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FAA Docket No. FAA-2015-3173

November 2, 2015

U. S. Department of Transportation

Docket Management System

1200 New Jersey Ave., SE

Washington, DC 20590

Re: Existing Docket ID: FAA-2015-3173 Response for additional information dated October 15, 2015 Addendum: 

Summary Processing: ExemptionRequest Under Section 333 of the FAA Reform Act and Part 11 of the Federal 

AviationRegulations Based Upon Exemption 11110A Issued to Trimble Navigation Limited

Dear Sir or Madam:

Allen Associates, Inc (“Applicant”) herewith applies for the issuance of an

exemption under Section 333 of the FAA Modernization and Reform Act of 2012 (“Reform Act”)

based upon Exemption 11110 issued to Trimble Navigation Limited (“Trimble”) on December 10,

2014, as amended on May 7, 2015 with issuance of Exemption 11110A in FAA Docket 2014-

0367.

The requested exemption would allow Applicant to operate the Trimble UX5 and Trimble

UX5 HP aircraft manufactured by Trimble Navigation, or other Trimble aircraft approved for

commercial operations under Exemptions 11110 and 11110A, as they may be amended in the

future. Applicant notes that, in granted Exemption 11666 dated May 22, 2015, the FAA

authorized use of the Trimble UX5 by a third party company under conditions like those in

Exemption 11110A.1Applicant hereby confirms that it will accept the conditions in Exemptions

11110A and 11666.

Applicant aircraft will be used to conduct aerial surveys and perform aerial data

collection for agriculture, mining, and other purposes, but not for closed set filming (hereinafter

“the Purpose”). Applicant hereby applies for an exemption from the listed Federal Aviation

Regulations (“FARs”) to allow commercial operation of its small unmanned aerial vehicles

(“sUAVs”), so long as such operations are conducted within and under the conditions outlined

herein or as may be established by the FAA in an exemption granted under either Section 333

or Section 49 U.S.C. §44701(f).

As this exemption request is identical to the already issued precedent, this request

should qualify for summary processing as the FAA has already provided public notice of and

granted similar exemptions. The FAA has issued exemptions in circumstances similar in all

material respects to those presented in this petition. In numerous exemptions, the FAA has

found that the enhanced safety achieved using an unmanned aircraft (“UA”) with the

specifications described by the petitioners and carrying no passengers or crew, when compared

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1 Exemption No. 11666 to AeroView Services LLC (see Docket No. FAA-2015-0630).
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FAA Docket No. FAA-2015-3173

to flights of much larger manned aircraft that carry crew in addition to flammable fuel, gives the

FAA good cause to find that the sUAV operation enabled by the exemptions serves the public

interest.2 In those cases, use of the proposed sUAV not only enhanced safety but also fulfilled

the Secretary of Transportation’s (the FAA Administrator’s) responsibility to “. . . establish

requirements for the safe operation of such aircraft systems in the national airspace system.”

Section 333(c) of the Reform Act.

The name and address of the applicant is:

Richard Gage, President

Allen Associates Inc.

7114 E Earl Drive

Scottsdale, AZ 85251

PH: (408) 994-1306

email: rgage@alleninst.com

Regulations from which the exemption is requested:

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)(b)

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)

This exemption application is expressly submitted to fulfill Congress’ goal in passing

Sections 333(a) through (c) of the Reform Act. This law directs the Secretary of Transportation

to consider whether certain unmanned aircraft systems may operate safely in the national

airspace system (NAS) before completion of the rulemaking required under Section 332 of the

Reform Act. In making this determination, the Secretary is required to determine which types of

sUAVs 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 sUAV’s size, weight, speed, and operational capability;

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

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

2 Exemption Nos. 11062 to Astraeus Aerial (see Docket No. FAA−2014−0352),11109 to Clayco,

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

11213 to Aeryon Labs, Inc. (see Docket No. FAA−2014−0642), and 11783 to Precision Design & Drafting, Inc (see Docket No. FAA-2015-0280)
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FAA Docket No. FAA-2015-3173

Reform Act § 333(a). Lastly, 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) (emphasis added).3

The Federal Aviation Act, in addition to the authority granted by Section 333 of Reform

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, which includes sUAVs, must have a current airworthiness

certificate.4

The sUAVs that Applicant proposes to use are fixed wing Trimble UX5 and UX5 HP,

each aircraft weigh less than 55 lbs, including payload. They operate, under normal conditions,

at a speed of no more than 87 knots. They will operate at altitudes of no more than 400 feet

above ground level, as further explained, and only within line of sight. They will operate as set

forth in the manuals attached hereto and made a part hereof.

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Operations in compliance with these manuals will ensure that the sUAV will “not create a hazard

to users of the national airspace system or the public”6and that the aircraft will operate in

compliance with the conditions set forth in this application.

AIRCRAFT AND EQUIVALENT LEVEL OF SAFETY/NATIONAL SECURITY

The Applicant states that operating in compliance with the conditions set forth in

Exemption 11666 and 11110A will provide an equivalent level of safety for the operation of the

UX5 and UX5 HP. Approval of exemptions allowing commercial operations of sUAVs for aerial

data collection will enhance safety by reducing risk. Conventional operations, using jet or piston

power aircraft, operate at extremely low altitudes just feet from the subject being photographed

and in extreme proximity to people and structures and present the risks associated with vehicles

that weigh in the neighborhood of 6,000 lbs., carrying large amounts of jet A or other fuel (140

gallons for jet helicopters). Such aircraft must fly to and from the project location. In contrast, a

sUAV weighing fewer than 55 lbs. and powered by batteries eliminates virtually all of that risk

given the reduced mass and lack of combustible fuel carried on board. The sUAV is carried to

the target area and not flown. The sUAV will carry no passengers or crew and, therefore, will

_______________________

3 Applicant interprets this provision to place the duty on the Administrator to not only

process applications for exemptions under section 333, but for the Administrator to craft

conditions for the safe operation of the sUAV, if it should be determined that the conditions set

forth herein do not fulfill the statutory requirements for approval.

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

prescribed under subsection (a) or (b) of this section or any sections 44702-44716 of the

Transportation Act if the Administrator finds the exemption in the public interest.” 49 U.S.C.

§44701(f). See also 49 U.S.C. § 44711(a); 49 U.S.C. § 44704; 14 C.F.R. § 91.203(a)(1).

5 Applicant has marked the manuals “CONFIDENTIAL” and separately submitted them.

Applicant requests that these manuals be maintained in confidence and not be placed in the

public docket or otherwise disclosed to the public. As the information contained in the manuals

includes trade secrets and commercial information that is confidential and not made available to

the public, it is exempt from disclosure under the Freedom of Information Act, 5. U.S.C. § 552(b)

and 14 C.F.R. Part 11. Should the FAA receive a request for access to these manuals,

Applicant requests notification of such request prior to any action being taken by the FAA, as it

may relate to the request.

6 Section 333(b) of the Reform Act.
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FAA Docket No. FAA-2015-3173

not expose them to the risks associated with manned aircraft flights. These lightweight aircraft

operate at slow speeds, close to the ground, and in areas that are under the control of the

operator and, as a result, are far safer than conventional operations conducted with larger

manned aircraft operating in close proximity to the ground and people.

Given the small size of the sUAVs involved and the restricted environment within which

they will operate, Applicant falls squarely within that zone of safety (an equivalent level of

safety) in which Congress envisioned that the FAA must, by exemption, allow commercial

operations of sUAVs to commence immediately. Also, due to the size of the sUAVs, the

restricted areas in which they will operate, and the fact that they will be flown by pilots holding at

least an FAA sport or recreational pilot license, approval of the application presents no national

security issue.

PUBLIC INTEREST

The FAA has granted exemptions to the regulations listed on page 2 in the exemptions

cited above. As discussed in detail for each of these regulations in the attached Appendix A,

the public interest will be served by an exemption because, with respect to each, operation in

compliance with the requested conditions will ensure an equivalent level of safety. As also

explained at length in Trimble’s original Section 333 exemption request submitted on May 30,

2014, the grant of the requested exemption is in the public interest given the clear direction in

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

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

public benefit derived from, among other things, the enhanced safety and reduced

environmental impact, including the reduced emissions associated with allowing battery

powered sUAVs instead of turbine or gas powered aircraft.

*********

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:

Applicant seeks an exemption from the following rules:

14 C.F.R. §§61.23(a) and (c ), 61.101(e )(4) and (5), 61.113(a), 61.315(a), 91.7(a),

91.119(c), 91.121, 91.151(a)(1)(b), 91.405(a), 91.405(a)(1), 91.409(a)(1) and (2), and 91.417(a)

and (b) to operate commercially a small unmanned vehicle (55 lbs. or less) in aerial surveys and aerial data 

collection.

Satisfaction of the criteria provided in Section 333 of the Reform Act of 2012 – size,

weight, speed, operating capabilities, proximity to airports and populated areas and operation

within visual line of sight and national security – provide more than adequate justification for the

grant of the requested exemption allowing commercial operation of applicant’s sUAV for the

Purpose outlined herein and are consistent with exemptions already granted, including

Exemption 1110A. Accordingly, the applicant respectfully requests that the FAA grant the

requested exemption without delay.

Best Regards,

Richard Gage- President
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FAA Docket No. FAA-2015-3173

APPENDIX A

14 C.F.R. § 61.23(a) and (c): Medical Certificates: Requirement and Duration

Sections 61.23(a) and (c) address the requirement of medical certificates for pilots.

Section 61.23(a) requires a person exercising the privileges of a recreational pilot to hold at

least a third class medical certificate. Section 61.23(c) permits the holder of a sport pilot

certificate to act as PIC of a light-sport aircraft with either a medical certificate or U.S. issued

driver’s license. Light-sport aircraft may weigh up to 1,430 pounds and seat up to two persons,

including the pilot. Comparatively, the Trimble craft will weigh fewer than 55 pounds, and it will

not carry pilots, passengers, or cargo. The UX5/UX5 HP sUAV will also be operated within

visual line of sight of the PIC and below 400 feet above ground level and limited to operations

with permission over private or controlled-access property.

Given these safety parameters, Applicant requests that the FAA waive Section 61.23(a)

upon a finding that an equivalent level of safety will be provided by allowing operation of the

Trimble craft by pilots with a recreational or sport pilot certificate and a valid U.S. state issued

driver’s license, in lieu of an FAA-issued medical certificate. Applicant also requests that the

FAA grant relief from Section 61.23(c) to allow sport pilot certificate holders to operate aircraft

other than light-sport aircraft with a valid U.S. issued driver’s license. The FAA has granted

exemptions to conduct similar operations in a number of cases, including Exemption 11213.

14 C.F.R. Part 61: Private Pilot Privileges and Limitations: Pilot in Command

Sections 61.113 (a) & (b) limit private pilots to non-commercial operations.

Section 61.315(a) addresses the privileges and limitations of the holder of a sport pilot

certificate.

Because the sUAV will not carry a pilot or passengers, the proposed operations can

achieve the equivalent level of safety of current operations by requiring the PIC operating the

aircraft to hold a certificate issued by the FAA authorizing operation of any aircraft (ATP,

Commercial, Private, Recreational or Sport). Unlike a conventional aircraft that carries the pilot

and passengers, the sUAV is remotely controlled with no living thing on board. The area of

operation is controlled and restricted, and all flights are planned and coordinated in advance as

set forth in the manual. The level of safety provided by the requirements included in the

manuals exceeds that provided by a single individual holding a commercial pilot’s certificate

operating a conventional aircraft. The risks associated with the operation of the sUAV are so

diminished from the level of risk associated with commercial operations contemplated by Part

61 when drafted, that allowing operations of the sUAV as requested with any certificate issued

by the FAA as the PIC greatly exceeds the present level of safety achieved by 14 C.F.R. Part

61. The FAA has granted exemptions for private and sport or recreational pilots to conduct

similar operations in Exemptions 11062, 11213, 11360 and 11666.

14 C.F.R. § 91.119: Minimum Safe Altitudes

Section 91.119 establishes safe altitudes for operation of civil aircraft. Specifically,

91.119(c) limits aircraft flying over areas other than congested areas to an altitude of 500 feet

above the surface, except over open water or sparsely populated areas. In those cases, the

aircraft may not be operated closer than 500 feet to any person, vessel, vehicle, or structure.
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As set forth herein, the Trimble craft will never operate at higher than 400 feet AGL.

They will, however, be operated to avoid congested or populated areas that are depicted in

yellow on VFR sectional charts. Because aerial survey work must be accomplished at relatively

low altitudes and at altitudes less than 400 feet AGL, an exemption from Section 91.119(c) is

needed.

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

material with which the Trimble craft are built. Also, no flight will be taken without the

permission of the landowner or those who control the land. Because of the advance notice to

the landowner, all affected individuals will be aware of the survey flights. Compared to aerial

survey operations conducted with aircraft or rotorcraft weighing far more than the Trimble craft

and carrying flammable fuel, any risk associated with these operations will be far less than

those currently allowed with conventional aircraft operating at or below the same altitude.

Indeed, the low-altitude operations of the sUAV will maintain separation between these sUAV

operations and the operations of conventional aircraft that must comply with Section 91.119.

The FAA has granted exemptions to conduct similar operations in Exemptions 11062, 11213,

11360 and 11447.

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.” As each sUAV model in at least one operating

mode will not have a barometric altimeter, but instead a GPS altitude read out, an exemption

will be needed. An equivalent level of safety will be achieved by the operator, pursuant to the

manuals, confirming the altitude of the launch site shown on the GPS altitude indicator before

flight. The FAA has granted exemptions to conduct similar operations in Exemptions 11062,

11213, 11360 and 11447.

14 C.F.R. § 91.151(a): Fuel Requirements for Flight in VFR Conditions

Section 91.151 (a) 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; or (2) At night, to fly after that for at least 45

minutes.”

The battery powering the sUAV limits the duration of a flight. To meet the 30-minute

reserve requirement in 14 C.F.R. § 91.151, sUAV flights would be severely limited, in some

cases to approximately 10 minutes in length. Given the limitations on the sUAV’s proposed

flight area and the location of its proposed operations within a predetermined area, a longer time

frame for flight in daylight or night VFR conditions is reasonable.

Applicant believes that an exemption from 14 C.F.R. § 91.151(a) falls within the scope of

prior exemptions. See Exemption 10673 (allowing Lockheed Martin Corporation to operate

without compliance with FAR 91.151 (a)). Operating the sUAV, in a tightly controlled area

where only people and property owners or official representatives who have signed waivers will

be allowed, with less than 30 minutes of reserve fuel, does not engender the type of risks that

Section 91.151(a) was intended to alleviate given the size and speed of the sUAV.
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Applicant believes that an equivalent level of safety can be achieved by limiting flights to

five minutes of reserve time on the batteries. This restriction would be more than adequate to

return the sUAV to its planned landing zone from anywhere in its limited operating area. Similar

exemptions have been granted to other operations in Exemptions 2689F, 5745, 10673, 10808

and Exemptions 11062, 11213, 11360, 11447 and 11666.

14 C.F.R. Part 91: 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) of this section, have discrepancies repaired as prescribed in

part 43 of this chapter . . . .” 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 airworthiness

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

maintenance 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.

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

certificate, these sections will not apply to the applicant. Maintenance will be accomplished by

the operator pursuant to the manuals. An equivalent level of safety will be achieved because

these sUAVs are very limited in size and will carry a small payload and operate only in areas for

limited periods of time. If mechanical issues arise, the sUAV can land immediately since it will

be operating from no higher than 400 feet AGL. As provided in the manuals, the operator will

ensure that the sUAV is in working order prior to initiating flight, perform required maintenance,

and keep a log of any maintenance performed. Moreover, the operator is the person most

familiar with the aircraft and best suited to maintain the aircraft in an airworthy condition in order

to provide the equivalent level of safety. The FAA has granted exemptions for similar operations

in Exemptions 11062, 11213, 11360, 11447 and 11666.