U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Extended Operations (ETOPS and Polar Operations) Date: 6/13/08 Initiated by: AFS-220 AC No: 120-42B Change:
FOREWORD
This advisory circular (AC) provides certificate holders with guidance for obtaining operational approval to conduct Extended Operations (ETOPS) under Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.161. The Federal Aviation Administration (FAA) may authorize ETOPS with two-engine airplanes over a route that contains a point farther than 60 minutes flying time from an adequate airport at an approved one-engine inoperative cruise speed under standard conditions in still air (adequate airport is defined in part 121, § 121.7 and Appendix 1 of this AC). The FAA may also authorize ETOPS with passenger-carrying airplanes with more than two engines over a route that contains a point farther than 180 minutes flying time from an adequate airport at an approved one-engine inoperative cruise speed under standard conditions in still air. This AC provides guidance for obtaining authorization to conduct operations under part 121 in Polar Areas as well.
This AC provides an acceptable means of complying with the regulations; however, it is not the only means of compliance. When this AC uses mandatory language (e.g., “must” or “may not”) it is quoting or paraphrasing a regulatory requirement or prohibition. When this AC uses permissive language (e.g., “should” or “may”), it describes an acceptable means, but not the only means, of obtaining operational approval to conduct ETOPS under § 121.161 of the regulations.
ORIGINAL SIGNED by
James J. Ballough Director, Flight Standards Service
CONTENTS Paragraph Page
CHAPTER 1. GENERAL1
100. Applicability1
101. Cancellations1
102. Related Regulations1
CHAPTER 2. BACKGROUND ON ETOPS3
200. ETOPS Regulatory Requirements3
201. Evolution of ETOPS3
202. ETOPS Applicability to All Passenger-Carrying Airplanes Flown in Long-Range
Operations5
203. “Extended Operations”6
204. Preclude and Protect7
205. ETOPS Areas of Operation8
206. ETOPS Alternate Requirements10
207. ETOPS In-Service Experience Requirements11
208. Operational Reliability and Systems Suitability Requirements11
CHAPTER 3. REQUIREMENTS FOR ETOPS AUTHORIZATION13
300. ETOPS Requirements13
301. Maintenance Requirements for Two-Engine ETOPS Authorization13
302. ETOPS Maintenance Training Requirements23
303. ETOPS Flight Operations Requirements24
304. Flight Operations Training Requirements35
CHAPTER 4. APPLICATIONS TO CONDUCT ETOPS37
400. ETOPS Qualifications37
401. Application for ETOPS Authorization38
402. ETOPS Authorities38
403. ETOPS Authorization Requirements39
404. Validation Flight(s)42
405. Required Demonstration on a Validation Flight43
CHAPTER 5. FAA ETOPS APPROVAL45
500. Final ETOPS Operating Authority45
501. ETOPS OpSpecs45
502. Changes to Approved ETOPS Operations, Maintenance and Training Procedures45
503. Processes after Receiving ETOPS Authority45
CHAPTER 6. POLAR OPERATIONS47
600. Background47
601. Defintion47
602. Applicability47
603. Polar Requirements47
604. Validation before Approval50
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605. FAA Polar Area Approval50
APPENDIX 1. DEFINITIONS (3 pages)1
APPENDIX 2. ETOPS APPROVALS (10 pages)1
APPENDIX 3. ETOPS APPROVAL METHODS (6 pages)1
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CHAPTER 1. GENERAL
100. APPLICABILITY. This advisory circular (AC) concerns those certificate holders applying for approval to conduct Extended Operations (ETOPS) under Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.161, as well as those certificate holders applying for approval to conduct flights where a portion of which traverse either the North or South Polar Areas, as defined in part 121, § 121.7. This AC also provides guidance in resolving operational issues to certificate holders currently conducting such operations.
101. CANCELLATIONS. The following AC’s and policy letters are canceled:
• AC 120-42A, Extended Range Operation with Two-Engine Airplanes, dated December 30, 1988
• ETOPS Policy Letter (EPL) 95-1, 138-Minute ETOPS Operational Approval Criteria, dated December 19, 1994
• EPL 20-1, 207-Minute ETOPS Operational Approval Criteria, dated March 21, 2000
• Federal Aviation Administration (FAA) Policy Letter, Guidance for Polar Operations, dated March 5, 2001
102. RELATED REGULATIONS. 14 CFR part 21, § 21.4; part 25, § 25.1535; part 121, §§ 121.7, 121.97, 121.99, 121.106, 121.135, 121.161, 121.162, 121.191, 121.197, 121.374,
121.410, 121.415, 121.565, 121.624, 121.625, 121.631, 121.633, 121.646, 121.687, 121.689,
121.703, 121.704, and 121.705; and part 121, appendix P (http://www.gpoaccess.gov/ecfr).
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CHAPTER 2. BACKGROUND ON ETOPS
200. ETOPS REGULATORY REQUIREMENTS.
a. All two-engine airplanes and three- and four-engine passenger-carrying airplanes operated under part 121 are required to comply with § 121.161. This regulation imposes special requirements for ETOPS for these airplanes. These operations are defined as:
(1) Two-Engine Airplanes. These are flights whose planned routing contains a point farther than 60 minutes flying time from an adequate airport at an approved one-engine inoperative cruise speed under standard conditions in still air.
(2) Passenger-Carrying Airplanes with More Than Two Engines. These are flights whose planned routing contains a point farther than 180 minutes flying time from an adequate airport at an approved one-engine inoperative cruise speed under standard conditions in still air.
b. To conduct ETOPS, the specified airplane-engine combination must be certificated to the airworthiness standards of transport-category airplanes and be approved for ETOPS. Airplane certification guidance for ETOPS can be found in §§ 121.162 and 25.1535. As with all other operations, a certificate holder requesting any route approval must first show that it is able to satisfactorily conduct operations between each required airport as defined for that route or route segment, and any required en route alternate airport. Certificate holders must show that the facilities and services specified in §§ 121.97 through 121.107 (domestic and flag operations) and §§ 121.113 through 121.127 (supplemental and commercial operations) are available and adequate for the proposed operation. In addition, the certificate holder must be approved for ETOPS under part 121. This AC provides the additional guidance for certificate holder approval for ETOPS.
201. EVOLUTION OF ETOPS.
a. Section 121.161 has an extensive historical basis, which began as early as 1936. Before obtaining approval for operation in 1936, an applicant operating an airplane with two piston engines were required to show that intermediate fields available for safe takeoffs and landings were located at least at 100-mile intervals along the proposed route. In 1953, § 121.161 imposed the 60-minute rule on two- and three-engine airplanes. In 1964, three-engine airplanes were exempted, leaving the restrictions only on two-engine airplanes based on the lack of satisfactory engine reliability in the operation. In response to improvements in engine design and reliability, and responding to the needs of industry, the FAA has provided guidance for deviations from the rule that have allowed two-engine operations to expand incrementally beyond the initial 60-minute restriction. Currently, engine reliability has improved to a level where the safety of the operations is not impacted so much by the number of engines, but by other factors that affect operations of all airplanes whose routings take them great distances from adequate airports.
Throughout the evolution of the current § 121.161, the following factors have remained constant:
(1) The rule has always applied to all areas of operation, and has not been limited to overwater operations.
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(2) Any additional restrictions imposed or, alternatively, any deviations granted to operate in excess of the basic requirements, were based on a finding by the Administrator that adequate safety would be provided in the proposed operation and current levels of safety would be maintained when all factors were considered. This finding was never limited to engine reliability alone.
(3) The airports used in meeting the provisions of the rule must be adequate for the airplane used (that is, available for safe landings and takeoff with the weights authorized).
(4) Adequate levels of safety within the operation are to be maintained. Operations over increasingly remote areas and the possibility of increased diversion lengths have a potentially negative impact on the safety of the diversion, and thus the operation as a whole. Additional regulatory requirements are intended to ensure that this potential increase in risk is mitigated and that adequate levels of safety within operations are retained.
(5) When considering the impact of operating at greater distances from airports, the certificate holder must show that the operation can be conducted at a level of reliability that maintains an acceptable level of risk.
b. In June of 1985, responding to the industry’s desire to take advantage of the increased reliability and capabilities of two-engine airplanes, the FAA issued AC 120-42. This AC provided guidance on one means of obtaining deviation authority from § 121.161 to allow two-engine airplanes to operate on routes up to 120 minutes from an adequate airport after demonstration of specific levels of in-service experience and systems reliability. The FAA amended this AC in 1988 (AC 120-42A) to permit two-engine airplanes to operate up to 180 minutes from an adequate airport. These ACs introduced the term “ETOPS” for those specific Extended Operations and addressed airplane and engine design aspects, maintenance programs, and operations. Both of these ACs encompassed the following precepts:
(1) Reliance on a two-step approval that included type design of the airplane-engine combination and approval of the certificate holder’s operation.
(2) Risk, as measured by diversion length, is mitigated by application of regulations and guidance reflecting current best practices that address the type certification of the ETOPS airplane and its systems as well as the operational environment of such operations.
(3) ETOPS can be managed successfully, and the level of safety can be maintained, by up-to-date regulations and guidance that articulate quantifiable standards of reliability and experience.
c. The original guidance for extended-range operations with two-engine airplanes in AC 120-42 allowed an increase of up to 15 percent to the maximum diversion time of 120 minutes. This provision was eliminated with the release of the guidance in AC 120-42A, providing for operations up to 180 minutes. Recognizing a need for ETOPS diversion authority between 120 and 180 minutes, the FAA reinstated the 138-minute provision by issuing EPL 95-1 in 1994. In March of 2000, at the request of the industry, the FAA issued ETOPS Policy Letter (EPL) 20-1, 207 Minute ETOPS Operation Approval Criteria. This document provided a similar Page 4 Par 201
15 percent increase in the 180-minute maximum diversion time and gave limited relief to ETOPS certificate holders in the specific case of North Pacific Operations.
d. Since the advent of the original § 121.161, extended two-engine airplane operations have been governed by this rule, and the process of evolving and progressive guidance has reflected the successful and ever-increasing experience of the industry. As capable as this body of guidance has been in the past, it became increasingly clear that a need existed to codify all the disparate documents into a single body of rules, and to update the existing rules to reflect all the industry improvements such progress has used as its basis. Consequently § 121.161 was revised to expand two-engine operational authority under successful ETOPS processes and require certain operations of all passenger-carrying part 121 airplanes to adopt ETOPS requirements.
This AC reflects current § 121.161 regulatory requirements.
202. ETOPS APPLICABILITY TO ALL PASSENGER-CARRYING AIRPLANES FLOWN IN LONG-RANGE OPERATIONS.
a. AC 120-42 in 1985, and AC 120-42A in 1988, recognized the increasing reliability of turbojet engines and helped to establish type design and operational practices for safe and reliable long-range operations with two-engine airplanes. As the technology and reliability of two-engine airplanes continued to improve, due in large measure to the requirements of these documents, such operations became compatible with those long-range operations typically associated with three- and four-engine airplanes. At the same time this technology brought two-engine airplanes to the arena of long-range operations, the infrastructure to support such operations was changing. Political and funding priorities forced the closure or reduction in basic services of a number of airports, military and civilian, in remote areas that historically had been used as diversion airports for routes over oceanic and/or desolate land areas. The increasing use of polar flights, while creating economic benefits, has also brought new challenges to the operation. The risks associated with these areas’ remoteness, harsh climate and terrain, and their unique operational issues, needed to be addressed to maintain an equivalent level of safety in the operation.
b. These issues began to significantly impact the viability of all long-range two-engine airplane operations under current regulations, and likewise began to erode the basic safety net that long-range operations in three- and four-engine airplanes had relied on. Because of these pressures and the increasing commonality of all long-range operations, the data began to show that ETOPS requirements and processes are generally applicable to all long-range passenger-carrying operations, including those by three- and four-engine airplanes, and would improve the safety and viability of such operations. All long-range passenger-carrying airplanes, regardless of the number of engines, needed a viable diversion airport in the case of onboard fire, medical emergency, or catastrophic decompression. Ensuring availability of en route alternate airports, adequate fire fighting coverage at these airports, and fuel planning to account for depressurization are sound operational practices for all airplanes, including three- and four-engine airplanes. Likewise, planning for the maximum allowable diversion and worst-case scenarios should account for all airplane time-critical systems.
c. Unlike the ETOPS guidance provided for two-engine airplanes, there has been no regulatory framework governing the long-range operations of three- and four-engine airplanes.
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For example, in emergencies such as loss of cabin pressure, current regulations require adequate oxygen supplies but do not require the operator to consider the amount of extra fuel necessary to reach a diversion airport.
(1) An analysis of operational data shows that between 1980 and 2000, 33 of the 73 cruise depressurization events on one manufacturer’s airplanes occurred on airplanes with more than two engines.
(2) A study conducted by this manufacturer using a modern four-engine aircraft carrying normal route planning fuel reserves raises issues about the adequacy of the current fuel planning requirements in the event of a diversion.
d. Operational data shows that the diversion rate for all airplane-related and non-airplanerelated causes are comparable between two-engine airplanes and airplanes with more than two engines. Consequently, the FAA has found that there is a need for all passenger carrying operations beyond 180 minutes from an adequate airport to adopt many of the ETOPS requirements that have been based on sound safety principles and successfully proven over many years of operations. Accordingly, the FAA revised § 121.161 to include passenger-carrying airplanes with more than two engines in these long-range operations.
203. EXTENDED OPERATIONS.
a. Since 1985, the acronym, ETOPS, has been defined as “extended twin-engine operations” and has been limited to part 121 airplanes with only two engines. Current regulations have extended these applications to all passenger-carrying airplanes operating in both 14 CFR parts 121 and 135, and the acronym has now been redefined to mean “extended operations.”
This is to acknowledge the similarity of certain long-range passenger-carrying operations of all airplanes operating today, and the common issues that impact such operations.
b. Since 1988, the ETOPS limit for two-engine airplanes has been 180 minutes from an adequate airport at an approved one-engine inoperative cruise speed under standard conditions in still air (excluding the limited authority in the North Pacific given under EPL 20-1, 207-Minute ETOPS Operational Approval Criteria, dated March 21, 2000). Service experience has shown that although limited, this authority has satisfactorily supported the vast majority of the world’s current aviation routes.
c. Those areas not supported within 180-minute diversion authority tend to be routes over remote areas of the world that are uniquely challenging to the operation. These areas include the South Polar Region, a small section in the South Pacific, the southern South Atlantic Ocean between South America and Africa, the southern Indian Ocean and the North Polar area under certain winter weather conditions. The additional operational challenges of these routes are equally demanding of all airplanes, regardless of the number of engines, and include such issues as extremes in terrain and meteorology, as well as limited navigation and communications infrastructure. Support of a necessary diversion and subsequent recovery in such areas demands added training, expertise, and dedication from all certificate holders. The development of ETOPS requirements is intended to address all these issues.
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d. Even though for continuity with current two-engine ETOPS the existing acronym ETOPS is retained, the ETOPS acronym has been re-defined. ETOPS has been expanded to include all passenger-carrying airplane operations where a proposed flight plan includes any point that is greater than 180 minutes from an adequate airport (at an approved one-engine inoperative cruise speed under standard conditions in still air).
204. PRECLUDE AND PROTECT.
a. The whole premise of ETOPS has been to preclude a diversion and, if it were to occur, to have programs in place to protect the diversion. Under this concept, propulsion systems are designed and tested to ensure an acceptable level of in-flight shutdowns (IFSD), and other airplane systems are designed and tested to ensure their reliability. Two-engine airplane maintenance practices are enhanced to better maintain and monitor the condition of the engines and systems significant to ETOPS. The design of these enhanced practices has been a major factor in the joint development of the FAA’s and industry’s aggressive steps to develop a foundation to resolve problems with airplane systems and engines in order to minimize the potential for procedural and human errors, thereby precluding a diversion.
b. However, despite the best design, testing, and maintenance practices, situations occur that may require an airplane to divert. Regardless of whether the diversion is for technical (airplane system- or engine-related) or non-technical reasons, the certificate holder must have a flight operations plan to protect that diversion. For example, such a plan must include ensuring that pilots are knowledgeable about diversion airport alternates and weather conditions (§ 121.631), have the ability to communicate with the certificate holder’s dispatch office and air traffic control (ATC) (§§ 121.99 and 121.122), and have sufficient fuel to divert to the alternate (§ 121.646). Under the “preclude and protect” concept, various failure scenarios need to be considered. For example, during the design of the airplane, time-limited systems such as cargo compartment fire suppression/containment capability are considered. Fuel planning must account for the possibility of decompression or the failure of an engine with considerations for in-flight icing conditions. Best options under these scenarios should be provided to the pilot before and during the flight.
c. This philosophy has been critical to the success of two-engine ETOPS in the past and has been applied to these airplanes in operations beyond 60 minutes from an adequate airport.
This application is based on the requirements of § 121.161 and the engine inoperative diversion requirements of § 121.565. In-service data shows that all airplanes, regardless of the number of engines, divert from time to time for various causes. All passenger-carrying operations conducted where there are a limited number of en route airports, where the support infrastructure is marginal, or where there are challenging weather conditions should adopt many of the same elements of the same preclude and protect concept. If certificate holders plan to operate passenger-carrying airplanes with more than two engines in areas where en route airports are farther away than 180 minutes, these operations are also required to meet certain standards defined under ETOPS to ensure that all efforts are made to preclude a diversion, and if a diversion does occur, that procedures are in place to protect that diversion.
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205. ETOPS AREAS OF OPERATION.
a. ETOPS areas of operation are defined by § 121.7 to be areas beyond a certain distance from adequate airports measured by an airplanes one-engine inoperative cruise speed under standard conditions in still air. Because of the impact such distances might have on the diversion time of an airplane, regulatory guidance has been established for the planning, operational, and equipage requirements for such operations. A certificate holder must apply to the FAA for approval to operate in an ETOPS area using the methodologies in this AC or other means approved by the FAA. When approval is granted, the ETOPS authority for a specific ETOPS area of operations will be noted in the certificate holder’s operations specifications (OpSpecs).
b. Most ETOPS authorities for two-engine ETOPS beyond 180 minutes are limited to a specific geographical region. Historically, ETOPS authorities for two-engine airplanes up to 180 minutes were developed based on a specific need in a particular operating area. Limiting expanded ETOPS authority beyond 180 minutes (for two-engine airplanes) serves several purposes.
(1) The primary importance is the preclusion of an arbitrary use of diversion authority beyond that necessary to complete the operation safely and efficiently. Because it is accepted that increased diversion times potentially increase the risk of the operation a certificate holder must make every effort to plan ETOPS with a maximum diversion distance of 180 minutes or less, if possible.
(2) It should be a goal of all two-engine airplane flight planning to operate to the shortest diversion time that provides the widest range of options in the event of a diversion while recognizing the economic benefits of a more direct route and the safety benefits of diverting to an airport that is well equipped. Tying increased diversion authority to specific areas of operation accomplishes this goal while sufficiently addressing the operational needs of the industry.
(3) Likewise, this focus on specific needs and areas of operation does not add impetus to any perceived rationale for further degradation in the availability or capabilities of en route alternates in remote areas of the world. Although the industry has no direct authority to affect the actions of sovereign nations, it is reasonable to base operations on the value of en route alternate availability at reasonable diversion distances.
(4) In consideration of the successful history of three- and four-engine airplane operations and the reliability and redundancy of current engines used in this operation, ETOPS for these airplanes does not have similar restrictions and ETOPS authorities are not limited to geographic areas. However, like twin-engine operators, the three- and four-engine operator is required to designate the nearest available ETOPS alternate along the planned route of flight and must remain within a 240 minute diversion time if possible.
c. In its application for ETOPS authority, the certificate holder will typically request a specific ETOPS area of operation based on an analysis of proposed routings and the availability of airports sufficient to support the operational requirements of the ETOPS regulations. Because the operating rules distinguish between ETOPS up to 180 minutes, and ETOPS beyond 180 Page 8 Par 205