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January 25, 2016 

U.S. Department of Transportation 

Docket Management System 

1200 New Jersey Ave., SE 

Washington, D.C. 20590 

Re: Petition of Southwest Research Institute for Exemption Pursuant to Section 333 of 

the FAA Modernization and Reform Act of 2012 and Part 11 of the Federal 

Aviation Regulations 

Dear Sir or Madam: 

Pursuant to Section 333 of the FAA Modernization and Reform Act of 2012 (“FMRA”) and 14 

C.F.R. part 11, Southwest Research Institute (“SwRI” or the “Institute”) hereby petitions the 

Federal Aviation Administration (“FAA”) for relief from certain Federal Aviation Regulations to 

enable SwRI to operate unmanned aerial systems (“UAS”) for research and development 

(“R&D”) and aerial data collection. Because SwRI’s petition is similar in all material respects to 

petitions that have previously been granted, SwRI requests that the FAA summarily grant this 

Petition. 

I. DESCRIPTION OF THE APPLICANT AND PROPOSED OPERATIONS 

Southwest Research Institute® (SwRI®), headquartered in San Antonio, Texas, is one of the 

oldest and largest independent, nonprofit, applied research and development organizations in the 

United States. SwRI offers multidisciplinary, problem-solving services in a variety of areas in 

engineering and the physical sciences. Historically, more than 4,000 projects are open at the 

Institute at any one time. These projects are funded almost equally between the government and 

commercial sectors. Indeed, SwRI conducts at least 50% of its project work for government 

agencies, including the Department of Transportation, Department of Energy, Department of 

Defense, and the National Institute of Science and Technology. SwRI intends to use UAS for 

both government and commercial projects. During fiscal year 2015, SwRI funded 88 internal 

research and development projects at a level of $13 million. 

SwRI’s headquarters occupies more than 2 million square feet of office and laboratory space on 

more than 1,200 acres in San Antonio. The Institute has technical offices and laboratories in Ann 

Arbor, Michigan; Beijing, China; Boulder, Colorado; Hill Air Force Base (Ogden), Utah; 

Hanover and Rockville, Maryland; Minneapolis, Minnesota; Oklahoma City, Oklahoma; Warner 

Robins, Georgia; and Durham, New Hampshire. SwRI’s 10 technical divisions offer a wide 

range of technical expertise and services in such areas as chemistry, space science, 

nondestructive evaluation, automation, engine design, mechanical engineering, electronics and 

more. 

Authorization to operate UAS will enable SwRI to improve the work being done on existing 

projects and take on a wide range of new projects related to the development and customization 

of UAS. Specifically, SwRI intends to use UAS for applications such as (i) aerial data 
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collection, including photography, videography, mapping, and monitoring of projects as well as 

(ii) UAS-related research and development. 

II. PUBLIC INTEREST BENEFITS 

Grant of SwRI’s petition would benefit the public interest in several key respects. First, because 

at least half of SwRI’s project work is for government agencies, the UAS-related R&D SwRI 

intends to conduct will have a significant and direct impact on the application of technology by 

agencies that are protecting or otherwise serving the public. Second, the ability to use UAS as a 

data collection tool will allow SwRI to more efficiently gather data and aerial imagery, leading to 

more detailed and/or accurate results for its government and commercial clients. Third, SwRI’s 

efforts will help to advance the technological landscape of UAS on a broader scale, providing 

better technology to the industry as a whole. 

The advancement of UAS technology and the ability to safely, economically, and successfully 

use UAS for an increasing variety of applications yields direct and cognizable public interest 

benefits. SwRI’s engineers specialize in taking basic, laboratory-proven research and making it 

reliable, robust, safe, and cost-effective, thereby providing state-of-the-art technology a viable 

path to widespread public use. In expanding its operations to include UAS research and 

development, SwRI is focused on improving the technology, to the direct benefit of both the 

commercial and public domains. 

III. AIRCRAFT 

SwRI requests authorization for the following aircraft, all of which weigh less than 55 pounds 

including payload: 

1. 3D Robotics DIY Quad 

2. 3D Robotics DIY Y6 

3. 3D Robotics Pixhawk 

4. 3D Robotics Solo 

5. 3D Robotics X8+ 

6. 3D Robotics Y6 

7. AeroVironment Switchblade 

8. AirRobot AR100 

9. Ascending Technologies Falcon 8 

10. Ascending Technologies Firefly 

11. Ascending Technologies Pelican 

12. DJI Flamewheel 

13. DJI Inspire 1 

14. DJI Inspire 1 Pro 

15. DJI Phantom 1 

16. DJI Phantom 2 

17. DJI Phantom 2 Vision 

18. DJI Phantom 2 Vision Plus 

19. DJI Phantom 3 Advanced 

20. DJI Phantom 3 Professional 
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21. DJI Phantom 3 Standard 

22. DJI Spreading Wings S900 

23. DJI Spreading Wings S1000 

24. DJI Spreading Wings S1000+ 

25. Intuitive Aerial Aerigon 

26. Leptron RDASS 1000 

27. Parrot AR.Drone 

28. Parrot Bebop 

29. Parrot Rolling Spider 

30. Precisionhawk Lancaster 

31. SenseFly eBee 

32. SenseFly Swinglet CAM 

IV. OPERATING PARAMETERS 

SwRI will abide by the following operating parameters: 

1. UAS must be operated at an altitude no greater than 400 feet above ground level 

(“AGL”) at ground speeds no greater than 87 knots. 

2. UAS operations must be conducted by a pilot-in-command (“PIC”) holding either an 

airline transport, commercial, private, recreational or sport pilot certificate. The PIC 

must also hold a current FAA airman medical certificate or a valid U.S. driver’s license 

issued by a state, the District of Columbia, Puerto Rico, a territory, a possession, or the 

Federal government. 

3. UAS must be operated within visual line-of-sight (“VLOS”) of the PIC at all times. 

Operations must be conducted under visual meteorological conditions. 

4. SwRI may not permit any PIC to operate unless the PIC demonstrates the ability to safely 

operate the UAS in a manner consistent with how the UAS will be operated under 

SwRI’s exemption, including evasive and emergency maneuvers and maintaining 

appropriate distances from persons, vessels, vehicles and structures. 

5. SwRI is responsible for maintaining and inspecting the UAS to ensure that it is in a 

condition for safe operation. Prior to each flight, the PIC must conduct a pre-flight 

inspection and determine the UAS is in a condition for safe flight. 

6. All operations must be conducted over private or controlled-access property in areas that 

fall under the FAA’s jurisdiction with permission from the property owner/controller or 

authorized representative. 

7. The UAS may not operate within 5 nautical miles of an airport reference point (ARP) as 

denoted in the current FAA Airport/Facility Directory (AFD) or for airports not denoted 

with an ARP, the center of the airport symbol as denoted on the current FAA-published 

aeronautical chart, unless a letter of agreement with that airport’s management is 

obtained or otherwise permitted by a COA issued to the exemption holder. 
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8. SwRI must follow the UAS manufacturer’s maintenance, overhaul, replacement, 

inspection, and life limit requirements for each of its aircraft and aircraft components and 

comply with all manufacturer safety bulletins. 

9. The UAS must give way to all manned aviation operations and activities. In the event of 

unpredicted obstacles and emergencies, the PIC must abort the flight. 

10. Operations must be conducted in accordance with an Air Traffic Organization (ATO)-

issued certificate of authorization (COA). 

V. REQUEST FOR SUMMARY GRANT 

SwRI requests that the FAA issue a summary grant of this Petition. As the foregoing 

demonstrates, the reasons SwRI is requesting an exemption and the circumstances under which it 

seeks to operate are similar in all material respects to Grants of Exemption Nos. 11062 to 

Astraeus Aerial (Docket No. FAA−2014−0352), 11109 to Clayco, Inc. (Docket No. 

FAA−2014−0507), 11112 to VDOS Global, LLC (Docket No. FAA−2014−0382), 11213 to 

Aeryon Labs, Inc. (Docket No. FAA−2014−0642), and 12645 to Allied Drones (Docket No. 

FAA-2014-0804), in which the FAA determined that the proposed UAS operations were in the 

public interest, and granted the relief necessary to enable those operations. SwRI will operate 

under the parameters described in Section IV and will use aircraft that will achieve a level of 

safety comparable to that proposed by these and other petitioners that have received Section 333 

exemptions. The FAA therefore should afford expedited treatment to SwRI, and grant this 

Petition in accordance with its summary grant procedures. 

VI. APPLICANT CONTACT INFORMATION 

The contact information for the applicant is: 

Monica Trollinger 

Deputy General Counsel 

Southwest Research Institute 

6220 Culebra Road 

San Antonio, Texas 78238-5166 

(210) 522-6024 

mtrollinger@swri.com 

VII. SPECIFIC SECTIONS OF 14 C.F.R. FROM WHICH APPLICANT SEEKS 

EXEMPTION 

SwRI requests exemption from the following Federal Aviation Regulations to the extent 

necessary to enable the requested UAS operations: 

14 C.F.R. §§ 61.23(a) and (c); 

14 C.F.R. §§ 61.101(e)(4) and (5); 

14 C.F.R. § 61.113(a); 

14 C.F.R. § 61.315(a); 

14 C.F.R. § 91.7(a); 
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14 C.F.R. § 91.119(c); 

14 C.F.R. § 91.121; 

14 C.F.R. § 91.151(a)(1); 

14 C.F.R. § 91.405(a); 

14 C.F.R. § 91.407(a)(1); 

14 C.F.R. §§ 91.409(a)(1) and (2); 

14 C.F.R. §§ 91.417(a) and (b). 

Below, SwRI provides an analysis of each regulatory provision from which exemption is 

requested. 

A. 14 C.F.R. §§ 61.23(a) and (c) Medical certificates: Requirement and 

duration; 14 C.F.R. §§ 61.101(e)(4) and (5) Recreational pilot privileges and 

limitations; 14 C.F.R. §§ 61.113(a) Private pilot privileges and limitations; 14 

C.F.R. § 61.315(a) What are the privileges and limits of my sport pilot 

certificate. 

Because SwRI’s UAS will not carry a pilot or passengers, the proposed operations can achieve 

the equivalent level of safety by requiring the PIC operating the aircraft to have either an airline 

transport, commercial, private, recreational or sport pilot certificate as well as either a current 

FAA airman medical certificate or a valid U.S. driver’s license. Unlike a conventional aircraft 

that carries the pilot and, potentially, passengers, UAS are remotely controlled with no living 

things on board. The level of safety provided by the operating parameters exceeds that provided 

by a single individual holding a commercial pilot’s certificate operating a conventional aircraft. 

The risks associated with the operation of UAS are so diminished from the level of risk 

associated with commercial operations that was contemplated by Part 61 when it was drafted, 

that allowing operations of the UAS as requested with an individual that holds a private pilot’s 

license as the PIC exceeds the present level of safety achieved by the above cited rule sections. 

The FAA issued an exemption to this regulation in Grant of Exemption No. 11210, among 

others. 

B. 14 C.F.R. § 91.7(a) Civil Aircraft Airworthiness 

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

airworthy condition to be operated. As there will be no airworthiness certificates issued for the 

UAS, approval of this exemption should be granted because no FAA regulatory standards exist 

for determining airworthiness. Given the size of SwRI’s UAS and the operating requirements 

listed herein, an equivalent level of safety to this rule will be achieved. The FAA has issued an 

exemption to this rule in Exemption No. 11911, among others. 

C. 14 C.F.R. § 91.119(c) Minimum safe altitudes over congested and other areas 

Section 91.119(c) establishes safe altitudes for operation of civil aircraft over areas other than 

congested areas. SwRI requests relief from this section with respect to those participating 

persons, vehicles, and structures directly involved the UAS operations. The UAS will never 

operate at higher than 400 feet AGL. Relief from this provision is warranted as operations will 
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be conducted with the safety provisions as outlined herein. The FAA issued an exemption to this 

regulation in Grant of Exemption No. 11062, among others. 

D. 14 C.F.R. § 91.121 Altimeter Settings 

This regulation requires each person operating an aircraft to maintain 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.” This requirement is inapplicable to SwRI’s UAS, 

which do not utilize an altimeter. SwRI’s UAS rely on a digital barometric sensor and/or GPS 

altitude readout. To the extent that an exemption from this requirement is necessary, SwRI notes 

that an equivalent level of safety will be achieved by the operator using these sensors to confirm 

the altitude of the launch site before flight. The FAA issued an exemption to this regulation in 

Grant of Exemption No. 11166, among others. 

E. 14 C.F.R. § 91.151(a)(1) Fuel requirements for flight in Visual Flight Rules 

(“VFR”) conditions 

Section 91.151(a)(1) prohibits an individual from beginning “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.” Operating small UAS in controlled areas do not 

engender the type of risks that § 91.151(a)(1) was intended to alleviate given the size and speed 

of the UAS. The FAA issued an exemption to this regulation for UAS operations in Grant of 

Exemption No. 11204, among others. 

F. 14 C.F.R. § 91.405(a) Maintenance required; 14 C.F.R. § 91.407(a)(1) 

Operation after maintenance, preventive maintenance, rebuilding or 

alteration; 14 C.F.R. §§ 91.409(a)(1) and (2) Inspections; 14 C.F.R. §§ 

91.417(a) and (b) Maintenance records 

These regulations require 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) of this section, have discrepancies repaired as prescribed in part 43 of this 

chapter...,” and others shall inspect or maintain the aircraft in compliance with Part 43. 

Given that these sections and Part 43 apply only to aircraft with an airworthiness certificate, 

these sections will not apply to SwRI. Maintenance will be accomplished by the operator 

pursuant to the manufacturer’s requirements. An equivalent level of safety will be achieved 

because SwRI’s UAS are very limited in size, will carry a small payload, and will operate only in 

controlled areas for limited periods of time. If mechanical issues arise, the PIC will attempt to 

land the aircraft as quickly as possible and giving preference to landing locations where injury to 

person and property can be minimized. As the flight ceiling of the UAS is less than or equal to 

400 feet AGL, the time required to land the aircraft will not be substantial. The operator will 

ensure that the UAS is in working order prior to initiating flight. Moreover, 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. The FAA issued an exemption to these 

regulations in Grant of Exemption No. 11062, among others. 
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G. Such other relief as the FAA deems appropriate to enable the requested 

operations. 

SwRI also requests exemption from such other relief as the FAA deems appropriate to enable the 

requested operations. If, during the effective dates of any Grant of Exemption issued pursuant to 

this Petition, the FAA issues interim or final rules for small UAS, SwRI requests that it be 

relieved of the requirements of any conditions and limitations of said exemption and allowed to 

comply with any less burdensome applicable regulations that may have become effective. 

VIII. FEDERAL REGISTER SUMMARY 

If the FAA determines that summary grant is not appropriate in this case, below is a summary of 

the petition for publication in the Federal Register. 

Name of Petitioner: Southwest Research Institute 

Sections of 14 C.F.R. Affected: 14 C.F.R. §§ 61.23(a) and (c); 14 C.F.R. §§ 61.101(e)(4) and (5); 

14 C.F.R. § 61.113(a); 14 C.F.R. § 61.315(a); 14 C.F.R. § 91.7(a); 14 C.F.R. § 91.119(c); 14 

C.F.R. § 91.121; 14 C.F.R. § 91.151(a)(1); 14 C.F.R. § 91.405(a); 14 C.F.R. § 91.407(a)(1); 14 

C.F.R. §§ 91.409(a)(1) and (2); 14 C.F.R. §§ 91.417(a) and (b). 

Description of Relief Sought: Petitioner seeks relief from the requirements of 14 C.F.R. §§ 

61.23(a) and (c); 14 C.F.R. §§ 61.101(e)(4) and (5); 14 C.F.R. § 61.113(a); 14 C.F.R. § 

61.315(a); 14 C.F.R. § 91.7(a); 14 C.F.R. § 91.119(c); 14 C.F.R. § 91.121; 14 C.F.R. § 

91.151(a)(1); 14 C.F.R. § 91.405(a); 14 C.F.R. § 91.407(a)(1); 14 C.F.R. §§ 91.409(a)(1) and 

(2); 14 C.F.R. §§ 91.417(a) and (b) to enable the operation of small unmanned aircraft systems to 

conduct research and development and collect aerial data. 

IX. CONCLUSION 

For the foregoing reasons, SwRI respectfully requests that the FAA grant this Petition for 

exemption and enable SwRI to operate UAS to aid its research and development projects. Grant 

of this Petition is consistent with the FMRA and would help fulfill Congress’s mandate to 

integrate civil UAS into the national airspace system. 

Please do not hesitate to contact SwRI’s outside counsel, Katy M. Ross of Wiley Rein LLP, at 

202-719-7410 or kmross@wileyrein.com, and Sara M. Baxenberg of Wiley Rein LLP, at 202-

719-3755 or sbaxenberg@wileyrein.com, with any questions about this filing. 

Respectfully Submitted, 

/s/ Monica Trollinger 

Monica Trollinger 

Deputy General Counsel 

Southwest Research Institute 

 6220 Culebra Road 
8 

 San Antonio, Texas 78238-5166 

(210) 522-6024