1

VIA FDMS

May 14 , 2015

U.S. Department of Transportation

Federal Aviation Administration

Docket Management System

1200 New Jersey Ave, SE

Washington, DC 20590

Re: Caterpillar Inc.

- Petition for Exemption

Dear Sir or Madam:

Pursuant to Section 333 of the FAA Modernization and Reform Act of 2012 ( “FMRA” ) 1 and 14

C

. F

. R

. Part 11, Caterpillar Inc. (“Caterpillar”) seeks an exemption from the Federal Aviation Regulations

(“FARs”) listed below to permit commercial operation of small Unmanned Aircraft System s (“UAS” ) to

perform various tasks including:

 aerial surveying;

 filmmaking, cinematography and videography;

 construction and mine site inspection and monitoring;

 inspection and monitoring of large equipment;

 utility

- power generation system inspection; and

 public entity support operations

.

The five ( 5 ) UAS proposed for use b y Caterpillar are the Trimble UX 5 ; DJI Inspire I ; DJI Phantom;

DJI Phantom 2; Parrot Bebop ; and Hoverfly Scripta

. Caterpillar’s UAS operations will be conducted under

the safeguards described in this petition and as may be further established by FAA. 2

1 Pub. L. No. 112

- 95, § 333, 126 Stat. 76.

2 In support of this petition, Caterpillar is submitting confidentially and under separate cover its Caterpillar

UAS O perations and Maintenance M anual (the “Manual”), together with the following UAS

- specific user guides

and manuals: (1) Trimble UX5 User Guide (Attachment 1) ; (2) DJI Inspire I User Manual ( Attachment 2); (3&4) DJI

Phantom & Phantom2 User Manual s (Attachment s 3 &4, respectively ) ; ( 5 ) Parrot Bebop User Manual (Attachment

5 ) ; and Hoverfly Scripta User Manual (Attachment 6) . Caterpillar requests confidential treatment of the Manual

under 14 C.F.R. § 11.35(b), as it contain s confidential commercial and proprietary infor mation that Caterpillar has

not and will not share with others. Such documents are not publicly available and are protected from release

under the Freedom of Information Act, 5 U.S.C. § 552 et seq

.2

The agency has already issued over 32 0 Section 333 exemptions to various commercial

enterprises for UAS appli cations ranging from aerial photography and precision agriculture to

construction and surface mining (the “Section 333 Grants”)

. 3 Indeed, FAA has granted at least 34

exemptions to companies specifically for construction, mining and/or utility inspections, and many

others for aerial surveying, filmmaking, cinematography and videography more generally. 4 In issuing the

Section 333 G rants, FAA found that “the enhanced safety achieved using an unmanned aircraft (UA)

with the specifications described by the pet itioner . . . gives the FAA good cause to find that the UAS

operation enabled by this exemption is in the public interest.” 5 The same public interest and safety

justifications apply to Caterpillar ’s petition, and should enable FAA to grant Caterpillar ’s petition on an

expedited basis.

A s described more fully below, the requested exemption would permit Caterpillar to operate

the specified UAS under controlled conditions in low

- altitude airspace that is : (1) access limited; (2)

predetermined; and (3) locat ed a sufficient distance from congested areas and airports , and would

provide safety enhancements to operations using conventional aircraft. Caterpil lar’s UAS are small,

weighing 55 lbs

. or less fully loaded , and u nder normal conditions, they will operate at speeds of 50

knots or less , and under no circu m stances will they be operated at speeds exceeding 87 knots.

I. Petitioner

Caterpillar is the world’s leadi ng manufacturer of construction, mining

, and forestry machinery

, including diesel and natural gas engines, industrial turbines and diesel

- electric locomotives.

Caterpillar now seeks to expand on this success by ut ilizing UAS in our operations. This new

capability will , among other things, allow Caterpillar to supplement or sup plant human workers in

performing inspections, surveying and monitoring in hazardous mining, blasting and construction areas

and also substitute UAS for aerial survey and photography services , which are currently conducted at

significant expense with fixed or rotary winged manned aircraft

. The UAS we propose to fly in these

applications weigh under 55 lbs., and carry no combustible material or people on board. This presents a

significant increase in safety to flight crew, the national airspace system (“ NAS ”) , and people on the

ground over manned fixed and rotary winged aircraft. Performing these hazardous tasks with UAS will

limit human involvement only to those situations where physical work is required. As an industry leader

in safety, Caterpillar is co mmitted to any measure that will put fewer lives in danger, and integrating

UAS into Caterpillar’s operations will do just that.

3 See FAA, Authorizations Granted Via Section 333 Exemp tions ( rev. May 12 , 2015),

https://www.faa.gov/uas/legislative_programs/section_333/333_authorizations/ ; see also, e.g., Exemption No.

11109 in Docket No. FAA

- 2014

- 0507 (Clayco, Inc.); Exemption No. 11286 in Docket No. FAA

- 2014

- 0960 (Balfour

Beatty Construction Services US); and Exemption No. 11227 in Docket FAA

- 2014

- 0678 (EnviroMINE, Inc.).

4 See id

.

5 See, e.g., Exemption No

. 11227 at 6.3

All communications regarding Caterpillar’s petition should be directed to:

Caterpillar Inc.

100 NE Adams Street

Peoria , IL 61629

Attn : Gregory Harris

Ph: 309

- 494

- 7622

Email: harris_gregory@cat.com

II. Section 333

Caterpillar’s petition is consistent with Congress’ s goal set forth in Section 333 of the FMRA,

which directs the Secretary of Transportation to consider whether certain UAS may operate safely in the

NAS before completion of the rulemaking s required under Section 332 of th at legislation

. In making this

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

users of the NAS or the public or pose a threat to national security in light of the following: ( 1 ) t he UAS’s

size, weight, speed, and operational capability; ( 2 ) o peration of the UAS in close proximity to airports

and populated areas; and ( 3 ) o peration of the UAS within visual line of sight of the operator. 6 To

implement Section 333, FAA has the authority to issue exemptions from its safety regulations and

minimum standards when the Administrator decides a requested exemption is in the public interest. 7

Caterpillar’s proposed UAS operations meet the requirements of, and qualify for expedite d

approval under, Section 333. Caterpillar’s UAS weigh 55 lb s

. or less, will operate at less than 400 feet

above ground level (AGL) within visual line of sight (VLOS) at speeds of no more than 50 knots

. Operations conducted under these safeguards will provide at least an equivalent level of safety

compared to the current regulatory structure. They will also provide an environmental impact benefit

over manned aircraft because Caterpillar’s UAS will draw their power from rechargeable batteries, as

opposed to the hundreds of pounds of fossil fuels burned in the opera tion of manned aircraft that are

thousands of times heavier.

Moreover, Caterpillar’s operations will not “create a hazard to users of the national airspace

system or the public or pose a threat to national security” due to the small size of the UAS and the

restricted areas in which they will operate. 8

6 FMRA § 333(a).

7 See 49 U.S.C. § 106(f) and 49 U.S.C. § 44701(f)

.

8 See, e.g., Exemption No. 11062 in Docket No. FAA

- 2014

- 0352 (Astraeus Aerial), at 8 ( citing FMRA §

333(b) )

.4

III. Regulations from Which an Exemption is Requested

Caterpillar requests an exemption from the following regulations to the extent necessary to

conduct the operations described in this petition :

 14 C

. F

. R . §§ 61.23 (a) and (c)

 14 C.F.R. §§ 61.101(e)(4) and (5)

 14 C

. F

. R

. § 61.113(a)

 14 C

. F

. R

. § 61. 315 (a)

 14 C

. F

. R

. § 91.7( a )

 14 C

. F

. R

. § 91.119 (c)

 14 C.F.R. § 91.121

 14 C

. F

. R

. § 91.151(a)

 14 C

. F

. R

. § 91.405(a)

 14 C

. F

. R . § 91.407(a)(1)

 14 C

. F

. R

. §§ 91.409(a)( 1) and ( 2)

 14 C

. F

. R

. § 91.417(a) and (b)

The following subsections describe Caterpillar’s request for an exemption from each of these

regu lations and demonstrate how Caterpillar ’s operations will provide for at least an equivalent level of

safety compared to th e current regulatory structure that applies to manned aircraft

.

A. 14 C.F.R. §§ 61.23(a) and (c)

– Medical certificates: Requirement and duration

Sections 61.23(a) and (c) generally require pilots of manned aircraft to hold a FAA medical

certificate in order to exercise pilot privileges. As of March 24, 2015, however, FAA determined as

matter of policy that operators holding a valid driver’s license in lieu of a third class medical certificate

may conduct commercial UAS operations under a Section 333 gr ant. 9 Accordingly, Caterpillar requests

an exemption from these provisions to the extent necessary to give Caterpillar the same relief from

medical certificate requirements that FAA has afforded to over 320 other Section 333 operators via the

Section 333 Grants. 10

B. 14 C.F.R. §§ 61.101(e)(4) and (5)

– Recreational pilot privileges and limitations

Sections 61.101(e)(4) and (5) prohibit a recreational pilot from acting as pilot in command of an

aircraft for compensation or hire or in furtherance of a busines s. Since Caterpillar will be conducting its

UAS operations in furtherance of its construction, mining and other services

, it requests an exemption

9 See, e.g., Exemption No. 11227 in Docket No. FAA

- 2014

- 0678 (EnviroMINE, Inc.), at 4, 8; see also FAA, FAA

Summary Grants Speed UAS Exemptions (Apr. 9, 2015), https://www.faa.gov/news/updates/?newsId=82485

.

10 See supra note 3.5

from these provi sions to the extent necessary. Caterpillar notes that FAA ha s provided such relief to

over 3 20 other Section 333 operators. 11

C. 14 C.F.R. § 61.113(a)

– Private Pilot Privileges and Limitations: Pilot in Command

Section 61.113(a) limits private pilots to conducting non

- commercial operations. FAA has

already determined, however, that a private pilot certificate is sufficient to conduct commercial UAS

flights; in fact, the agency has revised its Section 333 approval framework to allow UAS operations to be

conducted by a pilot with only a recreational or sport pilot certificate. 12

Consistent wit h the operating conditions and limitations specified in the Section 333 Grants,

Caterpillar will utilize only pilots holding a FAA airline transport, commercial, private, recreational, or

sport pilot certificate and at least a valid U.S. driver’s license

. The UAS will be operated with in VLOS of

the PIC at all times

, and because the area of operation will be controlled and restricted in accordance

with the safeguards contained in the Manual and the FAA

- approved conditions and limitations described

in Section VI, infra , permitting the UAS operations as requested would provide for the level of safety

otherwise achieved through Section 61.113(a)

. Accordingly, grant of the requested exemption, subject

to the conditions and limitations specified herein, would not adversely affect the safety of the NAS.

D. 14 C.F.R. § 61.315(a)

– Sport pilot certificate privileges and limits

Section 61.315(a) authorizes a sport pilot certificate holder to act as pilot in command of a light

sport aircraft, subject to certain restrictions specified in Section 61.315(c), including a prohibition on

doing so for compensation or hire or in furtheran ce of a business, among other restrictions. Since

Caterpillar will be conducting its UAS operations in furtherance of its business purposes

, it requests an

exemption from this prov ision to the extent necessary. Caterpillar notes that FAA has provide the s ame

relief to over 320 other Section 333 operators. 13

E. 14 C.F.R. § 91.7(a)

– Civil aircraft airworthiness

Section 91.7(a) prohibits any person from operating a civil aircraft unless it is in an airworthy

condition. FAA has stated that no exemption is req uired for 14 C.F.R. § 91.7(a) to the extent that the

airworthiness certificate requirements of Part 21 14 are waived or inapplicable. Such airworthiness

certificate requirements are inapplicable here, insofar as Caterpillar ’s UAS provides an equivalent level

11 See supra note 3

.

12 See, e.g., Exemption No. 11422 in Docket No. FAA

- 2015

- 0154 ( Soar Environmental Consulting, Inc. ), at 4.

13 See supra note 3

.

14 FAA has concluded that no exemption from Part 21, Subpart H (Airworthiness Certificates) is needed if the

agency makes a finding under the FMRA that the UAS s elected provides an equivalent level of safety when

compared to aircraft normally used for the same application. These criteria are met here, and therefore no

exemption is needed. See , e.g., Exemption No. 11062, Docket No. FAA

- 2014

- 0352 at 13

- 14, 22. Bu t to the extent

FAA determines that there are some characteristics of Caterpillar’s UAS that fail to meet the “equivalent level of

safety” requirement of the FMRA, an exemption is requested.6

of safety when compared to manned aircraft, consistent with the relevant language of the FMRA and

the precedent established by the Section 333 Grants. 15

F. 14 C.F.R. § 91.119

– Minimum Safe Altitudes

Section 91.119 establi shes safe altitudes for operation of civil aircraft. 16 Specifically, Section

91.119(c) provides that except when necessary for takeoff or landing, no person may operate an aircraft

below an altitude of 5 00 feet above the surface except over open water or s parsely populated areas and

that in such cases, the aircraft may not be operated closer than 500 feet to any person, vessel, vehicle or

structure. As detailed in the Section 333 Grants, however, FAA has determined that adherence to

certain safety measures is sufficient to warrant an exemption for UAS operations. 17 Consistent wit h the

relief provided to other UAS operators via the Section 333 Grants, Caterpillar requests an exemption to

the extent necessary to operate below an altitude of 5 00 feet AGL and c loser than 500 feet to any

person, vessel or structure. An equivalent level of safety will be achieved given the size, weight and

speed of Caterpillar ’s UAS, as well as the loca tions where it will be operated.

G. 14 C.F.R. § 91.121

– Altimeter Settings

Although Section 91.121 requires each person operating an aircraft to maintain cruising altitude

by reference to an altimeter that is set “to the elevation of the departure airport or an appropriate

altimeter setting available before departure” and Caterpi llar ’s UAS will not be equipped with a typical

barometric altimeter, FAA has already granted relie f from this provision to other UAS operators flying at

similarly low altitudes. 18 Caterpillar will operate the UAS within VLOS at or below 400 feet AGL and

pr ovide altitude information to the PIC via a digitally encoded telemetric data feed that downlinks from

the aircraft to a ground

- based on

- screen display. The altitude information will be generated by

equipment installed on the UAS, and prior to each flight a zero altitude initiation point will be

established and confirmed for accuracy by the PIC.

H. 14 C.F.R. § 91.151(a)

– Fuel Requirements for Flight in VFR Conditions

Section 91.151(a) prohibits an individual from beginning “a flight in an airplane under VFR

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

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

– (1) During the day, to fly after that

for at least 30 minutes; or (2) At night, to fly after that for at least 45 minutes.” But provided certain

operational parameters are established, FAA has found that good cause exists for granting exemptions

from this provision for operations in a multitude of c ontexts. 19

15 See, e.g., id.

16 FAA determined in the Section 333 Grants t hat relief from other provisions of Section 91.119 are either

unwarranted or inapplicable. See Exemption No. 11062 at 20.

17 See, e.g., supra note 3

.

18 See id.

19 See supra note 3.7

Caterpillar will be operating a less than 55 pound UAS in tightly controlled environment s at

speeds below 50 knots and within VLOS. Combined with the fact that Caterpillar will not conduct

operations unless the UAS has enough available power t o complete the intended mission and return

,

relief from Section 91.151(a) is warranted, in accordance with the conditions and limitations specified in

Section VI, infra

.

I. 14 C.F.R. §§ 91.405(a); 91.407(a)(1); 91.409(a)(1) and (2); and 91.417(a) and (b):

Maintenance Inspections

These FAR provisions require that an aircraft operator or owner “shall have that aircraft

inspected as prescribed in subpart E of this part and sha ll between required inspections, except as

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

chapter.

. .,” and that other persons shall inspect or maintain the aircraft in compliance with Part 43.

Thr ough the Section 333 Grants, however, FAA has establish ed safety measures for certain UAS

operations sufficient to warrant an exemption from these provisions. 20

Caterpillar will stri ctly adhere to the maintenance and inspection requirements set forth in it s

Manual, which is consistent with applicable conditions and limitations described in Section VI, infra

.

These requirements include the development and documentation of maintenance, overhaul,

replacement and inspection requirements; procedures to document and maintain maintenance records

with regard to Caterpillar ’s UAS; and UAS technician qualification criteria.

IV. Characteristics of Caterpillar ’ s UAS

All of the UAS which Caterpillar will operate under this proposed exemption are small, weighing

less than 55 lbs

. maximum gross weight, and they will operate at 50 knots or less

. They all feature

automatic return to home or flight termination procedures in the event of a loss of controller signal or

diminished battery output or capacity.

V. Unmanned Aircraft PIC

As described above, the PIC will be a FAA licensed airman with either an airline transport,

commercial, private, recreational, or sport pilot certificate, that holds a current FAA airman medical

certificate or a valid U.S. driver’s license. The PIC will also meet the flight review requirements specified

in Section 61.56 in an aircraft in which the PIC is rated on his or her pilot certificate.

VI. Operation of the Unmanned Aircraft

Caterpillar will conduct all flights under the requested exemp tion subject to the following

conditions and limitations, and as further detailed in the Manual :

20 See id

.8

A. The UAS will weigh less than 55 pounds , including payload

.

B. The UA S will not be flown at a ground speed exceeding 50 knots.

C. Flights will be operated at an altitude of no more than 400 feet AGL, as indicated by the

procedures specified in the Manual. All altitudes reported to ATC will be in feet AGL

.

D. The UA S will be operated within VLOS of the PIC and/or VO at all times.

E. When operations utilize a VO

, the PIC will always maintain VLOS capability and t he VO and PIC

will be able to communicate verbally at all times.

F. Prior to each operation, the PIC will inspect the UAS to ensure it is in a condition for safe flight.

If the inspe ction reveals a condition that affects the safe operation of the UAS, it will not be

operated until the necessary maintenance has been performed and the UAS is found to be in a

condition for safe flight. The GCS will also be includ ed in the preflight inspection. All

maintenance and alterations will be documented in the UAS records.

G. Caterpillar will follow the manufacturer’s UAS aircraft/component, maintenance, overhaul,

replacement, inspection, and life limit requirements.

H. The PIC will possess a cur rent FAA airman medical certificate or a valid U.S. driver’s license. The

PIC will be trained in accordance with the Manual , and will undergo training to ensure that he or

sh e can follow these procedures.

I. Prior to conducting commercial operations under t his exemption the PIC will assess the

intended operating area, including weather and any potential obstacles, and determine

procedures in case of emergency.

J. The UA S will not be operated within 500 feet of any nonparticipating persons, vessels, vehicles,

or structures unless the PIC has made a safety assessment of the risk of operating closer to

those objects and determined that it does not present an undue hazard.

K. If the UAS loses communications or loses its GPS signal, the PIC will institute emergency

procedures in accordance with the Manual.

L. The UAS will not be operated unless it has enough available power to conduct the intended

operation and return , or with the reserve power recommended by the manufacturer, whichever

is greater.

M. Caterpillar will obtain a Certificate of Waiver or Authorization (COA) prior to conducting any

operations above 200 f ee t AGL under the exemption. 21

21 Pursuant to its new “blanket” COA, FAA will automatically grant a COA for flights at or below 200 feet to

any UAS operator with a Section 333 exemption for aircraft that weigh less than 55 pounds, operate during

daytime VFR conditions, operate within VLOS, and stay certain prescribed distances away from airports or

heliports. See FAA, FAA Streamlines UAS COAs for Section 333 (rev. Mar. 24, 2015),

https://www.faa.gov/news/updates/?newsId=82245

. This blanket COA allows flights anywhere in the country9

N. All UAS operated in accordance with this exemption will be identified by serial number,

registered in accordance with 14 C

. F

. R

. P art 47, and have identification (N

- Number) markings in

accordance with 14 C

. F

. R

. P art 45, Subpart C. Markings will be as large as practicable.

O. Caterpillar has develop ed 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 the UAS , as reflected in the Manual.

P. Each UAS operated under this exemption will comply with all manufacturer Safety Bulletins.

Q. The pr eflight inspection section described in the Manual will account for all discrepancies ( i.e

. , inoperable components, items, or equipment )

.

R. Caterpillar’s use of radio frequency spectrum for operation and control of the UA S will comply

with the Federal Commu nications Commission (FCC) or other appropriate agency requirements.

S. The documents required under Sections 91.9 and 91.203 will be available to the PIC at the GCS

of the UAS any time the aircraft is operating. These documents will be made available to FAA or

any law enforcement official upon request.

T. The UA S will remain clear and yield the right of way to all manned operations and activities at all

times

.

U. UAS operations will not be conducted at night, as defined in Section 1.1. All operations will be

conducted under visual m eteorological conditions (VMC).

V. The UAS will not be operated from any moving device or vehicle.

W. The UA S will not be operated less than 500 feet below or less than 2,000 feet horizontally from a

cloud or when visibility is less t han three statute miles from the PIC.

X. The UA S will not operate within five nautical miles of an airport reference point (ARP) as

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

ARP, the center of the airport symbol as denoted on the current FAA

- published aeronautical

chart

, unless a letter of agreement with that airport’s management is obtained or otherwise

permitted by a COA issued to Caterpillar. The letter of agreement with the airport management

will be made available to FAA and any law enforcement official upon request.

Y. Any accident, or flight operation that transgresses the lateral or vertical boundaries of the

operational area defined by the applicable COA will be reported to FAA’s UAS Integration Office

(AFS

- 80) within 24 hours and the National Transportation Safety Board (NTSB) , as applicable

.

except restricted airspace and certain other prohibited areas, and FAA automatically issues it at the time the

exemption is approved. Id . To the extent Caterpillar will be operating above 200 ft. A GL at any of its UAS sites, it

will apply for a COA authorizing it to do so.10

VII. Public Interest

Authorizing Caterpillar to conduct commercial operations using UAS under the conditions

specified herein would bring immediate and significant safety improvement to the mining, construction,

energy and other industries

. Caterpillar’s UAS would be used to conduct inspections and perform other

key functions in a manner that provides at least an equivalent level of safety compared to the current

regulatory structure that applies to manned aircraft

. 22

Conventional construction and mining inspections require human beings to visually observe and

analyze the physical status of various equipment and surrounding conditions

. By r eplacing these perilous

tasks with UAS flights, Caterpillar can identify and analyze any equipment or areas that require attention

without subjecting a human to the attendant risks

.

VIII. Conclusion

Given the small size of Caterpillar’s UAS and the restricted environment s where they will

operate, Caterpillar falls squarely within the type of operations that Congress intended be authorized

pursuant to Section 333

. Caterpillar’s proposed UAS operations are similar in all material respects to the

operations author ized under the Section 333 Grants, including several covering nearly identical types of

operations

– and should be a pproved on an expedited basis. Based on the clear direction from Congress

, the authority contained in the FMRA ; the well

- established equival ent level of safety present in

Caterpillar’s proposed operations ; the significant public benefit s associated with using UAS to perform

the proposed operations ; and FAA’s recent determinations in the Section 333 Grants, grant of

Caterpillar’s petition is in the public interest. Accordingly, Caterpillar respectfully requests that FAA

grant it an exemption without delay

.

Very truly yours,

Gregory N. Harris

Caterpillar Inc.

Attorney

Law & Public Policy/Legal Services Division

100 NE Adams Street

Peoria, IL 61629

Enclosures

22 See Exemption No. 11062 at 22.