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 Moderni zation 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 Robotic s 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 Aviat ion 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 Universi ty UAS Operations Manual

 Adaptive Flight Hor net Mini UAS Operating Handbook

 AutoSOAR Data Package

 FX

- 61 Data Package

Penn State submits this material as confidential documents under separate cover pursuant to 14 C.F.R. § 11.35(b), as the material conta ins confidential commercial and proprietary information

that Penn State has not a nd 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

Inform ation 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 2012U.S. Department of Tran sportation

July 2 3

, 2015 Page 2

For your convenience, this Petition is organized as follows:

T ABLE OF C ONTENTS

P AGE

I. B ACKGROUND & D ESCRIPTION O F P ETITIONER

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

II. D ESCRIPTION OF P ROPOSED O PERATION

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

III. R ELEVANT S TATUTORY A UTHORITY

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

IV. P ENN S TATE ' S P ROPOSED UAS O PERATIONS M EET THE R EQUIREMENTS OF
S ECTION 3 33 OF THE R EFORM A CT

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

................................ ...................... 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

Limitati ons

................................ ................................ ................................ ............. 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. D RUG AND A LCOHOL P ROGRAM

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

VII. P UBLIC I NTEREST

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

VIII. P RIVACY

................................ ................................ ................................ ............................ 17

IX. F EDERAL R EGISTER S UMMARY

................................ ................................ ........................ 17

X. C ONCLUSION

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

July 2 3

, 2015 Page 3

I. B ACKGROUND & D ESCRIPTION OF P ETITIONER

Originally founded in 1855 as the Far mers’ 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 seek s 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:

Je nnifer L. Jacobs

Associate General Counsel

Office of General Counsel The Pennsylvania State University

227 West Beaver Avenue Rider Building, Suite 507 State College, P ennsylvania 16801

Phone: (814) 867

- 5358

Fax: (814) 863

- 8469

Email: jlj27@psu.edu

II. D ESCRIPTION OF P ROPOSED O PERATION

Penn State seeks an exemption pursuant to Section 333 of the Reform Act to use a number of different UAS platforms for 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 p ursuing innovative research and providing cutting edge educational opportunities, resources, and expertise for its stud ents, faculty, and the public. The ability to use UAS will benefit and further all three prongs of the University’s mission as more f ully 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 c utting 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 Ag ricultural Sciences the principles of remote sensing and photogrammetry from aerial photographs. In addition, graduate students in theU.S. Department of Transportation

July 2 3

, 2015 Page 4

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

their research interests in fli ght 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 a nd 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 agricultu re 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

Sta te provide s unparalleled access and public service to support the citizens of the

Commonwealth. Penn State engage s 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 publi c. 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 mon itoring, 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 re creational 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 operati ons in this Petition for Exemption are not new or novel to the FAA. The FAA has previous ly issued grants of exemption to use small UAS for aerial data collection in support of similar educational and research activities , including:

 Exemption No. 11552 to Sinclair Community College to conduct educational research and training (Docket No. FAA

- 2015

- 0374);U.S. Department of Transportation

July 2 3

, 2015 Page 5

 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. R ELEVANT S TATUTORY A UTHORITY

This Petition for Exemption is submitted pursuant to Section 333(a) thro ugh (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 a ircraft 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 U AS 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 publ ic 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 exemptio n: (1) would benefit the public as a whole, and (2) would not adversely affect safety (or how it would provide a level of safety at least equal to the existing rules). See 14 C.F.R. § 11.81 (petitions for exemption).

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

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, a nd 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 andU.S. Department of Transportation

July 2 3

, 2015 Page 6

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. 1 1784 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. 1 1768 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 Precisio n 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. 11 598 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.; Exempti on 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 Fo vea Aero Systems; Exemption No. 11668 to Sky

- Forge Robotics LLC; Exemption No. 11804 to Orbic Air, LLCU.S. Department of Transportation

July 2 3

, 2015 Page 7

 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 Surv ey

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

Penn State also seeks permission to operate the following vehic les:

 AutoSOAR UA : The AutoSOAR UA is a proprietary design battery powered fixed

wing 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 con trol frequency of 900

M Hz. 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 i nches 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 M Hz

. 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 u nder 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.htmlU.S. Department of Transportation

July 2 3

, 2015 Page 8

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 gra nt of exemption:

 They all weight less than 55 pounds in cluding payload;

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

- flight contingencies or failures and uses an auto

- pilot system to maintain UAS stability and control.

Th e 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 an d mitigate the risk of

command and control link failures ;

 The radio frequencies used for operations and control of the UAS comply with the Fede ral Communications Commission (FCC ) and other appropriate governmen t oversight agency requirements; and

 The UA S 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 (herei nafter 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, Pen n State has tailored its operating documents to comply with the condition s and limitations imposed on similarly situated petitioners seeking to use small UAS for aerial data collection. See e.g., Grant of Exemption No. 11552 issued to Sinclair Community C ollege, 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.U.S. Department of Transportation

July 2 3

, 2015 Page 9

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

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 an d 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 us ing small UAS , including:

FAR Description

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

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

61.23(a) and (c), 61 .113 ; 61.101(e)(4) and (5) , 61.315 Private, Recreational and Sport Pilot Medical Certificate, Privileges and Limitations

91.7(a) Civil Aircraft Airworthiness

91.9(b)(2); 91.203(a) and (b) Carrying Aircraft Flight Manual, Certification and Registration in

the Aircraft

91.103 Preflight Action

91.109(a) Flight Instruction

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

91.121 Altimeter Settings

91.151(a) Fuel Req ui rements for Flight in VFR Conditions

5 See 49 U.S.C. § 44701(f) (authorizing the grant of exemptions from requirements of regul ations prescribed pursuant to Sections 44701(a) and (b) and Sections 44702

- 44716).U.S. Department of Transportation

July 2 3

, 2015 Page 10

Listed below are the specif ic 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 Req ui rements

Penn State seeks an exemption from the aircraft marking and identification req ui rements contained in 14 C.F.R. §§ 91.9(c), 45.23(b) and 45.27(a).

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

, provides that:

No person may operate a U.S.

- registered civil aircraft unless that aircraft is identified in accordance with Part 45 of this chapter.

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

When marks i nclude 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 entr ance 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 op erator of a rotorcraft must display on that rotorcraft horizontally on both surfaces of the cabin, fuselage, boom, or tail the marks req ui red by § 45.23.

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

rom these req ui rements was warranted provided that the aircraft "have identification (N

Number) markings in accordance with 14 C.F.R Part 45, Subpart C if the markings are as large as practicable." 7 All UAS flown by Penn State will bear N

- number markings t hat 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 exempt ion 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.U.S. Department of Transportation

July 2 3

, 2015 Page 11

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 req ui rements conta ined 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 the se sections only apply to aircraft with an airworthiness certificate, which the UAS to be operated under this grant of exemption will not have.

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

- flight inspection of the UAS and all associated eq ui pment to account for all discrepan cies 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 req ui red by the operating documents, the PIC who conducts the functional test flight will ma ke an entry in the UAS aircraft records of the flight.

The operating documents also include req ui rements to follow the UAS manufacturer’s maintenance, overhaul, replacement, inspection, and life limit requirements for the air craft and aircraft compone nts. 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 U AS . As a whole, the maintenance and inspection procedures req ui red by Petitioner's operating documents

ensure that an eq ui valent or higher level of safety will be achieved.

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

, 61.315 : Private, Recreational

and Sport Pilot Medical Certificate, 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 req ui re a

s econd class medical certificate. The purpose of Part 61 is to ensure that the skill and competency of any PIC matches the airspace in which the PIC will be operating, as well as req ui ring certifications if the private pilot is carrying passengers or cargo for hire. In this case, while the UAS will be operated as part of a commercial operation, it carries neither passengers nor cargo.

In the Grant of Exemption No. 11062 to Astraeus Aerial 10 , the FAA determined that the unique characteristics of UAS oper ation outside of controlled airspace did not warrant the addition al

9 See, e.g., 14 C.F.R. § 91.405(a) (stating that each owner o r 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

.U.S. Department of Transportation

July 2 3

, 2015 Page 12

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

Class II Medical Certificate. The fulfillment of the additional req ui rements for a privat e 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 De partment of Homeland Security (DHS ), the FAA determined that holders of recreational and sport pilot certificates would be

q ualified 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

Sect ion 33 3 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 req ui re all PICs to be thoroughly trained in the unique aspects of UAS flight. As set forth in the operati ng 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 p ilot qualification, training, and currency req ui rements 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 req ui rements are consistent with tho se contained in prior FAA

- issued grants of exemption , and will provide a higher level of competency and proficiency for its pilots and will ensure at least an eq ui valent level of safety.

D. 91.7(a): Civil Aircraft Airworthiness

Inasmuch as there will be no a irworthiness certificate issued for the UAS, Penn State seeks an exemption from 14 C.F.R. § 91.7(a), which req ui res that a civil aircraft be in an airworthy condition to be operated. While the petitioner’s UAS will not have an airworthiness certificate, t he 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 condi tion safe for flight, and an exemption from § 91.7(a) is therefore warranted.

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

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

airworthiness documents and 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 Gr ant of Exemption No. 11213 to Aeryon Labs, Inc. (Docket No. FAA

- 2014

- 0642 at pgs.

8

- 9).U.S. Department of Transportation

July 2 3

, 2015 Page 13

... (2) For which an Airplane or Roto rcraft Flight Manual is req ui red 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 airw orthiness certificate req ui red 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 b y Dean E. Griffith, Attorney, AGC

- 220, it was acknowledged that the intent of 14 C.F.R. 91.9(b) and 91.203(a) and (b) is met if the pilot of the unmanned aircraft has access to the UAS flight manual, registration certificate, and other req ui red documents f rom 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 eq ui valent level of safety will be achieved by ensuring that the pilot has access to the documents at the ground control station from which he or she is piloting the UAS. 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.U.S. Department of Transportation

July 2 3

, 2015 Page 14

F. 91.103: Preflight Action

Petitioner seeks an exemption from 14 C.F.R. § 91.103, which req ui res a PIC to become familiar with specific information before each flight, including information contained in the FAA

approved Flight Manual on board the aircraft. While the PIC will be familiar with all information necessary to safely conduct the f light, an exemption is requested to the extent that an FAA

- approved Flight Manual is req ui red

.

Adherence to the req ui rements in the operating documents will ensure that the UAS is in an airworthy condition prior to flight. The PIC will perform a series of checklists designed to identify any defects or inoperable components, which cover pre

- flight, take

- off, landing and post

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

— before initiation of 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 Instru ction

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 function ing 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 req ui red for the flight instruction req ui rements of 14 C.F.R. § 91.109(a).

Given the size and speed of the UAS that Petitioner intends to use, an eq ui valent level of safe training can still be achieved without dual controls because n o pilot or passengers are aboard the UAS, and as req ui red 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 conducte d 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 a n exemption from the minimum safe altitude req ui rements 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, o r 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 co ngested 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 2 3

, 2015 Page 15

An exemption is req ui red because the proposed UAS operations will normally need to occur below 400 feet AGL. Additionally, due to the nature of the proposed operations, the PIC and/or

Obser vers may need to be less th an 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 operation s is far less than those that presently exist with conventional aircraft.

An eq ui valent level of safety will be achieved given the size, weight, and speed of the UAS, as well the controlled location where the operations will occur. In order to avoid any risk to manned aircraft, flight operations will be restricted to below 400 feet AGL

. As set forth in the operating

documents , the UAS will be operated in a controlled environment, and all flights will occur at a
lateral dis tance of at least 500 feet from nonparticipating persons, unless that person is in a position where he or she is shielded from the UAS and any possible debris resulting from UAS failure. Procedures will be in place to ensure f light operations can be safely terminated if a nonparticipat ing 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 o f 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 condu cted 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 req ui res a pe rson operating an aircraft to maintain

cr ui sing 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 eq ui valent level of safety to the req ui rements of 14 C.F.R. § 91.121 can be achieved in circumstances where: (1) the UAS will be operated 400 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. Mo reover, the operating documents req ui re the PIC to calibrate the aircraft's GPS compass prior to each flight operation. As the FAA has determined in circumstances similar to this Petition for Exemption, Petitioner's UAS and the safety mitigation procedure s contained in the operating documents, ensure that an eq ui valent level of safety will be achieved, and a grant of exemption to the req ui rements of § 191.121 is therefore appropriate.

15 See Grant of Exemption No. 11062 to Astraeus Aeria l (FAA

- 2014

- 0352 at 21).U.S. Department of Transportation

July 2 3

, 2015 Page 16

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

Penn State r equests an exemption from 14 C.F.R. § 91.151(a)'s fuel req ui rements for 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 i s enough fuel to fly to the first point of intended landing and, assuming normal cr ui sing speed

–

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

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

Here, the technological limitati ons 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 req ui rements of 14 C.F.R. § 91.151(a) is therefore req ui red

.

The FAA has previously gran ted 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 proh ibiting

the PIC from beginning a UAS flight unless (considering wind and forec ast 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 rese rve 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 req ui rements for flight in VFR conditions is therefore appropriate

.

VI. D RUG AND A LCOHOL P ROGRAM

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. P UBLIC I NTE REST

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 statutoril y req ui red rulemaking.

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

.

17 Docket No. FAA

- 2014

- 0642.

18 Exemption No. 11213 at pg. 12.U.S. Department of Transportation

July 2 3

, 2015 Page 17

Beyond increased levels of safety, t he public stands to benefit enormously from the education, and research programs supported by the proposed operations in this Petition for Exemption . Whether it i s designing safer and smarter U AS control systems, or researching better ways for farmers to grow crops, the public as a whole will benefit from the information gathered and

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

Petition for Exemption.

VIII. P RIVACY

The proposed operations will be conducted in accordance with applicable federal, state, or local laws regarding privacy. Penn State will not conduct flight operations over property that it does not own or control without the prior c onsent and knowledge of the property owner.

IX. F EDERAL R EGISTER S UMMARY

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

F EDERAL R EGISTER , should it be determined that publication is needed:

Petitioner seeks an e xemption 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); 91.10 3; 91.109(a); 91.119 (b) ; 91.121; 91.151(a); 91.203 (a) & (b); 91.405(a); 91.407(a)(1); 91.409(a)(1) & (2); 91.417 (a) & (b).

The exemption will enhance safety by reducing risk to the general public and property owners from the substantial hazards associated with using conventional fixed

- wing aircraft or

rot orcraft for aerial data collection in support of university education and research programs

.

X. C ONCLUSION

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 2 3

, 2015 Page 18

Very truly yours,

Mark E. McKinnon

Matthew J. Clark

Counsel for The Pennsylvania State University

Attachment sU.S. Department of Transportation

July 2 3

, 2015 Page 19

(The following attached item s 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)).

Attachment s :

 The University UAS Operations Manual

 Ad aptive Flight Hornet Maxi UAS Operating Handbook

 AutoSOAR Data Package

 FX

- 61 Data Package