APPENDIX A

EXEMPTION REQUEST AND EQUIVALENT LEVEL OF SAFETY SHOWINGS UNDER

APPLICABLE RULES SUBJECT TO EXEMPTION

Iconik Studio requests an exemption from the following regulations as well as any 

additional regulations that may technically apply to the operation of the DJI Inspire 1.

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

The regulation provides:

When marking, 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. The Inspire 1 does not have an entrance 

in which the word “Experimental” can be placed, and may not have a registration number 

assigned to it by the FAA. I propose to be compliant with § 45.29(f) and achieve an 

equivalent level of safety by including the “Experimental” on the top of the aircraft, where 

the PIC, VO and others in the vicinity of the aircraft

while it is preparing for launch will be able to see the designation. Additionally, in order to 

identify the aircraft, I propose that the information found on airworthiness and registration 

certificates be permanently affixed to the aircraft via a placard.

.

14 C.F.R. Part 21, Subpart H: Airworthiness Certificates

14 CFR § 91.203(a)(1)

Section 91.203(a)(1) requires all civil aircraft to have a certificate of airworthiness. Part 

21, 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 of the aircraft (6.47lbs.) and the limited operating area 

associated with its utilization, I feel it is unnecessary to go through the certificate of 

airworthiness process under Part 21 Subpart H to achieve or exceed current safety 

levels. 

Such an exemption meets the requirements of an equivalent level of safety under Part 

11 and Section 333 of the Reform Act. The Federal Aviation Act 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 UAS involved. 
In this case, an analysis of these criteria demonstrates that the Phantom 3 is operated 

without an airworthiness certificate, under the conditions proposed herein, will be at least 

as safe, or safer,than a conventional aircraft (fixed wing or rotorcraft) with an 

airworthiness certificate. The Phantom 3 weighs less than 3 lbs. fully loaded. It will not 

carry a pilot or passenger, will not carry flammable fuel, and will operate exclusively 

within an area pre-disclosed and in compliance with conditions set forth herein. 

Operations under this exemption will be tightly controlled and

monitored by Carroll Engineers PLLC, pursuant to the conditions set forth above, and by local 

public safety requirements. The FAA will have advance notice of all operations through 

the filing of NOTAMs. Receipt of the prior permission of the land owner, the size of the 

aircraft, the lack of flammable fuel, and the fact that the aircraft is carried to the location 

and not flown there all establish the equivalent level of safety. The Phantom 3 provides at 

least an equivalent level of safety to that of such operations being conducted with 

conventional aircraft that would be orders-of-magnitude larger and would be carrying 

passengers,cargo, and flammable fuel.

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

in Command; Commercial Pilot Privileges and Limitations.

Section 61.113(a) & (b) limit private pilots to non-commercial operations. Unlike a 

conventional aircraft that carries a pilot, passengers, and cargo, the Phantom 3 is remotely 

controlled with no passengers or property of others on board. Section 61.133(a) requires 

an individual with a commercial pilot’s license to be pilot in command of an aircraft for 

compensation or hire. Carroll Engineers PLLC respectfully proposes that operator requirements 

should take into account the characteristics of the particular UAS. The Phantom 3 has a 

high degree of pre-programmed control and various built-in technical capabilities that 

strictly limit the potential for operation outside of the operating conditions set forth in

the exemption application. The Phatom 3 has a semi-autonomous navigation and control 

system comprised of a Ground Control system and auto-pilot system. Flights can be preprogrammed with precision GPS guidance and do not require human intervention. In the 

case of unplanned events, the PIC can allow the aircraft to follow the pre-programmed 

evasive maneuvers from the control unit or enable assisted steering for direct control.

Carroll Engineers PLLC notes that the FAA has found that safety factors permitted operation of 

UASs by operators with these qualifications in the case of operations pursuant to public 

COAs where the mandatory operating conditions specified above are present. See 

Federal Aviation Administration, Notice N-8900.227, Unmanned Aircraft Systems (UAS) 

Operational Approval, at 20-21 (July 30,2013).

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 Phantom 3 without an airworthiness certificate, no standard will exist for airworthiness 

of the Phantom 3. Given the size and integrity of the aircraft, an equivalent level of safety 

will be achieved by insuring compliance with the Phantom 3's user and maintenance 

manuals prior to each flight.

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

The regulation 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. Given the size and configuration of the Phantom 3, it has no 

place to carry such a flight manual on the aircraft, not only because there is no pilot on 

board, but because there is no room or capacity to carry such an item on the aircraft.

The equivalent level of safety will be achieved by keeping the flight manual at

the ground control point where the pilot flying the UAS will have immediate access to it. 

The FAA has issued to others the following exemptions to this regulation: Exemption

Nos. 8607, 8737, 8738, 9299, 9299A, 9565, 9565B, 10167, 10167A, 10602, 32827, and 

10700.

14 C.F.R. § 91.109(a) & 91.319(a)(1): Flight Instruction

These regulations provide 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. The Phantom 3 is a remotely piloted aircraft and by design, does 

not have fully functional dual controls. Flight control is accomplished through the use of a 

control box that communicates with the aircraft via radio communications. The flight plan 

is pre-programmed into the auto pilot before flight and only in emergency circumstances 

will the pilot have the choice to input control functions to alter the pre-programmed flight. 

The FAA has approved exemptions for flight training without fully functional dual controls 

for a number of aircraft and for flight instruction inexperimental aircraft. See Exemption 

Nos. 5778K & 9862A.

14 CFR § 91.119: Minimum Safe Altitudes

Section 91.119 establishes safe altitudes for operation of civil aircraft. Specifically, 

91.119(c) limits aircraft flying over areas other than congested areas to an altitude of 500 

feet above the surface, be operated closer than 500 feet to any person, vessel, vehicle, 

or structure. As set forth herein, the Phantom 3 will never operate at higher than 300 feet 

AGL. It will,however, be operated to avoid congested or populated areas that are 

depicted in yellow on VFR sectional charts. Because aerial video/photography work 

must be accomplished at relatively low altitudes and at altitudes less than 500

feet AGL, an exemption from Section 91.119(c) is needed. The equivalent level of safety 

will be achieved given the size, weight, speed, and material with which the Phantom 3 is 

built. Also, no flight will be taken without the permission of the land owner or those who 

control the land. Because of the advance notice to the landowner, all affected individuals 

will be aware of the video/photography flights. Compared to aerial video/photography 

operations conducted with aircraft or rotorcraft weighing far more than 3 lbs. and 

carrying flammable fuel, any risk associated with these operations will be far

less than those currently allowed with conventional aircraft operating at or below 500 

feet AGL. Furthermore, the low-altitude operations of the UAS will maintain separation 

between these small-UASoperations and the operations of conventional aircraft that 

must comply with Section 91.119.

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

This regulation 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 afterthat for at least 30 minutes; or (2) At night, to fly after that for 
at least 45 minutes.” The Phantom 3 batteries provide approximately 20 minutes of 

powered flight. Without an exemption from § 14 CFR 91.151, the limitations proposed 

would greatly reduce its utility. Given the type of operation, as well as the rural location 

of those proposed operations, a longer time frame for flight in daylight VFR conditions is 

reasonable. Additionally, given the proposed VLOS restriction, the aircraft would always 

be well within 5 minutes of its landing position. Furthermore, in the unlikely event that the

Phantom 3 should run out of fuel before returning, it would simply auto land at its current 

position at a safe speed. Finally, recognizing its weight and construction material, the 

risks are less than contemplated by the current regulation.

Carroll Engineers PLLC believes that an exemption from 14 CFR § 91.151(a) is safe and 

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

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

without 30 minutes of reserve fuel does not engender the type of risks that Section 

91.151(a) was meant to prevent given the size and speed at which the UAS operates. 

The fact that it carries no pilot, passenger, or cargo also enhances its safety. I believe 

that an equivalent level of safety can be achieved by maintaining 5 minutes of reserve 

fuel, which would be more than adequate to return the UAS to its planned landing zone 

from anywhere in its operating area.

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

This regulation provides as follows:

(a) . . . no person may operate a civil aircraft unless it has . . . an appropriate and current 

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

airworthiness certificate required by paragraph (a)

of this section or a special flight authorization issued under §91.715 is displayed at the 

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

The Phantom 3 fully loaded weighs no more than 3 lbs. As such, there is no ability or place 

to carry certification and registration documents or to display them on the UAS. In 

addition, there is no pilot on board the aircraft. An equivalent level of safety will be 

achieved by keeping these documents at the ground control point where the pilot flying 

the UAS will have immediate access to them. The FAA has issued numerous 

exemptions to this regulation. A representative sample of other

 and 10700.

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

Section 91.405(a) requires 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 .. . .” Section 91.407 similarly makes reference to 

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 the owner or 

operator to keep records showing certain maintenance work that has been

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

approvalof the aircraft for return to service. 

Maintenance of the Phantom 3 components outlined in the maintenance manual will be 

accomplished by Jason Carroll, who has been trained by a DJI technician. An 

equivalent level of safety will be achieved because the UAS is small in size, will carry no 
external payload, will operate only in restricted predetermined areas and is not a 

complex mechanical device. As provided in the Phantom 3 Checklist, The PIC operator of 

the Phantom 3 will also ensure that the UAS is in working order prior to initiating

flight, and keep a log of any maintenance that is performed on the aircraft. Moreover, the 

operator is the person most familiar with the aircraft and is best suited to ensure that the 

aircraft is in an airworthy condition and to guarantee an equivalent level of safety.

Carroll Engineers PLLC's PIC will put the Phantom 3 aircraft through a routine, but rigorous, 

inspection of the airframe and components every 50 flights. Likewise, he will replace the 

servos, motors and speed controller every 300 flights. This will ensure an equivalent 

level of safety to the maintenance requirements in Part 91. In addition, between such 

replacements, should a mechanical issue arise, the aircraft will either return to its launch 

site or immediately land