 

This proposed exemption would allow for the operation of our small unmanned aircraft 

system (sUAS), the DJI Phantom 3, for the purpose of aerial image acquisition. 

This exemption cites similarity with relief previously requested in Grant of Exemption 

Nos. 11062, 11109, 11112, 11213, and 11138. 

The DJI Phantom 3 sUAS is comprised of the unmanned aircraft (UA), ground station 

based equipment and crew. 

THE UNMANNED AIRCRAFT PART OF THE SYSTEM INCLUDES: 

 DJI Phantom 3, battery operated multi-rotor UA that takes off and lands 

vertically; 

 An on-board flight computer with GPS navigation and location ability that 

receives signals for flight controls from a ground-based transmitter/controller; 

 Auto descent (landing) if communication signal were to be severed. If the sUAS 

loses communications, the sUAS will have capability to return to a predetermined location within the Security Perimeter and land; 

 Auto descent (landing) if battery were to drop lower than nominal level; 

 Flights will be terminated at 25% battery power reserve; 
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 The sUAS will have the capability to abort a flight in case of unpredicted 

obstacles or emergencies; 

 GPS lock supplies for return-to-home (RTH). Should Command and Control (C2) 

link failures occur (highly improbable), vehicle returns automatically to the point 

of launch; 

 Altitude information will be provided to the sUAS pilot via a digitally encoded 

telemetric data feed, which downlinks from the aircraft to a ground-based onscreen display. This altitude information will be generated by equipment installed 

on board the aircraft, using GPS triangulation, or digitally encoded barometric 

altimeter, or radio altimeter, or any combination thereof. Prior to each flight, a 

zero altitude initiation point will be established and confirmed for accuracy by the 

pilot. 

THE GROUND STATION PART OF THE SYSTEM INCLUDES: 

 A Pilot in Command (PIC) who will be in operational control of the mission from 

beginning to end, and who controls the UA while in the air; 

 A Visual Observer (VO), a person who provides a second pair of eyes to visually 

track the UA while in flight; 

 The DJI Phantom 3 includes a 2.4GHz radio transmitter/controller operated by the 

PIC to control the UA while in flight; 

 Live video for operator gives real-time positioning feedback. In other words, we 

can monitor the scene from the vehicle's perspective for collision avoidance, and 

to maintain spatial orientation; 

 On-Screen-Display (OSD) contains operating information to ascertain vehicle 

health at all times: speed, altitude, number of GPS satellites (when available), 

heading and voltage. 

sUAS OPERATING GUIDELINES: 

The UA will be operated in the field with both a PIC and a VO in accordance with the 

following Restrictions: 

 All operations must occur in FAA Class G airspace at less than 400 ft AGL, at 

airspeed of no more than 87 knots and always within Visual Line of Sight; 

 All operations must utilize a visual observer (VO). The VO and PIC must be able 

to communicate by voice at all times during a flight operation; 

 The PIC must have accumulated and logged, in a manner consistent with 14 CFR 

& 61.51 (b), 10 hours of total time as a UA rotorcraft pilot and at least 5 hours 

logged as a UA pilot with a similar UA type; 

 The UA will not be operated within 5 NM of an airport or heliport; unless a letter 

of agreement with that airport’s management is obtained or otherwise permitted 

by a COA issued to the exemption holder; 
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 All operations will be conducted over private or controlled-access property with 

permission from the property owner/controller or authorized representative; 

 Operations will be restricted to day time only and weather conditions equivalent 

to VFR; 

 The PIC will brief the VO and property owner about the operation and risk before 

operation; 

 No flight will be made without a Pre-Flight Inspection by the PIC before each 

operation to ascertain that the UA is in a condition safe for flight. 

PILOT IN COMMAND (PIC) AND VISUAL OBSERVER (VO): 

The PIC and VO will meet the requirements outlined in FAA Policy N 8900.227 Section 

16 personnel qualifications. Additionally, the PIC will hold at a minimum, a current 

Sport Pilot certificate. The PIC will perform maintenance on the system in accordance 

with manufacturer guidelines and/or instructions. 

In the event the PIC cannot perform maintenance, the UA will be returned to the 

manufacturer or a manufacturer certified technician to perform any necessary repairs. 

I submit that the combination of the UA’s light weight, flight performance and ability, 

fully qualified flight crew and strict operation under the guidelines established in 

8900.227, and under all of the Restrictions listed above, the FAA can have full 

confidence that the operation will have an equivalent or greater level of safety than 

manned aircraft performing the same mission. 

INTENDED USE: 

The requested exemption would allow us to use the UA for aerial image acquisition to 

support various mapping and surveying applications as well as video documentation for 

the public good. Typical applications include, but are not limited to: 

 Aerial Photography; 

 Aerial Surveys; 

 Volumetric Surveys; 

 Architectural Surveys; 

 Bridge Inspections; 

 Utility Corridor Inspections; 

 Building Inspections. 

The inherent ability of the UA to capture imagery from a low altitude including oblique 

photos and video from several angles is far more effective than ground-based imagery for 

displaying the characteristics of buildings, sites and properties being developed or areas 

where consistent monitoring is needed. The applicant in the past has chartered fixed wing 

aircraft and/or helicopters for this purpose, which have proven more costly than many 
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potential clients have been able to afford, resulting in loss of opportunities. The reduced 

cost and higher quality data from the use of UA’s is beneficial to the public in 

applications involving projects for public use such as monitoring construction of new 

roadways, street improvement projects, and preservation of historic buildings or 

archeological sites where access is limited. 

PUBLIC SAFETY: 

UA’s are powered by batteries, smaller, lighter and more maneuverable than larger 

aircraft running on combustible fuel; they operate at lower altitudes (under 400’) and 

weigh less than 55 lbs with no people on board thereby reducing current risk levels and 

enhancing public safety. With a small payload capacity and maximum flight time of 

approximately 22 minutes, UA’s offer little or no risk to national security. 

SUMMARY GRANT REQUEST: 

This request follows many others using similar systems and processes that have been 

granted previously. I am requesting the FAA issue a summary grant of exemption as this 

request would not set a precedent: 

 The reasons stated by the FAA for granting Exemption Nos. 11062, 11109, 

11112, and 11213 also apply to this request; 

 A grant of exemption would be in the public’s interest; 

 Denial of this exemption request would unfairly limit our ability to provide these 

services to our clients. 

THE REGULATIONS FROM WHICH THE EXEMPTIONS ARE BEING 

REQUESTED 

Beside each regulation number is the page of the attached Addendum upon which each 

may be found together with a proposed equivalent level of safety for each regulation: 

- 14 CFR Part 21 Subpart H Addendum Page 1 

- 14 CFR 91.203 (a) (1) Addendum Page 1 

- 14 CFR 45.23 (b) Addendum Page 1 

- 14 CFR 91.7 (a) Addendum Page 2 

- 14 CFR 91.9 Addendum Page 2 

- 14 CFR 61.113, 61.133 Addendum Page 2 

- 14 CFR 91.109, 91.119, 91.121 Addendum Page 3 

- 14 CFR 91.151 Addendum Page 3 

- 14 CFR Subpart E (91.401- 91.417) Addendum Page 4 

- FAA Policy 8900.227 Paragraph 16(c)(4) and Paragraph 16(e)(1) Addendum Page 4 
I am prepared to modify or amend any part of this request to satisfy the need for an 

equivalent level of safety. Please contact us at any time if you require additional 

infonnation or clarification. 

I am the primary point of contact for this request and look forward to working with your 

office. 

tf"J!1 ~~tte~, Davi ~J ~Yn~ The Sigma Group, Inc. 

1300 W. Canal Street 

Milwaukee WI 53233 

Phone:414-643-4200 

Email: dscherzer@thesigmagroup.com 

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ADDENDUM 

EXEMPTION REQUESTS AND EQUIVALENT LEVEL OF SAFETY 

I, David F. Scherzer, Principal at The Sigma Group, Inc. request an exemption from the 

following regulations as well as any additional regulations that may technically apply to 

the operation of the DJI Phantom 3 sUAS: 

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 UA to be utilized by the Petitioner, an 

exemption from Part 21 Subpart H meets the requirements of an equivalent level of safety 

under Part 11 and Section 333 of the FM RA. The Federal Aviation Act (49 U.S.C.44701 

(f)) and Section 333 of the FMRA 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 UA. In all cases, an analysis of these criteria demonstrates that the UA 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 UA to be operated hereunder is less than 55 lbs. 

fully loaded, is by definition unmanned and carries neither a pilot nor passenger, carries 

no explosive materials or flammable liquid fuels, and operates exclusively within a 

limited flight area. Unlike other civil aircraft, operations under this exemption will be 

tightly controlled and monitored by the Operator and will also remain within the 

requirements of, and in compliance with, local public safety requirements. These safety 

enhancements, which already apply to civil aircraft 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 UA 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," 11 

experimental," or "provisional," as applicable. Even though the UA will have no 

airworthiness certificate, an exemption may be needed as the UA will have no entrance to 

the cabin, cockpit or pilot station on which the word "Experimental" can be placed. Given 

the size of the UA, two-inch lettering will be impossible. The word "Experimental" will 
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be placed on the fuselage in compliance with 45.29 (f). The equivalent level of safety will 

be provided by having the UA marked on its fuselage as required by 45.29 (f) where the 

pilot, observer and others working with the UA will see the identification of the UA as 

"Experimental." 

The FAA has issued the following exemptions to this regulation to Exemptions Nos. 

10700, 8738, 10167 and 10167 A. 

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 and the requirements contained herein for the 

use of safety check lists prior to each flight, an equivalent level of safety will be provided. 

14 CFR 91.9 Civil aircraft flight manual, marking, and placard requirements. 

This regulation provides that no person may operate an aircraft unless a current, approved 

flight manual is in the aircraft. We assume that the intent of this requirement is to ensure 

that flight manual information is available to the aircrew while operating the aircraft. We 

request an exemption to this requirement since the aircraft is not only too small to carry 

documentation; the documentation would not be available to the crew during flight 

operations. 

To obtain an equivalent level of safety and meet the intent of 91.9, we propose that a 

current, approved UA Flight Operations/Procedures (Appendix A) must be available to 

the crew at the ground station anytime the aircraft is in, or preparing for, flight. 

The FAA has issued the following exemptions to this regulation: Exemption Nos. 8607, 

8737, 8738, 9299,9299A,9565,95658,10167, 10167A,10602,32827,and 10700. 

14 CFR 61.113 Private pilot privileges and limitations: Pilot in Command and 61.133 

Commercial pilot privileges and limitations. 

The regulation provides that no person that holds a private pilot certificate may act as 

pilot in command of an aircraft for compensation or hire. Subparagraph (b) allows a 

private pilot to 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. 

Our proposed operations require that the PIC must either 

1. Hold a Sport Pilot Certificate issued by the FAA and have logged 10 hours of flight 

experience in this type of UA, or 

2. Meet the requirements of 8900.227 para 16(c)(2)(c) "Operations without a pilot 

certificate" in which the PIC is required to complete "FAA private pilot ground 
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instruction" and pass "the FAA Private Pilot written examination." Since there are 

currently no means available for the pilot of a UA to gain the experience in an equivalent 

category and class in order to apply for a private pilot's license, we propose to generate an 

equivalent level of safety by requiring our pilots to complete, at a minimum, FAA private 

pilot ground instruction and pass the FAA Private Pilot written examination in addition to 

completing the private pilot requirements. Since the aircraft cannot carry passengers or 

property, we feel that we meet the intent of 61.113 Subparagraph (b) even though the 

intent of this application is to conduct a business. 

14 CFR 91.109 Flight Instruction; Simulated instrument flight and certain flight 

tests 

The regulation states that "No person may operate a civil aircraft that is being used for 

flight instruction unless that aircraft has fully functioning dual controls." 

The UA's ground-based control station consists of a small hand-held radio transmitter and 

while it does not offer a second set of "controls", both the student and instructor can, and 

will, operate the single set of controls simultaneously. With both student and instructor 

having "hands-on" the controls during flight, we feel that this technique meets the intent 

91.109 and provides an equivalent level of safety. 

14 CFR 91.119 Minimum safe altitudes: General. 

The regulation states that over sparsely populated areas the aircraft cannot be operated 

closer than 400' feet to any person, vessel, vehicle, or structure. Since the aircraft will be 

operating at a maximum of 400' feet AGL, we cannot comply with this requirement. 

In order to provide an equivalent level of safety The UA's will not be operated over 

congested areas or over any open air assembly of persons without prior approval. Any 

property owner affected will be briefed on the expected route of flight and the associated 

risks to persons and property on the ground. The aircraft will be operated at a low altitude 

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

property on the surface. Therefore we maintain that due to the small size of the UA, the 

hazard to persons, vehicles and structures is minimal compared to manned aircraft, which 

should be considered in granting the exemption. 

14 CFR 91.121 Altimeter Settings. 

The regulation requires that aircraft shall maintain cruising altitudes by reference to an 

altimeter setting available within 100 NM of the aircraft. 

The UA will always fly below 400' feet AGL and will not need to maintain cruising 

altitudes in order to prevent conflict with other aircraft. An Above Ground Level altimeter 

measurement above the takeoff point is transmitted via radio from the UA'S on-board 

computer to the display screen held by the PIC, providing a constantly updated AGL 

readout. 
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14 CFR 91.151 Fuel requirements for flight in VFR conditions. 

The regulation provides that no person may begin a flight in an airplane under day-VFR 

conditions unless there is enough fuel to fly to the first point of intended landing and to 

fly after that for at least 30 minutes. 

The intention of this paragraph is to provide an energy reserve as a safety buffer for 

delays to landing. Each UA is battery operated and the maximum duration of flight from a 

single battery charge is 20 minutes with a 20% reserve. Since the aircraft will never fly 

more than 3/4NM from the point of intended landing, a full battery charge at launch will 

ensure that we meet the reserve energy requirement of this paragraph. We request an 

exemption to the word "fuel" and ask for an equivalent interpretation with the word 

"energy". 

14 CFR Subpart E (91.401- 91.417) Maintenance, Preventive Maintenance, 

Alterations 

The regulation provides that the operator is primarily responsible for maintaining the 

aircraft in an airworthy condition, including compliance with part 39 and 43. Paragraphs 

91.407 and 91.409 require that the aircraft be "approved for return to service by a person 

authorized under 43.7" after maintenance and inspection. 

It is our intention that the PIC perform maintenance and inspection of the aircraft and "be 

authorized to approve the aircraft for return to service." As provided in the Pre-Flight 

Checklist in Appendix A, the PIC will ensure that the aircraft is in an airworthy condition 

prior to every flight and in addition conduct detailed inspections after every two hours of 

flight. Maintenance performed by the PIC is limited to repairing small cracks, replacing a 

propeller, checking electrical connections and updating software and firmware for the onboard computer. All other maintenance will be performed by the manufacturer or their 

designated repair facility. The PIC will document work performed in accordance with 

91.417. We feel that due to the size, construction, and simplicity of the aircraft, the PIC 

can ensure an equivalent level of safety. 

8900.227 Paragraph 16(c)(4) PIC Medical. And Paragraph 16(e)(1) Observer 

Medical. 

This policy provides that both the PIC and VO must have a valid FAA second-class 

medical certificate issued under part 67 in order to perform as a pilot or observer. 

The UA's maximum gross weight is less than 31bs., are constructed primarily of, plastic 

and carbon fiber. The PIC is not on board. Both the PIC and the VO are required to be in 

VLOS. Given the unlikely event that both the PIC and VO become medically 

incapacitated while the aircraft is in flight, the UA will return autonomously to the site of 

launching and land without crew intervention. Therefore, requiring the PIC and VO to 
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meet the same medical requirements as commercial pilot carrying passengers in a large 

aircraft is an unnecessary burden. 

We propose that the minimum medical requirements for the PIC and VO be vision 

corrected to 20/20 and a valid, state issued driver's license. The 20/20 vision requirement 

will ensure that the PIC and VO can see and avoid air traffic; a licensed driver is 

medically qualified to operate a much larger vehicle. 
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APPENDIX A- FLIGHT OPERATIONS/PROCEDURES 

The UA will be operated under the following flight restrictions. 

OPERATIONAL FLIGHT RESTRICTIONS 

The UA will be operated in the field with both a PIC and a VO in accordance with and 

with the following Restrictions: 

 All operations must occur in FAA Class G airspace at no more than 400ft AGL, at 

airspeed of no more than 25 knots and always within Visual Line of Sight; 

 All operations must utilize a visual observer (VO). The VO and PIC must be able 

to communicate by voice at all times during a flight operation; 

 The PIC must have accumulated and logged, in a manner consistent with 14 CFR 

§ 61.51 (b), 10 hours of total time as a UA rotorcraft pilot and at least 5 hours 

logged as a UA pilot with a similar UA type; 

 The UA will not be operated over densely populated areas; without prior approval; 

 The UA will not be operated over any open-air assembly of people; without prior 

approval; 

 The UA will not be operated within 5 NM of an airport or heliport; without prior 

approval; 

 The UA will not be operated at Air Shows; 

 Operations will be restricted to day only and weather conditions equivalent to 

VFR; 

 The PIC will brief the VO and property owner about the operation and risk before 

operation; 

 No flight will be made without a Pre-Flight Inspection by the PIC before each 

operation to ascertain that the UA is in a condition safe for flight. 

PRE-FLIGHT CHECKLIST 

Once on site the Pilot-In-Command (PIC) and a Visual Observer (VO) will: 

 Assess the area for potential hazards; 

 Determine the take-off and landing (return to home) location; 

 Place signage if necessary noting survey in progress; 

 Brief all personnel present on the upcoming aerial acquisition; 

 Instruct those not involved in the aerial acquisition on a safe viewing location. 

The PIC and VO will then move all equipment necessary to the launch location. 

At this time the PIC and/or VO will go through the preflight checklists provided by the 

manufacturer of the UA. Below is such an example: 

 Remove the UAS from its case; 

 Insert battery; 

 Install and/or confirm propellers are tightened; 
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 Connect the Ground Station device to the Flight Controller; 

 Turn on the Flight Controller and Ground Station Device; 

 Turn the UAS on and run system checks; 

 Ensure communications between the UA, Flight Controller and Ground Station 

Computer are operating properly. 

If everything appears to be operating correctly the PIC will then begin the mission. 

TAKE OFF/LANDING PROCEDURES 

Manufacturer recommended Takeoff and Landing procedures will be followed. 

Place the UA on ground with the battery level indicator facing you. 

1. Power on the remote controller; 

2. Power on the aircraft by turning on the intelligent battery; 

3. Connect the mobile device to the UA, run the DJI Go App to enter the camera 

preview page; 

4. Wait until the UA is initializing and entering the "Ready to Fly" state, then 

proceed to execute the esc command to start motors; 

5. Push the throttle stick up slowly to lift the aircraft off the ground; 

6. When landing, be sure to be hovering over a level surface. Pull down on the 

throttle stick gently to descend and land; 

7. After landing the aircraft on the ground, keep the throttle stick at its lowest 

position for about 3 to 5 seconds which will automatically stop the motors. 

FAILSAFE FUNCTION 

The UA will enter Failsafe mode when the connection from the remote controller is lost. 

The flight control system will automatically control the aircraft to return to home and land 

to reduce injuries or damage. The following situations would make the aircraft fail to 

receive a signal from the remote controller and enter Failsafe mode: 

1. The remote controller is powered off; 

2. The aircraft has flown out of the effective communication range of the remote 

controller; 

3. There is an obstacle obstructing the signal between the remote controller and the 

aircraft, essentially reducing the distance the signal can travel; 

4. There is interference causing a signal problem with the remote controller. 

Upon completion of mission the PIC will log information about the flight while the VO 

advises those in the area that the mission is complete, removes any signage and begins 

breakdown of the UA. 
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APPENDIX B – USER’S MANUAL FOR UA (DJI Phantom 3) 

Specific type(s), make and model 

 

DJI Phantom 3 - Professional 

 

See Attached Flight Manuals: 

1. Phantom 3 Professional User Manual 

2. Phantom 3 Safety and Guidelines 

3. Phantom 3 Professional Release Notes