U .S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Certification Process for Agricultural Aircraft Operators Date: 8/21/17 AC No: 137-1B Initiated by: AFS-800 Change:
This advisory circular (AC) describes an acceptable means, but not the only means, for an agricultural aircraft operator to apply for an Agricultural Aircraft Operator Certificate under Title 14 of the Code of Federal Regulations (14 CFR) part 137. The AC also addresses safety practices for agricultural aircraft operators. This AC is not mandatory and does not constitute a regulation. However, if you use the following means described, you must follow it in all important aspects.
This AC does not change regulatory requirements; the provisions of applicable regulations control the AC. Interpretations of regulations are issued only under established agency procedures.
This AC applies to the evaluation of applicants for an Agricultural Aircraft Operator Certificate.
This AC also applies to agricultural aircraft operations using an Unmanned Aircraft System (UAS). A part 137 operator who wishes to use a UAS should have additional knowledge of Public Law (PL) 112-95, FAA Modernization and Reform Act of 2012, Section 333, Special Rules for Certain Unmanned Aircraft Systems; the 14 CFR part 11 exemption process; 14 CFR part 107; and Federal Aviation Administration (FAA) Order 8900.1, Volume 16, Unmanned Aircraft Systems. Please be aware, the operator of a UAS either cannot comply with several sections in part 137, or those requirements are not applicable to UAS operations. Therefore, an operator proposing to use a UAS must receive a grant of exemption with relief of the appropriate sections of part 137 before the certification process reaches the Demonstration and Inspection Phase. The exemption requirement applies to either a UAS that weighs 55 pounds or more or to a UAS that weighs less than 55 pounds (total weight) and can operate under part 107. The operator must provide a copy of the exemption to the certification team. The phrase “unless otherwise exempted” is used numerous times in this AC and Order 8900.1, and refers to an operator’s exemption, whether they are operating a small UAS under part 107 or under a PL 112-95, Section 333 exemption for a UAS that weighs 55 pounds or more.
ORIGINAL SIGNED by /s/ John Barbagallo Deputy Executive Director, Flight Standards Service
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CONTENTS Paragraph Page
Chapter 1. General1-1
1.1 Purpose of This Advisory Circular (AC)1-1
1.2 Applicability1-1
1.3 Where You Can Find This AC1-1
1.4 What This AC Cancels1-1
1.5 Related Regulations1-1
1.6 Related Reading Material1-2
1.7 Definitions1-2
1.8 Background1-3
1.9 Exemptions to Part 1371-3
1.10 Certification Process1-3
1.11 AC Content1-4
1.12 Contact1-4
Chapter 2. Part 137 Operator Certification Process2-1
2.1 Purpose2-1
2.2 Introduction2-1
2.3 The Preapplication Meeting2-1
2.4 Formal Application Phase2-3
2.5 The Document Compliance Phase2-4
2.6 The Demonstration and Inspection Phase2-5
2.7 The Certification Phase2-14
2.8 Termination of the Certification Process2-14
Chapter 3. Part 137 Operator-Specific, Airmen-Specific, and Aircraft-Specific Items3-1
3.1 Purpose3-1
3.2 Operator-Specific Items3-1
3.3 Airmen-Specific Items—Basic Eligibility Requirements3-10
3.4 Aircraft-Specific Items3-12
Chapter 4. Safety and Security Industry Practices for Agricultural Operators4-1
4.1 Purpose4-1
4.2 Safety Procedures4-1
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4.3 Safe Operating Procedures for Aircraft4-2
4.4 Survey Prior to Starting Operations4-2
4.5 Precautions for Sulfur Dust Fires4-3
4.6 Agricultural Aircraft Maintenance Precautions4-4
4.7 Security Regulations4-4
Chapter 5. Informational Resources from Organizations Other Than The FAA5-1
5.1 Purpose5-1
5.2 EPA Worker Protection Standard5-1
5.3 Personal Protection Information5-2
5.4 National Institute for Occupational Safety and Health (NIOSH) Agricultural Health and
Safety Centers5-5
5.5 Non-Governmental Organizations5-6
5.6 Pesticide Databases5-7
5.7 Industry Resources5-8
5.8 State and Local Licensing Requirements5-9
5.9 Spray Application Information Resources5-9
List of Figures
Figure 2-1. Sample Letter of Intent2-15
Figure 2-2a. FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application
(Front)2-16
Figure 2-2b. FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application
(Back)2-17
Figure 2-3. Schedule of Events2-18
Figure 2-4. Flowchart for Applicants Seeking a 14 CFR Part 137 Operating Certificate2-19
Figure 3-1. Exceptions to Displaying the N-Number3-16
Figure 5-1. PPE Statements and Pesticide Labels5-3
Figure 5-2. Government Agency Resources5-4
Figure 5-2. Government Agency Resources (Continued)5-5
Figure 5-3. NIOSH-Supported Centers5-5
Figure 5-3. NIOSH-Supported Centers (Continued)5-6
List of Tables
Table 3-1. Additional Resources for Aircraft Requirements (current editions)3-19
Table 5-1. Toxicity Categories and Pesticide Label Statements5-1
1-1 CHAPTER 1. GENERAL
1.1 Purpose of This Advisory Circular (AC). This AC describes an acceptable means, but not the only means, for an agricultural aircraft operator to apply for an Agricultural Aircraft Operator Certificate under Title 14 of the Code of Federal Regulations (14 CFR) part 137. The AC also addresses safety practices for agricultural aircraft operators. This AC is not mandatory and does not constitute a regulation. However, if you use the following means described, you must follow it in all important aspects.
1. This AC does not change regulatory requirements; the provisions of applicable regulations control the AC. Interpretations of regulations are issued only under established agency procedures.
2. This AC applies to the evaluation of applicants for an Agricultural Aircraft Operator Certificate.
1.1.1 Exemptions. This AC also applies to agricultural aircraft operations using an Unmanned Aircraft System (UAS). A part 137 operator who wishes to use a UAS should have additional knowledge of Public Law (PL) 112-95, FAA Modernization and Reform Act of 2012, Section 333, Special Rules for Certain Unmanned Aircraft Systems; the 14 CFR part 11 exemption process; 14 CFR part 107; and FAA Order 8900.1, Volume 16, Unmanned Aircraft Systems. Please be aware, the operator of a UAS either cannot comply with several sections in part 137, or those requirements are not applicable to UAS operations. Therefore, an operator proposing to use a UAS must receive a grant of exemption with relief of the appropriate sections of part 137 before the certification process reaches the Demonstration and Inspection Phase. The exemption requirement applies to either a UAS that weighs 55 pounds or more or to a UAS that weighs less than 55 pounds (total weight) and can operate under part 107. The operator must provide a copy of the exemption to the certification team. The phrase “unless otherwise exempted” is used numerous times in this AC and Order 8900.1, Volume 16, and refers to an operator’s exemption, whether they are operating a small UAS under part 107 or under a PL 112-95, Section 333 exemption for a UAS that weighs 55 pounds or more.
1.2 Applicability. This AC applies to persons or entities that are seeking either a Private or Commercial Agricultural Aircraft Operator Certificate. Part 137 prescribes certain operating limitations for private operators, but the certification process for both private and commercial applicants is identical.
1.3 Where You Can Find This AC. You can find this AC on the FAA’s website at http://www.faa.gov/regulations_policies/advisory_circulars.
1.4 What This AC Cancels. AC 137-1A, Certification Process for Agricultural Aircraft Operators, dated October 10, 2007, is cancelled.
1.5 Related Regulations. Title 14 CFR parts 1, 21, 43, 61, 91, 107, and 137.
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1.6 Related Reading Material. The information contained in Order 8900.1 may be valuable and assist operators with understanding the operating privileges and limitations of part 137.
• Volume 2, Chapter 8, Section 1, The Certification Process of a Part 137 Operator.
• Volume 2, Chapter 8, Section 2, Introduction to Airworthiness Issues for Part 137.
• Volume 2, Chapter 8, Section 3, Evaluate Airworthiness Issues for Part 137.
• Volume 3, Chapter 52, Section 1, Introduction to Part 137 Related Tasks.
• Volume 3, Chapter 52, Section 2, Evaluate a Part 137 Congested Area Operations Plan.
• Volume 5, Chapter 11, Section 1, Qualify a Pilot in Command.
• Volume 6, Chapter 6, Section 1, Conduct a Part 137 Base Inspection.
• Volume 6, Chapter 6, Section 2, Surveillance of a Part 137 Dispensing Operation.
• Volume 6, Chapter 6, Section 3, Surveillance of a Part 137 Satellite Site/Facility.
• Volume 6, Chapter 6, Section 4, Monitor a Part 137 Congested Area Operation.
• Volume 16, Chapter 4, Section 2, Operations in Accordance with PL 112-95, Section 333, and Exemptions.
• Volume 16, Chapter 4, Section 3, Issue a Certificate of Waiver to the Provisions of Part 107.
1.7 Definitions.
1.7.1 Agricultural Aircraft Operation. The operation of an aircraft for the purpose of:
1. Dispensing any economic poison.
2. Dispensing any other substance intended for plant nourishment, soil treatment, propagation of plant life, or pest control.
3. Engaging in dispensing or nondispensing activities that directly affect agriculture, horticulture, or forest preservation, but not including the dispensing of live insects.
1.7.2 Economic Poison.
1. Any substance or mixture of substances intended for preventing, destroying, repelling, or mitigating any insect, rodent, nematode, fungus, weed, and other forms of plant or animal life or virus. This does not include viruses on or living in humans or animals.
2. Any substance or mixture of substances intended for use as a plant regulator, defoliant, or desiccant.
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1.8 Background.
1.8.1 General. This AC describes the process for applying and becoming a certificated agricultural aircraft operator under part 137. It provides operators with the basic information and guidance to prepare for the certification process, and describes a methodical path for certification.
1.8.2 Filing an Application. Applicants should file the application for an Agricultural Aircraft Operator Certificate with the responsible Flight Standards (AFS) office.
1.8.3 Certification Process. The certification process for either a private or a commercial agricultural aircraft operator is identical. Applicants must follow the same process for the issuance of an Operating Certificate.
1.8.4 Operating Certificate. The Operating Certificate identifies the operator authorized to conduct private or commercial agricultural aircraft operations. The Operating Certificate will also display privileges to dispense economic poisons, if authorized.
1.9 Exemptions to Part 137.
1.9.1 Public Aircraft. A public aircraft is used exclusively in the service of any Federal, state, or local government or its political subdivision and is not engaged in carrying persons or property for commercial purposes. A public aircraft conducting agricultural aircraft operations needs not comply with the certification rules of part 137, but must comply with certain operating rules, which includes completing and submitting a congested area plan (CAP) for approval. Public operators may find the information in Chapter 3 useful for compliance with part 137 subpart C, as well as AC 00-1.1, Public Aircraft Operations.
1.9.2 Part 133 Rotorcraft External-Load Operations. If operators hold a 14 CFR part 133 Rotorcraft External-Load Operations Certificate, they may conduct an agricultural aircraft operation that involves only the dispensing of water with spreader additive on forest fires by rotorcraft external-load means without having to meet part 137 certification requirements. If operators are conducting forest firefighting activities with fire bombers or tankers, they must have an Agricultural Aircraft Operator Certificate (refer to part 137, § 137.11).
1.9.3 UAS Operations. If operators are conducting agricultural aircraft operations with a UAS, they must hold an FAA-issued exemption (refer to www.faa.gov/uas). Certain regulations in 14 CFR, Aeronautics and Space (e.g., sections in parts 45, 61, 91, 107, and 137) may not be applicable to UAS operations. Therefore, the exemption provides the necessary relief.
1.10 Certification Process.
1.10.1 FAA Evaluation. The FAA has established a methodical approach for evaluating and determining an applicant’s ability to comply with part 137 and other applicable regulations. The FAA is also responsible for determining the operator is capable of
1-4 performing the services with the highest degree of safety. Evaluation items focus on three categories: airmen, aircraft, and operations.
1.10.2 Evaluation Process. Applicants must successfully satisfy each of the five phases in the evaluation process to receive a certificate. The phases are:
1. Preapplication Phase.
2. Formal Application Phase.
3. Document Compliance Phase.
4. Demonstration and Inspection Phase.
5. Certification Phase.
Note: For part 137 operations using a UAS, prior to the Formal Application Phase, the applicant must have petitioned for an exemption, and prior to the Demonstration and Inspection Phase, a grant of exemption must have been issued to the applicant.
1.11 AC Content. Chapters 2 and 3 provide an in-depth overview of individual tasks required to complete the certification process. Chapters 4 and 5 provide industry best practices and information regulated by organizations other than the FAA. The following is a description of each chapter:
• Chapter 2 details each phase of the part 137 certification process.
• Chapter 3 contains tasks applicable to the functions of operators, airmen, and aircraft.
• Chapter 4 contains safety and security industry practices for agricultural operators.
• Chapter 5 contains informational resources from organizations other than the FAA.
1.12 Contact. For additional information or suggestions contact the Commercial Operations Branch (AFS-820) at 202-267-1100.
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: