6/28/16

 

8900.1 CHG 468

VOLUME 16  Unmanned Aircraft Systems

Indicates new/changed information.

CHAPTER 4  Operational Requirements and approval

Section 2  Operations in Accordance with PL 112-95, Section 333, and Exemptions

16-4-2-1    PURPOSE. This section provides guidance and policy to aviation safety inspectors (ASI) concerning the inspection and surveillance of civil Unmanned Aircraft Systems (UAS) operations conducted in the National Airspace System (NAS) under a Section 333 Special Rules for Certain Unmanned Aircraft Systems and a grant of exemption issued under Title 14 of the Code of Federal Regulations (14 CFR) part 11, General Rulemaking Procedures.

16-4-2-3    AUDIENCE. The primary audience for this notice is all regional Flight Standards divisions (RFSD) and Flight Standards District Office (FSDO) ASIs. The secondary audience includes headquarters (HQ) Flight Standards Service (AFS) policy divisions responsible for implementation.

16-4-2-5    BACKGROUND. In 2007, the Federal Aviation Administration (FAA) published a notice in the Federal Register (FR) (72 FR 6689, February 13, 2007) stating that all unmanned aircraft (UA), regardless of size, performance capability, or purpose of flight, are considered aircraft. This determination was made in response to the dramatic growth in the number of unmanned operations being conducted; the reliance on complex, uncertified technologies; and the resulting overall increase in risks to persons in the air and on the ground.

A.    Public Law (PL) 112-95. On February 14, 2012 the President signed into law the Federal Aviation Administration Modernization and Reform Act of 2012 (Public Law (PL) 112-95), which established in Section 333 a requirement for the Secretary of Transportation to determine if certain UAS may operate safely in the NAS based on criteria set forth in Section 333(b) prior to the compliance with Section 332 and/or Section 334 of this Act.

B.    Exemptions. The Secretary of Transportation has determined that certain UAS are eligible to operate in the NAS without possessing the airworthiness certification required under Title 49 of the United States Code (49 U.S.C.) 44704. For civil UAS operations conducted under Section 333 of PL 112-95, the Secretary has determined that specific requirements necessary for the safe operation are addressed in the form of grants of exemption(s).

1)    Persons who desire this regulatory relief must petition the Administrator for exemption in accordance with part 11, and the guidance provided at https://www.faa.gov/uas. For a complete list of exemptions granted under Section 333 of PL 112-95 visit http://www.faa.gov/uas/legislative_programs/section_333/333_authorizations/.
2)    Public/governmental entities may also petition the Administrator for a grant of exemption of applicable regulations to conduct civil operations using UAS.
a)    Examples of petitions that have been granted to conduct civil UAS operations include the following activities:

    Closed-set motion picture and television filming.

    Agricultural survey and spraying.

    Aerial photography.

    Land survey and inspection.

    Inspection of structures.

    Search and Rescue (SAR) operations.

    Pilot training.

    Research and development (R&D).

16-4-2-7    EXEMPTION APPLICATION. Petitioners seeking a grant of exemption fill out an online application on the public docket at www.regulations.gov.

A.    Guidance Materials. Detailed guidance, including a Section 333 checklist and Frequently Asked Questions (FAQ) section, as well as other guidance materials, is available on the UAS Integration Office (AFS‑80) Web site under Petitioning for Exemption under Section 333.

B.    Federal Register. Federal Register is the official daily publication for rules, proposed rules, and notices of Federal agencies and organizations, as well as executive orders and other presidential documents.

1)    The “Regulations.gov Docket Info” sidebar to the right of Federal Register documents identifies the public comment docket, and links to the docket folder, the comments received, and any supporting materials contained in the docket.
2)    The docket staff assigns a docket number. For petitions submitted under Section 333, the sequence is “FAA-year-four digit sequence number” (e.g., FAA-2016-1234).

16-4-2-9    OFFICE OF RULEMAKING. The FAA Office of Rulemaking (ARM) receives all initial petitions for exemption, and requests for amendment, through the mail or via the docket. If received through the mail, the petition must be sent to the Docket Office for processing. When received from the docket, ARM downloads the documents to dedicated computer drive and reviews the petition to determine the Office of Primary Responsibility (OPR), and assigns an analyst. Exemption requests representing unique or precedent-setting operations will be sent to AFS-80 for an indepth review. If the petition is similar in all material respects to others previously granted, it remains within ARM and will be processed as a summary grant.

16-4-2-11    GRANTS OF EXEMPTION. Exemptions granted for the commercial operation of UAS under the provisions of Section 333 of PL 112-95, will be in one of three forms: either a full grant of exemption, a partial grant, or a summary grant of exemption. Petitioners submitting a petition for exemption representing unique or precedent setting operations will receive an indepth review, and if approved will lead to a full or partial grant of exemption. A summary grant is granted when the FAA finds an exemption has been previously granted for circumstances similar in all material respects to those presented in an individual’s petition.

16-4-2-13    CERTIFICATE OF WAIVER OR AUTHORIZATION (COA). Under current policy, when a petitioner is granted an exemption they will also receive a COA approved by the FAA Air Traffic Organization (ATO) Emerging Technologies Team (AJV-115). Though approved by AJV-115, the COA is issued by ARM when the grant of exemption is approved. In some instances, the COA is issued to the petitioner by name; however, in most cases, the COA is issued to “Any Operator with a valid Section 333 Grant of Exemption.” These COAs will be approved limiting operations to altitudes at or below 400 feet above ground level (AGL) and within certain distances from airports as prescribed in the special provisions in the COA. These COAs are sometimes referred to as “broad area or blanket COAs.” If an exemption holder desires to operate at a distance from an airport contrary to the special provisions prescribed in a “blanket COA”, they must make application for a site-specific COA through the AJV-115. All requests should be submitted at least 60 days in advance to https://oeaaa.faa.gov/oeaaa/external/uas/portal.jsp.

16-4-2-15    ACTION. When a FSDO becomes aware that an exemption has been granted to a UAS operator under the provisions under Section 333 of PL 112-95 that is within their geographic area of responsibility, the FSDO managers may elect to contact each exemption holder that resides within their respective districts to secure a copy of their grant of exemption, broad area COA, and operating documents to establish an office file for the exemption holder.

A.    Compliance. PL 112-95 defines UA as an “aircraft.” Therefore, compliance with all applicable CFRs is required. FSDO managers should allocate sufficient resources, when available, to perform targeted surveillance of an exemption holder to determine compliance with the conditions and limitations set forth in their grant of exemption, the special provisions contained in a COA, and the exemption holder’s operating documents, in the public interest.

B.    Surveillance and Inspection. Surveillance and/or inspection of the holder of an exemption granted to a UAS operator under the provision of under Section 333 of PL 112-95 should be conducted in accordance with the guidance contained in this volume.

C.    Variations in 8900.1. Inspectors should be aware that important chapters/sections in FAA Order 8900.1 concerning surveillance are based on manned aircraft operations, and may vary noticeably from exemptions granted under Section 333 of PL 112-95. Similarly, there may be significant differences between guidance found in 8900.1 Volume 3, and the processes used by ARM and AFS-80. For example, operating documents submitted and referenced in a grant of exemption provide the basis for the petitioner’s equivalent level, or no adverse impact upon safety per part 11, 11.81.

1)    This does not necessarily mean that the operating documents have been approved or accepted by the FAA unless specifically noted in a grant of exemption.
2)    Therefore, an exemption holder may make revisions to their operating documents provided the revision does not change the basis for which relief was originally granted under the exemption, or are contrary to a conditions and limitations in an exemption.

D.    Operating Documents. The operating documents are often generic, and produced by the UA manufacturer. The primary documents for surveillance or inspection are the grant of exemption, COA and the exemption holder’s operating documents. Adherence to those conditions and limitations within the exemption, the special provisions within the COA and the operating documents are required for the operator to be in regulatory compliance.

1)    Inspectors familiar with reviewing detailed manuals for typical commercial operations should exercise caution and not apply standards usually applied to 14 CFR part 119 certificate holders conducting operations under part 121, 135 or 125.
2)    Where differences are encountered between the exemption holders’ operating documents and the conditions and limitations in a grant of exemption, the conditions and limitations in a grant of exemption take precedent.

E.    Specific Examples. ASIs should pay particular attention to the following areas:

1)    Pilot Certification. Each exemption includes numerous conditions and limitations which provide requirements related to pilot certification, currency and training. Medical requirements are also included where applicable. These requirements may vary considerably from one exemption to another (e.g., sport pilot with a valid state driver’s license, through airline transport pilot (ATP) with a First Class FAA medical, or any combination of pilot’s certificate and medical, including an ATP with driver’s license.) Adherence to the conditions and limitations section of the exemption is required.
2)    Aircraft Registration. The exemption requires that each UAS is registered and marked prior to operations; however, registration is not required at the time an exemption is granted.
3)    Aircraft Model Numbers. Similar to manned aircraft, UA model numbers may be entered in the Program Tracking and Reporting Subsystem (PTRS).
4)    Regulatory Compliance. The UAS pilot in command (PIC) is responsible for complying with all applicable regulations unless an exemption to a particular regulation has been granted.
5)    Aircraft Maintenance. Exemptions granting relief from certain 14 CFR part 91 maintenance requirements will contain conditions and limitations related to maintenance and inspection requirements in the grant of exemption. The exemption holder’s operating documents must be adhered to when operating under the terms of exemptions.
6)    Operational Area. Must be within visual line of sight of the pilot. Depending on the size and speed of the UAS and current weather conditions, it may be challenging to keep the UA within visual line of sight of the PIC at all times.
7)    Operations in Proximity to Persons, Vehicles, Structures, etc. ASIs should pay particular attention to the requirements of 91.119 including relevant conditions and limitations in the exemption.
8)    Compliance with Conditions and Limitations Listed in the Grant of Exemption and Special Provisions in the COA. Conditions and limitations and/or special provisions contained within the exemption or COA are considered to be mandatory. If the PIC fails to comply with any condition or limitation, the ASI must immediately notify the PIC and determine if follow-up action is necessary.
9)    Airworthiness Certification Per 49 U.S.C. 44704. The Secretary of Transportation has made the determination that airworthiness certification per 49 U.S.C. 44704 is not necessary; therefore, UAS operated in accordance with a grant of exemption issued under the provisions of Section 333 of PL 112-95, will not possess or require an airworthiness certificate.

16-4-2-17    COMPLIANCE AND ENFORCEMENT. UAS operations described in this notice are conducted in accordance with our current regulatory structure. When an apparent violation exists, ASIs must investigate in accordance with current guidance contained in FAA Order 2150.3, FAA Compliance and Enforcement Program, and 8900.1, Volumes 14 and 16. ASIs must document all surveillance activities in accordance with PTRS guidance.

16-4-2-19    REFERENCE MATERIAL (current editions).

    FAA Unmanned Aircraft Systems Integration Office Web site: www.faa.gov/uas (to access exemptions granted to UAS operators under the provisions of Section 333 of PL 112-95, U.S. Government Publishing Office (GPO)).

    Title 14 CFR Part 11, General Rulemaking Procedures, 11.81.

    PL 112-95: https://www.congress.gov (select: “Public Laws” and enter 112-95 in the search row).

    N JO 7210.891, Unmanned Aircraft Operations in the National Airspace System (NAS) (Air Traffic Organization Policy).

16-4-2-21 through 16-4-2-35 RESERVED.