September 18, 2015 

U.S. Department of Transportation 

Federal Aviation Administration 

800 Independence Avenue, SW 

Washington, DC 20591 

Re: Petition for Exemption under Section 333 

To whom it may concern: 

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

and 14 CFR Part 11, Battelle Memorial Institute (hereinafter referred to as If Battelle") seeks an 

exemption from the Federal Aviation Regulations (FARs) listed below and discussed in Appendix 

A to allow for commercial operations of small unmanned aircraft systems (sUAS). 

Battelle is the world's largest non-profit research and development organization, with over 

22,000 employees at more than 130 global locations. For more than 80 years, we have 

conducted research and development as part of Battelle's commitment to contribute to the 

scientific and technological community. We offer a long history of collaboration with federal 

agencies and developing creative partnerships to support the implementation of actionable 

science that is relevant and applicable to public, private, and nongovernment organizations and 

to diverse groups of stakeholders. 

This exemption will allow Battelle to safely operate sUAS under controlled conditions in the 

National Airspace System (NAS) for the purposes of acquiring data for precision agriculture, 

education, wildlife and forestry monitoring, environmental monitoring, inspection, survey and 

mapping, and research and development. The proposed operations would permit the use of 

sUAS under controlled conditions in predetermined airspace that provides an increased level of 

safety beyond that existing when manned fixed or rotary wing aircraft are used to accomplish 

the same purpose. The FAA can be assured that the proposed sUAS operations will be 

conducted at an equivalent or greater level of safety. 

Battelle proposes to use the following sUAS platforms for operation under this request: 

1. DJI Phantom 2 

2. DJI Phantom 3 

3. Turbo Ace Matrix 

Each of these platforms weigh less than 55 pounds, including energy sources and equipment. 

Each sUAS consists of a lightweight battery powered aircraft, associated video and 

communications equipment, and a computer-based ground control station. All platforms are 

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controlled via DJI flight control systems which will always be used in fail safe mode. The fail safe 

mode ensures that when there is a low voltage scenario, or when loss of radio communication 

takes place the sUAS will return to its point of takeoff and land. All platforms have a GPS 

position hold installed in them. If for any reason the operator stops inputting direction into the 

controller the sUAS will hold its position until further input is provided ensuring the aircraft will 

not flyaway from its desired position. 

In accordance with the FAAs UAS Integration office's guidance, each of these sUASs will be 

registered with the FAA. Prior to any sUAS operation, the Pilot in Command (PIC) will ensure a 

NOTAM is properly filed, the weather exceeds all minimum conditions, all pre-flight checks are 

complete and that sUAS performance is satisfactory for flight in the NAS. 

Below is a summary of operational limitations and conditions that will ensure we operate at an 

equivalent or higher level of safety for each regulation requiring an exemption: 

1. Battelle will obtain an Air Traffic Organization (ATO) issued Certificate of 

Authorization (COA) prior to conducting any sUAS operations grant of exemption. 

2. All sUAS operations will be conducted in accordance with the parameters prescribed 

in the approved COA. 

3. The sUAS will weigh less than 55 pounds including energy sources and equipment. 

4. The sUAS will be flown at speeds not to exceed 50 knots. 

5. Flights will be flown at an altitude of no more than 400 feet AGL. 

6. sUAS operations will only be conducted during daylight hours under VFR conditions. 

7. The PIC will possess at least a sport pilot certificate and have either a current FAA 

medical certificate or valid U.S. driver's license. 

8. The sUAS will be operated within visual line of sight (VLOS) of the PIC at all times. 

9. The sUAS will not be operated less than 500 feet below or less than 2,000 feet 

horizontally from a cloud or when visibility is less than 3 statute miles from the PIC. 

10. All operations will utilize a visual observer (VO) who will maintain verbal 

communication with the PIC at all times. 

11. The PIC will operate the sUAS from a stationary position and not from a moving 

device or vehicle. 

12. The PIC will ensure that the sUAS remains clear and yields the right of way to all 

manned operations and activities. 

13. Flights will be conducted at a lateral distance of at least 100 feet away from 

inhabited structures, buildings, vehicles, vessels, and any people not associated with 

the sUAS operation. 

14. Prior to each flight, the PIC will inspect the sUAS to ensure that it is airworthy to 

operate safely in the NAS. 

15. Battelle will follow each manufacturer's sUAS maintenance, overhaul, replacement, 

inspection and life limit requirements. 

16. Maximum total flight time for each operational flight will be limited to the amount 

of time the sUAS can be flown and still maintain reserve battery power of no less 

than 25%. 

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17. All documents required by 14 C.F.R sections 91.9 and 91.203 will be available to the 

PIC at the sUAS ground station any time the sUAS is operating. 

18. Any incident, accident or sUAS operation that exceeds the lateral or vertical 

boundaries of the operational area as defined by the approved COA, will be reported 

to the FAA's sUAS Integration Office (AFS-80) within 24 hours. Accidents will be 

reported to the National Transportation Safety Board (NTSB) in accordance with the 

NTSB guidance. 

Battelle submits that grant of this exemption application for commercial sUAS use will advance 

the Congressional mandate in Section 333 of the Reform Act to accelerate the introduction of 

sUASs into the NAS if it can be accomplished safely. This law directs the Secretary of . Transportation to consider whether certain sUASs may operate safely in the NAS before 

completion of the rulemaking required under Section 333 of the Reform Act. In making this 

determination, the Secretary is required to determine which types of sUASs do not create a 

hazard to users of the NAS or the public or pose a threat to national security in light of the 

following: 

• The sUAS's size, weight, speed, and operational capability; 

• Operation of the sUAS in close proximity to airports and populated areas; and 

• Operation of the sUAS within visual line of sight of the operator. 

Reform Act § 333(a)(1). If the Secretary determines that such vehicles "may operate safely in the 

national airspace system, the Secretary shall establish requirements for the safe operation of 

such aircraft in the national airspace system." Id. §333(c). 

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, from the requirement that all civil aircraft must have a current airworthiness 

certificate and those regulations requiring commercial pilots to operate aircraft in commercial 

service: 

The Administrator may grant an exemption from a requirement of a regulation 

prescribed under subsection (a) or (b) of this section or any of sections 4470244716 of 

this title if the Administrator finds the exemption is in the public interest. 

49 U.S.e. §44701(f). See a/so 49 USC §44711(a); 49 USC §44704; 14 CFR §91.203(a)(1). 

The grant of the requested exemption is in the public interest based on the clear direction in 

Section 333 of the Reform Act; the additional authority in the Federal Aviation Act, as 

amended; the strong equivalent level of safety surrounding the proposed operations; and the 

significant public benefit, including enhanced safety and cost savings associated with 

transitioning to sUASs for commercial use. By approving these exemptions, the FAA will create 

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benefits for agriculture, education, research and the environment which are ultimately in the 

public's interest. Accordingly, the applicant respectfully requests that the FAA grant the 

requested exemption without delay. 

The name and address of the petitioner is: 

Battelle Memorial Institute 

Attn: Geoffrey D Fuller, Senior Attorney 

Ph: 614-424- 5294 

Email: FULLERG@Battelle.org 

Address: 505 King Ave 

Columbus, OH 43201 

The primary contact for this application is: 

Nick Courtright, Courtrightn@Battelle.org, 614-467-0558 

The regulations from which the exemption is requested are as follows: 

• 14 CFR Part 21 • 14 CFR 91.121 

• 14 CFR 45.23 • 14 CFR 91.151(a) 

• 14 CFR 61.113 (a) & (b) • 14 CFR 91.203(a) & (b) 

• 14 CFR 91.7(a) • 14 CFR 91.405(a) 

• 14 CFR 91.9(b)(2) • 14 CFR 91.407(a)(1) 

• 14 CFR 91.103 • 14 CFR 91.409(a)(2) 

• 14 CFR 91.109 • 14 CFR 91.417(a) 

• 14 CFR 91.119 

Appendix A discusses each rule listed above and explains why exemptions pursuant to the 

proposal set forth in this letter are appropriate, provide an equivalent level of safety, and are in 

the public interest. 

er 

Battelle Memorial Institute 

Appendices: 

A. EXEMPTION REQUEST AND EQUIVALENT LEVEL OF SAFETY 

B. SUMMARY OF BATTELLE SECTION 333 EXEMPTION REQUEST 

C. sUAS OPERATORS MANUALS 

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APPENDIX A 

EXEMPTION REQUEST AND EQUIVALENT LEVEL OF SAFETY 

Battelle requests an exemption from the following regulations as well as any additional 

regulations that may technically apply to the operation of the above mentioned sUASs: 

14 CFR Part 21, Subpart H: Airworthiness Certificates 

14 CFR § 91.203(a)(1) 

Section 91.203(a)(1) requires all civil aircraft to have a certificate of airworthiness. Part 21, 

Subpart H, entitled Airworthiness Certificates, establishes the procedural requirements for the 

issuance of airworthiness certificates as required by FAR § 91.203(a)(1). Given the size, weight, 

speed, operational capability of the particular sUASs it is unnecessary to go through the 

certificate of airworthiness process under Part 21 Subpart H to achieve or exceed current safety 

levels. 

Such an exemption meets the requirements of an equivalent level of safety under Part 11 and 

Section 333 of the Reform Act. The Federal Aviation Act and Section 333 of the Reform Act both 

authorize the FAA to exempt aircraft from the requirement for an airworthiness certificate, 

upon consideration of the size, weight, speed, operational capability, and proximity to airports 

and populated areas of the sUAS involved. 

In this case, an analysis of these criteria demonstrates that the Battelle's sUAS platforms 

operated without an airworthiness certificate, under the conditions proposed herein, will be at 

least as safe, or safer, than a conventional aircraft (fixed wing or rotorcraft) with an 

airworthiness certificate. The sUAS platforms to be operated by Battelle will all weigh less than 

55 pounds. They will not carry a pilot or passenger, will not carry flammable fuel, and will 

operate exclusively within an area pre-disclosed and in compliance with conditions set forth 

herein. Operations under this exemption will be tightly controlled and monitored by both the 

operator, pursuant to the conditions set forth above, and by local public safety requirements. 

The FAA will have advance notice of all operations through the filing of NOTAMs. The size of the 

aircraft, the lack of flammable fuel, and the fact that the aircraft is carried to the location and 

not flown there all establish the equivalent level of safety. Battelle's sUAS platforms provide at 

least an equivalent, and most likely higher, level of safety relative to that of such operations 

being conducted with conventional aircraft that would be orders of magnitude larger and 

would be carrying passengers, cargo, and flammable fuel. The automated safety features 

documented in the manufacturer-provided manuals highlight the design intentions towards 

safety and reliability of Battelle's sUASs. 

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14 CFR 45.23 & 91.9{c): Marking of the Aircraft 

Regulation 45.23 provides: 

(a) Each operator of an aircraft must display on that aircraft marks consisting of the 

Roman capital letter "N" (denoting United States registration) followed by the registration 

number of the aircraft. Each suffix letter used in the marks displayed must also be a Roman 

capital letter. 

(b) 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. 

Regulation 91.9(c) provides: 

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

accordance with part 45 of this chapter. 

The sUAS platforms that Battelle will operate have no entry points to a cabin, cockpit, or pilot 

station on which these markings stated above could be placed. In addition, due to the small size 

of the sUASs, 2 inch lettering is not possible. Battelle is prepared to mark the inspection system 

with the name of the organization and location or origin and fulfill any other request by the FAA 

to this topic in accordance to § 45.29(f) where the pilot, observer, and others working with the 

sUAS will see the identification of the sUAS. 

The FAA has issued the following exemptions to this regulation, see Exemption Nos. 8738, 

10167, 10167A, and 10700. 

14 CFR § 61.113 (a) & (b): Private Pilot Privileges and Limitations: Pilot in Command 

Part 61.113 (a) & (b) limits private pilot privileges to non-commercial operations. Unlike a 

conventional aircraft that carries a pilot, passengers or cargo, the sUAS is remotely controlled 

and carries no passengers or property. All sUAS flights will be planned and coordinated in 

advance and the operations area will be controlled. The level of safety provided by the above 

mentioned operational limitations and the manufacturer instructions exceeds that provided by 

an individual holding a commercial pilot's certificate operating a conventional aircraft. Because 

the sUAS carries no pilot or passengers, the proposed operations can achieve the equivalent 

level of safety of current operations by requiring the PIC to have at least a sport pilot's 

certificate rather than a commercial pilot's certificate to operate the sUAS. 

14 CFR § 91.7{a): Civil aircraft airworthiness. 

This regulation requires that no person may operate a civil aircraft unless it is in an airworthy 

condition. As there will be no airworthiness certificate issued for the sUAS, should this 

exemption be granted, as no FAA regulatory standard exists for determining sUAS 

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airworthiness. An equivalent level of safety will be provided by the small size of the sUAS and 

the requirements contained in the manufacturer instructions for maintenance and use of safety 

checklists prior to flight. Battelle will ensure that the sUAS is in an airworthy condition prior to 

each flight based on compliance with the specifications in the flight operations manual and the 

manufacturer's instructions. 

14 CFR § 91.9(b)(2): Civil Aircraft Flight Manual in the Aircraft. 

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

flight manual is in the aircraft. Battelle's sUASs are small and will not carry any passengers. An 

equivalent level of safety will be accomplished by keeping the flight manual at the ground 

control station where the PIC will have immediate access to it during all flights. The FAA has 

issued to others the following exemptions to this regulation: Exemption Nos. 8607, 8737, 8738, 

9299,9299A,9565,9565B, 10167, 10167A, 10602,32827,and 10700. 

14 CFR § 91.103: Preflight action 

This regulation requires each PIC to take certain actions before flight to ensure safety of flight. 

As FAA approved flight manuals will not be provided for the sUAS, an exemption from this 

regulation is required. An equivalent level of safety will be provided by the PIC following the 

procedures set forth in the manufacturer's instructions. The PIC will take all actions including 

reviewing weather, flight battery, takeoff and landing distances and aircraft performance data 

before initiation of the flight. The PIC will also account for site specific conditions in their 

preflight actions. 

14 CFR § 91.109 Flight Instruction 

This regulation provides that no 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. sUAS by their design, typically do not have functional dual controls. Given the size and 

speed of the sUAS, an equivalent level of safe training can be performed without dual controls 

because no pilot or passengers are aboard the aircraft and all persons will be a safe distance 

away in the event the sUAS experiences any difficulties during the flight instruction. 

14 CFR § 91.119: Minimum Safe Altitudes 

Section 91.119 establishes safe altitudes for operation of civil aircraft. Section 91.119(d) allows 

helicopters to be operated at less than the minimums prescribed, provided the person 

operating the helicopter complies with any routes or altitudes prescribed for helicopters by the 

FAA. As this exemption is for sUAS that are similar to helicopters, and the exemption requests 

authority to operate at altitudes up to 400 ft AGL, an exemption may be needed to allow such 

operations. The sUAS will not be operated above 400 ft AGL. The equivalent level of safety will 

be achieved given the size, weight and speed of the sUAS as well as the location of operation. 

The low-altitude operations of the sUAS will ensure separation between the sUAS and 

operations of conventional aircraft that must comply with 91.119. 

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14 CFR § 91.121: Altimeter Settings 

This regulation requires that each person operating an aircraft shall maintain the cruising 

altitude by reference to an altimeter that is set "to the elevation of the departure airport or an 

appropriate altimeter setting available before departure." An exemption is required as the 

sUAS do not have a barometric altimeter, but instead have GPS altitude read out. An equivalent 

level of safety will be achieved by the PIC confirming the altitude of the launch site shown on 

GPS altitude indicator before flight. 

14 CFR § 91.151(a): Fuel Requirements for Flight in VFR Conditions 

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

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

that for at least 30 minutes. An equivalent level of safety will be achieved due to operations 

being conducted on site without significant transit time by the sUAS. The maximum total flight 

time for each flight will be limited to the amount of the sUAS can be flown and still maintain a 

reserve battery power or fuel quantity of no less than 25%. The FAA has granted similar 

exemptions to others, including Exemptions 2689F, 5745, 10673 and 10808. 

14 CFR § 91.203 (a) & (b): Carrying Civil Aircraft Certification and Registration 

This regulation provides as follows: 

(a) ... no person may operate a civil aircraft unless it has ... 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. 

The sUAS platforms weigh no more than 55 pounds fully loaded and are operated without an 

onboard pilot. As such, there is no ability or place to carry certification and registration 

documents or to display them. An equivalent level of safety will be achieved by keeping these 

documents at the ground control station where the pilot flying the sUAS will have immediate 

access to them. 

The FAA has issued numerous exemptions to this regulation. A representative sample of other 

exceptions includes Exemption Nos. 9565, 9665, 9789, 9789A, 9797, 9797A, 9816A, and 10700. 

14 CFR § 91.405(a); 407(a)(1); 409(a)(2); 417(a): Maintenance Inspections 

Section 91.405(a) requires that an aircraft operator or owner "shall have that aircraft inspected 

as prescribed in subpart E of this part and shall between required inspections, except as 

provided in paragraph (c) ofthis section, have discrepancies repaired as prescribed in part 43 of 

this chapter ... /1 Section 91.407 similarly makes reference to requirements in Part 43; Section 

91.409(a)(2) requires an annual inspection for the issuance of an air worthiness certificate. 

Section 91.417(a) requires the owner or operator to keep records showing certain maintenance 

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work that has been accomplished by certificated mechanics, under Part 43, or licensed pilots 

and records of approval of the aircraft for return to service. 

Maintenance and inspections will be performed in accordance with the sUASs User's Manuals, 

therefore ensuring an equivalent level of safety. Battelle will perform required maintenance, 

keep a log of any maintenance performed, and the operator will confirm that the sUAS is in 

working order prior to initiating flight. The operator is the person most familiar with the aircraft 

and best suited to maintain the aircraft in an airworthy condition to provide the equivalent 

level of safety. Due to the sUASs size and carrying capacity, and the fact that flight operations 

will only take place in restricted areas for limited periods of time, if a mechanical issue arises it 

creates less risk than that associated with conventional aircraft performing the same operation. 

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APPENDIX B 

SUMMARY OF BATTELLE SECTION 333 EXEMPTION REQUEST 

Battelle hereby provides pursuant to Part 11 a summary of its exemption application to allow 

commercial operation of the above referenced sUASs. An exemption is requested from the 

following regulations: 

• 14 CFR Part 21 

• 14 CFR 45.23 

• 14 CFR 61.113 (a) & (b) 

• 14 CFR 91.7(a) 

• 14 CFR 91.9(b)(2) 

• 14 CFR 91.103 

• 14 CFR 91.109 

• 14 CFR 91.119 

• 14 CFR 91.121 

• 14 CFR 91.151(a) 

• 14 CFR 91.203(a) & (b) 

• 14 CFR 91.405(a) 

• 14 CFR 91.407(a)(l) 

• 14 CFR 91.409(a)(2) 

• 14 CFR 91.417(a) 

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