August 26, 2016

Exemption No. 17077

Regulatory Docket No. FAA–2015–1096

Mr. Michael Intschert

Director of Operations

AUV, LLC

1921 E Flight Line Drive

Tucson, AZ 85756

Dear Mr. Intschert:

This letter is to inform you that we have granted your request for exemption. It transmits our 

decision, explains its basis, and gives you the conditions and limitations of the exemption, 

including the date it ends.

By letters dated April 14, 2015, you petitioned the Federal Aviation Administration (FAA) on 

behalf of AUV, LLC (hereinafter petitioner or operator) for an exemption. The petitioner

requested to operate an unmanned aircraft system (UAS) to conduct OEM Certification, 

Large-Scale Academic, and Private-Interest Training.

See the docket, at www.regulations.gov, for the petition submitted to the FAA describing the 

proposed operations and the regulations that the petitioner seeks an exemption.

The FAA has determined that good cause exists for not publishing a summary of the petition 

in the Federal Register because the requested exemption would not set a precedent, and any 

delay in acting on this petition would be detrimental to the petitioner.

Airworthiness Certification

In accordance with the statutory criteria provided in Section 333 of Public Law 112−95 in 

reference to 49 U.S.C. § 44704, and in consideration of the size, weight, speed, and limited 

operating area associated with the aircraft and its operation, the Secretary of Transportation 

has determined that the aircraft identified by the petitioner meets the conditions of 
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Section 333. Therefore, the FAA finds that relief from 14 CFR part 21, Certification 

procedures for products and parts, Subpart H—Airworthiness Certificates, and any associated 

noise certification and testing requirements of part 36, is not necessary.

The petitioner proposed to use UAS that have previously been approved by the Secretary of 

Transportation under Section 333 of the FAA Modernization and Reform Act of 2012. UAS 

that have been previously approved by the Secretary, including the aircraft proposed by the 

petitioner, are found on the List of Approved Unmanned Aircraft Systems (UAS) under 

Section 333. The list, which will be updated periodically, is posted at www.regulations.gov

under docket number FAA-2007-3330. The petitioner is also authorized to operate any UAS 

on that list, when weighing less than 55 pounds including payload while this exemption is 

valid. 

The Basis for Our Decision

The FAA has issued grants of exemption in circumstances similar in all material respects to 

those presented in your petition. In Grants of Exemption Nos. 11062 to Astraeus Aerial (see

Docket No. FAA−2014−0352), 11109 to Clayco, Inc. (see Docket No. FAA−2014−0507), 

11112 to VDOS Global, LLC (see Docket No. FAA−2014−0382), 11213 to Aeryon Labs, Inc. 

(see Docket No. FAA−2014−0642), 12645 to Allied Drones (see Docket No. FAA-2014-

0804), 11433A to Cape Productions (see Docket No. FAA-2015-0223), 13465A to Kansas 

State University (see Docket No. FAA-2014-1088), and 15005 to Thomas R. Guilmette (see 

Docket No. FAA-2015-5829), the FAA found that the enhanced safety achieved using an 

unmanned aircraft (UA) with the specifications described by the petitioner 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 

enabled by this exemption is in the public interest.

Having reviewed your reasons for requesting an exemption, I find that—

• They are similar in all material respects to relief previously requested in Grant of 

Exemption Nos. 11062, 11109, 11112, 11213, 12645, 11433A, 13465A, and 15005;

• The reasons stated by the FAA for granting Exemption Nos. 11062, 11109, 11112, 11213, 

12645, 11433A, 13465A, and 15005 also apply to the situation you present; and 

• A grant of exemption is in the public interest.

Our Decision

In consideration of the foregoing, I find that a grant of exemption is in the public interest. 

Therefore, pursuant to the authority contained in 49 U.S.C. 106(f), 40113, and 44701, 

delegated to me by the Administrator, the petitioner is granted an exemption from 14 CFR 

§§ 61.23(a) and (c), 61.101(e)(4) and (5), 61.113(a), 61.315(a), 91.7(a), 91.119(c), 91.121, 

91.151(a)(1), 91.405(a), 91.407(a)(1), 91.409(a)(1) and (2), and 91.417(a) and (b), to the 
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extent necessary to allow the petitioner to conduct UAS operations in accordance to the 

conditions and limitations listed below.1

Conditions and Limitations

In this grant of exemption, AUV, LLC is hereafter referred to as the operator.

Failure to comply with any of the conditions and limitations of this grant of exemption will be 

grounds for the immediate suspension or rescission of this exemption.

1. The operator is authorized by this grant of exemption to use any aircraft identified on 

the List of Approved Unmanned Aircraft Systems (UAS) under Section 333 at 

regulatory docket FAA–2007–3330 at www.regulations.gov, when weighing less than 

55 pounds including payload. Proposed operations of any aircraft not on the list 

currently posted to the above docket will require a new petition or a petition to amend 

this exemption. 

2. If operations under this exemption involve the use of foreign civil aircraft2 the 

operator would need to obtain a Foreign Aircraft Permit pursuant to 14 CFR § 375.41 

before conducting any commercial air operations under this authority. Application 

instructions are specified in 14 CFR §375.43. Applications should be submitted by 

electronic mail to the DOT Office of International Aviation, Foreign Air Carrier 

Licensing Division. Additional information can be obtained via 

https://cms.dot.gov/policy/aviation-policy/licensing/foreign-carriers.

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

operator 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. This limitation is in addition to any 

altitude restrictions that may be included in the applicable COA.

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

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

 

1 In this exemption, UAS operations are restricted to training and aerial data collection, which 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.

2 Foreign civil aircraft means (a) an aircraft of foreign registry that is not part of the armed forces of a foreign 

nation, or (b) a United States-registered aircraft owned, controlled or operated by persons who are not citizens or 

permanent residents of the United States. 14 CFR §375.1.
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exemption holder must apply for a new or amended COA if it intends to conduct 

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

6. The pilot in command (PIC) must have the capability to maintain visual line of sight 

(VLOS) at all times. This requires the PIC to be able to use human vision unaided by 

any device other than corrective lenses, as specified on that individual’s FAA-issued 

airman medical certificate or valid U.S. driver’s license issued by a state, the District 

of Columbia, Puerto Rico, a territory, a possession, or the Federal Government, to see 

the UA.

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

the VLOS of the VO at all times. The VO must use human vision unaided by any 

device other than corrective lenses to see the UA. The VO, the person manipulating 

the flight controls of the small UAS, and the 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. Students receiving instruction or observing an 

operation as part of their instruction may not serve as VO’s.

8. This exemption, the List of Approved Unmanned Aircraft Systems (UAS) under 

Section 333 at regulatory docket FAA-2007-3330 at www.regulations.gov, all 

previous grant(s) of exemption, and all documents needed to operate the UAS and 

conduct its operations in accordance with the conditions and limitations stated in this 

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, the applicable ATO-issued COA, and the procedures 

outlined in the operating documents, the most restrictive conditions, limitations, or 

procedures apply and must be followed. The operator may update or revise its 

operating documents as necessary. The operator is responsible for tracking revisions 

and presenting 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 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 

exemption. The FAA’s UAS Integration Office may be contacted if questions arise 

regarding updates or revisions to the operating documents.

9. 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. 

Functional test flights may only be conducted by a PIC with a VO and essential flight 

personnel only and must remain at least 500 feet from all other people. The functional 
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test flight must be conducted in such a manner so as to not pose an undue hazard to 

persons and property.

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

in a condition for safe operation.

11. 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.

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

replacement, inspection, and life limit requirements for the aircraft and aircraft 

components. Each UAS operated under this exemption must comply with all 

manufacturer safety bulletins.

13. PIC certification: 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. PIC qualifications: The PIC must demonstrate the ability to safely operate the UAS in 

a manner consistent with how it will be operated under this exemption, including 

evasive and emergency maneuvers and maintaining appropriate distances from 

persons, vessels, vehicles, and structures before conducting student training 

operations. Flights for the pilot’s own training, proficiency, or experience-building 

under this exemption may be conducted under this exemption. PIC qualification flight 

hours and currency may be logged in a manner consistent with 14 CFR § 61.51(b), 

however, UAS pilots must not log this time in the same columns or categories as time 

accrued during manned flight. UAS flight time must not be recorded as part of total 

time.

 

15. Training: The operator may conduct training operations when the trainer/instructor is 

qualified as a PIC under this exemption and designated as PIC for the entire duration 

of the flight operation. Students/trainees are considered direct participants in the flight 

operation when manipulating the flight controls of a small UAS and are not required 

to hold any airman certificate. The student/trainees may be the manipulators of the 

controls; however, the PIC must directly supervise their conduct and the PIC must also 

have sufficient override capability to immediately take direct control of the small UAS 

and safely abort the operation if necessary, including taking any action necessary to 
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ensure safety of other aircraft as well as persons and property on the ground in the 

event of unsafe maneuvers and/or emergencies for example landing in an empty area 

away from people and property. 

16. Under all situations, the PIC is responsible for the safety of the operation. The PIC is 

also responsible for meeting all applicable conditions and limitations as prescribed in 

this exemption and ATO-issued COA, and operating in accordance with the operating 

documents. All training operations must be conducted during dedicated training 

sessions and may or may not be for compensation or hire. The operation must be 

conducted with a dedicated VO who has no collateral duties and is not the PIC during 

the flight. The VO must maintain visual sight of the aircraft at all times during flight 

operations without distraction in accordance with the conditions and limitations below. 

Furthermore, the PIC must operate the UA not closer than 500 feet to any 

nonparticipating person without exception.

17. 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.

18. 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.

19. For tethered UAS operations, the tether line must have colored pennants or streamers 

attached at not more than 50 foot intervals beginning at 150 feet above the surface of 

the earth and visible from at least 1 mile. This requirement for pennants or streamers 

is not applicable when operating exclusively below the top of and within 250 feet of 

any structure, so long as the UA operation does not obscure the lighting of 

the structure.

20. For UAS operations where GPS signal is necessary to safely operate the UA, the PIC 

must immediately recover/land the UA upon loss of GPS signal. 

21. If the PIC loses command or control link with the UA, the UA must follow a predetermined route to either reestablish link or immediately recover or land.

22. The PIC must abort the flight operation if unpredicted circumstances or emergencies 

that could potentially degrade the safety of persons or property arise. The PIC must 

terminate flight operations without causing undue hazard to persons or property in the

air or on the ground.

23. 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.
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24. All aircraft operated in accordance with this exemption must be registered in 

accordance with 14 CFR part 47 or 48, and have identification markings in accordance 

with 14 CFR part 45, Subpart C or part 48. 

25. 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.

26. The UA must remain clear of and give way to all manned aircraft at all times. 

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

28. All flight operations must be conducted at least 500 feet from all persons, vessels, 

vehicles, and structures unless when operating:

a. Over or near people directly participating in the operation of the UAS. People 

directly participating in the operation of the UAS include the student 

manipulating the controls, PIC, VO, and other consenting personnel that are 

directly participating in the safe operation of the UA.

b. Near but not over people directly participating in the intended purpose of the 

UAS operation. People directly participating in the intended purpose of the 

UAS (including students in a class not manipulating the controls of the UAS), 

who must be briefed on the potential risks and acknowledge and consent to 

those risks. Operators must notify the local Flight Standards District Office 

(FSDO) with a plan of activities at least 72 hours prior to flight operations.

c. Near nonparticipating persons: Except as provided in subsections (a) and (b) 

of this section, a UA may only be operated closer than 500 feet to a person 

when barriers or structures are present that sufficiently protect that person from 

the UA and/or debris or hazardous materials such as fuel or chemicals in the 

event of an accident. Under these conditions, the operator must ensure that the 

person remains under such protection for the duration of the operation. If a 

situation arises where the person leaves such protection and is within 500 feet 

of the UA, flight operations must cease immediately in a manner that does not 

cause undue hazard to persons.

d. Near vessels, vehicles, and structures. Prior to conducting operations the 

operator must obtain permission from a person with the legal authority over 

any vessels, vehicles, or structures that will be within 500 feet of the UA 

during operations. The PIC must make a safety assessment of the risk of 

operating closer to those objects and determined that it does not present an 

undue hazard. 
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29. All operations shall be conducted over private or controlled-access property with 

permission from a person with legal authority to grant access. Permission will be 

obtained for each flight to be conducted.

30. 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 the FAA's UAS Integration Office within 24 hours. Accidents must be reported to 

the National Transportation Safety Board (NTSB) in accordance with its UAS 

accident reporting requirements.

For operations conducted closer than 500 feet to people directly participating in the intended 

purpose of the operation, not protected by barriers, the following additional conditions and 

limitations apply:

31. The operator must have an operations manual that contains at least the following 

items, although it is not restricted to these items.

a. Operator name, address, and telephone number.

b. Distribution and Revision. Procedures for revising and distributing the operations 

manual to ensure that it is kept current. Revisions must comply with the 

applicable conditions and limitations in this exemption.

c. Persons Authorized. Specify criteria for designating individuals as directly 

participating in the safe operation of the UAS. The operations manual must 

include procedures to ensure that all operations are conducted at distances from 

persons in accordance with the conditions and limitations of the exemption.

d. Plan of Activities. The operations manual must include procedures for the 

submission of a written plan of activities.

e. Permission to Operate. The operations manual shall specify requirements and 

procedures that the operator will use to obtain permission to operate over property 

or near vessels, vehicles, and structures in accordance with this exemption.

f. Security. The manual must specify the method of security that will be used to 

ensure the safety of nonparticipating persons. This should also include procedures 

that will be used to stop activities when unauthorized persons, vehicles, or aircraft 

enter the operations area, or for any other reason, in the interest of safety.

g. Briefing of persons directly participating in the intended operation. Procedures 

must be included to brief personnel and participating persons on the risks involved, 

emergency procedures, and safeguards to be followed during the operation. 

h. Personnel directly participating in the safe operation of the UAS Minimum 

Requirements. In accordance with this exemption, the operator must specify the 

minimum requirements for all flight personnel in the operating manual. The PIC 

at a minimum will be required to meet the certification standards specified in this 

exemption.

i. Communications. The operations manual must contain procedures to provide 

communications capability with participants during the operation. The operator 
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can use oral, visual, or radio communications as along as the participants are 

apprised of the current status of the operation.

j. Accident Notification. The operations manual must contain procedures for 

notification and reporting of accidents in accordance with this exemption.

In accordance with this exemption, the operating manual and all other operating 

documents must be accessible to the PIC during UAS operations.

32. At least 72 hours prior to operations, the operator must submit a written Plan of 

Activities to the local FSDO having jurisdiction over the proposed operating area.

The Plan of Activities must include at least the following:

a. Dates and times for all flights. For seasonal or long-term operations, this can 

include the beginning and end dates of the timeframe, the approximate frequency 

(e.g. daily, every weekend, etc.), and what times of the day operations will occur. 

A new plan of activities must be submitted prior to each season or period of 

operations.

b. Name and phone number of the on-site person responsible for the operation.

c. Make, model, and serial or FAA registration number of each UAS to be used.

d. Name and certificate number of each UAS PIC involved in the operations.

e. A statement that the operator has obtained permission from property owners. 

Upon request, the operator will make available a list of those who gave 

permission.

f. Signature of exemption holder or representative stating the plan is accurate.

g. A description of the flight activity, including maps or diagrams of the area over 

which operations will be conducted and the altitudes essential to accomplish the 

operation.

Unless otherwise specified in this exemption, the UAS, the UAS PIC, and the UAS operations 

must comply with all applicable parts of 14 CFR including, but not limited to, parts 45, 47, 

48, 61, and 91.

This exemption terminates on August 31, 2018, unless sooner superseded or rescinded.

Sincerely,

/s/

John S. Duncan

Director, Flight Standards Service

Enclosure