2-1 CHAPTER 2. PART 137 OPERATOR CERTIFICATION PROCESS
2.1 Purpose. This chapter outlines each phase of the FAA process to become a certificated agricultural aircraft operator.
2.2 Introduction.
2.2.1 Certification Process. Certification is one of the most important responsibilities of Flight Standards (AFS). The FAA uses the certification process to determine that an applicant is qualified to hold a certificate and operate in a safe manner. The process also verifies that the FAA has the ability to provide the required oversight. The FAA also uses the certification process to determine if the applicant meets rules governing the operation of agricultural aircraft by a private or a commercial operator. When the applicant successfully completes this process, the FAA will issue a part 137 Private or Commercial Agricultural Aircraft Operator Certificate to them.
2.2.2 Understanding Responsibilities. This information will assist applicants in understanding their responsibility for conducting proposed operations in compliance with the applicable regulations and to the highest degree of safety. Applicants must demonstrate their abilities before receiving authorization to conduct agricultural aircraft operations.
2.3 The Preapplication Meeting.
2.3.1 Overview. The preapplication meeting is an informal meeting to provide applicants with an overview of the certification process and identify the necessary resources to assist them in becoming certificated.
2.3.2 Meeting Exemption. If an applicant is familiar with all of the requirements of the certification process and the required documentation, they may not need a preapplication meeting (e.g., if they have previous experience as a part 137 operator). In such cases, the FAA eliminates the Preapplication Phase and the applicant proceeds to the Formal Application Phase.
2.3.3 Required Information. During the meeting, the FAA will ensure that applicants meet the eligibility requirements for obtaining an Operating Certificate under § 137.19 by conducting a general inquiry. Be prepared to provide the FAA with the following information:
1. Area of operation.
2. Location of home base of operations.
3. Location of probable satellite sites.
4. Type of operation, private or commercial.
5. Economic poisons or other dispensing material.
6. Operating as individual, corporation, or partnership.
7. Previous experience with part 137 operations.
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8. Category and class of aircraft (helicopter, airplane, or Unmanned Aircraft Systems (UAS)).
9. Qualifications and experience of chief supervisor.
10. Applicability of parts 61, 91, 107, and 137.
11. Disclosure of any previous or pending enforcement action pertaining to the applicant, management personnel, or chief supervisor.
12. Acknowledge the intent to make petition for an exemption for operating UAS under part 137.
2.3.4 Letter of Intent (LOI). Be prepared to submit an LOI (see Figure 2-1, Sample Letter of Intent) for the Document Compliance Phase. The LOI is an overall description of the applicant’s proposed operation, which applicants usually submit with the application.
Depending on the size and scope of the proposed operation, the FAA may determine that an LOI is not necessary. If the FAA requires an LOI, include the following:
1. The specific type of Agricultural Aircraft Operator Certificate the applicant is applying for (commercial or private);
2. The legal company name and any doing business as (DBA), home base of operations address;
3. Primary airport address (if applicable), mailing address, and telephone numbers;
4. Type of aircraft proposed for the operation;
5. The estimated date when operations or services will begin;
6. The names and addresses of all management personnel or chief supervisor;
7. Three, three-letter certificate designators, in order of preference; and
8. If the operation is a corporation, the Articles of Incorporation.
2.3.5 AFS Offices. AFS offices accomplish part 137 certifications. An AFS office assembles a certification team, usually of two to three aviation safety inspectors (ASI). Each inspector represents their specialty, which includes Operations, Maintenance, and Avionics. One of the three inspectors will be designated as the certification project manager (CPM). All correspondence, both to and from the applicant, should be coordinated with the CPM.
2.3.6 CPM. During the meeting, the CPM will ensure that applicants understand the applicability of parts 1, 43, 61, 91, 107, and 137. This is usually accomplished through discussions pertaining to part 137 certification and operational requirements. Before the conclusion of this meeting, applicants should ask any questions pertaining to the certification. Applicants must fully understand the CPM’s responsibilities and roles during the certification process to avoid delays to their proposed date for the start of operations. Applicants should have current copies of parts 91 and 137. Before the conclusion of the meeting, the CPM will explain the following requirements:
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• General applicability and definition of FAA terms related to part 137;
• Certification process and requirements;
• Operating rules;
• Records and reports required under part 137; and
• The need for an exemption, waiver, or Certificate of Authorization (CoA), if operating a UAS.
2.3.7 Compliance with Regulations. The CPM advises applicants of their responsibility for compliance with other Federal, state, and local regulations regarding aerial applications.
Applicants are responsible for determining the applicability and compliance with these regulations. At the conclusion of the preapplication meeting, the CPM will provide them with the following:
1. Three copies of FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application (see Figure 2-2a, FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application (Front), and Figure 2-2b, FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application (Back)). A copy of the form is available at https://www.faa.gov/forms/index.cfm/go/document.list?
omni=Forms&q=8710-3&parentTopicID=0&display=current& subjectClassPrefix=&documentNumber=FAA+8710-3; and
2. Other related reference material and FAA guidance pertaining to the certification and exemption process.
2.4 Formal Application Phase. Refer to Order 8900.1, Volume 11, Chapter 13, Section 1, Flight Standards Certification Services Oversight Process.
2.4.1 Submitting the Application. This phase begins when an applicant submits their application and, if applicable, an LOI. Applicants should prepare and submit three copies of a Schedule of Events (SOE) (see Figure 2-3, Schedule of Events) to show their plan for the process. The SOE will be continually updated throughout the certification process to reflect the status of each item. For UAS operations, the petition for exemption and related operating documents must be submitted during this phase.
2.4.2 Application Review. The certification team will review the application within 30 business-days of receiving it. If an LOI is required, the team will review the letter.
2.4.3 Application Decision. Applicants are notified, in writing, whether the formal application is accepted or rejected. If the application is inaccurate or not completed properly, the CPM returns the application to them with a letter outlining the items that are unsatisfactory. Applicants must take the appropriate action to correct the items before the certification process can continue. The CPM may determine that a formal application meeting is necessary to resolve issues with the application. Typically, the preapplication meeting covers these items or specific discrepancies found with the application.
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2.4.4 Application Acceptance. The FAA’s acceptance of a formal application does not constitute approval or acceptance of individual attached documents. The documents are thoroughly evaluated during subsequent phases of the certification process. The Formal Application Phase ends upon CPM acceptance of the application, and the Document Compliance Phase begins.
2.5 The Document Compliance Phase.
2.5.1 Reviewing Documents. The Document Compliance Phase consists of an in-depth review of all documents the applicant submits. The CPM inspects the aircraft for compliance with § 137.31 and reviews the application, SOE, LOI, and the following items:
• Chief supervisor qualifications for commercial agricultural operators;
• Qualifications and currency requirements for pilots to conduct agricultural aircraft operations;
• Previous letters of competency;
• Copy of the aircraft registration certificate, unless otherwise exempted (or to be exempted);
• Copy of the airworthiness certificate, unless otherwise exempted (or to be exempted);
• An appropriate minimum equipment list (MEL) for the aircraft being used, if applicable;
• Aircraft maintenance documents;
• Inspection of the aircraft determining compliance with § 137.31, unless otherwise exempted;
• UAS operational documents, if applicable (such as exemptions, waivers, or CoAs); and
• UAS registration number (FA number) and serial number of the unmanned aircraft (UA) if noncertificated).
2.5.2 Private Use. If applicants apply for a Private Agricultural Aircraft Operator Certificate, they may only conduct operations over property they own or lease, or have ownership or other legal interest in the crops located on the property. Applicants must provide the FSDO with proof of a bona fide property interest. This requires applicants to provide a deed or agricultural use lease for the property where operators will perform aerial dispensing.
2.5.3 Civil Aircraft Use. If applicants intend to use a large civil aircraft of U.S. registry, they must comply with the requirements prescribed in part 91, § 91.23. (Refer to FAA Order 8900.1, Volume 3, Chapter 13, Section 6, Process an Aircraft Lease Agreement for Regulatory Compliance Under § 91.23.)
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2.5.4 Unsatisfactory Documents and Phase Completion. If any item required for the Document Compliance Phase is unsatisfactory, the CPM will advise the applicant that they must correct it before the certification process continues. The CPM will provide the applicant with a letter that outlines the items found unsatisfactory. After addressing the unsatisfactory items, the applicant should resubmit the documents for another review by the team. When the team determines that all documents are satisfactory, the CPM terminates the Document Compliance Phase. The CPM schedules a time to conduct the Demonstration and Inspection Phase.
2.6 The Demonstration and Inspection Phase.
Note: If the operator is seeking certification with a UAS, the applicant must have received a grant of exemption (from the applicable 14 CFR parts) before beginning this phase of certification.
2.6.1 General. The Demonstration and Inspection Phase is an inspection of the applicant’s facilities and aircraft. During this phase, applicants show that they can conduct operations under part 137 to the highest degree of safety. The team will inspect their home base of operations for compliance with the applicable operating procedures. The size and complexity of the operation will determine the extent of the inspection required at the base.
2.6.2 Aircraft Requirement. Unless otherwise exempted, applicants must present at least one certificated and Airworthy aircraft that is equipped for agricultural operation. An Airworthiness inspector will verify that the aircraft is properly certificated and Airworthy, the inspection status is current, and is in a condition for safe operation.
2.6.3 Areas of Examination. This phase examines the following five areas:
1. Recordkeeping system (for commercial operators).
2. The method for informing personnel of their duties and responsibilities.
3. Aircraft.
4. Facilities (if applicable).
5. The applicant’s knowledge and skills.
2.6.4 Commercial Operators. A private agricultural aircraft operator is not required to comply with § 137.71 (recordkeeping requirements), but a commercial agricultural aircraft operator must maintain a current recordkeeping system at their home base of operations.
They must keep these records for at least 12 months and make them available for inspection upon request from the FAA. Because § 137.71 is not specific in the type of recordkeeping system, operators must determine how they intend to comply with the recordkeeping requirements. Some operators use records such as copies of bills or invoices sent to the operator’s customers. Regardless of the type of recordkeeping system used, the records should include the following information:
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• The name and address of each person for whom agricultural aircraft services were provided.
• The date of the service.
• The name and quantity of the material dispensed for each operation conducted.
• The name, address, and certificate number of each pilot used in agricultural aircraft operations and the date that pilot met the knowledge and skills requirements of § 137.19(e).
2.6.5 Inform Personnel of Duties and Responsibilities. Under § 137.41(a), private and commercial operators must ensure that each person used in an agricultural aircraft operation is informed of their duties and responsibilities for the operation. A private or commercial agricultural aircraft operator is not required to have an operations manual;
therefore, it is important for them to develop safe operating procedures that all personnel can easily understand. The FAA will evaluate and determine whether the operator’s method for informing personnel is acceptable. A commercial operator may also wish to keep a written record to indicate that personnel have been informed of their duties and responsibilities (refer to § 137.71(a)(4)).
2.6.6 Inspection. For both private and commercial agricultural aircraft operators, the Airworthiness inspector will inspect the aircraft, aircraft records, and dispensing equipment. The following considerations determine if the aircraft is safe to conduct the proposed operation:
• Aircraft and aircraft maintenance records, as applicable.
• Compliance with all applicable Airworthiness Directives (AD), as applicable.
• Proper certification and airworthiness of aircraft in full compliance, unless otherwise exempted.
• Up-to-date inspection status, as applicable.
• The aircraft has seat belts and approved shoulder harnesses installed for each pilot station, unless otherwise exempted.
• The aircraft is appropriately equipped for agricultural operations.
• The aircraft is equipped to prevent inadvertent release by the pilot or other crewmember, if it is equipped to release the tank or hopper as a unit.
• The aircraft is in a condition for safe operation.
2.6.7 Restricted-Category Aircraft. Part 21, or the operating limitations established for the aircraft, may not require a flight manual for restricted-category aircraft. Performance information may be found in an applicable military technical order, operating limitation, placard, flight test performance data established by the aircraft manufacturer, or any combination of these. Performance information provided by a designated engineering representative is satisfactory.
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2.6.8 Load Jettisoning. Should questions arise concerning the load jettisoning capability of the aircraft used in congested-area operations, applicants must present jettisoning test data which show that the aircraft is equipped with a device capable of jettisoning at least one-half of the aircraft’s maximum authorized load of agricultural materials within 45 seconds. If such data is not determined for the aircraft, or if any doubt exists concerning meeting this requirement, the inspector should have the applicant conduct an in-flight load jettisoning demonstration. During the test, the aircraft must be loaded with any suitable material (e.g., lime, sand, and water) and the inspector observes the demonstration from the ground. The discharge of material from the aircraft should be timed to determine compliance with the 45-second jettisoning requirement. Jettisoning does not apply to helicopters (§ 137.53(c)(2)).
2.6.9 Home Base of Operations. Part 137 does not specify the type of physical facilities applicants must have as an agricultural operator. This is usually governed by state and local regulations, and to some extent by regulations from the Environmental Protection Agency (EPA). FAA inspectors have no enforcement capability for state, local, or EPA areas. The inspector’s duty is to determine that the applicant’s practices and procedures at the base of operations conform to the regulations prescribed in part 137.
2.6.10 Minimum Equipment List (MEL). Most manufacturers of restricted-category aircraft used in agricultural operations have not developed or requested approval for a Master Minimum Equipment List (MMEL). Despite the guidance in AC 91-67, Minimum Equipment Requirements for General Aviation Operations Under FAR Part 91, an operator of a small, single-engine, turbopropeller agricultural aircraft may use the generic part 91 single-engine MMEL shown in the MMEL subsystem. If an applicant wishes to use this document, they must develop maintenance and operational item procedures for their operation. Part 137 currently does not contain provisions for the use of an MEL by part 137 operators. The MEL approval process for part 137 operators is the same that is used for part 91 operations (refer to Order 8900.1, Volume 4, Chapter 4, Section 2, MEL Requirements for 14 CFR Parts 91, 137, and 142 Operators) for approval of an MMEL for use as an MEL by means of a Letter of Authorization (LOA). The MEL LOA template (Operations Specification (OpSpec) D095, Minimum Equipment List (MEL) Authorization) is available in the Web-based Operations Safety System (WebOPSS) for part 137 operators.
2.6.11 Knowledge Test. The Operations inspector conducts a knowledge and skill test during the applicant’s initial part 137 certification. As required by § 137.19(e), the applicant or their designated chief supervisor will be the testing candidate. This requirement applies to applicants who seek either a Private or Commercial Operating Certificate.
2.6.11.1 The objective of the knowledge and skill test is to determine the knowledge and abilities of the pilots applicants use and to determine that they are qualified to act as pilot in command (PIC) of an agricultural aircraft. If the pilot was previously qualified under part 137, the CPM may not require the pilot to take a knowledge and skill test provided that the proper logbook endorsements or a letter of competency from an FAA ASI is available.
Operators must also demonstrate a knowledge and understanding of the
2-8 applicable exemption and/or waiver they may be operating under (e.g., UAS operations).
2.6.11.2 The pilot must have adequate knowledge of operating limitations for the aircraft (contained in the Aircraft Flight Manual (AFM) or the pilot’s operating handbook (POH)) to be used under the applicable requirements contained in § 91.9 and part 107. Weight and Balance (W&B) information will receive special emphasis. The applicant and the pilot must also be knowledgeable of the aircraft’s performance capability. Knowledge of performance capability includes items such as:
1. Stall speeds at maximum certificated gross weight, straight ahead, power off, and flaps up.
2. Best rate and best angle of climb speed.
3. Maneuvering speeds.
4. Density Altitude (DA) and its effect on performance.
5. Performance capabilities and operating limitations of the aircraft to be used.
6. Takeoff distance required to clear a 50-foot obstacle at maximum certificated gross weight with zero wind (manned aircraft).
2.6.11.3 Applicants and the pilot must also be knowledgeable of UAS-specific performance capability (if operating a UAS). Specific performance capability includes items such as:
1. Performance of the aircraft within the proposed flight envelope.
2. System response and safeguards used to mitigate the risk of engine power loss.
3. Failed signal input from the control station procedures.
4. Considerations for payload equipment configurations that significantly change W&B, electrical loads, or flight dynamics.
5. Aircraft lost link and emergency recovery procedures.
6. Sequence the UA will follow in the event control link is lost.
7. Determination of and thresholds for radio signal strength and/or health.
8. Communication procedures between the PIC and the visual observer (VO) during operations, to include lost communication procedures.
9. Method(s) in place for see and avoid, including the flightcrew that hold this responsibility.
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10. Aircraft reaction during takeoff, climb, cruise, descent, and landing in the event of a lost link.
11. Operations from a moving vehicle, if applicable.
12. Loss of sight of UA procedures.
13. Manned aircraft avoidance.
2.6.11.4 Applicants must demonstrate their knowledge of the limitations involved with agricultural aircraft operations, which includes:
1. Limitations on passenger carrying.
2. Limitations on W&B.
3. Limitations on operating without position lights.
4. Limitations on dispensing in congested areas.
5. Limitations on not observing standard airport traffic patterns.
6. Limitations on altitude, per § 91.119, concerning ferrying to and from dispensing sites.
2.6.11.5 If applicants seek approval to dispense economic poisons, they must demonstrate a thorough knowledge of 1) the methods to safeguard the pilot against contamination, and 2) the safe handling of economic poisons. The knowledge test will consist of the following subject areas:
1. Steps to be taken before starting operations, including survey of the area to be worked.
2. Safe handling of economic poisons and the proper disposal of used containers for those poisons.
3. The general effects of economic poisons and agricultural chemicals on plants, animals, and persons, with emphasis on those normally used in the areas of intended operations; and the precautions to observe when using poisons and chemicals.
4. Primary symptoms of persons affected by economic poisons, the appropriate emergency measures to take, and the location of poison control centers.
5. Safe flight and application procedures.
2.6.11.6 Economic poisons manufactured for interstate use must, by regulations, be registered with the EPA. Those poisons must be labeled, showing the brand name, active ingredients, inert ingredients, directions for use, warning, net contents, and name and address of manufacturer or registrant. The label normally contains other detailed instructions concerning the effects on plants, animals, and persons. When required by § 137.19(e), applicants must have
2-10 satisfactory knowledge of the general effects and precautions described on the label of the economic poison that they normally use in the area of operation.
2.6.11.7 Applicants should be knowledgeable about recommended methods for disposing of used pesticide containers. EPA-approved methods for disposal are contained on the pesticide label. Applicants should be aware of state and local laws that may require additional precautions.
2.6.11.8 If an applicant does not apply for authorization to dispense economic poisons, the inspector will not test them on § 137.19(e)(1)(ii)–(iv). The statement of competency that is issued will reflect that the pilot is not authorized to dispense economic poisons. The knowledge test will consist of the following subject areas:
1. Steps to take before starting operations, including a survey of the work area.
2. Performance capabilities and operating limitations of the aircraft to be used.
3. Safe flight and application procedures.
2.6.11.9 Applicants should be aware that the Operations inspector may give the knowledge test in either an oral or written format. Applicants may find it useful to study the following samples to prepare for the knowledge test:
1. When dispensing a highly toxic chemical, what instruction would you give your flagger, if one is being used?
2. How would you dispose of containers that held a toxic poison?
3. What are some of the symptoms of chronic toxic effect, the cumulative buildup of chemicals in the body?
4. Where is the nearest poison control center?
5. If you have mild symptoms of organophosphate poisoning, can you administer the recommended antidote yourself and continue work until an appointment with a doctor can be arranged?
6. What emergency action would you take if a known contamination exists?
7. Indicate your swath runs and procedure turns over the following field, when dispensing a herbicide that could damage plants in the congested area.
8. Would you apply a chemical, such as a highly toxic insecticide, to this field? (If so, how and when?)
9. How long should you keep records that are required by § 137.71?
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10. While airborne, what steps would you take before starting your first swath run?
11. What precautions should you take in applying insecticides adjacent to a lake, stream, or fish-stocked earth tank?
12. Does your agricultural aircraft operator’s certificate allow you to fly under 500 feet over-the-top, or closer than 500 feet horizontal to a farm building site while going to or from your base of operation and the field you are to treat?
13. What steps should you take before you can dispense chemicals over a city, town, settlement, or other congested area?
14. Does your aircraft have to be inspected before you can engage in applying insecticide over a congested area?
15. In your procedure left turn, you misjudge your turn and roll out 300 feet to the right side of your intended course. How would you correct this error?
16. In order to dispense chemicals over a congested area, you are required by part 137 (unless otherwise exempted) to have your aircraft equipped with which of the following:
• Stall warning horn.
• Tank quantity gauge.
• Emergency dump valve or chemical jettison device.
• Boom pressure gauge.
17. What certificate or certificates have to be carried on an aircraft engaged in agricultural aircraft operations?
18. You are flying a restricted-category agricultural aircraft with a belly unit and two seats. Can you use this aircraft for purposes other than agricultural operations?
19. Are you required to wear a crash helmet during operations?
20. Describe in detail the dangers involved with a hot, heavy, downwind turn.
21. As your bank increases, what happens to your stall speed?
2.6.11.9.1 UAS-specific types of questions:
1. Performance of the aircraft within the proposed flight envelope.
2. System response and safeguards used to mitigate the risk of engine power loss.
3. Failed signal input from the control station procedures.
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4. Considerations for payload equipment configurations that significantly change W&B, electrical loads, or flight dynamics.
5. Aircraft lost link and emergency recovery procedures.
6. Sequence the UA will follow in the event control link is lost.
7. Determination of and thresholds for radio signal strength and/or health.
8. Communication procedures between the PIC and the VO during operations, including loss of sight of UA.
9. Method(s) in place for see and avoid, including the flightcrew members that hold this responsibility.
10. Aircraft reaction during takeoff, climb, cruise, descent, and landing in the event of a lost link.
11. Manned aircraft avoidance.
2.6.12 Skill Test. For the skill test, the aircraft’s tanks or hoppers must be loaded with any suitable material (e.g., water, lime, or sand). Load to the maximum certificated takeoff weight or the maximum weight established for the special-purpose load, whichever is greater. Current environmental conditions can also be a factor for the maximum weight.
Operators must ensure that the dispensing equipment is free from chemicals and chemical residue.
2.6.12.1 While not required by regulation (but may be required by the AFM), a flight helmet can provide the pilot with added protection in the event of an accident.
The FAA encourages pilots to wear a U.S. Department of Transportation (DOT)-approved or military specifications flight helmet when operating agricultural aircraft in dispensing operations.
2.6.12.2 Before beginning the skill test, the inspector will inform the pilot/applicant of expectations and performance requirements, and factors that could lead to disqualification. The pilot/applicant are evaluated on piloting skill and operational judgment in the following skill testing task areas:
1. Crewmember (including ground crew and VOs, if applicable) coordination and loading procedures.
2. Engine start, warm-up, and taxi procedures.
3. Short-field and soft-field takeoffs (airplanes and gyroplanes only), directional control, liftoff, and climb.
• One soft-field takeoff and climb (airplanes and gyroplanes only).
• Short-field takeoff and maximum performance climb.
4. Approaches to the working area (may be exempted for UAS).