1 

900 Enchanted Way 

Simi Valley, CA 93065 

January 26, 2015 

U.S. Department of Transportation 

Docket Operations 

1200 New Jersey Ave, SE 

Washington DC, 20590 

RE: Second Exemption Request for AeroVironment, Inc. Under Section 333 of the 

FAA Modernization and Reform Act of 2012 and 14 C.F.R. Part 11 

Dear Sir or Madam, 

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

and 14 C.F.R. Part 11, AeroVironment, Inc. (“AV”) requests exemptions from several 

provisions of the Federal Aviation Regulations (“FAR”), specifically portions of 14 C.F.R. 

Parts 47, 61, and 91 to allow, among other things, commercial operations of its Shrike 

small unmanned aircraft systems (“Shrike”) in areas of the United States, as further 

defined herein, by a Pilot in Command holding a private pilot certificate.1

 

Shrike is a lightweight, battery-powered, hand-launched, small unmanned aircraft 

system (“UAS”) that, depending on its payload, is capable of transmitting live airborne 

video images and location information to a Ground Control Station (“GCS”). Shrike is 

designed for vertical take-off and landing (“VTOL”) with a maximum weight of 7.0 

pounds, a length of 34.8 inches, a width of 35.3 inches, and a wingspan of 3.0 feet. It 

has a flight endurance of 40 minutes with a ground speed of between 4 to 15 meters (0 

to 30 knots) per second in forward flight and typically operates at an altitude of less than 

400 feet AGL. 

AV proposes to fly Shrike, a proven aircraft already operating in the United States under 

a certificate of authorization (“COA”) issued by the FAA to the University of Alaska 

Fairbanks (Exhibit C), for the intended purpose of inspecting fixed infrastructures in 

controlled environments. AV’s proven safety record in tandem with the controlled 

environments in which Shrike will be operating make it clear that this unmanned aircraft 

can operate safely in the National Airspace System (“NAS”) without posing a threat to 

national security. 

Shrike’s capabilities combined with AV’s successful unmanned flight experience to date, 

 

1

 AeroVironment has today submitted under separate cover a second Section 333 exemption 

request for the Shrike aircraft. This application for a Section 333 approval differs from the other in 

that it requests operations within Class E and D airspace and night operations. The other 

submission is submitted for summary action as it does not ask for any authority not already given 

as reflected in the application. 
2 

make it ideally suited to conduct commercial operations in carefully controlled 

environments under Class E or Class G airspace and within Visual Line of Sight 

(“VLOS”). Some Class D airspace may be used on a case-by-case basis and would be 

further defined during the COA process. Shrike operations are all conducted within 

visual line of sight (VLOS) and typically conducted within 500 meters of observer, thus 

enhancing safety procedures. 

Acknowledging the FAA’s mission to provide the safest and most efficient airspace 

system in the world, commercial operations of Shrike will comply with applicable FAR 

provisions as well as AV’s operational risk management and safety protocols as outlined 

and defined in the attached exhibits. Exhibits A-B and D-F are submitted confidentially2

. 

AV will only fly in airspace as allowed under the exemption granted to it and will 

coordinate with the FAA as necessary to ensure safe operations. 

As a result of the Shrike’s size, weight, maximum speed, operational capability, and 

safety record; the distance at which it will operate from airports and populated areas; its 

operation within VLOS of the PIC or the observer; its operation within controlled 

boundaries; and its operation using visual observers to provide de-confliction from other 

air traffic, the Shrike does not create a hazard to users of the NAS or the public. Nor 

does it pose a threat to national security. Therefore, the FAA should grant AV the 

requested exemptions. Alternatively, if the FAA finds that modification of AV's application 

is required for safe operation of the Shrike in the NAS, AV requests that the FAA 

delineate the required modifications and process AV's application as if the modifications 

were already made3

. 

AV recognizes that the FAA has granted exemption with similar circumstances as noted 

in FAA Exemption Nos. 11109, 11111, 11114, 11136, 11138. 

This exemption request encompasses the following regulations with discussion for each 

described herein: 

14 C.F.R. 61.113(a) and (b) 14 C.F.R. 91.151(b) 

14 C.F.R. 61.133(a) 14 C.F.R. 91.405(a) 

14 C.F.R. 91.7 (a) 14 C.F.R. 91.407(a)(1) 

14 C.F.R. 91.121 14 C.F.R. 91.409(a)(2) 

14 C.R.R. 91.205 (c) 14 C.F.R. 91.417(a) & (b) 

 

2 These documents have not been released to the public and are proprietary, 

commercial information exempt from release under the Freedom of Information Act.

3

 If the Secretary determines that any qualifying vehicle “may operate safely in the 

national airspace system, the Secretary shall establish requirements for the safe 

operation of such aircraft in the national airspace system.” Id. §333(c). Applicant 

interprets this provision to place the duty on the Administrator to not only process 

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

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

conditions set forth herein do not fulfill the statutory requirements for approval. 
3 

 

The name and address of the applicant are: 

AeroVironment, Inc. 

Address: 900 Enchanted Way, Simi Valley, CA 93065 

Attn: Andy Thurling Attn: Doug Scott 

Phone: (805) 581-2198 x1892 Phone: (805) 581-2187 x2694 

Fax: (805) 581-4512 Email: scott@avinc.com 

Email: Thurling@avinc.com

Section 333's Mandate and the Federal Aviation Act

Grant of this exemption application for use of the Shrike in aerial surveillance pursuant to 

the exemption requested herein will advance the Congressional mandate in Section 333 

of the FAA Reform Act to accelerate the introduction of UASs into the NAS. Section 333 

directs the Secretary of Transportation to consider whether certain UASs may operate 

safely in the NAS before completion of the rulemaking required under Section 332 of the 

FAA Reform Act. To make that determination, the Secretary must evaluate which types 

of UASs do not create a hazard to users of the NAS or the public or pose a threat to 

national security in light of several criteria: 

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

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

• Operation of the UAS within visual line of sight of the operator. FAA Reform Act 

§ 333(b) (1). 

Once the Secretary determines that such vehicles "may operate safely in the national 

airspace system, the Secretary shall establish requirements for the safe operation of 

such aircraft in the national airspace system." Id. § 333(c) (emphasis added).The 

Federal Aviation Act expressly grants the FAA the authority to issue exemptions. 49 

U.S.C.§ 44701(f). This statutory authority, by its terms, includes exempting civil aircraft, 

as the term is defined under §40101 of the Act, from the requirements that all civil 

aircraft must have a current airworthiness certificate, 49 U.S.C. § 44711(a), and those 

used in commercial service must be piloted by commercial pilots. 14 C.F.R. §§ 

91.61.113(a) and (b), 61.133.The grant of the requested exemption is in the public 

interest based on (i) the clear direction in Section 333 of the FAA Reform Act; (ii) 

additional authority in the Federal Aviation Act, as amended; (iii) the strong equivalent 

level of safety surrounding the proposed operations; and (iv) the significant public 

benefit, including enhanced safety and cost savings associated with utilizing UASs for 

agriculture, aerial survey photography, inspection and patrolling. Accordingly, AV 

respectfully requests that the FAA grant the requested exemption without delay. 

Airworthiness 

The Shrike is safe and fit for operation in the NAS under the conditions listed herein. 

Shrike has been safely operating under a COA issued by the FAA to the University of 

Alaska Fairbanks since 2013. It complies with all aspects of the North Slope Standard 
4 

Operating Procedures Manual accepted by the FAA and provided as supporting 

documentation. Shrike has flown a total of 225 hours. 

In support of this application, AV is submitting, with a request for confidentiality, as 

shown, the following documents: 

 Shrike Specifications and Description, Exhibit A (Confidential) 

 Safety Components and Procedures, Exhibit B (Confidential) 

 Shrike COA issued to the University Alaska Fairbanks, Geophysical Institute, 

dated Sept. 23, 2013, Exhibit C. 

 AV Shrike Operations Manual, Exhibit D.( Confidential) 

 North Slope Standard Operating Procedures Manual, Exhibit E.(Confidential) 

National Airspace Standard Operating Procedure,. 

 Mandatory Operating Conditions 

AV proposes that the grant of the exemption be subject to the following mandatory 

conditions, which are based upon operating conditions set forth for operation of UAS by 

public entities pursuant to Certificates of Waiver or Authorization, and with additional 

restrictions: 

 All operations to occur in Class E or Class G airspace within controlled areas. 

Some Class D airspace may be used on a case-by-case basis and would be 

further defined during the COA process. 

 Operations to be conducted over private or controlled-access property to limit the 

number of persons not associated with the operations place at risk. 

 Permission from land owner/controller required before commencing any flight. 

 Operations to occur during Visual Flight Rules Meteorological Conditions (VMC). 

 Aircraft to remain within Visual Line of Sight (VLOS). 

 Above Ground Level (AGL) altitude to be restricted to 400 feet. 

 Flights over sensitive infrastructure such as pipelines or roads will be minimized 

to reduce the time the infrastructure is placed at risk, and 

 Flights over sensitive infrastructure will be offset appropriately for the wind at the 

time of flight to reduce the risk to the infrastructure. 

 Launch and recovery areas will be cordoned off to limit access only to personnel 

associated with the flight operation. 

 A dedicated Visual Observer (usually, but not always the PIC) will be utilized to 

maintain overall operation situational awareness; maintain VLOS and scan for 

intruder traffic; monitor all radio communication to include “Guard” in accordance 

with any COA; and report on CTAF and other frequencies as appropriate. 

 All operations conducted in vicinity of airport to remain more than 2.5 NM from 

centerline azimuth of runway centerline measured from runway thresholds. 

 Operator will file a NOTAM for each flight. 

 All required authorizations and permits will be obtained from territorial, state, 

county, or city jurisdictions, including local law enforcement, fire, or other 

governmental agencies. 

 Flight operations will be conducted at least 500 feet from all nonparticipating 

persons (persons other than the PIC or VO), vessels, vehicles, and structures 

unless: 
5 

a. Barriers or structures are present that sufficiently protect nonparticipating 

persons from debris in the event of an accident. The operator will ensure that 

nonparticipating persons remain under such protection. If a situation arises 

where nonparticipating persons leave such protection and are within 500 feet of 

the UA, flight operations must cease immediately and/or; 

b. the aircraft is operated near vessels, vehicles or structures where the land 

owner/controller has granted permission and the PIC has made a safety 

assessment of the risk of operating closer to those objects and; 

c. operations near the PIC or VO will not present an undue hazard to the PIC or 

VO, per § 91.119(a). 

Proposed Operating Parameters 

AV proposes to conduct all flights within VLOS of a pilot and observer and all flights will 

be limited to a maximum altitude of 400 feet AGL. To further enhance safety and a 

controlled environment, AV only allows authorized personnel in the operational area. On 

the ground, the launch site is blocked off using cones, and there is a designated person 

to intercept anyone not authorized. This procedure not only protects non-authorized 

individuals, it also minimizes distractions for the flight crew. In addition, the airspace is 

covered by a NOTAM, which is filed before flight. Furthermore, the observer, who is 

properly trained for the operations, monitors local air traffic frequencies in order to 

communicate with any air traffic nearby, if required by the COA. 

Operator Requirements

AV respectfully proposes that operator requirements should take into account the 

characteristics of the particular UAS. The Shrike is an inherently stable, lightweight 

aircraft that weighs 7.0 pounds (at its maximum weight) and will be operated in 

controlled areas. While AV will be using a PIC holding an FAA private pilot certificate, 

the safety concerns addressed by requiring a private pilot certificate are not present with 

the operation of the Shrike. Although the Shrike can be configured to give the pilot full 

control to the aircraft and payload during flight, the Shrike has an advanced autopilot that 

flies the aircraft, managing altitude and flight path within the intended flight envelope at 

all times when that flight mode is engaged. The autopilot limits maneuvering to simple 

airspeed, altitude, and turn rate changes. These limits are hard coded into the autopilot 

and define the aircraft’s normal flight operating envelope. The autopilot manages pitch, 

bank, and throttle to maintain target airspeed, target turn rate, and target altitude. For in 

flight modes that do not use GPS, the operator manually guides the flight path by 

controlling target airspeed, target altitude, and target turn rate directly. In flight modes 

that use GPS, the autopilot controls target turn rate to fly to waypoints. The system does 

not allow commands that are outside of the normal operating envelope, and the operator 

never affects control surface movements directly. Equally significant is the fact that 

Shrike operates within a tight visual line of sight (500 meters) and is therefore easily 

maneuvered within a visual operating area. See Shrike Operations Manual, Exhibit D. 

Specific Exemption Requests and Equivalent Level of Safety Showings

14 C.F.R. §§ 61.113(a) and (b), 61.133(a) - Private Pilot Privileges and Limitations: 

Pilot in Command; Commercial Pilot Privileges and Limitations 
6 

Regulations provide as follows: Subsections (a) and (b) of § 61.113 prohibit private pilots 

from operating aircraft in commercial operations, and Section 61.133(a) requires an 

individual operating an aircraft for compensation or hire to hold a commercial pilot 

certificate. The FAA has the statutory authority to waive the pilot requirements for 

commercial operations. 49 U.S.C. § 44701(f).Basis for exemption is as follows: AV 

requests an exemption from 14 C.F.R. §§ 61.113(a) and (b) and 14 C.F.R. § 61.133(a) 

so that the Shrike may be operated by individuals who (a) have a private pilot certificate, 

and (b) have completed AV's US military-approved training program for operation of the 

Shrike. 

Based upon the design features of the Shrike, its autopilot system, and safety factors, 

the FAA should permit operation of UASs by operators with a private pilot certificate 

when the conditions described above have been satisfied. The above-described 

conditions are in line with those set forth in Volume 16, Chapter 4, Section 1 of FAA 

Order 8900.1. 

AV proposes to conduct operations in accordance with these restrictions. Given these 

conditions and restrictions, an equivalent level of safety will be provided by allowing 

operation of the Shrike with a private pilot certificate. The risks associated with the 

operation of the Shrike (given its size, speed, operational capabilities, and lack of 

combustible fuel) are so much less than the level of risk associated with manned 

operations, both private and commercial, as contemplated by Part 61, that allowing 

operations of the Shrike, as set forth above, meets or exceeds the present level of safety 

provided under 14 C.F.R. §§ 61.113(a) & (b) and 61.133(a). 

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

This regulation requires that no person may operate a civil aircraft unless it is in 

airworthy condition. Should the exemption be granted allowing commercial operation of 

the Shrike without an airworthiness certificate, no standard will exist for airworthiness of 

the Shrike. Given the size of the aircraft, the speed it will operate at, the procedures for 

operating and maintaining the aircraft as set forth in the manuals, an equivalent level of 

safety will be provided.

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.” 

Basis for exemption is as follows: 

As the UAS may not have a barometric altimeter, but instead GPS altitude control, an 

exemption may be needed. An equivalent level of safety will be achieved by the operator 

as the UAS uses AGL height from its initialization (launch) point, cross-referenced with 

MSL altitude of the launch point. 

14 C.F.R. §§ 91.151 (b): Fuel Requirements for Flight in VFR Conditions 
7 

Section 91.151(b) prohibits an individual from beginning "a flight in a rotorcraft 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 to fly after that for at least 20 minutes.” 

The Shrike’s batteries provide up to 45 minutes of powered flight. Without an exemption 

from 14 C.F.R. § 91.151 (b), the Shrike’s flights would be extremely limited in length. 

Given the nature of Shrike’s controlled operations, a limitation on flight time would 

severely comprise its intended mission. 

AV believes that an exemption from 14 C.F.R. § 91.151(b) is safe and consistent with 

the scope of a prior exemption. See Exemption 10673 (allowing Lockheed Martin 

Corporation to operate without compliance to 91.151(a)). Operating the Shrike, a small 

UAS, without 20 minutes of reserve fuel does not engender the type of risks that Section 

91.151(b) was meant to prevent. The fact that the Shrike carries neither pilot, passenger, 

nor cargo, also enhances its safety. Given its size, weight and construction material, the 

risks are less than contemplated by the current regulation. 

Similar exemptions have been granted to others, including Exemptions 2689F, 5745, 

10673 , 11062-11067, 11080, 11109, 11136, and 11138. 

14 C.F.R. 91.205 (c) Visual Flight Rules (night operations) 

With regard to nighttime operations, AV contends that such operations may be 

conducted at least as safely as during the day using a similar concept of operations. 

Data supporting this can be found in a recent NASA-funded flight test series, which 

concluded that “statistical analyses of mean visual acquisition distances, overall aircraft 

visibility, and other parameters revealed no degradation in safety when operating at 

night. Moreover, when statistically significant differences were identified, the data 

favored night operations over daytime...Across three weeks of experimental testing, no 

systematic degradation of safety was observed when operating the...sUAS at night, even 

with the addition of light pollution.”4

An exemption is need from 91.205 in that the specified equipment will not be on the 

aircraft. An equivalent level of safety will be provided by the restricted area of operation 

and operating within VLOS at all times. No other aircraft will be in the airspace that 

operations are planned. 

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

Inspections and Records 

Section 91.405(a) requires that an aircraft operator or owner "[s]hall have that aircraft 

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

except as provided in paragraph (c) of this section, have discrepancies repaired as 

prescribed in part 43 of this chapter." Section 91.407 similarly makes reference to 

 

4 Final Report of the Evaluation of the Safety of Small Unmanned Aircraft System 

(sUAS) Operations in the National Airspace System (NAS) at Night, Year 2,” Igor 

Dolgov, PhD., Department of Psychology, New Mexico State University; Dallas Brooks, 

Physical Sciences Lab, New Mexico State University; Bryan Hudson, AeroVironment, 

December 24, 2014
8 

requirements in Part 43; Section 91.409(a)(2) requires an annual inspection for the 

issuance of an air worthiness certificate. Section 91.417(a) requires that an owner or 

operator keep records showing certain maintenance work that has been accomplished 

by certificated mechanics, under Part 43, or licensed pilots and records of approval of 

the aircraft for return to service. 

Maintenance of the Shrike will be accomplished by the owner/operator pursuant to the 

manuals provided by AV. An equivalent level of safety will be achieved because the 

Shrike is small in size, will carry no external payload, will operate only in restricted predetermined areas, and is not a complex mechanical device. The Shrike operator will 

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

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

person most familiar with the aircraft and is best suited to maintain the aircraft in an 

airworthy condition and to ensure an equivalent level of safety. Maintenance is very easy 

as the operator can simply swap out consumable parts (much like plug and play) and is 

trained in these procedures – a licensed airplane and power mechanic is not necessary. 

The Shrike comes with one Field Repair Kit ("FRK"). The FRK includes the items 

necessary to complete field repairs or routine maintenance. 

 

10 

Table of Contents Page(s) 

Purpose 

About AeroVironment 

Exhibit A: Shrike Specifications & Description (Confidential) 13-17 

Exhibit B: Safety Components & Procedures (Confidential) 18-21 

Exhibit C: Current Shrike COA – University of Alaska Fairbanks 22-42 

Exhibit D: AV Shrike Operations Manual (Confidential) 43-409 

Exhibit E: North Slope Standard Operating Procedure (Confidential) 410-486 

Exhibit F: National Airspace Standard Operating Procedure (Confidential) 487-524 

 
11 

About AeroVironment, Inc. 

AeroVironment (AV) is an innovations company that designs, develops, produces and 

supports an advanced portfolio of unmanned aircraft systems (UAS). The company was 

founded in 1971 by Dr. Paul B. MacCready, an internationally recognized expert in 

aerodynamics and aviation. 

UASs are revolutionary aircraft and AV has been at the forefront of their design, 

development and advancement. The company’s ongoing commitment to breakthrough 

innovation, sound performance, and enduring integrity led to numerous 

accomplishments in this field. Today, our UAS solutions make up more than 85 percent 

of the U.S. Department of Defense’s unmanned aircraft fleet. AV is also the first to 

deliver FAA-approved commercial UAS operations over American soil – a catalyst for 

global expansion. 

AV offers a broad range of UASs for military and commercial application. Each aircraft is 

designed for a unique mission or task, but all provide solutions through situational 

awareness via real-time, airborne reconnaissance, surveillance and communication. 

Purpose 

AV intends to conduct commercial operations using its Shrike aircraft for inspection of 

fixed infrastructure in controlled environments during daytime and nighttime hours. The 

purpose is to provide imagery, information and analytical data to further aerial 

surveillance in support of the operational aspects of petroleum and mining industry 

infrastructure and geography. In conjunction with commercial partners, AV will perform 

inspection operations with qualified personnel who hold private pilot certificates. 

 

These controlled locations are the ideal landscape for vertical aircraft technology, 

providing safe and risk-mitigated surveillance. The Shrike aircraft can hover and 

maneuver into locations that human personnel cannot reach or inspect without serious 

safety considerations. For example, Shrike can conduct flare stack inspections during 

times that would otherwise put human personnel in harm’s way. This technology 

significantly reduces risk by eliminating the need for inspection personnel on elevated 

structures currently using rope access, scaffolding, bucket trucks, and ladders. Use of 

Shrike Unmanned Aircraft 
12 

the Shrike aircraft also eliminates the need for aircraft carrying flammable fuel. 

In addition to enhancing safety elements, the use of Shrike aircraft technology to assist 

in monitoring on a regular basis, particularly when equipment indicates a malfunction, 

contributes to better supervision, cost efficiencies and improved maintenance. Real-time 

information and imagery allows for more informed assessments and faster, corrective 

decisions. Data captured by Shrike cameras is far more accurate than the human eye 

and provides a consistent, steady stream of information for analysis. For nighttime 

operations, Shrike can be fitted with an infrared camera and high-intensity red and green 

strobes to enhance observability. 

With regard to nighttime operations, AV contends that such operations may be 

conducted at least as safely as during the day using a similar concept of operations. 

Data supporting this can be found in a recent NASA-funded flight test series, which 

concluded that “statistical analyses of mean visual acquisition distances, overall aircraft 

visibility, and other parameters revealed no degradation in safety when operating at 

night. Moreover, when statistically significant differences were identified, the data 

favored night operations over daytime...Across three weeks of experimental testing, no 

systematic degradation of safety was observed when operating the...sUAS at night, even 

with the addition of light pollution.” (Reference: Final Report of the Evaluation of the 

Safety of Small Unmanned Aircraft System (sUAS) Operations in the National Airspace 

System (NAS) at Night, Year 2,” Igor Dolgov, PhD., Department of Psychology, New 

Mexico State University; Dallas Brooks, Physical Sciences Lab, New Mexico State 

University; Bryan Hudson, AeroVironment, December 24, 2014) 

The use of Shrike’s technology for aerial monitoring is a valuable solution for critical 

national infrastructure and a resolution in the public interest. This technology 

demonstrates a meaningful contribution to the important operations of the proposed 

infrastructure and the purpose they serve. It also provides for enhanced emergency 

response capabilities associated with the petroleum and mining industries, including: 

 assistance with oil spills 

 detection of unwanted emissions/pollutants 

 identification of rust and corrosion 

 integrity of power lines 

 abnormalities in tanks and storage facilities 

 discovery of structural defects 

 road and transportation irregularities 

 assistance with disaster relief 

The capability of Shrike to consistently hover, monitor and capture real-time video and 

imagery in these locations is critical to sustaining industry operations. Improved 

efficiency allows the opportunity for higher quality, more frequent inspections, and 

improvement of overall safety. 

 
EXHIBIT A

(Filed as Confidential)
EXHIBIT B

(Filed as Confidential)
EXHIBIT C 

22
Exhibit C

23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
EXHIBIT D

(Filed as Confidential)
EXHIBIT E

(Filed as Confidential)
EXHIBIT F

(Filed as Confidential)