U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Certification Process for Agricultural Aircraft Operators Date: 10/10/07 Initiated by: AFS-800 AC No: 137-1A Change:
1. PURPOSE.
a. This advisory circular (AC) describes an acceptable means, but not the only means, for you, an agricultural aircraft operator, to apply for an agricultural aircraft operating certificate under Title 14 of the Code of Federal Regulations (14 CFR) part 137. This AC is not mandatory and does not constitute a regulation, but if you use the following means described, you must follow it in all important aspects.
b. 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.
c. This AC applies only to the evaluation of you who apply for an agricultural aircraft operations certificate.
2. APPLICABILITY. This AC applies to persons who are seeking either a private or commercial agricultural aircraft operating certificate. Part 137 prescribes certain operating limitations for private operators, but the certification process for both private and commercial applicants is identical.
3. CANCELLATION. AC 137-1, Agricultural Aircraft Operations, dated November 29, 1965, is canceled.
4. RELATED REGULATIONS. Title 14 CFR parts 1, 21, 43, 61, 91, and 137.
5. RELATED READING MATERIAL. The information contained in Federal Aviation Administration (FAA) Order 8900.1, Flight Standards Information Management System (FSIMS), may be valuable to you and assist you with understanding the operating privileges and limitations of part 137.
• Volume 3, Chapter 52, Section 1, Introduction to Part 137 Related Tasks
• 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 6, Chapter 6, Section 1, Conduct a Part 137 Base Inspection
• Volume 5, Chapter 11, Section 1, Administer a Knowledge and Skill Test to an Agricultural Pilot
• Volume 6, Chapter 6, Section 2, Surveillance of a Part 137 Dispensing Operation
• Volume 3, Chapter 52, Section 2, Evaluate a Part 137 Congested Area Operations Plan
• Volume 6, Chapter 6, Section 4, Monitor a Part 137 Congested Area Operation
• Volume 6, Chapter 6, Section 3, Surveillance of Part 137 Satellite Site/Facility
6. DEFINITIONS.
a. 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.
b. 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.
7. BACKGROUND.
a. This AC describes the process for appl ying and becoming a certificated agricultural aircraft operator under part 137. It provides you with the basic information and guidance to prepare for the certification process, and describes a methodical path for certification.
b. You should file the application for an agricu ltural aircraft operator certificate with the Flight Standards District Office that has jurisdiction over the area in which your home base of operations is located.
c. The certification process for either a private or a commercial agricultural aircraft operator is identical. You must follow the same process for the issuance of an operating certificate.
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d. 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.
8. EXEMPTIONS TO PART 137.
a. Public Aircraft. A public aircraft is used exclusively in the service of any government or its political subdivision and is not engaged in carrying persons or property for commercial purposes. A public aircraft conducting agricultural aircraft operations need not comply with the certification rules of part 137, but must comply with its operating rules. Public operators may find the information in chapter 2 useful for compliance with subpart C of 14 CFR part 137.
b. Part 133 Rotorcraft External-Load Operations. If you hold a 14 CFR part 133 Rotorcraft External-Load Operations certificate, you 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 you are conducting forest firefighting activities with fire bombers or tankers you must have an Agricultural Aircraft Operator Certificate (refer to 14 CFR part 137, § 137.11).
9. CERTIFICATION PROCESS.
a. The FAA, has established a methodical ap proach for evaluating and determining an applicant’s ability to comply with part 137 and other applicable regulations. We are also responsible for determining that you are capable of performing your services with the highest degree of safety. Evaluation items focus on three categories: airmen, aircraft, and operations.
b. You must successfully satisfy each of the five phases in the evaluation process to receive a certificate. The phases are as follows:
• Preapplication
• Formal Application
• Document Compliance
• Demonstration and Inspection
• Certification
10. AC CONTENT. Chapters 1 and 2 provide an in-depth overview of individual tasks required to complete the certification process. Chapters 3 and 4 provide industry best practices and information regulated by organizations other than the FAA. The following is a description of each chapter.
a. Chapter 1 details each phase of the part 137 certification process.
b. Chapter 2 contains tasks applicable to the functions of operations, airmen, and aircraft.
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c. Chapter 3 contains safety and security industry practices for agricultural operators.
d. Chapter 4 contains informational resources from organizations other than the FAA.
11. CONTACT. For additional information or suggestions contact AFS-820 at (202) 267-8212.
ORIGINAL SIGNED by James J. Ballough Director, Flight Standards Service Page 4 Par 10
CONTENTS Paragraph Page
CHAPTER 1. PART 137 OPERATOR CERTIFICATION PROCESS1
1-1. Purpose1
1-2. Introduction1
1-3. The Preapplication Meeting1
1-4. Formal Application Phase3
1-5. The Document Compliance Phase3
1-6. The Demonstration and Inspection Phase4
1-7. The Certification Phase12
1-8. Termination of the Certification Process12
Figure 1-1. Sample Letter of Intent13
Figure 1-2. FAA Form 8710-3, Agricultur al Aircraft Operator Certificate
Application (Front)14
Figure 1-2. FAA Form 8710-3, Agricultur al Aircraft Operator Certificate
Application (Back)15
Figure 1-3. Schedule of Events16
Figure 1-4. Flowchart for Applicants Seeking a 14 CFR Part 137 Operating
Certificate17
CHAPTER 2. PART 137 OPERATOR-SPE CIFIC, AIRMEN-SPECIFIC, AND
AIRCRAFT-SPECIFIC ITEMS1
2-1. Purpose1
2-2. Operator-Specific Items1
2-3. Airmen-Specific Items8
2-4. Aircraft-Specific Items9
Figure 2-1. Exceptions to Displaying the N-Number13
Table 2-1. Additional Resources for Aircraft Requirements15
CHAPTER 3. SAFETY AND SECURITY I NDUSTRY PRACTICES FOR AGRICULTURAL
OPERATORS1
3-1. Purpose1
3-2. Safety Procedures1
3-3. Safe Operating Procedures for Aircraft2
3-4. Survey Prior to Starting Operations2
3-5. Precautions for Sulfur Dust Fires3
3-6. Agricultural Aircraft Maintenance Precautions4
3-7. Security Regulations4
CHAPTER 4. INFORMATIONAL RESOURCE S FROM ORGANIZATIONS OTHER THAN
THE FAA1
4-1. Purpose1
4-2. Environmental Protection Agen cy Worker Protection Standard1
Table 4-1. Toxicity Categories and Pesticide Label Statements1
4-3. Personal Protection Information2
Figure 4-1. PPE Statemen ts and Pesticide Labels3
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Paragraph Page
Figure 4-2. Government Agency Resources4
Figure 4-2. Government Agency Resources (Continued)5
4-4. NIOSH Agricultural Hea lth and Safety Centers5
Figure 4-3. NIOSH-Supported Centers5
Figure 4-3. NIOSH-Suppor ted Centers (Continued)6
4-5. Non-Governmental Organizations6
4-6. Pesticide Databases7
4-7. Industry Resources8
4-8. State and Local Li censing Requirements9
4-9. Spray Application Information Resources9
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CHAPTER 1. PART 137 OPERATOR CERTIFICATION PROCESS
1-1. PURPOSE. This chapter outlines each phase of the Federal Aviation Administration (FAA) process to become a certificated agricultural aircraft operator.
1-2. INTRODUCTION.
a. We use the certification process to determine if you, the applicant, meet rules governing the operation of agricultural aircraft by a private or a commercial operator. When you successfully complete this process, we will issue a private or a commercial Title 14 of the Code of Federal Regulations (14 CFR) part 137 agricultural aircraft operator certificate to you.
b. This information will assist you in understanding your responsibility for conducting proposed operations in compliance with the applicable regulations and to the highest degree of safety. You must demonstrate your abilities before receiving authorization to conduct agricultural aircraft operations.
1-3. THE PREAPPLICATION MEETING.
a. The preapplication meeting is an informal meeting to provide you an overview of the certification process and identify the necessary resources to assist you in becoming certificated.
b. If you are familiar with all of the requirements of the certification process and the required documentation you may not need a preapplication meeting (e.g., if you have previous experience as a part 137 operator). In such cases we eliminate the preapplication phase and you proceed to the formal application phase.
c. During the meeting, we will ensure that you meet the eligibility requirements for obtaining an operating certificate under 14 CFR part 137, § 137.19 by conducting a general inquiry. Be prepared to provide us with the following information:
• Area of operation
• Location of home base of operations
• Location of probable satellite sites
• Type of operation; private or commercial
• Economic poisons or other dispensing material
• Operating as individual, corporation, or partnership
• Previous experience with part 137 operations
• Category and class of aircraft (helicopter or airplane)
• Qualifications and experience of chief supervisor Par 1 Page 1
• Applicability of parts 91 and 137
• Disclosure of any previous or pending enforcement action pertaining to the applicant, management personnel, or chief supervisor
d. Be prepared to submit a letter of intent (see Figure 1-1) for the documentation phase.
The letter of intent is an overall description of your proposed operation; applicants usually submit it with the application. Depending on the size and scope of your proposed operation, we may determine that a letter of intent is not necessary. If we require a letter of intent, include the following:
(1) The specific type of agricultural aircraft operator certificate you are applying for (commercial or private);
(2) The legal company name and any “doing business as”, home base of operations address;
(3) Primary airport address, 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 your preference; and
(8) If the operation is a corporation, the Articles of Incorporation.
e. The Flight Standards District Office (FSDO) accomplishes part 137 certification. The FSDO that will have oversight of your proposed operation assembles a certification team of three aviation safety inspectors (ASI). Each inspector represents their specialty, which includes operations, maintenance/airworthiness, and avionics. One of the three inspectors will be designated as the certification project manager (CPM). All correspondence, both to and from you, should be coordinated with the CPM.
f. During the meeting the CPM will ensure that you understand the applicability of 14 CFR parts 1, 43, 91, and 137. This is usually accomplished through discussions pertaining to part 137 certification and operational requirements. Before the conclusion of this meeting, you should ask any questions pertaining to the certification. You must fully understand the CPM’s responsibilities and roles during the certification process to avoid delays to your proposed date for the start of operations. You should have current copies of 14 CFR parts 91 and 137. Before the conclusion of the meeting, the CPM will explain the following requirements:
(1) General applicability and definition of FAA terms related to part 137;
(2) Certification process and requirements;
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(3) Operating rules; and
(4) Records and reports required under part 137.
g. The CPM advises you of your responsibility for compliance with other Federal, state, and local regulations regarding aerial applications. You are responsible for determining the applicability and compliance with these regulations. At the conclusion of the preapplication meeting the CPM will provide you with the following:
(1) Three copies of FAA Form 8710-3, Agricultural Aircraft Operator Certificate Application (see Figure 1-2). A copy of the form is available at http://forms.faa.gov/report_new.asp?stype=N and;
(2) Other related reference material and FAA guidance pertaining to the certification.
1-4. FORMAL APPLICATION PHASE.
a. This phase begins when you submit your application, and if applicable, a letter of intent. You should prepare and submit a schedule of events (see Figure 1-3). to manage expectations of during the process. Submit three copies. It will be continually updated throughout the certification process to reflect the status of each item.
b. The certification team will review the application within 30 business days of receiving it. If a letter of intent is required, the team will review your letter.
c. You 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 you with a letter outlining the items that are unsatisfactory. You 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.
d. Our 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.
1-5. THE DOCUMENT COMPLIANCE PHASE.
a. The document compliance phase consists of an in-depth review of all documents you submit. The CPM reviews the application, schedule of events, letter of intent, and the following items:
(1) Chief supervisor qualifications for commercial agricultural operators;
(2) Qualifications and currency requirements for pilots to conduct agricultural aircraft operations;
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(3) Previous letters of competency;
(4) Copy of the aircraft registration certificate;
(5) Copy of the airworthiness certificate;
(6) If applicable, an appropriate minimum equipment list for the aircraft being used;
(7) Aircraft maintenance documents; and
(8) Inspect the aircraft for compliance with § 137.31.
b. If you apply for a private agricultural aircraft operations certificate you may only conduct operations over property you own or lease, or have ownership or other legal interest in the crops located on the property. You must provide the FSDO with proof of a bona fide property interest. This requires you to provide a deed or agricultural use lease for the property where you will perform aerial dispensing.
c. If you intend to use a large civil aircraft of U.S. registry, you must comply with the requirements prescribed in 14 CFR part 91, § 91.23, Truth-In-Leasing Clause Requirement in Leases and Conditional Sales Contracts. (Refer to FAA Order 8900.1, FSIMS, volume 3, chapter 13, section 6.)
d. If any item required for the document compliance phase is unsatisfactory, the CPM will advise you that you must correct it before the certification process continues. The CPM will provide you with a letter that outlines the items found unsatisfactory. After addressing the unsatisfactory items, you 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.
1-6. THE DEMONSTRATION AND INSPECTION PHASE.
a. The Demonstration and Inspection Phase is an inspection of your facilities and aircraft.
During this phase you show that you can conduct operations under part 137 to the highest degree of safety. The team will inspect your home base of operations for compliance with the applicable operating procedures. The size and complexity of your operation will determine the extent of the inspection required at your base.
b. You 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.
c. This phase examines the following five areas.
• Recordkeeping system (for commercial operators).
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• The method for informing personnel of their duties and responsibilities.
• Aircraft.
• Facilities (if applicable).
• Your knowledge and skills.
d. As a private agricultural operator, you are not required to comply with § 137.71 (Recordkeeping Requirements), but as a commercial agricultural aircraft operator, you must maintain a current recordkeeping system at your home base of operations. You must keep these records for at least 12 months and make them available for inspection upon request from us.
Because § 137.71 is not specific in the type of recordkeeping system, you must determine how you 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 you use, your records should include the following information.
(1) The name and address of each person for whom agricultural aircraft services were provided.
(2) The date of the service.
(3) The name and quantity of the material dispensed for each operation conducted.
(4) 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 14 CFR § 137.19(e).
e. Under 14 CFR § 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. As a private or commercial agricultural aircraft operator you are not required to have an operations manual; therefore, it is important for you to develop safe operating procedures that all personnel can easily understand. We will evaluate and determine whether your method for informing personnel is acceptable. You, as 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)).
f. 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.
(1) Aircraft and aircraft maintenance records.
(2) Compliance with all applicable airworthiness directives.
(3) Proper certification and airworthiness of aircraft.
(4) Up-to-date inspection status.
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(5) The aircraft has seat belts and approved shoulder harnesses installed for each pilot station.
(6) Whether the aircraft is appropriately equipped for agricultural operations.
(7) If the aircraft is equipped to release the tank or hopper as a unit, it is equipped to prevent inadvertent release by the pilot or other crewmember.
(8) The aircraft is in a condition for safe operation.
g. Restricted-Category Aircraft. Title 14 CFR part 21, or the operating limitations established for the airplane, 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. Performance information provided by a designated engineering representative is satisfactory.
h. Load Jettisoning. Should questions arise concerning the load jettisoning capability of the aircraft used in congested-area operations, you 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 you conduct an in-flight load jettisoning demonstration. During the test, the aircraft must be loaded with any suitable material (e.g., lime, sand, 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)).
i. Home Base of Operations. Part 137 does not specify the type of physical facilities you must have as an agricultural operator. This is usually governed by state and local regulations and to some extent by regulations of the Environmental Protection Agency (EPA). Our inspectors have no enforcement capability for state, local, or EPA areas. The inspector’s duty is to determine that your practices and procedures at the base of operations conform to the regulations prescribed in part 137.
j. Minimum Equipment List. 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 you wish to use this document you must develop maintenance and operational item procedures for your 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, FSIMS, volume 4, chapter 4, section 2) for approval of an MMEL for use as an MEL by means of a letter of authorization.
The MEL letter of authorization template (D095) is available in the Operations Safety System for part 137 operators.
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