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

Ju ly 17

, 2015

To Whom it May Concern:

Pursuant to Section 333 of the FAA Moderni zation and Reform Act of 2012 (Reform Act ) and 14 C.F.R. Part 11, t he 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., sm all

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 M anual as a confidential document under separate cover pursuant to 14 C.F.R. § 11.35(b), as the material contain confidential commercial and pr oprietary information that Penn has not and will not share with others. The information contained in the Operatio ns 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 Refor m Act of 2012U.S. Department of Transportation

July 1 5 , 2015 Page 2

For your convenience, this Petition is organized as follows:

T ABLE OF C ONTENTS

P AGE

I. B ACKGROUND AND D ESCRIPTION OF P ETITIONER

................................ ............................ 3

II. D ESCRIPTION OF P ROPOSED O PERATION

................................ ................................ ........... 4

III. R ELEVANT S TATUTORY A UTHORITY

................................ ................................ ................. 5

IV. P ENN ' S P ROPOSED UAS O PERATIONS M EET THE R EQUIREMENTS OF S ECTION
333 OF THE R EFORM A CT

................................ ................................ ................................ ... 6

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

................................ ................................ ............................. 6

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

................................ ................................ .............................. 8

V. R EGULATIONS F ROM W HICH E XEMPTION I S S OUGHT

................................ ...................... 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, 61.1 01(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 F light in VFR Conditions

................................ 15

VI. D RUG AND A LCOHOL P ROGRAM

................................ ................................ ...................... 16

VII. P UBLIC I NTEREST

................................ ................................ ................................ .............. 16

VIII. P RIVACY

................................ ................................ ................................ ............................ 16

IX. F EDERAL R EGISTER S UMMARY

................................ ................................ ........................ 16

X. C ONCLUSION

................................ ................................ ................................ ..................... 17U.S. Department of Transportation

July 1 7 , 2015 Page 3

I. B ACKGROUND AND D ESCRIPTION OF P ETITIONER

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 multi

disciplinary 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 Vi

jay Kumar who is pursuing a wide

- range of research objectives sponsored by government, mili tary, and commercial entities.

The motivation for these projects is technology development integrated with advanced

education. As an educational research laborato ry, 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

techno logy 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 communic ation, 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 t o 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 Co mmunications has been able to employ such technology at multiple University owned

sites . These include the University ’s ma in 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 an d still images from UAS have helped the Office of University

Co mmunications 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

over head 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. AcrossU.S. Department of Transportation

July 1 7 , 2015 Page 4

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 cente r 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 i maging 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. D ESCRIPTION OF P ROPOSED O PERATION

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

di fferent UAS platforms for 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 dev elopment, surveillance technology, aerial surveying and remote sensing

, aer ial photography and videography

, sensor research, mapping applications, photogrammetry, precision agriculture, geosciences, geography, environmental monitoring , an d 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 Autonom ous monitoring to estimate crop vitality, optimum corrective actions and yield

 Simultaneous Localization and Mapping:

o First responder and tactical semantic mapping of buildings and structuresU.S. Department of Transportation

July 1 7 , 2015 Page 5

 Micro UAS for Tactical Applications:

o Organic UAS system developm ent 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 re creational and sport

activities.

With the exception of the AscTec (Ascending Technologies) P elican, a ll 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 determi ned 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

- of

sight (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 previous ly 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 Sincl air 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 associ ated 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 Pe nn in this Petition for Exemption fall squarely within the category of aerial data collection that has been subject to previous approval

.

III. R ELEVANT S TATUTORY A UTHORITY

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

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, theU.S. Department of Transportation

July 1 7 , 2015 Page 6

FAA Administrator is to permit unmanned aircraft syst ems 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 th e 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. P ENN ' S P ROPOSED UAS O PERATIONS M EET THE R EQUIREMEN TS OF S ECTION 333 OF

THE R EFORM A CT

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 ar e 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 Capabilit y

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 se ries, 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 Aer ial 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 S ervices 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, LLCU.S. Department of Transportation

July 1 7 , 2015 Page 7

 DJI Phantom 2 Vision+: Exemption No. 11224 to NextEr a 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.;

E xemption 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 Aeri al 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 Ser vices

 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 po wered 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 co mmand and control frequency of 2.4

GH z. 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+ManualU.S. Department of Transportation

July 1 7 , 2015 Page 8

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 in cluding 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

contr ol. The UAS is also able to respond to a loss of GPS or a lost

- link event with a pre

coordinated, predictable, automated flight maneuver. These safety features provide an equivalent level of safety compared to a manned aircraft performing a similar opera tion and mitigate the risk of command and control link failures ;

 The radio frequencies used for operations and control of the UAS comply with the Fede ral Communications Commission (FCC ) and other appropriate governmen t 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 (here inafter 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 condition s 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, Doc ket 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. R EGULATIONS F ROM W HICH E XEMPTION I S S OUGHT

The Federal Avia tion 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 standar ds 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 , includin g:

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).U.S. Department of Transportation

July 1 7 , 2015 Page 9

FAR Description

91.9(c); 45.23(b) and 45.27(a) Aircraft Marking and Identification Req ui rements

91.405(a); 91.407(a)(1); 91.409(a)(1) and (2); 91.417(a) and (b) Maintenance and Inspection Req ui rements

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 Req ui rements 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 M arking and Identification Req ui rements

Penn seeks an exemption from the aircraft marking and identification req ui rements 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.U.S. Department of Transportation

July 1 7 , 2015 Page 10

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

, 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 di splay on that rotorcraft horizontally on both surfaces of the cabin, fuselage, boom, or tail the marks req ui red by § 45.23.

In prior grants of exemption under Section 333 of the Reform Act , the FAA determined that exemption from these req ui rements was war ranted provided that the aircraft "have identification (N

Number) 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 a ccordance 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 req ui rements 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 eq ui valent level of safety will be achieved because maintenance and inspections will be performed in accordance with the operating documents and any req ui red manufacturer Safety or Service Bulletins. Further, as req ui red by the operating documents, the PIC will conduct a pre

- flight inspection of the UAS and all associated eq ui pment to account for all discrepancies and/or

5 FAA D ocket 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 betwe en required inspections ...have discrepancies repaired as prescribed in part 43 of this chapter

. ").U.S. Department of Transportation

July 1 7 , 2015 Page 11

inoperable components. Mainte nance 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 fo r operation. A functional test flight will be conducted following the replacement of any flight

- critical components. As req ui red 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 req ui rements to follow the UAS manufacturer’s maintenance, overhaul, replacement, inspection, and life limit requirements for the air craft and aircraft components. Moreover , the operating documents al so 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 inspe ction procedures req ui red by Petitioner's operating documents

ensure that an eq ui valent 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, Privilege s 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 req ui re 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 req ui ring 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 Aerial 8 , the FAA determined that the unique characteristics of UAS operation outside of controlled airspace did not war rant the addition al

cost and restrictions attendant with req ui ring the PIC to have a Commercial Pilot Certificate and

Class II Medical Certificate. The fulfillment of the additional req ui rements for a private pilot to become qualified as a commercial pilo t 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. Accordin gly, because these individuals would also be subject to security screening by the De partment 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

Sect ion 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).U.S. Department of Transportation

July 1 7 , 2015 Page 12

the subject matter of the flight

. Penn will also req ui re 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 op erations 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 req ui rements in the ope rating documents ensure that Penn 's pilots are competent and proficient in the UAS they are operating. The Petitioner's training and qualification req ui rements 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 eq ui valent 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 fro m 14 C.F.R. § 91.7(a), which req ui res 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 de termine 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) req ui re the operator to carry

airworthiness documents and ot her 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 req ui red by § 21.5 of this chapter, unless there is av ailable 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 ope rate 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 req ui red by paragraph (a) of this section or a special f light 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 aircraf t manuals on board the UAS because there is simply no room and the UAS has no cabin or cockpit.U.S. Department of Transportation

July 1 7 , 2015 Page 13

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 req ui red 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 eq ui valent 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 req ui res a PIC to become familiar with specific information before each fligh t, including information contained in the FAA

approved 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 Man ual is req ui red

.

Adherence to the req ui rements 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 c over pre

- flight, take

- off, landing and post

- flight procedures. The PIC will also be req ui red to review weather, flight req ui rements , battery charge, landing and takeoff distance, UA performance data, and contingency landing areas

— before initiation of flig ht. 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 no t 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, F AA 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 peti tioner 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 nec essary. See Exemption No. 11062. Relevant materials may be kept in a location accessible to the PIC in compliance with the regulations.U.S. Department of Transportation

July 1 7 , 2015 Page 14

Accordingly, an exemption will be req ui red for the flight instruction req ui rements of 14 C. F.R. § 91.109(a).

Given the size and speed of the UAS that Petitioner intends to use, an eq ui valent level of safe training can still be achieved without dual controls because no pilot or passengers are aboard the UAS, and as req ui red by the operating doc uments, 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 req ui rements 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 re q ui red 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 th an 500 feet away from the UAS. Compared to flight operat ions 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 eq ui v alent 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 dis tance of at least 500 feet from nonparticipating persons, unless that person is in a position

where he or she is sh ielded from the UAS and any possible debris resulting from UAS failure. Procedures will be in place to ensure f light operations can be safely terminated if a nonparticipating person within 500 feet of the UAS leaves a shielded position. Further, UAS ope rations 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 Obse rver 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. 11 157 to Slugwear, Inc., dba Likeonatree Aerial at pg. 15 (Docket No. FAA

- 2014

- 0534 ).U.S. Department of Transportation

July 1 7 , 2015 Page 15

I. 91.121: Altim eter Settings

To the extent necessary for Penn to conduct the proposed operations, Petitioner requests an exemption from 14 C.F.R. § 91.121, which req ui res a person operating an aircraft to maintain

cr ui sing altitude or flight level by reference to an alti meter that is set to the elevation of the departure airport or barometric pressure.

The FAA has stated that an eq ui valent level of safety to the req ui rements of 14 C.F.R. § 91.121 can be achieved in circumstances where: (1) the UAS will be operated 400 f eet 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 conf irm 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 req ui re 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 eq ui valent level of safety will be achiev ed, and a grant of exemption to the req ui rements 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 req ui rements for flight in VFR

conditions. Sec tion 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 cr ui sing 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 maint aining a 30

- minute battery reserve. An exemption from

the fuel req ui rements of 14 C.F.R. § 91.151(a) is therefore req ui red

.

The FAA has previously granted relief from the fuel requirements of § 91.151(a) for flight in daytime VFR conditions in circumsta nces 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 forec ast 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.U.S. Department of Transportation

July 1 7 , 2015 Page 16

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 th e fuel requirements of § 91.151(a)

. 16 Petitioner's operating documents impose this same requirement and an exemption from § 91.151(a)'s fuel req ui rements for flight in VFR conditions is therefore appropriate

.

VI. D RUG AND A LCOHOL P ROGRAM

Penn will have polic ies 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. P UBLIC I NTEREST

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

establishe d 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 req ui red rulemaking.

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

educ ation, and research programs supported by the proposed operations in this Petition for Exemption . Whether it i s 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. P RIVACY

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. F EDERAL R EGISTER S UMMARY

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

F EDERAL R EGISTER , 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.U.S. Department of Transportation

July 1 7 , 2015 Page 17

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); 91.10 3; 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 ri sk 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. C ONCLUSION

The proposed ope rations 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 cons ideration 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 quest ions, 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 Penns ylvania

AttachmentU.S. Department of Transportation

July 1 7 , 2015 Page 18

(The following attached item will be submitted under separate cover as it contain s 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