Mark E. McKinnon

Matthew J. Clark

Mark.McKinnon@dentons.com

Matthew.Clark@dentons.com

D 703.336.8708

D 703.336.8714

Dentons US LLP

1676 International Drive • Penthouse

McLean, VA 22102

United States

T 703.336.8800

F 703.336.8750

Salans FMC SNR Denton

McKenna Long

dentons.com

July 23, 2015

To Whom it May Concern: 

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

and 14 C.F.R. Part 11, The Pennsylvania State University (hereinafter sometimes referred to as 

"Penn State" or "University") hereby applies for a Grant of Exemption from the Federal Aviation 

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

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

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

service mission. In particular, Penn State seeks permission to operate the following vehicles: the DJI 

Phantom series, DJI Spreading Wings series, DJI Inspire series, 3D Robotics X8, 3D Robotics X8+,

Adaptive Flight Hornet Mini UAS, BTE Super Flyin' King, and Penn State's proprietary AutoSOAR 

and the FX-61. Penn State 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 State will also submit the following 

documents:

 The University UAS Operations Manual

 Adaptive Flight Hornet Mini UAS Operating Handbook

 AutoSOAR Data Package

 FX-61 Data Package 

Penn State submitsthis material as confidential documents under separate cover pursuant to 

14 C.F.R. § 11.35(b), as the material contains confidential commercial and proprietary information 

that Penn State has not and will not share with others. The information contained in these documents

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: The Pennsylvania State University Petition for Exemption Pursuant to Section 

333 of the FAA Modernization and Reform Act of 2012
 

U.S. Department of Transportation

July 23, 2015

Page 2

For your convenience, this Petition is organized as follows:

TABLE OF CONTENTS

PAGE

I. BACKGROUND & DESCRIPTION OF PETITIONER................................................................3

II. DESCRIPTION OF PROPOSED OPERATION...........................................................................3

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

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

SECTION 333 OF THE REFORM ACT....................................................................................5

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

Operational Capability.............................................................................................5

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

State's Operating Documents...................................................................................8

V. REGULATIONS FROM WHICH EXEMPTION IS SOUGHT......................................................9

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

Requirements .........................................................................................................10

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

Maintenance Inspections........................................................................................11

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

Recreational and Sport Pilot Medical Certificate, Privileges and 

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

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

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

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

F. 91.103: Preflight Action........................................................................................14

G. 91.109(a): Flight Instruction .................................................................................14

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

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

J. 91.151(a): Fuel Requirements for Flight in VFR Conditions................................16

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

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

VIII. PRIVACY ............................................................................................................................17

IX. FEDERAL REGISTER SUMMARY........................................................................................17

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

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Page 3

I. BACKGROUND & DESCRIPTION OF PETITIONER

Originally founded in 1855 as the Farmers’ High School, The Pennsylvania State University 

is now the largest university in Pennsylvania. Penn State has a broad mission of teaching, research 

and public service, which it carries out with pride and focus on the future. While its origins focused

on the scientific principles of farming, Penn State currently offers studies in over 160 baccalaureate, 

90 associate, 160 graduate (including master’s and doctoral), and three professional degree programs 

throughout its 24 campuses, teaching hospital, and online world campus. The ability to use UAS

would benefit and further the University’s mission, as more fully described in Section II below, and 

for these reasons and more, Penn State respectfully seeks an exemption for civil operations of small 

unmanned aircraft. 

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

support of its Petition for Exemption. 

The contact information for Petitioner is as follows:

Jennifer L. Jacobs

Associate General Counsel

Office of General Counsel

The Pennsylvania State University

227 West Beaver Avenue

Rider Building, Suite 507

State College, Pennsylvania 16801

Phone: (814) 867-5358

Fax: (814) 863-8469

Email: jlj27@psu.edu

II. DESCRIPTION OF PROPOSED OPERATION

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

different UAS platformsfor aerial data collection in support of its mission of teaching, research and 

public service mission. In furtherance of its stated mission, Penn State seeks to use UAS in order to 

continue pursuing innovative research and providing cutting edge educational opportunities, 

resources, and expertise for its students, faculty, and the public. The ability to use UAS will benefit 

and further all three prongs of the University’s mission as more fully described herein.

 Teaching. Penn State’s instructional mission includes undergraduate, graduate, 

professional, and continuing education offered through resident instruction and online 

delivery. Penn State's educational programs are enriched by the cutting edge knowledge, 

diversity, and creativity of its faculty, students, and staff. Developing technology on UAS 

has made these devices a key educational tool for students and faculty. For example, UAS 

can be used to teach students in the College of Agricultural Sciences the principles of remote 

sensing and photogrammetry from aerial photographs. In addition, graduate students in the 
 

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College of Engineering attend the University with goals of developing degrees tailored to 

their research interests in flight dynamics, control, and flight planning of UAS.

 Research. Penn State's research, scholarship, and creative activity promote human and 

economic development, global understanding, and progress in professional practice through 

the expansion of knowledge and its applications in the natural and applied sciences, social 

sciences, arts, humanities and the professions. Interest in use of UAS for research cuts 

across all University disciplines, including but not limited to, aerospace and mechanical 

engineering, agriculture, and geological sciences. Within engineering, UAS will serve as a 

platform for and be the subject of research, where faculty and scientists seek to conduct 

research on guidance, control, and navigation of UAS. In the field of agriculture sciences, 

Penn State researchers plan to use UAS to map agricultural and rangeland commodities, 

soils, and vegetation (including wetlands and forests).

 Public Service. As Pennsylvania’s land-grant university and a state-related institution, Penn 

State provides unparalleled access and public service to support the citizens of the 

Commonwealth. Penn State engages in collaborative activities with local, national, and 

international industrial, educational, and agricultural partners to generate, disseminate, 

integrate, and apply knowledge that is valuable to society. University research on unmanned 

aircraft could lead to applications currently unavailable, whether due to cost, safety, or 

impossibility, for the public. For example, members of the University’s cooperative 

extension hope to use unmanned aircraft as demonstrative tools before farm cooperators in a 

variety of applications including precision agriculture (e.g., plant pest monitoring, plant 

pathogen monitoring, and agricultural production status), water quality, and safety training. 

Penn State also intends to operate UAS to inspect and monitor its buildings and infrastructure 

on and off campus. Aerial data collected by Penn State's UAS would also be used to promote and 

market Penn State, as well as support student recreational and sport activities. 

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

operations will be performed in accordance with the accompanying Penn State 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, unless 

authorized by an applicable COA, 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 State's 

operating documents incorporate redundant safeguards to enhance safety.

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

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

support of similar educational and research activities, including:

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

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

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

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

No. FAA-2014-1014); and

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

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

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

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

III. RELEVANT STATUTORY AUTHORITY

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

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

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

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

do so based on the following considerations:

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

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

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

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

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

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

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

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

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

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

exemption).

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

333 OF THE REFORM ACT

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

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

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

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

Exemption. 

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

Operational Capability

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

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

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

the 3D Robotics X8 and X8+. See e.g.,

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

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

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

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

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

Partners LLC

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

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

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

Sydor Aerial Photography, LLC

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Integrity Services

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

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

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

Principia Inc.

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

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

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

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

to Orbic Air, LLC
 

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 3D Robotics X8: Exemption No. 11521 to SkyWard IO, Inc.; Exemption No. 11446 to 

Trumbull Unmanned, LLC; and Exemption No. 11335 to Voler, Inc.

 3D Robotics X8+: Exemption No. 11626 to Olssson Associates; Exemption No. 11617 

to Aerial Precision Survey 

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

Penn State also seeks permission to operate the following vehicles:

 AutoSOAR UA: The AutoSOAR UA is a proprietary design battery powered fixedwing UAS. The vehicle weighs 15 pounds and has a maximum gross takeoff weight of 

approximately 20 pounds. The AutoSOAR is composed primarily of composite 

materials. It has a wingspan of 168 inches and measures 72 inches in length. The 

maximum operating airspeed of the vehicle is ~35 m/s and the maximum flight time is 

approximately 30 minutes. The vehicle uses a command and control frequency of 900 

MHz.1

 

 FX-61: The FX-61 is a proprietary design battery powered fixed-wing UAS. The 

vehicle weighs 2 pounds (900 grams) and has a maximum gross takeoff weight of 

approximately 2.5 pounds(1150 grams). The FX-61 is composed primarily of Expanded 

Polyolefin (EPO) Foam. It has a wingspan of 61 inches and measures 27 inches in 

length. The maximum operating airspeed of the vehicle is 15 meters/second and the 

maximum flight time is approximately 40 minutes. The vehicle uses a command and 

control frequency of 2.4 GHz.2 

 BTE Super Flyin' King: The Super Flyin' King is a small fixed-wing aircraft 

manufactured by Bruce Tharpe Engineering (BTE). The vehicle is composed primarily

of lightweight plywood, has a wingspan of 132 inches and measurers 95 inches in length.

The vehicle is powered by two AXI 5345/16 HD electric motors. It has a maximum 

gross takeoff weight of approximately 36 pounds and can sustain flight for 

approximately 30 minutes depending on operating conditions. The vehicle has a 

maximum operating speed of approximately 65 mph and operates on a control frequency 

of 900 MHz.

3

 

 Adaptive Flight Hornet Mini UAS: The Hornet Maxi is a small battery powered 

rotorcraft UAS. The vehicle weighs 15-18 pounds depending on the exact configuration 

 

1 Additional vehicle specifications are contained in the AutoSOAR UA Data Package, which 

contains proprietary and confidential information and will be submitted under separate cover. 

2 Additional vehicle specifications are contained in the FX-61 Data Package, which contains 

proprietary and confidential information and will be submitted under separate cover. 

3

For additional details on the BTE Super Flyin' King, see http://www.btemodels.com/sfk.html
 

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and has maximum gross takeoff weight of approximately 19-22 pounds. The rotor 

diameter is 53 inches and the body length is 49 inches. It has a maximum flight time of 

approximately 19 minutes and a maximum effective operating speed of 27.3 mph. The 

operating frequency of the vehicle is 2.4 GHz.4 

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

Spreading Wing series, DJI Inspire series, and the 3D Robotics X8 and X8+, which are also shared 

by the BTE Super Flyin' King, , Adaptive Flight Hornet Mini UAS, the AutoSOAR UA and FX-61 

to warrant approval for a grant of exemption:

 They all weight less than 55 pounds including payload;

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

contingencies or failures and uses an auto-pilot system to maintain UAS stability and control. 

The UAS is also able to respond to a loss of GPS or a lost-link event with a pre-coordinated, 

predictable, automated flight maneuver. These safety features provide an equivalent level of 

safety compared to a manned aircraft performing a similar operation and mitigate the risk of 

command and control link failures; 

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

Communications Commission (FCC) and other appropriate government oversight agency 

requirements; and

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

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

State's Operating Documents 

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

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

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

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

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

situated petitioners seeking to use small UAS for aerial data collection. See e.g., Grant of Exemption 

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

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

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

 

4 Additional information on vehicle specifications and operating capabilities are contained in the 

Adaptive Flight Hornet Mini UAS Operating Handbook.
 

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V. REGULATIONS FROM WHICH EXEMPTION IS SOUGHT

The Federal Aviation Act expressly grants the FAA the authority to issue exemptions. This 

statutory authority, by its terms, includes exempting civil aircraft, as the term is defined under 

§ 40101 of the Act, including UAS, from its safety regulations and minimum standards when the 

Administrator decides a requested exemption is in the public interest.5

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

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

FAR Description

91.9(c); 45.23(b) and 

45.27(a)

Aircraft Marking and Identification Requirements

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

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

91.417(a) and (b) 

Maintenance and Inspection Requirements

61.23(a) and (c), 61.113; 

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

Private, Recreational and Sport Pilot Medical Certificate, 

Privileges and Limitations

91.7(a) Civil Aircraft Airworthiness

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

(b)

Carrying Aircraft Flight Manual, Certification and Registration in 

the Aircraft 

91.103 Preflight Action

91.109(a) Flight Instruction

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

91.121 Altimeter Settings

91.151(a) Fuel Requirements for Flight in VFR Conditions 

 

5

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

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

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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.6

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

Requirements

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

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

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

provides that:

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

in accordance with Part 45 of this chapter.

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

When marks include only the Roman capital letter "N" and the registration number is 

displayed on limited, restricted or light-sport category aircraft or experimental or 

provisionally certificated aircraft, the operator must also display on that aircraft near 

each entrance to the cabin, cockpit, or pilot station, in letters not less than 2 inches 

nor more than 6 inches high, the words "limited," "restricted," "light-sport, 

"experimental," or "provisional," as applicable.

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

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

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

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

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

practicable."7 All UAS flown by Penn State will bear N-number markings that are as large as 

practicable in accordance with 14 C.F.R. Part 45, Subpart C.8 

 

6

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.

7

FAA Docket No. FAA-2014-0352.

8

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

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

Inspections

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

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

specify maintenance and inspection standards in reference to 14 C.F.R. Part 43.9 An exemption from 

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

and Sport Pilot Medical Certificate, Privileges and Limitations

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

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

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

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

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

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

In the Grant of Exemption No. 11062 to Astraeus Aerial10, the FAA determined that the 

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

 

9

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

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

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

10 FAA Docket No. FAA-2014-0352.
 

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

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

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

operations are involved. 

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

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

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

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

qualified to serve as the PIC for UAS operations.11 

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

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

Section 333 of the FAA Reform Act. Penn State will operate away from persons and property that is 

not the subject matter of the flight. Penn State will also require all PICs to be thoroughly trained in 

the unique aspects of UAS flight. As set forth in the operating documents, pilots will have 

experience not only in UAS operations generally but have logged flight time in the specific make 

and model used for the operations before they are permitted to participate in commercial flights on 

behalf of Penn State. The pilot qualification, training, and currency requirements in the operating 

documents ensure that Penn State's pilots are competent and proficient in the UAS they are 

operating. The Petitioner's training and qualification requirements are consistent with those 

contained in prior FAA-issued grants of exemption, and will provide a higher level of competency 

and proficiency for its pilots and will ensure at least an equivalent level of safety.

D. 91.7(a): Civil Aircraft Airworthiness

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

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

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

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

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

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

91.7(a) is therefore warranted. 

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

(b): Carrying Civil Aircraft Certification and Registration

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

airworthiness documents and other aircraft manuals onboard the aircraft.

Pursuant to 14 C.F.R. § 91.9(b)(2):

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

 

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

8-9).
 

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...

(2) For which an Airplane or Rotorcraft Flight Manual is required by § 21.5 of this 

chapter, unless there is available in the aircraft a current approved Airplane or 

Rotorcraft Flight Manual, approved manual material, markings, and placards, or any 

combination thereof.

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

(a) Except as provided in § 91.715, no person may operate a civil aircraft unless it 

has within it the following:

(1) An appropriate and current airworthiness certificate...

(b) No person may operate a civil aircraft unless the airworthiness certificate required

by paragraph (a) of this section or a special flight authorization issued under § 91.715 

is displayed at the cabin or cockpit entrance so that it is legible to passengers or crew.

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

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

room and the UAS has no cabin or cockpit. 

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

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

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

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

operating the aircraft.12 As this FAA Office of Chief Counsel Opinion clarifies, the intent of the rule 

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

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

control station from which he or she is piloting the UAS.13 

 

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

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

FAA-2014-0352 at 16-18. 

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

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

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

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

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

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

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July 23, 2015

Page 14

F. 91.103: Preflight Action

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

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

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

Flight Manual is required.

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

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

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

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

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

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

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

G. 91.109(a): Flight Instruction

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

that "[n]o person may operate a civil aircraft (except a manned free balloon) that is being used for 

flight instruction unless that aircraft has fully functioning dual controls." UAS and remotely piloted 

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

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

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

91.109(a). 

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

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

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

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

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

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

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

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

§ 91.119(c).

14

 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). 

 

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

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

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

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

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

U.S. Department of Transportation

July 23, 2015

Page 15

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

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

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

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

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

presently exist with conventional aircraft. 

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

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

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

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

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

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

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

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

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

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

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

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

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

I. 91.121: Altimeter Settings

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

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

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

airport or barometric pressure.

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

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

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

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

initiation point is established for the PIC to confirm accuracy of the onboard GPS.15

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

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

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

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

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

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

 

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

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July 23, 2015

Page 16

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

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

VFR conditions. Section 91.151 states:

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

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

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

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

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

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

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

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

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

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

16

 

In Exemption No. 11213 to Aeryon Labs, Inc.17, the FAA determined that a requirement prohibiting 

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

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

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

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

91.151(a).

18

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

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

VI. DRUG AND ALCOHOL PROGRAM

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

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

VII. PUBLIC INTEREST

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

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

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

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

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

completion of the statutorily required rulemaking. 

 

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

17 Docket No. FAA-2014-0642.

18 Exemption No. 11213 at pg. 12.
 

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July 23, 2015

Page 17

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

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

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

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

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

Petition for Exemption. 

VIII. PRIVACY

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

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

not own or control without the prior consent and knowledge of the property owner. 

IX. FEDERAL REGISTER SUMMARY

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

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

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

Regulations:

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

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

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

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

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

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

X. CONCLUSION

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

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

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

the foregoing, Penn State respectfully submits that this Petition for Exemption qualifies for 

expedited approval via the FAA's summary grant process.

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

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

not hesitate to contact us. 
 

U.S. Department of Transportation

July 23, 2015

Page 18

Very truly yours,

Mark E. McKinnon

Matthew J. Clark

Counsel for The Pennsylvania State University

Attachments
 

U.S. Department of Transportation

July 23, 2015

Page 19

(The following attached items will be submitted under separate cover as they contain 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)). 

Attachments: 

 The University UAS Operations Manual 

 Adaptive Flight Hornet Maxi UAS Operating Handbook

 AutoSOAR Data Package

 FX-61 Data Package