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Callie Groth, Vice President Business Development

BrockTek

1124 North Anita Avenue

Tucson, Arizona 85705

U.S. Department of Transportation

Docket Management System

1200 New Jersey Avenue, SE

Washington DC 20590

Re: Exemption Request Pursuant to Section 333 of the FAA Reform Act and Part 11 of the Federal Aviation

Regulations from: 14 CFR 21 subpart H; 14 CFR 45.23(b); 14 CFR 61.113(a) and (b); 14 CFR 91.7(a); 14 CFR

91.9(b)(2); 14 CFR 91.103; 14 CFR 91.109; 14 CFR 91.119(a)(b) and (c); 14 CFR 91.121; 14 CFR 91.151(a); 14 CFR 

91.203(a) and (b); 14 CFR 91.405 (a); 14 CFR 91.407 (a) (1) 14 CFR 91.409 (a)(1) and (2); 14 CFR 91.417(a) and (b)

Dear Sir or Madam:

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

Part 11, BrockTek, LLC, operator of an Unmanned Aircraft System (UAS), hereby applies for an exemption from the 

listed Federal Aviation Regulations (“FARs”) to allow commercial operation of its SPEAR UAS (hereafter referred to 

as “the UAS”) with said operations being conducted within and under the conditions outlined herein or as may be 

requested by the FAA as required by Section 333.

Commercial operation of the UAS, as described herein, which are equipped with autopilot, GPS, barometric static 

and pitot sensors, and optionally camera, telemetry radio equipment or other experimental payloads would 

operate in the following manner:

● Ongoing flight operations to support company R&D efforts in, but not limited to, the fields of UAS 

development, UAS operations, ground control, and UAS telemetry.

● Training persons individually or belonging to both private and/or public organizations that have interests 

in the use and application of a UAS for the purpose of the safe operation of a UAS to enhance the safety 

of the National Airspace System (NAS) as well as for the protection of the persons and property.
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● For hire carrying of customer telemetry payload including but not limited to, video imaging, thermal 

imaging, geophysical, geolocation, or atmospheric sensors.

As described fully below, the requested exemption would permit the operation of a UAS under controlled 

conditions in the NAS that would be a) limited b) controlled c) predetermined and d) will provide safety 

enhancements to the already safe operations in the unmanned aerial vehicle industry. Approval of this exemption 

would therefore fulfill the Secretary of Transportation’s (the FAA Administrator’s) responsibilities to “....establish 

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

Glossary of Abbreviations 

AO Area of Operations

AGL Above Ground Level 

ATC Air Traffic Control 

COA Certificate of Authorization 

FAA Federal Aviation Administration 

FAR Federal Aviation Regulation 

IP Internal Pilot (secondary pilot operating the ground control station console)

MAAP Mid Atlantic Aviation Partnership 

NAS National Airspace System 

PIC Pilot in Command 

POH Pilot Operations handbook

PQS Personnel Qualification System 

Section 333 FAA Modernization and Reform Act of 2012, Section 333 

SOP Standard Operating Procedures 

sUAS Small Unmanned Aircraft Systems 

VFR Visual Flight Rules 

VMC Visual Meteorological Conditions 

VT Virginia Polytechnic Institute 

VO Visual Observer 

VLOS Visual Line of Sight

Section 1: Introduction and Interest of Petitioner

The name and address of the applicant is:

Brock Tek

Attn: Callie Groth

Ph: 520-790-5484

Email: callie.groth@brocktekus.com

Address: 1124 N. Anita Ave. Tucson, Az. 85705

Brock Tek is a leading developer of UAVs, service operations and support equipment. The mission of Brock Tek is to 

support, develop and validate unmanned system operations.

Regulations from which the exemption is requested:

14 CFR Part 21 subpart H
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14 CFR 45.23 (b)

14 CFR 61.113 (a) & (b)

14 CFR 91.7 (a)

14 CFR 91.9 (b) (2)

14 CFR 91.103

14 CFR 91.109

14 CFR 91.119 (a) & (b) & (c)

14 CFR 91.121

14 CFR 91.151 (a)

14 CFR 91.203 (a) & (b)

14 CFR 91.405 (a)

14 CFR 91.407 (a) (1)

14 CFR 91.409 (a) (1) & (2)

14 CFR 91.417 (a) & (b)

Given the moderate size and speed of the UAS and the controlled environment it will be operated in, the proposed 

operations will adhere to the Reform Act’s safety requirements. The approval of this application presents no 

national security issues. Regarding the level of safety surrounding the proposed operations and the public benefit, 

reduction in environmental impacts, including but not limited to reduced emissions and noise, the grant of the 

requested exemption is in the public interest. Accordingly the applicant requests that the FAA grant the requested 

exemption with minimum delay.

Section 2: Unmanned Aerial Systems 

The operational limitations proposed make for an equivalent or higher level of safety because the limitations will 

further enhance the safety of the persons and/or property over using conventional aircraft. These limitations and 

conditions to which the applicant agrees to adhere to when conducting commercial operations under the FAA 

issued exemption as set forth in the pilot operating handbook include:

● The UAS will weigh less than 55 lbs.

● The UAS will have a maximum operating airspeed of no more than 50mph.

● Flights will be operated within line of sight of the Pilot in Command (PIC) and/or Visual Observer (VO).

● Using a 4-stroke gasoline engine propulsion system, maximum flight time for each operational flight will 

be 2 hours with fuel onboard sufficient to sustain a further 45 minutes of flight.

● Using an electric motor propulsion system, maximum flight time for each operational flight will be 1 hour 

with a fuel onboard sufficient to sustain a further 30 minutes of flight. 

● Flights will be operated at an altitude of no more than 200 feet AGL 
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● Minimum crew for each operation will consist of the UAS Pilot-in-Command (PIC) and the Visual Observer 

(VO), but may also include an internal pilot (IP), ground crew technicians, students, camera operators, or 

observers.

● A briefing will be performed with all flight operation crew regarding the planned UAS operations prior to 

each flight consisting of all the operational activities, a safety briefing, and contingency plan briefing.

● All flights will occur under Visual Flight Rules Meteorological Conditions (VMC) only.

● The flights will occur no closer than a 5 mile radius of the geographic center/Airport Reference Point

(ARP) of a tower controlled or uncontrolled airport unless a letter of agreement with that airport’s 

management is obtained, and the operation is conducted in accordance with a NOTAM as required by the 

operator’s COA.

● The operator will file FAA Form 7711-1, or its equivalent, as modified in light of the requested exemption, 

with the appropriate local Flight Standards District Office (FSDO) no more than 72 hours but no less than 

48 hours from planned operation.

● The operator will obtain verbal/written consent of all persons involved with the planned operation and 

ensure that only consenting persons will be allowed within 100 feet of the flight operation, and the radius 

may be reduced to 30 feet based upon an equivalent level of safety determination, as required under the 

Pilot operating handbook. With the advanced permission of the FSDO, operations at closer range may be 

approved.

● If the UAS loses communications with the remote controller or loses GPS signal, the UAS will have the 

capability to return to a pre-determined waypoint within a designated location and land autonomously.

● The UAS will have the capability to abort a flight in case of unpredicted obstacles, weather, or 

emergencies.

● The UAS does not require an airport to takeoff or land. Therefore there will be no additional burden on air 

traffic control during the ground, takeoff, departure, arrival, and landing phases of flight operations.

● Prior to each flight the PIC shall pre-flight the UAS to ensure it is in a condition for safe flight. If the 

inspection reveals a condition that affects the safe operation of the UAS, the aircraft will be prohibited 

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

condition for safe flight. The Ground Control Station must be included in the preflight inspection. All 

maintenance and alterations must be properly documented in aircraft records. 

● Any UAS that has undergone maintenance or alterations that potentially affect the UAS operation or flight 

characteristics, e.g. replacement of a flight critical component, shall undergo a functional test flight. The 

PIC who conducts the functional test flight shall make an entry in the UAS Discrepancy Log and 

Maintenance Log. 

● BrockTek technicians shall follow the UAS aircraft/component, maintenance, overhaul, replacement, 

inspection and life limit requirements, with particular attention to flight critical components.
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● BrockTek technicians shall carry out their maintenance, inspections and record keeping requirements, in 

accordance with the pilot operator handbook. Maintenance, inspection, and alterations must be noted in 

the UAS Discrepancy Log and Maintenance Log, including total flight hours as indicated on the Hobbs 

meter, description of work accomplished, and the signature of the authorized maintenance technician 

returning the UAV to service.

● BrockTek technicians shall make a record entry in the UAS Discrepancy Log of the corrective action taken 

against discrepancies discovered between inspections.

The UAS is a custom designed and custom built, fixed-wing aircraft with a fuselage length of approximately 75.5 

inches and a wingspan of approximately 147 inches. BrockTek Inc. will operate the UAS with a total weight of 38 

lbs. or less fully fueled. The UAS can be configured with either an electric motor or a 14cc gasoline 4-stroke 

engine. The UAS has two control configurations available depending upon the mission being flown: Configuration 

one is the addition of custom electronics for power management, a Cloud Cap Piccolo SL autopilot module with 

incorporated Microhard 900Mhz radio modem, GPS module and antenna, and static and pitot tubes to drive the 

air data sensors. All radio electronics in the UAS are commercial off-the-shelf products used in conjunction with 

the manufacturer's’ specified antennas and as such are fully FCC compliant in this application. Configuration two 

utilizes the same custom electronics board for power management, but the autopilot is replaced with a standard 

off-the-shelf 2.4GHz RC hobby type radio control system. Both systems may or may not carry video transmitter 

equipment in, but not limited to, one or more of the following RF spectrum: L-Band, 2.4Ghz, 5.8Ghz, 1.3Ghz. All 

radio electronics in all configurations are commercial off-the-shelf products, which are fully FCC compliant in this 

application.

Under ideal conditions with no wind and moderate temperatures, the maximum ground speed of the aircraft is 

50MPH. The UAS will be controlled through a portable ground control station operating on the 900MHz band 

(again fully FCC compliant in the configuration being utilized). The ground control station is capable of controlling 

the aircraft via the autopilot through use of a computer terminal by setting waypoints and allowing the autopilot 

to navigate the aircraft, or via a pilot console providing direct control of the aircraft flight surfaces, with mode 

selection being at the command of the pilot at the pilot console (the PIC). The control console software being 

utilized is the latest released version, and as such contains all the latest improvements and bug fixes. The software 

will be checked prior to all flight operations to ensure the most current release level is in use. At no time will Beta 

or other non-release status software be employed for UAS flight operations. In addition to setting aircraft 

waypoints the software allows the establishment of boundaries for the area of operations, should the aircraft 

leave the AO the PIC can retake manual control of the aircraft, and if unable to do so within a specified time limit 

the flight can be terminated by the autopilot. 

The applicant will operate the UAS as a flight team comprised of the PIC operating from the pilot console or at the 

computer console, and a VO to meet the VLOS requirements. Optionally, an internal pilot at the computer 

console, additional ground crew comprised of technicians, video operators, students, and/or observers may or 

may not be present depending upon the nature of the operation. Operations will take place in rural/remote areas 

well removed from airfields and heavily populated areas and with the permission of the land owner/s.

BrockTek has a successful history of safe and productive flight operations with their UAS spear aircraft while 

conducting R&D flights in restricted airspace. To date, 11 flights and 20+ hours have been logged with the UAS, 

with no flight incidents, and no damage to persons or property. In addition to their relatively simple and easy to fly 
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SPEAR UAS, Brock Tek has extensive experience in building and test flying less conventional aircraft as part of their 

R&D efforts.

Part of every BrockTek flight operation is the use of checklists to ensure that all equipment, on the aircraft and on 

the ground is in safe and fully functional condition prior to every flight. Additionally, all of our aircraft have a 

logbook that accompanies each aircraft from cradle to grave. The logbook contains all information with regard to 

flight readiness, maintenance and repairs on the aircraft. These in conjunction with our maintenance schedules for 

the aircraft ensure that we will continue to enjoy our ongoing record of safe and successful flight operations.

References attached:

Aircraft Acceptance Test Procedures

Checklists_Spear

Section 3: Unmanned Aircraft Pilot in Command (PIC)

● The UAS pilot will be a designated Pilot in Command (PIC) and hold a Private Pilot’s License along with a 

FAA Class III or higher Medical Certificate.

● The PIC, VO and any additional crew members shall not consume alcohol within 12 hours of the 

operation, and shall not be under the influence of medication.

● The PIC, VO and any additional crew members shall get a minimum of 8 hours crew rest prior to the 

operation.

● The PIC will have been trained in operation of UAS and receive up-to-date information for the particular 

UAS to be operated.

● The PIC and VO will be able to communicate by voice at all times.

● All Flight crews including the PIC, VO, IP and technicians will be qualified.

● The PIC, IP and VO will understand and comply with Title 14 Code of Federal Regulations, and/or Agency 

directives and regulations applicable to the airspace where the UAS will operate. Specifically all flight crew 

members will receive training on the rules and responsibilities described in 14 CFR Part 91 Sections 

91.111, 91.113 and 91.115 regarding cloud clearance, flight visibility and the pilot controller glossary, 

including standard ATC phraseology and communication.

● The PIC must also meets the flight review requirements specified in 14 CFR Section 61.56 in an aircraft in 

which the PIC is rated on his/her pilot certificate. 

● Prior to operations conducted for the purpose of UAS Flight Crew training (or similar operations), the PIC 

must have accumulated and logged, in a manner consistent with 14 CFR Section 61.51(b), a minimum of 

25 hours of total time as a UAS pilot and at least ten hours logged as a UAS pilot with similar UAS type 

(fixed-wing or rotary). Prior documented flight experience that was obtained in compliance with 

applicable regulations may satisfy this requirement. Training, proficiency, and experience building flights 
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are requested to be conducted under this grant of exemption to accomplish the required flight cycles and 

flight time. During training, proficiency, and experience building flights, all persons not essential for flight 

operations will be considered non-participants and the PIC will operate the UAS with appropriate distance 

from non-participants in accordance with 14 CFR Section 91.119 

● Prior to operations conducted for the purpose of UAS Flight Crew training (or similar operations), the PIC 

must have accumulated and logged in a manner consistent with 14 CFR Section 61.51(b), a minimum of 

five hours as a UAS PIC operating the make and model of the UAS to be utilized for operations under this 

requested exemption, and three take-offs and landings in the preceding 90 days.

● Training, proficiency, experience-building, and take-off and landing currency flights are requested to be 

conducted under this grant of exemption to accomplish the required flight time and 90 day currency. 

During training, proficiency, experience building, and take-off and landing currency flights all personnel 

not essential for flight operations are considered nonparticipants, and the PIC must operate the UAS with 

appropriate distance from nonparticipants in accordance with 14 CFR Section 91.119. 

The above requirements with regard to the PIC and support crew members combined with the small size of the 

UAS, low speed, limited range, and low altitude provide for a safety level equivalent to, if not higher than that of 

similar activities utilizing manned aircraft.

Section 4: UAS Operations and Limitations 

● The UAS shall remain clear of, and yield the right of way to, all manned aircraft and manned aviation 

activities (on the ground or in the air).

● The UAS shall be operated at an altitude of no more than 200 feet above ground level (AGL). All altitudes 

reported to ATC will be in feet. 

● The UAS shall be flown at an airspeed not to exceed the design limitation of 50 mph.

● UAS Operations will be conducted under visual meteorological conditions (VMC). 

● The UAS will not be operated less than 500 feet below or less than 2000 feet horizontally from a cloud, or 

when visibility is less than 3 statute miles from the PIC.

● If the UAS loses communications or loses its GPS signal, it must return to a pre-determined location within 

the planned AO.

● The UAS PIC must abort the flight in the event of unpredicted obstacles or emergencies.

● The UAS PIC is prohibited from beginning a flight unless (considering wind and forecast weather 

conditions) there is enough fuel to fly at normal cruising speed to the intended landing point and land the 

UAS with 30 minutes of fuel remaining
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● The UAS documents required under 14 CFR 91.9 and 91.203 shall be available to the PIC at the Ground 

Control Station anytime the aircraft is operating. Those documents shall be available to the Administrator 

or any law enforcement official upon request. 

● Any UAS incidents, accidents or flight operations that transgress the lateral or vertical boundaries of the 

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

(AFS-80) within 24 hours. Accidents shall be reported to the National Transportation Safety Board (NTSB) 

per instructions contained on the NTSB Web site: www.ntsb.gov. 

● The UAS shall not be operated over congested or densely populated areas. These areas include but are 

not limited to the yellow areas depicted on World Aeronautical Charts (WAC), Sectional Aeronautical 

Charts (Sectionals), or Terminal Area Charts (TAC). Each AO will also be evaluated based on local 

conditions.

● Operations of UAS may be conducted at distances less than 500 feet from participating persons, vessels, 

vehicles or structures that perform an essential function in connection with these special purpose 

operations. Operations closer than 500 feet from the PIC, VO, operator trainees and essential persons are 

permitted when operationally necessary; but never so close to present a safety hazard. This is consistent 

with existing Exemption No. 11138. 

● Operations of UAS may be conducted at distances less than 500 feet from unoccupied vessels, vehicles or 

structures owned by the landowner/controller when the landowner/controller grants such permission, 

and the PIC makes a safety assessment of the risk from operations and determines that it does not 

present a safety hazard to persons or property. This is consistent with existing Exemption No. 11138.

● Flight operations will be conducted at least 500 feet from all non-participating persons unless barriers or 

structures are present that sufficiently protect non-participating persons from the UAS and/or debris in 

the event of an accident. The PIC shall ensure that non-participating persons remain under such 

protection. If a situation arises where non-participating persons leave such protection and are within 500 

feet of the UAS, flight operations will cease immediately and the UAS will be landed/recovered in a safe, 

expedient manner. This is consistent with existing Exemption No. 11138. 

● All operations of the UAS shall be conducted with permission from the land owner or authorized 

representative. Permission will be obtained for each flight operation. 

● The UAS will not operate within 5 nautical miles of an airport reference point as denoted on a current 

FAA-published aeronautical chart unless a letter of agreement with that airport’s management is 

obtained, and the operation is conducted in accordance with a NOTAM as required by the operator’s COA. 

The letter of agreement with the airport management will be made available to the Administrator upon 

request. This is consistent with existing Exemption No 11159.

● The UAS must be operated within VLOS of the PIC at all times. This requires the PIC to be able to use 

human vision to see the UAS unaided by any device other than corrective lenses, as specified on the PIC’s 

FAA medical certificate. A VO may be used to satisfy the VLOS requirement as long as the PIC and VO are 

in direct voice communication at all times.
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● The UAS will not be operated from any moving device or vehicle. Operations will not be conducted during 

night as defined in 14 CFR 1.1.

● The PIC will conduct preflight safety risk assessments to determine that the UAS is in a condition for safe 

flight (14 CFR Section 91.7(b)) and that the planned operation can be completed safely. Specific 

procedures are addressed in the UAS pre-flight checklist.

● At this time, BrockTeks proposed flight operations do not require a notification to Flight Standards District 

Offices (FSDOs).

● BrockTeks requests to operate their UAS under the FAA-issued blanket COA, with the express 

understanding that individual COAs will need to be applied for prior to conducting any operations which 

exceed the parameters set forth in the blanket COA.

Section 5: Specifically Requested Exemptions from Regulations

14 C.F.R. Part 21, Subpart H: Airworthiness Certificates 14 C.F.R. §91.203 (a) (1)

Subpart H, entitled Airworthiness Certificates, establishes the procedural requirements for the issuance of 

airworthiness certificates as required by FAR §91.203 (a) (1). Given the size and limited operating area associated 

with the aircraft to be utilized by the Applicant, an exemption from Part 21 Subpart H meets the requirements of 

an equivalent level of safety under Part 11 and Section 333 of the Reform Act. The Federal Aviation Act (49 

U.S.C.§44701 (f)) and Section 333 of the Reform Act both authorize the FAA to exempt aircraft from the 

requirement for an airworthiness certificate, upon consideration of the size, weight, speed, operational capability, 

and proximity to airports and populated areas of the particular UAS. In all cases, an analysis of these criteria 

demonstrates that the UAS operated without an airworthiness certificate, in the restricted environment and under 

the conditions proposed will be at least as safe, or safer, than a conventional aircraft (fixed wing or rotorcraft) 

operating with an airworthiness certificate without the restrictions and conditions proposed.

Furthermore, the operator and its technicians subject the UAS to an extensive Aircraft Test Procedure the business 

day before a field operation. The procedure includes autopilot and control surface calibration, autopilot and 

engine RPM calibration, and a radio control range check on the ground. Once the test procedure is complete, the 

UAS is placed in quarantine until the flight crew takes it to the operation site.

The UAS to be operated hereunder is less than 55 lbs. fully loaded, carries neither a pilot nor passenger, carries no 

explosive materials, and operates exclusively within a secured and designated area. Unlike other civil aircraft, 

operations under this exemption will be tightly controlled and monitored by both the operator and under the 

requirements and in compliance with local public safety requirements. These safety enhancements provide a 

greater degree of safety to the public and property owners than conventional operations conducted with 

airworthiness certificates issued under 14 C.F.R. Part 21, Subpart H. Lastly, application of these same criteria 

demonstrates that there is no credible threat to national security posed by the UAS, due to its size, speed of 

operation, location of operation, lack of explosive materials and inability to carry a substantial external load.

14 C.F.R. § 45.23 (b): Marking of the Aircraft

The regulation requires:
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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.

Even though the UAS will have no airworthiness certificate, an exemption may be needed as the UAS, having no 

cabin or cockpit proper, will likewise have no entrance to the cabin, cockpit or pilot station on which the word 

“Experimental” can be placed. Given the size of the UAS, two-inch lettering is impractical. The word 

“Experimental” will be placed on the fuselage in compliance with §45.29 (f). The equivalent level of safety will be 

provided by having the UAS marked on its fuselage as required by §45.29 (f) where the pilot, observer and others 

working with the UAS will see the identification of the UAS as “Experimental.”

14 C.F.R. § 61.113 (a) and (b): Private Pilot Privileges and Limitations, Pilot in Command.

Pursuant to 14 CFR 61.113 (a) & (b), no person who holds a private pilot certificate may act as a pilot in command 

of an aircraft that is carrying passengers or property for compensation or hire.

BrockTek may achieve an equivalent level of safety as achieved by current Regulations because the UAS does not 

carry any pilots or passengers. The risk attendant to the operation of the UAS is far less than the risk levels 

inherent in the commercial activities outlined in 14 CFR 61. The PIC of the UAS will have a Private Pilot’s License 

along with a current Third Class or higher Medical, and be fully qualified to operate the UAS. Due to the limited 

scope and capacity of the UAS payload, the level of safety is at least equivalent to, if not higher than that of the 

same operation conducted in a manned aircraft.

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

The regulation requires that no person may operate a civil aircraft unless it is in airworthy condition. As there will 

be no airworthiness certificate issued for the aircraft, should this exemption be granted, no FAA regulatory 

standard will exist for determining airworthiness. Given the size and relative simplicity of the aircraft and its 

incorporated systems, as well as the pilots’ and technicians’ intimate familiarity with those systems, Brock Tek 

believes the use of conservative maintenance intervals, thorough maintenance record keeping and completion of 

comprehensive pre-flight checklists prior to operations will be sufficient to ensure the airworthiness of the aircraft, 

and will provide the required equivalent level of safety.

14 C.F.R. § 91.9(b) (2): Civil Aircraft Flight Manual in the Aircraft.

The regulation requires:

Section 91.9 (b) (2) provides: No person may operate a U.S.-registered civil aircraft ... (2) For which an Airplane or 

Rotorcraft Flight Manual is not 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.

The UAS, given its size, configuration, and carrying capacity is not capable of, nor has any location to carry such a 

flight manual on the aircraft. Additionally, the PIC is not physically on board the aircraft. Finally, the aircraft in 

question being a custom built aircraft has no FAA approved flight manual available. Instead, the PIC will have the 

documentation showing checks made on the plane on the ground at the point of flight operations. Having the 
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documentation on the ground with the PIC will provide an equivalent or greater level of safety than having a 

manual on board the aircraft.

14 C.F.R. § 91.103: Preflight Action.

This regulation requires each pilot in command take certain actions before flight to insure the safety of flight. As 

FAA approved flight manuals do not exist for the UAS, an exemption will be needed. 

In lieu of an FAA approved flight manual, and in the interest of safety and preserving the UAS for future use, 

BrockTek created extensive pre-flight checklists. The checklists direct what pre-flight actions must occur. The PIC 

and UAS technicians will utilize the pre-flight checklists to ensure the airworthiness of the UAS prior to every flight. 

These preflight actions will ensure an equivalent level of safety.

14 C.F.R. § 91.109: Flight Instruction.

Section 91.109 provides that no 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, by design, do not have onboard controls. Flight control is accomplished through the use of radio control 

communication with the aircraft. The UAS due to its size and capacity does not allow for a pilot or passengers to 

be carried on the aircraft. When flight instruction is provided with the UAS in configuration 2 (off-the-shelf radio 

control system), dual control is provided with the use of a student pilot console, commonly referred to by the 

hobby radio-control community as a “buddy box.” Using a switch on the pilot console, the PIC/Instructor can allow 

the student to take control of the UAS from the buddy box, and quickly take back control of the UAS when 

necessary. When flight instruction is provided with the UAS in configuration 1 (autopilot and ground control 

station), dual control is provided through the use of the pilot console, allowing the PIC to quickly take direct 

control of the UAS when necessary. This redundant control capability, combined with the small size and relatively 

low speed of the UAS provides for an equivalent level of safety.

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

Section 91.119 establishes safe altitudes for operation of civil aircraft, as the following:

Except when necessary for takeoff or landing, no person may operate an aircraft below the following altitudes:

(a) Anywhere. An altitude allowing, if a power unit fails, an emergency landing without undue hazard to persons or 

property on the surface. 

(b) Over congested areas. Over any congested area of a city, town, or settlement, or over any open air assembly of 

persons, an altitude of 1,000 feet above the highest obstacle within a horizontal radius of 2,000 feet of the aircraft. 

(c) Over other than congested areas. An altitude of 500 feet above the surface, except over open water or sparsely 

populated areas. In those cases, the aircraft may not be operated closer than 500 feet to any person, vessel, 

vehicle, or structure. 

BrockTek seeks an exemption from this requirement. While the UAS may be capable of flight levels of more than 

1000ft AGL, at those heights the UAS would no longer be visible to the operators on the ground. In addition, the 

500ft limit imposed in part c is much higher than the 200ft altitude blanket COA limit for UAS operations. The 

equivalent level of safety will be achieved given the size, weight, and speed of the UAS as well as the tightly 
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controlled conditions imposed on the locations where it is to be operated. No flight will be taken without the 

permission of the property owner or local officials. Because of the advance notice to the property owner and 

participants, all affected individuals will be aware of the planned flight operations. Compared to flight operations 

with aircraft or rotorcraft weighing far more than the maximum 55lbs. proposed with these operations the risk is 

far less than those presented with conventional aircraft operating at or below 500 AGL. In addition, the lowaltitude (200ft AGL or less) operations of the UAS will ensure separation between these UAS operations and the 

operations of conventional aircraft that must comply with Section 91.119.

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

This regulation requires each person operating an aircraft to maintain cruising altitude by reference to an altimeter 

that is set “...to the elevation of the departure airport or an appropriate altimeter setting available before 

departure.” 

As the UAS will not be operating from a departure airport with a known barometric setting and elevation, the UAS 

autopilot will be set to match the barometric pressure and GPS-derived elevation at the operation site. The UAS is 

also equipped with a GPS system, and the autopilot provides its altitude to the ground control system based on 

both barometric and GPS inputs. As the elevation of the departure point is an approximation based on GPS data, 

an exemption will be needed. An equivalent level of safety will be achieved by the PIC, pursuant to the safety 

check list and live flight data monitoring, confirming the altitude of the launch site shown on the aircraft GPS 

altitude indicator before flight. Additionally the PIC and VO requirement to maintain VLOS with the UAS provides a 

further layer of safety with respect to operating the aircraft at altitude.

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

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

(considering wind and forecast weather conditions) there is enough fuel to fly to the first point of intended 

landing, and, assuming normal cruising speed – (1) During the day, to fly after that for at least 30 minutes; or (2) At 

night, to fly after that for at least 45 minutes.”

The 4-stroke engine provides over 165 minutes of powered flight and the electric motor configuration provides 

over 90 minutes of powered flight. While these two configurations can meet the requirements set forth in 14 CFR 

§91.151, it is felt that given the significant limitations on the UAS’s proposed flight area (imposed by the VLOS 

requirement), the maximum 200 ft. altitude, and the location of operations within a predetermined area, an 

exemption from the fuel requirement is reasonable. The applicant also believes that an exemption from 14 CFR 

§91.151(a) falls within the scope of prior exemptions. Operating the UAS in a tightly controlled area where only 

people and property owners or official representatives who have signed waivers will be allowed, with less than 30 

minutes of reserve fuel, does not engender the type of risks that Section 91.151(a) was intended to alleviate given 

the size, speed and proximity of the small UAS. The applicant believes that an equivalent level of safety can be 

achieved by limiting flights to 165 or 90 minutes respectively, or operational limits — whichever happens first.

14 C.F.R. § 91.203 (a) and (b): Carrying Civil Aircraft Certification and Registration

The regulation provides in pertinent part:

(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. . . .
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(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.

The UAS fully loaded weighs no more than 55 lbs. and is operated without an onboard pilot. As such, there is no 

ability or place to carry certification and registration documents or to display them on the UAS. In addition to this, 

an exemption is being requested for 14 C.F.R. Part 21, Subpart H: Airworthiness Certificates 14 C.F.R. §91.203 (a) 

(1), and if granted would exempt the need for an airworthiness certificate. An equivalent level of safety will be 

achieved by keeping any pertinent certifications and/or documents at the ground control station where the PIC 

will have immediate access, to the extent such documents are applicable to the UAS.

14 C.F.R. § 91.405 (a); 407 (a) (1); 409 (a) (2); 417(a) & (b): Maintenance Inspections.

These regulations require that an aircraft operator or owner “shall have that aircraft inspected as prescribed in 

subpart E of this part and shall between required inspections, except as provided in paragraph (c) of this section, 

have discrepancies repaired as prescribed in part 43 of this chapter...,” and others shall inspect or maintain the 

aircraft in compliance with Part 43.

Given that these sections and Part 43 apply only to aircraft with an airworthiness certificate, these sections will not 

apply to the UAS in question. Maintenance will be accomplished by the operator pursuant to the preflight 

checklists and maintenance schedule. An equivalent level of safety will be achieved because the UAS is very limited 

in size and will carry a small payload and operate only in restricted areas for a limited period of time. If mechanical 

issues arise, the PIC can land the UAS immediately as it will be operating at no higher than 200 feet AGL. 

The operator’s technicians and pilots will ensure that the UAS is in working order prior to initiating flight, perform 

required maintenance, and keep a log of any maintenance performed. Moreover, the operator’s technicians and 

pilots are most familiar with the aircraft and best suited to maintain the aircraft in an airworthy condition. An 

equivalent level of safety will be achieved because maintenance and inspections will be performed by technicians 

intimately familiar with the UAS. The PIC and crew chief will ensure that the UAS is in working order prior to 

initiating flight and perform required maintenance as needed.

Sincerely,

Callie Groth

Vice President 

BrockTek

1124 North Anita Avenue

Tucson, Arizona 85705

520.790.5484 Office
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520.226-6302 Cell

callie.groth@brocktekus.com