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U.S. Department of Transportation October 19, 2015 Docket Management Sy stem 1200 New Jersey

Ave., SE Washington, DC 20590



# Jack J. Forman **Section 333 Petition to Operate Small Unmanned**  **Aerial Systems**

**Prepared by:** Jack Forman 26 Maurice Dr. Marlborough, MA 01752 508

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- 9359 jack.forman@akornn.com2 

# Table of Contents

Petition Summary .....................................................................................3 Statutory Authorit y...................................................................................3 Characteristics of the Aircraft.......................................................................3 Applications...........................................................................................4 The Petitioner Requests Relief From the Following..............................................4 The Petitioner has Supplied the Following Additional Information ...........................8 Pre

- flight Inspection, Maintenance..................................................................8 UAS Operating Parameters ..........................................................................8 Pilot in Command (PI C).............................................................................9 Radio Frequencies....................................................................................9 Safety and Benefits of the UAS............... ......................................................9 Conclusion ...........................................................................................103

**Petition Summary:** Pursuant to Section 333 of the FAA Modernization and Reform Act of 2012, Pub. L . No. 112

- 95 (2012), 126 Stat. 11 (“Section 333”) and the Federal Aviation Administration’s (“FAA”) general exemption authority under 49 U.S.C. section 44701(f), **Jack J. Forman** (“Petitioner”) hereb y petitions for exemptions from 14 C.F.R Part 21, Subpart H (Airworthiness Certificates), 14 C.F.R. Part 27 (Airworthiness Standards: Normal Category Rotorcraft), 14 C.F.R sections 61.113(a)

- (b), 91.103(b)(1), 91.119(c), 91.121, 91.151, 91.405(a), 91.407(a)(1), 91.409(a)(2), and 91.417(a)

- (b). The proposed exemption, if granted, would allow Petitioner to conduct commercial operations of small unmanned aircraft s ys tems (“UAS”) meeting or exceeding all of the operational and safet y requ irements Congress has set forth in Section 333. **Statutory Authority** Section 333, titled “Special Rules for Certain Unmanned Aircraft S ys tems”, provides a mechanism for seeking expedited FAA authorization of safe civil UAS operations in the NAS. Section 333(a) states that the FAA “shall determine if certain unmanned aircraft sy stems may

operate safely

in the national airspace sy stem before completion of the (comprehensive) plan and rulemaking required by section 332(b)(1) of this Act or the guidance requ ired b y section 334 of this Act.” In Section 332(b)(1), Congress made it clear that Section 333 provides a mechanism for “expedited operation authorization” if several factors are met. Petitioner meets all requirements to permit FAA approval of commercial UAS operations.

**Characteristics of the A ircraft**  The petitioner states that the unmanned aircraft (UA) to be operated under this request is less than 55 lbs. fully

loaded, flies at a speed of no more than 50 knots, carries neither a pilot nor passenger, c arries no explosive materials or flammable liquid fuels, and operates exclusively

within a secured area as set out in the Operation Manual. The craft is the Phantom 3 manufactured by DJ I. The craft has a quadcopter design, GPS, full autonomous autopilot ca

pabilities, telemetry , manual ground control and an on - screen display /first

- person - view sy stem

. In addition, the craft has integrated safet y features built into the design of the UAS, as described in the Operation Manual, to ensure the safet y of persons and property within and surrounding the limited operating area. The petitioner further describes that, in the event the UAS loses communications or its GPS signal, the UA will have the capability to return to a pre

- determined location within the Securit y Pe rimeter and land.4

**Ap plications**  The Petitioner holds a commercial pilot cert ificate and is instrument rated alo ng with a CFI rating with about 2000 hours of flight time over the past 40 y ears. He also has experience fl yi ng remote controlled aircraft and quadcopters. The Petitioner holds a current FAA 3 rd Class Medical Certificate and has met the flight review requirements specified in 14 CFR § 61.56

. The Petitioner is starting an aerial photograph y and aerial inspection company that plans to utilize the ca

pabilities of Unmanned Aerial S ys tems to offer a multitude of services, including:

- Aerial surveying

- Aerial mapping

- Aerial filmmaking and photograph y

- Energy

s ys tems inspections and asset management

- Construction site inspections and monitoring

- Wildlife and forestry

monitoring

- Educational and research operations

- Pipeline inspection and patrolling

- Tower inspections **The Petitioner Requests Relief From the Following:** The Petitioner requests an exemption from the following regulations as well as any additional regulations that may technicall y appl y t o the operation of the DJI Phantom 3: 14 C.F.R. Part 21, Subpart H: Airworthiness Certificates 14 CFR § 91.203(a)(1) Section 91.203 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). Given the size of the Phantom 3, it is very light weight (aircraft weight is 2 .8 pounds), and the limited operating area associated with its utilization, it is unnecessary to go through the certificate of airworthiness process under Part 21 Subpart H in order to achieve or exceed current safet y levels. Such an exemption meets the r equirements of an equivalent level of safet y 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 c onsideration of the size, weight, speed, operational capability , and proximity to airports and populated areas of the UAS involved. An anal ys is of these different criteria demonstrates that the Phantom 3 operated without an airworthiness certificate, under the conditions proposed in that exemption, will be at least as safe, or safer, than a conventional aircraft with an airworthiness certificate.5

14 C.F.R. § 45.23 & 14 C.F.R. § 45.29: Display of marks; size of marks These regulations provide that each aircraft must display "N" and the aircraft's registration number in letters at least 3 inches high. Additionally , the aircraft must display the word "EXPERIMENTAL" in letters at least 2 inches high near the entrance to the cabin, cockpit, or pilot station. G iven the size of the Phantom 3 this requirement is impossible to match but smaller numbers will be utilized in accordance with the size of the vehicle, numbers to be as large as practicable. 14 C.F.R. § 91.7(a): Civil aircraft airworthiness This regulatio n requires that no person may operate a civil aircraft unless it is in airworth y 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 of the aircraft and the requirements contained in the User Guide for maintenance and use of safety checklists prior to each flight an equivalent level of safet y will be provided. 14 C.F.R. § 91.9: Civil aircraft flight manual, m arking, and placard requirements. This regulation provides that no person may operate an aircraft unless a current, approved flight manual is in the aircraft. The intent of this requirement is to ensure that flight manual information is available to the a ircrew while operating the aircraft. However, not only is the Phantom 3 too small to carry documentation, the documentation would not be available to the crew while flying. The equivalent level of safet y will be achieved b y ensuring that the pilot has an e lectronic copy of the Phantom 3 flight manual while flying. 14 C.F.R. § 91.109(a) & 91.319(a)(1): Flight Instruction Section 91.103 provides that no person may operate a civil aircraft (except a manned free balloon) that is being used for flight instruct ion unless that aircraft has full y functioning dual controls. By design, UAS and remotely piloted aircraft do 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 equivalent level of safet y is provided by the fact that neither a pilot nor passengers will be carried in the aircraft, the ability to control the UAS via radio signals from the controller and by the size and speed of the aircraft

. 14 CFR § 91.119: Minimum Safe Altitudes6

The regulation provides that over sparsel y populated areas the aircraft cannot be operated closer than 500 feet to any person, vessel, vehicle, or structure. Since the aircraft will be operating at a maximum of 4 00 feet AGL, the Phantom 3 cannot comply with this requirement. The equivalent level of safet y will be achieved because the Phantom 3 will only fl y over private property

with the permission of the landowner. The operator will define before every flight a working area radius and a flight area ceiling, preventing the Phantom 3 to go beyond the flight area. The landowner and the persons who may be on the ground in the flight area will be briefed of the expected route of flight and the associated risks to pers ons and propert y on the ground. Due to the small size of the Phantom 3 and the material with which the Phantom 3 is built, the hazard to persons, vessels, vehicles, and structures is not comparable to manned aircraft and should be considered in granting th e exemption. Moreover, the aircraft will not be operated over congested areas or over an y open - air assembly of persons. The aircraft will be operated at an altitude allowing, if a power unit fails, an emergency

landing without undue hazard to persons or p roperty on the surface. 14 CFR 91.121

– Altimeter settings This section requires that each person operating an aircraft shall maintain the cruising altitude or flight level of that aircraft, as the case may be, by reference to an altimeter that is set, when operating below 18,000 feet MSL to: The current reported altimeter setting of a station along the route and within 100 nautical miles of the aircraft: If there is no station within the area prescribed in paragraph (a)(1)(i) of this section, the current reported altimeter setting of an appropriate available station; In the case of an aircraft not equipped with a radio, the elevation of the departure airport or an appropriate altimeter setting available before departure. To provide an equivalent level of safety , the Phantom 3 autopilot calculates the reference altitude (ground level) with the on

- board GPS during the pre

- flight tests. The GPS and barometer data are merged with respect to their respective precisions. The GPS provides reliable information to correct potential barometric bias, while rapid variations in altitude are detected through the barometer. Hence, barometric bias induced b y environmental factors is rejected. 14 C.F.R. § 91.151(a): Fuel Requirements for Flight in VFR Conditions The regulation provides that no person may begin a flight in an airplane under day

- VFR conditions unless there is enough fuel to fl y to the first point of intended landing and to fly after that for at least 30 minutes.7

Given the area of operation for the Phantom 3, an equivalent level of safet y is achieved with the low battery

failsafe feature in which the Phantom 3 will automatically land if the battery reaches below a determined point. 14 C.F.R. § 91.203 (a) & (b): Carrying Civil Aircraft Certification and R egistration This regulation provides as follows: No person may

operate a civil aircraft unless it has an appropriate and current airworthiness certificate. 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 display ed at the cabin or cockpit entrance so that it is legible to passengers or crew. The Phantom 3 weighs only 2.3 pounds. 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 or passengers on board the aircraft. To obtain an equivalent level of safet y and meet the intent of 91.203, the documents deemed appropriate for this aircr aft by the FAA will be co

- located with the operator at the ground control station and available for inspection upon request. 14 CFR Subpart E (91.401

- 91.417)

- Maintenance, Preventive Maintenance, and Alterations The regulation requires that the operato r is primarily responsible for maintaining the aircraft in an airworth y condition, including compliance with Parts 39 and 43. Paragraphs 91.407 and 91.409 require that the aircraft be "approved for return to service by a person authorized under 43.7" after maintenance and inspection. Section 91.409(a)(2) requires an annual inspection for the issuance of an airworthiness certificate. Section 91.417(a) requires the owner or operator to keep records showing certain maintenance work that has been accomplished b y certificated mechanics, under Part 43, or licensed pilots and records of approval of the aircraft for return to service. The maintenance of the Phantom 3 will be accomplished by the owner/operator according to the manufacturer’s documentation. An equiva lent level of safety will be achieved because the Phantom 3 is small in size. It is not a complex mechanical device, it will carry no external payload, and it will operate only in restricted predetermined areas. Moreover, the operator is the person most familiar with the aircraft and is best suited to maintain the aircraft in an airworth y condition and to ensure an equivalent level of safet y. Finally, before every flight, the Phantom 3 runs automatic sequences of pre

- flight tests to make sure that every sen sor and every

critical part is running properl y. Several parts of the Phantom 3 are easil y interchangeable8

(propellers), which allows the operator to make sure the propellers and propulsion sy stems are alway s airworthy when a mission is initiated.

**The P etitioner has Supplied the Following Additional Information:**  The DJ I Phantom 3 Operation Manual is too large to upload. It can be found at http://download.dji

innovations.com/downloads/phantom_3/en/Phantom_3_Professional_User_Manual_v1.4 _en_0915.pdf

**Pr e**  **- flight Inspection, Maintenance**  Before each flight, the Pilot In Command, will perform a series of pre

- flight and takeoff checks as defined b y the Operation Manual supplied. After every 60 minutes of airtime, the craft will undergo a thorough inspection of all aircraft components, including, but not limited to:

a. Actuators / Servos b. Motors, wiring and connectors c. Propellers, smooth, no chips d. Electronic speed controller, wiring and connectors e. Batteries, wiring and connectors f. Remote command and control g. Ground control station **UAS Operating Parameters** All flights will be operated within visual line of sight (VLOS) of the pilot. Day time Visual Flight Rules and all operations will be conducted with the assistance of a second spotter/observer. The UAS fli ghts will be limited to a maximum altitude of 400 feet AGL as measured b y GPS. Flight Standards District Offices (FSDOs) will be notified as required prior to operations to describe intended coordination for proposed operation(s). As required Petitioner w ill obtain an Air Traffic Organization (“ATO”) issued Certificate of Waiver or Authorization (“COA”) prior to conducting an y operations under this grant of exemption. In fulfilling its requirements under the COA, Petitioner will be required to request a NO TAM no more than 72 hours in advance, but not less than 48 hours prior to the operation. Petitioner’s UAS will remain clear and yi eld the right of way to all manned operations and activities at all times (including, but not limited to, ultralight vehicles , parachute activities, parasailing activities, and hang gliders). Petitioner will not conduct UAS9

operations within 5 nautical miles of the geographic center of an airport unless a letter of agreement with that airport’s management is obtained obtained or otherwise permitted by a COA issued to the exemption holder.
**Pilot in Command (PIC)** 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 a ircraft for compensation or hire to hold a commercial pilot certificate. The FAA has the statutory authorit y to waive the pilot requirements for commercial operations 49 U.S.C. § 44701(f). Basis for exemption is as follows: the Petitioner requests an exemp tion from 14 C.F.R. §§ 61.113(a) and (b) and 14 C.F.R. § 61.133(a) so that the Phantom 3 may be operated b y individuals who have a private pilot certificate. Based upon the design features of the Phantom 3 with its autopilot sy stem and safet y factors, the FAA should permit operation of UASs by operators with a private pilot certificate. The conditions described above 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 Phantom 3 with a private pilot certificate. The risks associated with the operation of the Phantom 3 (given its size, s peed, operational capabilities, and lack of combustible fuel) are 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 Phantom 3, as set forth above, meet s or exceeds the present level of safet y provided under 14 C.F.R. §§ 61.113(a) & (b) and 61.133(a).
**Radio Frequencies** The Phantom 3 will use the 2.4 GHz

- 2.483 GHz frequency , which is allotted by the FCC for data transmission and vehicle control in unli censed frequency bands. All devices used will comply

with FCC usage and emissions regulations. **Safety and Benefits of the UAS** The petitioner will be using the UAS in a variet y of applications that generally require expensive full

- size manned aircraft t o complete. Small, light and unmanned aerial vehicles offer a m yri ad of benefits over the use of full

- sized manned aircraft such as for electric power line inspection, oil/gas pipeline inspection, and film and still photograph y. Manned aircraft that is car rying crew and flammable fuel is being replaced with small UAS carrying no passengers or crew creating a greater margin of safet y for the pilots and crew.10

By granting Petitioner’s requested exemptions, the FAA will help drive development of safe and succ essful commercial UAS operations and will advance the public knowledge base for such operations. Petitioner is committed to promoting the UAS research efforts of policy makers including the FAA, NASA, DOD and DARPA by sharing data from its commercial UAS op erations and serving as a resource for future UAS research operations. Thus, the FAA has good cause to grant this Petition. **Conclusion** For reasons stated , the exemptions requested herein should be granted and Petitioner should be permitted to conduct small UAS operations in accordance with its manuals and all other operating parameters deemed necessary and appropriate by

the FAA.
Respectfully

Submitted,

Jack Forman 26 Maurice Dr. Marlborough, MA 01752 508

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- 9359 Jack.Forman @ akornn .com