Mark E. McKinnon

Matthew J. Clark

Mark.McKinnon@dentons.com

Matthew.Clark@dentons.com

D 703.336.8708

D 703.336.8714

Dentons US LLP

1676 International Drive • Penthouse

McLean, VA 22102

United States

T 703.336.8800

F 703.336.8750

Salans FMC SNR Denton

McKenna Long

dentons.com

July 17, 2015

To Whom it May Concern: 

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

and 14 C.F.R. Part 11, the Trustees of the University of Pennsylvania, a Pennsylvania not for profit 

corporation commonly known as the University of Pennsylvania (hereinafter sometimes referred to 

as "Penn" or "Petitioner") hereby applies for a Summary Grant of Exemption from the Federal 

Aviation Regulations (FARs) identified below, to operate small unmanned aerial vehicles (i.e., small 

unmanned aircraft systems or UAS) for the purpose of conducting aerial data collection, including 

aerial imaging and remote sensing and surveying, and in support of its education and research 

operations. In particular, Penn seeks permission to operate the DJI Phantom series, DJI Spreading 

Wing series, DJI Inspire series, and the AscTec Pelican. Penn respectfully submits that this Petition 

for Exemption qualifies for expedited approval, as the Federal Aviation Administration (FAA) has 

previously issued grants of exemption in circumstances similar in all material respects to those 

presented herein. 

In addition to this Petition for Exemption, Penn will also submit The University UAS 

Operations Manual under separate cover. Penn submits this Operations Manual as a confidential 

document under separate cover pursuant to 14 C.F.R. § 11.35(b), as the material contain confidential 

commercial and proprietary information that Penn has not and will not share with others. The 

information contained in the Operations Manual is not generally available to the public and is 

protected from release under the Freedom of Information Act, 5 U.S.C. § 552 et seq.

U.S. Department of Transportation

Docket Management System

1200 New Jersey Ave., SE

Washington, DC 20590

Re: Petition of University of Pennsylvania for Summary Grant of Exemption 

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

U.S. Department of Transportation

July 15, 2015

Page 2

For your convenience, this Petition is organized as follows:

TABLE OF CONTENTS

PAGE

I. BACKGROUND AND DESCRIPTION OF PETITIONER ............................................................3

II. DESCRIPTION OF PROPOSED OPERATION...........................................................................4

III. RELEVANT STATUTORY AUTHORITY .................................................................................5

IV. PENN'S PROPOSED UAS OPERATIONS MEET THE REQUIREMENTS OF SECTION 

333 OF THE REFORM ACT ...................................................................................................6

A. Approval is Warranted Based on the UAS's Size, Weight, Speed, and 

Operational Capability.............................................................................................6

B. Approval is Warranted Based on the Operational Restrictions in Penn's 

Operating Documents ..............................................................................................8

V. REGULATIONS FROM WHICH EXEMPTION IS SOUGHT......................................................8

A. 91.9(c), 45.23(b) and 45.27(a): Aircraft Marking and Identification 

Requirements ...........................................................................................................9

B. 91.405(a), 91.407(a)(1), 91.409(a)(1) and (2); 91.417(a) and (b): 

Maintenance Inspections........................................................................................10

C. 61.23(a) and (c), 61.113, 61.101(e)(4) and (5), 61.315: Private, 

Recreational and Sport Pilot Medical Certificate, Privileges and 

Limitations.............................................................................................................11

D. 91.7(a): Civil Aircraft Airworthiness....................................................................12

E. 91.9(b)(2): Civil Aircraft Flight Manual in the Aircraft and 91.203(a) and 

(b): Carrying Civil Aircraft Certification and Registration ...................................12

F. 91.103: Preflight Action........................................................................................13

G. 91.109(a): Flight Instruction .................................................................................13

H. 91.119(c): Minimum Safe Altitudes Over Other Than Congested Areas..............14

I. 91.121: Altimeter Settings....................................................................................15

J. 91.151(a): Fuel Requirements for Flight in VFR Conditions................................15

VI. DRUG AND ALCOHOL PROGRAM ......................................................................................16

VII. PUBLIC INTEREST..............................................................................................................16

VIII. PRIVACY ............................................................................................................................16

IX. FEDERAL REGISTER SUMMARY........................................................................................16

X. CONCLUSION .....................................................................................................................17
 

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I. BACKGROUND AND DESCRIPTION OF PETITIONER

The University of Pennsylvania, founded in 1740 by Benjamin Franklin, is a private, Ivy 

League institution with a long and proud tradition of intellectual rigor and pursuit of innovative 

knowledge. Penn is among the top research universities in the world, with an annual research budget 

of over $800 million and more than 4,000 active faculty members. The university strongly 

emphasizes interdisciplinary research and education. Solving today's complex problems requires 

knowledge that crosses traditional boundaries. True to the vision of its founder, Penn encourages 

both intellectual and practical pursuits across its twelve highly regarded schools.

At Penn, research is aimed at expanding the frontiers of human achievement and 

understanding, with the ultimate goal of improving the world. The General Robotics, Automation, 

Sensing and Perception (GRASP) Laboratory is a leader in the development of rotary-wing UAS 

technology starting with research indoors in 2009. Led by Professor Daniel Lee, GRASP is a multidisciplinary lab which includes faculty from Computer Science, Electrical and Systems and 

Mechanical Engineering and Applied Mechanics departments. Currently, most UAS research is led 

by Professor Vijay Kumar who is pursuing a wide-range of research objectives sponsored by 

government, military, and commercial entities. 

The motivation for these projects is technology development integrated with advanced 

education. As an educational research laboratory, GRASP develops the algorithms, methodologies, 

and supporting control concepts to allow UAS to perform high level mission tasks with capabilities 

that outperform the current state-of-the-art in each application. Our research sponsors seek proven 

technology that they can readily commercialize or produce with reliable performance and safety 

standards. 

The safe and effective deployment of UAS in the preceding roles is a challenging endeavor 

which requires the application of innovative methods of communication, control, computation and 

sensing, specifically tailored to end user applications. Validating these emerging technologies in an 

outdoor operational environment is essential to establish the practicality and robustness of the 

systems. 

In addition to research goals, the ability to deploy a UAS relatively quickly and repeatedly 

and at low altitudes, allows for acquiring high resolution images that have also proved invaluable for 

university communications and marketing efforts. Aerial videos and images would otherwise be too 

costly, unsafe, or impossible using manned aircraft and other traditional methods. The Office of 

University Communications has been able to employ such technology at multiple University owned 

sites. These include the University’s main West Philadelphia Campus (Philadelphia, PA), the 

Pennovation Works innovation research campus (South Philadelphia, PA), the New Bolton 

Veterinary School Campus (Kennett Square, PA) and the Morris Arboretum (Philadelphia/

Montgomery County, PA). Videos and still images from UAS have helped the Office of University 

Communications show Penn’s location in and connection to the city of Philadelphia in new ways. 

For example, in a video to mark the opening of an innovation hub at the university, a sweeping 

overhead shot shows not only its proximity to the central university campus, but also to Center City. 

Videos such as this one enable viewers to see the full scope and impact of Penn’s physical campus, 

and by extension, a research and education enterprise that is firmly rooted in Philadelphia. Across 
 

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these locations, the use of UAS has become a trusted and cost effective way to showcase the 

university as a good steward of federal and state investment in higher education and center of 

excellence in Pennsylvania.

The ability to operate UASs would benefit the University of Pennsylvania’s research 

programs and communication efforts tremendously. For these reasons, Penn seeks an exemption for 

commercial operations of small UASs for the purpose of conducting aerial imaging and remote 

sensing and surveying in support of research operations.

In accordance with 14 C.F.R. § 11.81(a), Penn provides the following information in support 

of its Petition for Exemption. 

The contact information for Petitioner is as follows:

Roman Petyk

Associate General Counsel

University of Pennsylvania

133 S. 36th Street, Suite 300

Philadelphia, PA 19104

Phone: (215)746-5275

Email: Roman.Petyk@ogc.upenn.edu

II. DESCRIPTION OF PROPOSED OPERATION

Penn seeks an exemption pursuant to Section 333 of the Reform Act to use a number of 

different UAS platformsfor aerial data collection in support of its education and research operations. 

By way of example, education and research programs supported by the proposed UAS operations, 

include, but are not limited to: UAS design and avionics development, surveillance technology, 

aerial surveying and remote sensing, aerial photography and videography, sensor research, mapping 

applications, photogrammetry, precision agriculture, geosciences, geography, environmental 

monitoring, and natural resource management. 

UAS research at Penn being led by Professor Vijay Kumar covers a wide array of topics, 

including, but not limited to: 

 Platform Command and Control:

o Formation control of multiple vehicles from small groups to swarms

o Cooperative tasking from multi-vehicle lift of extreme payloads to building of 

structures;

o Multi-functional group optimal task assignment

o Control of UAS using smartphone technology

 Infrastructure Inspection:

o Hydro dams, towers, bridges, and buildings

 Precision Agriculture:

o Autonomous monitoring to estimate crop vitality, optimum corrective actions and 

yield

 Simultaneous Localization and Mapping:

o First responder and tactical semantic mapping of buildings and structures
 

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 Micro UAS for Tactical Applications:

o Organic UAS system development for tactical reconnaissance

 UAS Platform Development:

o Development of micro and nano scale vehicles for educational and research 

applications.

In addition to education and research activities, Penn also intends to operate UAS to inspect 

and monitor its buildings and infrastructure on and off campus. Aerial data collected by Penn's UAS 

would also be used to promote and market Penn, as well as support student recreational and sport 

activities. 

With the exception of the AscTec (Ascending Technologies) Pelican, all of the UAS 

platforms Penn intends to use have been approved for commercial use in other grants of exemption,

including the DJI Phantom series, DJI Spreading Wing series and, DJI Inspire series. As set forth 

below, the FAA has previously determined that these vehicles meet the criteria established in Section 

333 of the Reform Act and are suitable platforms for performing aerial data collection. 

Penn is committed to maintaining the highest standards of flight safety. All UAS operations 

will be performed in accordance with the accompanying Penn operating documents, and in 

accordance with the requirements of an applicable COA. Among other things, and as detailed in the 

operating documents, all UAS operations will occur in uncontrolled airspace, within visual line-ofsight (VLOS) of the pilot and visual observer, and will be limited to daytime visual flight rules 

(VFR) conditions. Moreover, Penn's operating documents incorporate redundant safeguards to 

enhance safety.

The proposed operations in this Petition for Exemption are not new or novel to the FAA. 

The FAA has previously issued grants of exemption to use small UAS for aerial data collection in 

support of similar educational and research activities, including:

 Exemption No. 11552 to Sinclair Community College to conduct educational research and 

training (Docket No. FAA-2015-0374);

 Exemption No. 11304 to Auburn University Aviation Center to conduct training courses to 

instruct students in the operation of unmanned aircraft and their associated systems. (Docket 

No. FAA-2014-1014); and

 Exemption No. 11265 to the City of Roswell Coalition to perform research, development and 

validation of a formal UAS training curriculum (Docket No. FAA-2014-0732).

The low-risk UAS operations proposed by Penn in this Petition for Exemption fall squarely 

within the category of aerial data collection that has been subject to previous approval. 

III. RELEVANT STATUTORY AUTHORITY

This Petition for Exemption is submitted pursuant to Section 333(a) through (c) of the 

Reform Act. Congress has directed the FAA "to safely accelerate the integration of civil unmanned 

aircraft systems into the national airspace system." Pursuant to Section 333 of the Reform Act, the 
 

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FAA Administrator is to permit unmanned aircraft systems to operate in the NAS where it is safe to 

do so based on the following considerations:

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

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

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

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

agency's safety regulations and minimum standards when the Administrator decides a requested 

exemption is in the public interest. See 49 U.S.C. § 106(f) (defining the authority of the 

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

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

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

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

exemption).

IV. PENN'S PROPOSED UAS OPERATIONS MEET THE REQUIREMENTS OF SECTION 333 OF 

THE REFORM ACT

Penn's proposed operations in this Petition for Exemption qualify for expedited approval via 

the summary grant process pursuant to Section 333 of the Reform Act, as each of the statutory 

criteria and relevant factors are satisfied and the FAA has previously issued grants of exemption in 

circumstances similar in all material respects to those presented in this Petition for Exemption. 

A. Approval is Warranted Based on the UAS's Size, Weight, Speed, and 

Operational Capability

The FAA is familiar with and has already determined that the following vehicles chosen by 

Penn meet the requirements of Section 333 of the Reform Act due to their weight, speed and 

operational capabilities: the DJI Phantom series, DJI Spreading Wing series, and DJI Inspire series. 

See e.g.,

 DJI Phantom 1: Exemption No. 11577 to HAZON Solutions, LLC; Exemption No. 11650 

to Trinity Aeroimaging; and Exemption No. 11318 to MicroDrone Vision, Inc.

 DJI Phantom 2: Exemption No. 11784 to Precision Unmanned Aerial LLC; Exemption 

No. 11785 to CinemaCapture Videography; Exemption No. 11786 to Tabitha Femmer; 

Exemption No. 11767 to Brett Baker; Exemption No. 11770 to Crosstimbers Video 

Partners LLC

 DJI Phantom 2 Vision: Exemption No. 11768 to Copper City Aviation Services LLC; 

Exemption No. 11267 to ETAK Systems Inc.; Exemption No. 11310 to Colin Hinkle; 

Exemption No. 11624 to Vertical Information Services Inc.; Exemption No. 11556 to 

Sydor Aerial Photography, LLC
 

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 DJI Phantom 2 Vision+: Exemption No. 11224 to NextEra Energy, Inc.; Exemption No. 

11230 to Montico, Inc.; Exemption No. 11228 to Steven Zeets ; Exemption No. 11218 to 

Saratoga Aerial Vehicle; and Exemption No. 11215 to Mike Johnson

 DJI Phantom 3: Exemption No. 11783 to Precision Design and Drafting, Inc.; 

Exemption No. 11788 to Birds Eye Aerial Photography, Inc.; Exemption No. 11696 to 

Midwest UAV Imagining; Exemption No. 11335A to Voler, Inc.; Exemption No. 

11267A to ETAK Systems, Inc.; Exemption No. 11306A to Hawk Aerial, LLC 

 DJI Spreading Wings S800 EVO: Exemption No. 11756 to C.H. Fenstermaker & 

Associates, LLC; Exemption No. 11584 to UAS Professionals Inc.; Exemption No. 

11468 to United Dynamics AT Technologies Corp.; Exemption No. 11788 to Birds Eye 

Aerial Photography Inc.; Exemption No. 11606 to Aerial Appeal

 DJI Spreading Wings S900: Exemption No. 11710 to Fly Low Aero, LLC; Exemption 

No. 11714 to Sky Scape Industries LLC; Exemption No. 11697 to Andrew Dunn; 

Exemption No. 11667 to iFly Media Productions; Exemption No. 11598 to Midstream 

Integrity Services

 DJI Spreading Wings S1000: Exemption No. 11731 to D&C Inspection Services, Inc.; 

Exemption No. 11732 to Terraplance, LLC; Exemption No. 11733 to The Visual Arts 

Group, LLC; Exemption No. 11694 to Accupoint, Inc.; Exemption No. 11633 to 

Principia Inc.

 DJI Spreading Wings S1000+: Exemption No. 11777 to SkyGizmo; Exemption No. 

11778 to Cloud9Drones; Exemption No. 11659 to Fovea Aero Systems LLC 

 DJI Inspire 1: Exemption No. 11254 to Upward Aerial; Exemption No. 11659 to Fovea 

Aero Systems; Exemption No. 11668 to Sky-Forge Robotics LLC; Exemption No. 11804 

to Orbic Air, LLC

In addition to the DJI Phantom series, DJI Spreading Wing series, and DJI Inspire series, 

Penn also seeks permission to operate the AscTec Pelican.1 This small lightweight battery powered 

quadcopter measures 651 x 651 x 188 mm and has a maximum gross takeoff weight of 1.65 kg. The 

vehicle has a maximum airspeed of 16 m/s (~36 mph) and a maximum flight time of approximately 

16 minutes with a full payload. The Pelican operates on a command and control frequency of 2.4 

GHz.

2

 

 

1

The FAA has previously approved other AscTec vehicles. See e.g., Exemption No. 11268 to 

HUVRData, LLC and Exemption No. 11277 to Advanced Aerial Inspection Resources, LLC 

authoring use of the AscTec Falcon 8 for aerial data collection. 

2

For additional details on the AscTec Pelican, see the AscTec Pelican User Manual available at: 

http://wiki.asctec.de/display/AR/User+Manual
 

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The FAA has found the following shared characteristics of the DJI Phantom series, DJI 

Spreading Wing series, and DJI Inspire series, which are also shared by the AscTec Pelican, to 

warrant approval for a grant of exemption:

 They all weight less than 55 pounds including payload;

 They all have the capability to operate safely after experiencing certain in-flight 

contingencies or failures and they use an auto-pilot system to maintain UAS stability and 

control. The UAS is also able to respond to a loss of GPS or a lost-link event with a precoordinated, predictable, automated flight maneuver. These safety features provide an 

equivalent level of safety compared to a manned aircraft performing a similar operation and 

mitigate the risk of command and control link failures; 

 The radio frequencies used for operations and control of the UAS comply with the Federal 

Communications Commission (FCC) and other appropriate government oversight agency 

requirements; and

 The UAS all operate at a speed of 87 knots or less. 

B. Approval is Warranted Based on the Operational Restrictions in Penn's 

Operating Documents 

The University UAS Operations Manual and the manufacturer's manuals for the selected 

UAS platforms (hereinafter collectively referred to as "operating documents") contain all the 

procedures and limitations necessary to safely and successfully perform the proposed operations. To 

expedite the FAA's safety assessment of Penn's proposed UAS operations, Penn has tailored its 

operating documents to comply with the conditions and limitations imposed on similarly situated 

petitioners seeking to use small UAS for aerial data collection. See e.g., Grant of Exemption No. 

11552 issued to Sinclair Community College, Docket No. FAA-2015-0374. In particular, the 

operating documents contain systems and procedures to permit Penn to comply with the conditions 

and limitations in the FAA's Grant of Exemption. Id. 

V. REGULATIONS FROM WHICH EXEMPTION IS SOUGHT

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, including UAS, from its safety regulations and minimum standards when the 

Administrator decides a requested exemption is in the public interest.3

Penn seeks an exemption from several interrelated provisions of 14 C.F.R. Parts 45, 61 and 

91 for purposes of conducting the requested operations using small UAS, including:

 

3

See 49 U.S.C. § 44701(f) (authorizing the grant of exemptions from requirements of regulations 

prescribed pursuant to Sections 44701(a) and (b) and Sections 44702 - 44716).
 

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FAR Description

91.9(c); 45.23(b) and 

45.27(a)

Aircraft Marking and Identification Requirements

91.405(a); 91.407(a)(1); 

91.409(a)(1) and (2); 

91.417(a) and (b) 

Maintenance and Inspection Requirements

61.23(a) and (c), 61.113; 

61.101(e)(4) and (5), 61.315

Private, Recreational and Sport Pilot Medical Certificate, 

Privileges and Limitations

91.7(a) Civil Aircraft Airworthiness

91.9(b)(2); 91.203(a) and 

(b)

Carrying Aircraft Flight Manual, Certification and Registration in 

the Aircraft 

91.103 Preflight Action

91.109(a) Flight Instruction

91.119(c) Minimum Safe Altitudes Over Other than Congested Areas

91.121 Altimeter Settings

91.151(a) Fuel Requirements for Flight in VFR Conditions 

Listed below are the specific sections of 14 C.F.R. for which an exemption is sought, and the 

operating procedures and safeguards that Petitioner has established which will ensure a level of 

safety better than or equal to the rules from which exemption is sought.4

A. 91.9(c), 45.23(b) and 45.27(a): Aircraft Marking and Identification 

Requirements

Penn seeks an exemption from the aircraft marking and identification requirements contained 

in 14 C.F.R. §§ 91.9(c), 45.23(b) and 45.27(a).

 

4

See 14 C.F.R. § 11.81(e), which requires a petition for exemption to include:

The reasons why granting the exemption would not adversely affect safety, or how 

the exemption would provide a level of safety at least equal to that provided by the 

rule from which you seek exemption.
 

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● 14 C.F.R. § 91.9(c), Civil Aircraft Flight Manual, Marking and Placard Requirements, 

provides that:

No person may operate a U.S.-registered civil aircraft unless that aircraft is identified 

in accordance with Part 45 of this chapter.

● 14 C.F.R. § 45.23(b), Markings of the Aircraft, states:

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.

● 14 C.F.R. § 45.27(a), Rotorcraft, states:

Each operator of a rotorcraft must display on that rotorcraft horizontally on both 

surfaces of the cabin, fuselage, boom, or tail the marks required by § 45.23.

In prior grants of exemption under Section 333 of the Reform Act, the FAA determined that 

exemption from these requirements was warranted provided that the aircraft "have identification (NNumber) markings in accordance with 14 C.F.R Part 45, Subpart C if the markings are as large as 

practicable."5 All UAS flown by Penn will bear N-number markings that are as large as practicable 

in accordance with 14 C.F.R. Part 45, Subpart C.6 

B. 91.405(a), 91.407(a)(1), 91.409(a)(1) and (2); 91.417(a) and (b): Maintenance 

Inspections

Penn seeks an exemption from the maintenance inspection requirements contained in 14 

C.F.R. § 91.405(a), 91.407(a)(1), 91.409(a)(1) and (2); 91.417(a) and (b). These regulations specify 

maintenance and inspection standards in reference to 14 C.F.R. Part 43.7 An exemption from these 

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

certificate, which the UAS to be operated under this grant of exemption will not have.

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

performed in accordance with the operating documents and any required manufacturer Safety or 

Service Bulletins. Further, as required by the operating documents, the PIC will conduct a pre-flight 

inspection of the UAS and all associated equipment to account for all discrepancies and/or 

 

5

FAA Docket No. FAA-2014-0352.

6

See, e.g., FAA Docket No. FAA-2014-0352, at 14. 

7

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

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

...have discrepancies repaired as prescribed in part 43 of this chapter.").
 

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inoperable components. Maintenance will be performed and verified to address any conditions 

potentially affecting safe operation of the UAS and no flights will occur unless, and until, all flight 

critical components of the UAS have been found to be airworthy and in a condition safe for 

operation. A functional test flight will be conducted following the replacement of any flight-critical 

components. As required by the operating documents, the PIC who conducts the functional test 

flight will make an entry in the UAS aircraft records of the flight. 

The operating documents also include requirements to follow the UAS manufacturer’s

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

aircraft components. Moreover, the operating documents also include procedures to document and 

maintain a record of the UAS maintenance, preventative maintenance, alterations, status of 

replacement/overhaul component parts, and the total time in service of Petitioner's UAS. As a 

whole, the maintenance and inspection procedures required by Petitioner's operating documents 

ensure that an equivalent or higher level of safety will be achieved.

C. 61.23(a) and (c), 61.113, 61.101(e)(4) and (5), 61.315: Private, Recreational

and Sport Pilot Medical Certificate, Privileges and Limitations

Penn seeks exemption from these sections, which restricts private, recreational or sport pilot 

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

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

PIC matches the airspace in which the PIC will be operating, as well as requiring certifications if the 

private pilot is carrying passengers or cargo for hire. In this case, while the UAS will be operated as 

part of a commercial operation, it carries neither passengers nor cargo. 

In the Grant of Exemption No. 11062 to Astraeus Aerial8, the FAA determined that the 

unique characteristics of UAS operation outside of controlled airspace did not warrant the additional

cost and restrictions attendant with requiring the PIC to have a Commercial Pilot Certificate and 

Class II Medical Certificate. The fulfillment of the additional requirements for a private pilot to 

become qualified as a commercial pilot would not lead to any additional safety benefits when UAS 

operations are involved. 

More recently, the FAA determined that holders of recreational and sport pilot certificates 

would also have adequate aeronautical knowledge to pilot a UAS. Accordingly, because these 

individuals would also be subject to security screening by the Department of Homeland Security 

(DHS), the FAA determined that holders of recreational and sport pilot certificates would be 

qualified to serve as the PIC for UAS operations.9 

The restrictions Petitioner has placed on its UAS operations meet or exceed the restrictions 

similarly imposed on Astraeus Aerial and other operators in more recently granted exemptions under 

Section 333 of the FAA Reform Act. Penn will operate away from persons and property that is not 

 

8

FAA Docket No. FAA-2014-0352.

9

See Grant of Exemption No. 11213 to Aeryon Labs, Inc. (Docket No. FAA-2014-0642 at pgs. 

8-9).
 

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the subject matter of the flight. Penn will also require all PICs to be thoroughly trained in the unique 

aspects of UAS flight. As set forth in the operating documents, pilots will have experience not only 

in UAS operations generally but have logged flight time in the specific make and model used for the 

operations before they are permitted to participate in commercial flights on behalf of Penn. The pilot 

qualification, training, and currency requirements in the operating documents ensure that Penn's

pilots are competent and proficient in the UAS they are operating. The Petitioner's training and 

qualification requirements are consistent with those contained in prior FAA-issued grants of 

exemption, and will provide a higher level of competency and proficiency for its pilots and will 

ensure at least an equivalent level of safety.

D. 91.7(a): Civil Aircraft Airworthiness

Inasmuch as there will be no airworthiness certificate issued for the UAS, Penn seeks an 

exemption from 14 C.F.R. § 91.7(a), which requires that a civil aircraft be in an airworthy condition 

to be operated. While the petitioner’s UAS will not have an airworthiness certificate, the FAA has 

determined that for the purposes of this exemption the pilot may determine the aircraft is in an 

airworthy condition prior to flight. The operating documents contain procedures which allow the 

PIC to determine whether the aircraft is in a condition safe for flight, and an exemption from § 

91.7(a) is therefore warranted. 

E. 91.9(b)(2): Civil Aircraft Flight Manual in the Aircraft and 91.203(a) and 

(b): Carrying Civil Aircraft Certification and Registration

Title 14 C.F.R. § 91.9(b)(2) and § 91.203(a) and (b) require the operator to carry

airworthiness documents and other aircraft manuals onboard the aircraft.

Pursuant to 14 C.F.R. § 91.9(b)(2):

(b) No person may operate a U.S.-registered civil aircraft –

...

(2) For which an Airplane or Rotorcraft Flight Manual is 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.

Pursuant to 14 C.F.R. § 91.203(a) and (b):

(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.

Given the small size and configuration of the UAS, it would be impossible to keep 

airworthiness documents and other aircraft manuals on board the UAS because there is simply no 

room and the UAS has no cabin or cockpit. 
 

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In an FAA Office of Chief Counsel's Opinion dated August 8, 2014, and prepared by Dean E. 

Griffith, Attorney, AGC-220, it was acknowledged that the intent of 14 C.F.R. 91.9(b) and 91.203(a) 

and (b) is met if the pilot of the unmanned aircraft has access to the UAS flight manual, registration 

certificate, and other required documents from the ground control station from which he or she is 

operating the aircraft.10 As this FAA Office of Chief Counsel Opinion clarifies, the intent of the rule 

is to ensure the pilot has access to these key documents during flight. Therefore, an equivalent level 

of safety will be achieved by ensuring that the pilot has access to the documents at the ground 

control station from which he or she is piloting the UAS.11 

F. 91.103: Preflight Action

Petitioner seeks an exemption from 14 C.F.R. § 91.103, which requires a PIC to become 

familiar with specific information before each flight, including information contained in the FAAapproved Flight Manual on board the aircraft. While the PIC will be familiar with all information 

necessary to safely conduct the flight, an exemption is requested to the extent that an FAA-approved 

Flight Manual is required.

Adherence to the requirements in the operating documents will ensure that the UAS is in an 

airworthy condition prior to flight. The PIC will perform a series of checklists designed to identify 

any defects or inoperable components, which cover pre-flight, take-off, landing and post-flight 

procedures. The PIC will also be required to review weather, flight requirements, battery charge, 

landing and takeoff distance, UA performance data, and contingency landing areas—before initiation 

of flight. Petitioner's operating documents will be kept at the ground control station and will be 

accessible to the PIC at all times while operating the UAS.

G. 91.109(a): Flight Instruction

Petitioner seeks an exemption from 14 C.F.R. § 91.109(a), which provides in pertinent part 

that "[n]o 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." UAS and remotely piloted 

aircraft, by their design, do not have functional dual controls. Instead, flight control is accomplished 

through the use of a device that communicates with the aircraft via radio communications. 

 

10 Memorandum from Mark Bury, FAA Assistant Chief Counsel for International Law, Legislation 

and Regulation, to John Duncan, FAA Flight Standards Service (Aug. 8, 2014); see also Docket No. 

FAA-2014-0352 at 16-18. 

11 See also Exemption No. 11213 to Aeryon Labs, Inc. at pg. 11:

The petitioner requested relief from 14 CFR § 91.9(b)(2): Civil aircraft flight 

manual, marking, and placard requirements and § 91.203(a) and (b): Civil aircraft: 

Certifications required. The FAA has previously determined that relief from these 

sections is not necessary. See Exemption No. 11062. Relevant materials may be kept 

in a location accessible to the PIC in compliance with the regulations.
 

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Accordingly, an exemption will be required for the flight instruction requirements of 14 C.F.R. § 

91.109(a). 

Given the size and speed of the UAS that Petitioner intends to use, an equivalent level of safe 

training can still be achieved without dual controls because no pilot or passengers are aboard the 

UAS, and as required by the operating documents, all persons will be a safe distance away in the 

event that the UAS experiences any difficulties during flight instruction. Moreover, all flight 

training will be conducted in controlled and sterile environment. As a whole, the procedures 

provided for in the operating documents ensure that UAS flight instruction can be performed safely.

H. 91.119(c): Minimum Safe Altitudes Over Other Than Congested Areas

Penn requests an exemption from the minimum safe altitude requirements of 14 C.F.R. § 

91.119(c).

12

 Section 91.119 prescribes the minimum safe altitudes under which aircraft may not 

operate, including 500 feet above the surface and away from any person, vessel, vehicle, or structure 

in non-congested areas. See 14 C.F.R. § 91.119(c). 

An exemption is required because the proposed UAS operations will normally need to occur 

below 400 feet AGL. Additionally, due to the nature of the proposed operations, the PIC and/or 

Observers may need to be less than 500 feet away from the UAS. Compared to flight operations 

with rotorcraft weighing far more than the maximum weights proposed herein, and given the lack of 

flammable fuel with the UAS, any risk associated with these operations is far less than those that 

presently exist with conventional aircraft. 

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

as well the controlled location where the operations will occur. In order to avoid any risk to manned 

aircraft, flight operations will be restricted to below 400 feet AGL. As set forth in the operating 

documents, the UAS will be operated in a controlled environment, and all flights will occur at a 

lateral distance of at least 500 feet from nonparticipating persons, unless that person is in a position 

where he or she is shielded from the UAS and any possible debris resulting from UAS failure. 

Procedures will be in place to ensure flight operations can be safely terminated if a nonparticipating 

person within 500 feet of the UAS leaves a shielded position. Further, UAS operations will occur at 

least 500 feet away from vehicles or structures unless the property owner/controller has granted 

permission and the PIC has made a safety assessment of the risk of operating closer to those objects,

and operations near the PIC or Observer will not present an undue hazard per § 91.119(a). 

Adherence to these restrictions in Penn's operating documents will ensure the proposed operations 

can be conducted without compromising safety to persons or property on the ground. 

 

12 Relief from § 91.119(a) will not be necessary because Petitioner will be able to perform an 

emergency landing without undue hazard to persons or property on the ground in the event of a 

failure. Petitioner's proposed UAS operations will not occur over congested areas, and therefore an 

exemption from § 91.119(b) will not be necessary. See e.g., Grant of Exemption No. 11157 to 

Slugwear, Inc., dba Likeonatree Aerial at pg. 15 (Docket No. FAA-2014-0534 ). 
 

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I. 91.121: Altimeter Settings

To the extent necessary for Penn to conduct the proposed operations, Petitioner requests an 

exemption from 14 C.F.R. § 91.121, which requires a person operating an aircraft to maintain 

cruising altitude or flight level by reference to an altimeter that is set to the elevation of the departure 

airport or barometric pressure.

The FAA has stated that an equivalent level of safety to the requirements of 14 C.F.R. § 

91.121 can be achieved in circumstances where: (1) the UAS will be operated 400 feet AGL or 

below, (2) within VLOS, (3) where GPS based altitude information is relayed in real time to the 

operator at a ground-based on-screen display and, (4) where prior to each flight, a zero altitude 

initiation point is established for the PIC to confirm accuracy of the onboard GPS.13

The UAS that Petitioner intends to use for performing the proposed operations meet all these 

operational characteristics. Moreover, the operating documents require the PIC to calibrate the 

aircraft's GPS compass prior to each flight operation. As the FAA has determined in circumstances 

similar to this Petition for Exemption, Petitioner's UAS and the safety mitigation procedures 

contained in the operating documents, ensure that an equivalent level of safety will be achieved, and 

a grant of exemption to the requirements of § 191.121 is therefore appropriate.

J. 91.151(a): Fuel Requirements for Flight in VFR Conditions 

Penn requests an exemption from 14 C.F.R. § 91.151(a)'s fuel requirementsfor flight in VFR 

conditions. Section 91.151 states:

(a) No person may begin a flight in an airplane under VFR conditions unless 

(considering wind and forecast weather conditions) there is enough fuel to fly to the 

first point of intended landing and, assuming normal cruising speed –

(1) During the day, to fly after that for at least 30 minutes; or

(2) At night, to fly after that for at least 45 minutes.

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

operations can be conducted while still maintaining a 30-minute battery reserve. An exemption from 

the fuel requirements of 14 C.F.R. § 91.151(a) is therefore required. 

The FAA has previously granted relief from the fuel requirements of § 91.151(a) for flight in 

daytime VFR conditions in circumstances similar to those presented in this Petition for Exemption.

14

 

In Exemption No. 11213 to Aeryon Labs, Inc.15, the FAA determined that a requirement prohibiting 

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

 

13 See Grant of Exemption No. 11062 to Astraeus Aerial (FAA-2014-0352 at 21). 

14 See e.g., Exemption Nos. 8811, 10808, and 10673.

15 Docket No. FAA-2014-0642.
 

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there was enough available power for UAS to operate for the intended operational time and to 

operate after that for at least five minutes or with the reserve power recommended by the 

manufacturer if greater, would ensure an equivalent level of safety to the fuel requirements of § 

91.151(a).

16

 Petitioner's operating documents impose this same requirement and an exemption from 

§ 91.151(a)'s fuel requirements for flight in VFR conditions is therefore appropriate. 

VI. DRUG AND ALCOHOL PROGRAM

Penn will have policies in place to ensure that no person may participate in UAS flight 

operations if they are under the influence of alcohol or any drug. 

VII. PUBLIC INTEREST

The public interest will be served by granting Penn's Petition for Exemption. Congress has 

established a national policy that favors early integration of UAS into the NAS in controlled, safe 

working environments such as those proposed in this Petition. Granting this Petition for Exemption 

helps fulfill Congress' goal in passing Section 333(a) through (c) of the Reform Act—the FAA 

Administrator's assessment of whether certain UAS may operate safely in the NAS before 

completion of the statutorily required rulemaking. 

Beyond increased levels of safety, the public stands to benefit enormously from the 

education, and research programs supported by the proposed operations in this Petition for 

Exemption. Whether it is designing safer and smarter UAS control systems, or researching better 

ways for farmers to grow crops, the public as a whole will benefit from the information gathered and 

studied as part of the education and research programs supported by the proposed operations in this 

Petition for Exemption. 

VIII. PRIVACY

The proposed operations will be conducted in accordance with applicable federal, state, or 

local laws regarding privacy. Penn will not conduct flight operations over property that it does not 

own or control without the prior consent and knowledge of the property owner. 

IX. FEDERAL REGISTER SUMMARY

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

FEDERAL REGISTER, should it be determined that publication is needed:

Petitioner seeks an exemption from the following rules in Title 14 of the Code of Federal 

Regulations:

 

16 Exemption No. 11213 at pg. 12.
 

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45.23(b); 45.27(a); 61.23(a) and (c); 61.113; 61.101(e)(4) and (5); 61.315; 91.7(a); 

91.9(b)(2); 91.9(c); 91.103; 91.109(a); 91.119(b); 91.121; 91.151(a); 91.203 (a) & (b); 91.405(a); 

91.407(a)(1); 91.409(a)(1) & (2); 91.417 (a) & (b). 

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

owners from the substantial hazards associated with using conventional fixed-wing aircraft or

rotorcraft for aerial data collection in support of university education and research programs.

X. CONCLUSION

The proposed operations in this Petition for Exemption satisfy the criteria articulated in 

Section 333 of the Reform Act and the FAA has issued grants of exemption in circumstances similar 

in all respects to those presented by Penn in this Petition for Exemption. In consideration of the 

foregoing, Penn respectfully submits that this Petition for Exemption qualifies for expedited 

approval via the FAA's summary grant process.

We thank you for your prompt consideration of our requested exemptions. Should you have 

any questions, or if you need additional information to support the requested exemptions, please do 

not hesitate to contact us. 

Very truly yours,

Mark E. McKinnon

Matthew J. Clark

Counsel for University of Pennsylvania

Attachment
 

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(The following attached item will be submitted under separate cover as it contains proprietary and 

commercial information exempt from disclosure under the Freedom of Information Act, 5 U.S.C. § 

522 et seq., and should be held in a separate file pursuant to 14 C.F.R. § 11.35(b)). 

Attachment: 

 The University UAS Operations Manual