CHAPTER 4. APPLICATIONS TO CONDUCT ETOPS
400. ETOPS QUALIFICATIONS. The unique nature of ETOPS necessitates an evaluation of these operations to ensure that the certificate holder’s proposed programs are effective. The FAA will review the certificate holder’s documentation and training programs to validate that they are appropriate for ETOPS. To receive approval to conduct ETOPS the certificate holder must satisfy the following conditions:
a. Airplane. The specified airplane-engine combination listed in the certificate holder’s application must have been certificated to the airworthiness standards of transport category airplanes and must be approved for ETOPS. Guidance for airplane ETOPS type design can be found in AC 25.1535-1 and § 121.162.
(1) Two-Engine. Airplane-engine combinations already approved for ETOPS under previous FAA guidance can continue to be used in ETOPS operations under part 121. No re-certification under § 25.1535 is required. Two-engine airplanes with existing type certificates on February 15, 2007, may be approved for up to 180-minutes ETOPS without meeting requirements for fuel system pressure and flow, low fuel alerting, and engine oil tank design contained in § 25.1535.
(2) More than Two Engines. Airplanes with more than two engines that are to be used in ETOPS and are manufactured prior to February 17, 2015, may operate in ETOPS without type design approval under the revised § 25.1535. Airplanes with more than two engines manufactured on or after February 17, 2015, must meet the requirements of ETOPS type design.
b. Flight Operations and Maintenance Requirements. The certificate holder must show compliance with the flight operations requirements discussed in paragraph 303 and the maintenance requirements discussed in paragraph 301.
c. Training Requirements. The certificate holder should show that it has trained its personnel to achieve competency in ETOPS and must show compliance with the flight operations and maintenance training requirements discussed in paragraphs 302 and 304.
d. Requirements For ETOPS Approval. Before the FAA grants ETOPS operational approval to an applicant for two-engine ETOPS, the certificate holder must be able to demonstrate the ability to achieve and maintain the level of propulsion system reliability that is required for the ETOPS-approved airplane-engine combination to be used (appendix P to part 121, section I, paragraph (a)). The certificate holder must also demonstrate that it can operate the particular airframe and other airplane systems at levels of reliability appropriate for the intended operation. This can be achieved directly by a successful in-service operational history or by successfully validating all the required ETOPS processes according to the Accelerated ETOPS Application Method in Appendix 3 of this AC.
e. Accelerated ETOPS Application. An applicant for an initial operating certificate who is applying for ETOPS authority at entry into service under the Accelerated ETOPS Application method must comply with the same requirements for certificate holders outlined in this AC. It should be understood that validation of an applicant with no previous operational experience should be more robust than would be necessary for a certificate holder with operational Par 400 Page 37
experience. As is the case for all Accelerated ETOPS approvals, the Director, Flight Standards Service must be satisfied that the applicant can operate to the standards expected of an experienced ETOPS operator from the first day of service.
401. APPLICATION FOR ETOPS AUTHORIZATION.
a. Any certificate holder wishing to obtain an ETOPS authorization must submit an application with all supporting data to their local CHDO office. This application will be for a specific airplane-engine combination and should address all the regulatory requirements for ETOPS. The certificate holder may follow the guidance found in this AC to complete the application. The application should be submitted at least 60 days prior (6 months for the Accelerated ETOPS method of application) to the proposed start of extended range operation with the specific airplane-engine combination.
b. Two-Engine Airplanes.
(1) Up to 180-Minute ETOPS. An applicant requesting ETOPS up to 180 minutes for two-engine operations may select one of the following two application methods best suited to their proposed operation (See Appendix 3):
(a) In-service experience method, or
(b) Accelerated ETOPS method.
(2) ETOPS Beyond 180 Minutes, up to and Including 240 Minutes. The FAA grants approval for ETOPS beyond 180 minutes only to certificate holders with existing 180-minute ETOPS operating authority for the airplane-engine combination to be operated in the application.
There is no minimum in-service time requirement for the 180-minute ETOPS operator requesting ETOPS approval beyond 180 minutes. The determination by the Director, Flight Standards Service to grant ETOPS approval is the same as for all ETOPS authorities.
(3) ETOPS Beyond 240 Minutes. This authority is only granted to operators of two-engine airplanes between specific city pairs. The certificate holder must have been operating at 180 minute or greater ETOPS authority for at least 24-consecutive months, of which at least 12-consecutive months must be at 240-minute ETOPS authority with the airplane-engine combination in the application.
c. Passenger-Carrying Airplanes with More than Two Engines. There are no minimum in-service experience criteria for certificate holders requesting ETOPS beyond 180 minutes for operations with more than two engines. Those applicants will request approval under the accelerated ETOPS method.
402. ETOPS AUTHORITIES.
a. ETOPS with Two–Engine Airplanes. An applicant for two-engine ETOPS may seek approval for extended operations by seeking one of the following ETOPS approvals best suited to their proposed operations (see Appendix 2):
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(1) 75-minute ETOPS in the Caribbean/Western Atlantic Area or in other areas.
(2) 90-minute ETOPS in Micronesia.
(3) 120-minute ETOPS.
(4) 138-minute ETOPS. Such approvals are granted to current 180-minute ETOPS operators, or as an extension of authority to operators with only 120-minute ETOPS approval.
(5) 180-minute ETOPS.
(6) 207-minute ETOPS in the North Pacific Area of Operation.
(7) 240-minute ETOPS. Approvals are granted at this level based on the particular geographic area applied for with criteria delineated for particular applications.
(8) Beyond 240-minute ETOPS. Approvals are granted at this level based on particular city pairs.
b. ETOPS with Passenger-Carrying Airplanes having More than Two Engines.
Certificate holders applying for ETOPS with passenger-carrying airplanes that have more than two engines will receive ETOPS authority based on the FAA-approved maximum time limited airplane system restriction of the airplane-engine combination listed in their application and the maximum authority requested.
403. ETOPS AUTHORIZATION REQUIREMENTS.
a. All certificate holders of airplanes with two engines, and all certificate holders of passenger-carrying airplanes with more than two engines, operating on ETOPS routes must comply with all the operational and process requirements specified in the ETOPS regulations in part 121 and as discussed in this AC.
b. Those certificate holders operating airplanes with more than two engines who choose to follow the recommendations in this AC as a means of compliance with the operating rules, and who, on February 15, 2008, have the authority to operate on specific non-ETOPS routes that under the new definition are classified as ETOPS routes, are not required to re-apply for their specific route authority. However, from February 15, 2008, the certificate holder is required to comply with all the ETOPS flight operational requirements that are described in this AC and must have their ETOPS program and all ETOPS processes approved by their CHDO with concurrence of the Director, Flight Standards Service. The CHDO will amend the certificate holder’s OpSpecs when the Director, Flight Standards Service grants a certificate holder approval to conduct operations under § 121.161.
c. All ETOPS certificate holders applying for approvals under this section must provide sufficient information with their application to the Manager, Air Transportation Division, AFS-200, through its CHDO and regional FAA office on the following areas of concern in ETOPS:
Par 402 Page 39
(1) ETOPS Area of Operations/Airplane Performance. The altitudes and airspeeds used in establishing the ETOPS area of operations for each airplane-engine combination must be shown to permit compliance with the terrain and obstruction clearance requirements of §§ 121.191 and 121.193, as applicable. A speed other than the approved single engine speed may be used as the basis for compliance to §§ 121.191 and 121.193, provided fuel consumption is shown not to exceed the critical fuel scenario associated with the applicable ETOPS equal-time point (§ 121.646), and the time limited system requirements of § 121.633 are not exceeded.
(2) Weather Information System. A certificate holder should substantiate that the weather information system that it uses can be relied on to forecast terminal and en route weather with a reasonable degree of accuracy and reliability in the proposed areas of operation. Such factors as staffing, dispatcher, training, sources of weather reports and forecasts, and when possible, a record of forecast reliability, should be evaluated.
(3) Minimum Equipment List. The certificate holder is required to submit its MEL, designed in accordance with the Master Minimum Equipment List (MMEL), appropriate to the requested level of ETOPS. A certificate holder’s MEL may be more restrictive than the MMEL, considering the kind of ETOPS proposed and the equipment and service problems unique to the certificate holder. System redundancy levels appropriate to ETOPS should be reflected in the MMEL. Systems considered to have a fundamental influence on flight safety may include, but are not limited to the following:
• Electrical, including battery,
• Hydraulic,
• Pneumatic,
• Flight instrumentation,
• Fuel,
• Flight control,
• Ice protection,
• Engine start and ignition,
• Propulsion system instruments, nications, • Navigation and commu
• Auxiliary power units,
• Air conditioning and pressurization,
• Any other equipment necessary for ETOPS.
ition of ew
• Cargo fire suppression,
• Emergency equipment, and
(4) Public Protection. The provisions for public protection have historically been embedded in § 121.97(ii). Current requirements are found in § 121.97(b)(1)(ii). The defin “public protection” has been expanded for certificate holders operating ETOPS beyond 180 minutes, and for operations in the North Polar Area and South Polar Area to include facilities at each airport, or in the immediate area, sufficient to protect the passengers and cr from the elements and to see to their welfare. Due to the nature of these operations and the climatic issues involved during the majority of the year, certificate holders undertaking these operations must ascertain that facilities at an airport, or in the immediate area, are sufficiently Page 40 Par 403
robust to protect the passengers and crew from the elements, and to see to their welfare during the time required to transport them towards their destination under the passenger recovery plan discussed in paragraph (5) below.
(5) Passenger Recovery Plan.
e
ns). For passenger recovery plans for these polar diversion airports see paragraph 603(2).
s that or , the time-limited capability of appropriate systems should be evaluated and taken into account.
r under in
ncern;
te
(a) A specific passenger recovery plan is required for each ETOPS Alternate Airport used by a certificate holder in ETOPS greater than 180 minutes (OpSpec paragraph B042 (4), ER–OPS En Route Alternate Airports). For operations in the North Polar Area and th South Polar Area a specific passenger recovery plan is required for each designated diversion airport taken from those listed in an operator’s OpSpecs for this operation (North and South Polar Areas, OpSpec paragraph B055, North Polar Operations [Sic], Polar Operatio further guidance on
(b) The certificate holder’s formal passenger recovery plan should provide a mean to validate acceptable levels of infrastructure to provide for an orderly process for the care and well being of the passengers and crewmembers. This infrastructure should include facilities provide for the physiological needs of the passengers and crewmembers such as continuing safety, food, and shelter. Any list of considerations for the passengers and crewmembers need not be exhaustive. However, in certain cases involving operations in demanding environments, plans may need to be detailed enough to provide for medical care, communications, methods f securing alternative expedited travel, extraction, and other continued travel provisions for the crewmembers and passengers. If the certificate holder proposes to use the airplane capabilities and services as a means to satisfy all or part of the requirements for such a plan
(c) It is generally accepted that any plan that is designed to fully recover the passengers within 48 hours may be viewed as meeting the overall requirement to provide for the care and safety of the passengers and crewmembers. The greatest concern relative to passenge recovery plans is when diversions occur to an airport that is geographically located within an area not normally served by the certificate holder and, more specifically, when the diversion occurs to an en route alternate airport located in a harsh operating environment. A certificate holder with a route system extending over remote areas of the world has a responsibility the regulations (§ 121.135), to develop a passenger recovery plan in anticipation of the possibility of a diversion to an approved en route alternate airport lying within those remote regions. In these instances, the certificate holder operating on those routes should devise a plan of substance that will outline how it will recover the passengers, crewmembers, and airplane the event of such a diversion. This plan should be of sufficient detail to demonstrate that the recovery operation can be readily effected, and that the basic needs of the diverted passengers and crewmembers can be provided for in the interim. The plan should address all of the concerns previously listed with specific emphasis on any issues unique to that particular environment. In some environments provisions for shade from the direct sunlight and cooling may be a co while in other environments such as polar and sub-polar areas, plans should provide for immediate provisions for shelter from the elements, heating, and clothing. After these immedia concerns are addressed, the plan should address provisions for initiating extraction procedures Par 403 Page 41
immediat ments
tion equipment installed on the airplane, the navigation accuracy required for the planned route and altitude of flight, and the routes ities required to ens NO traffic rts, a second communication system is required and must be able to provide immediate satellite-based voice communications of landline-telephone fideli by ATC s, the crew to have available immediate satellite-based voice communication of landline-telephone fidelity. If an aircraft is already o ill te ctive n e certificate holder can adequately validate that the necessary additional ETOPS processes and procedures are in place, and that they can function appropriately, may be validated ely. In all cases a particular alternate airport environment should drive the require of the passenger recovery plan and the prioritization of concerns needing to be addressed.
(6) Navigation. The applicant must show the availability of navigation facilities adequate for the operation, taking into account the naviga and altitudes to the airports designated as ETOPS alternates. Navigation facil ure a safe approach and landing must be available.
TE: Non-terrestrial approaches, e.g., GPS/RNAV, may be utilized if approved in a certificate holder’s operating specifications.
(7) Communications. The certificate holder must show the availability of communications services and facilities for communication with ATC and the dispatch office.
Certificate holders operating ETOPS routes must use the most reliable voice-based communications technology available for communications between the flightcrew and air services, and the flightcrew and the certificate holder per § 121.99. For ETOPS routes further than 180 minutes from adequate airpo ty. Rapid and reliable ATC communications are determined by the facilities operated units in the areas of operations.
NOTE: For ETOPS routes further than 180 minutes from adequate airport only one of the two required communication systems must be SATCOM. The intent of § 121.99 is for equipped with a SATCOM system, the second communication system does not need to be SATCOM.
404. VALIDATION FLIGHT(S). Prior to granting ETOPS approval to a certificate holder for operation of a specific airplane-engine combination in an authorized area of operation, the FAA will require actual validation flights on proposed routes that the certificate holder intends t operate within the ETOPS area of operations, designated in the operator’s approval request. This is to ensure that the ETOPS flight operations and maintenance programs described in Chapter 3 are capable of supporting those operations. Depending on the certificate holder’s level of experience in conducting ETOPS and the routes intended to be used in operations, the FAA w determine the number of validation flights required, the manner in which validation flights may be conducted (revenue with passengers, non-revenue, or cargo only), and any other items requiring validation. If approval is granted to fly the validation flight in revenue service, the operator should be granted appropriate, though temporary or restricted, OpSpecs covering the necessary flight(s). At the successful conclusion of the validation, the CHDO should coordinate with the Director, Flight Standards, amendment and issuance of unrestricted OpSpecs. Certifica holders operating passenger-carrying airplanes with more than two engines who, on the effe date of this AC, have the authority to operate on specific non-ETOPS routes that under the new definition are classified as ETOPS routes, may not be required to conduct an actual validatio flight. If th Page 42 Par 403
by another means satisfactory to the CHDO with concurrence of Director, Flight Standards Service.
ion he tificate holder’s validation flights. This determination will be made on a case-by-case basis following a review of the certificate holder’s experience and the proposed opera ring
b. The following emergency conditions should be demonstrated during the ETOPS validatio
(1) Total loss of thrust of one engine and total loss of engine-generated (or normal) electrical ng ETOPS
c. This simulator demonstration does not alter the certificate holder’s requirement to demonstrate the competence and the capability to adequately support the intended operation during the ETOPS validation flight.
405. REQUIRED DEMONSTRATION ON A VALIDATION FLIGHT.
a. The certificate holder should demonstrate, by means of an FAA-witnessed validat flight or flights using the specified airplane-engine combination in its application, that it has the competence and capability to safely conduct and adequately support the intended operation. T CHDO, with the concurrence of the Director, Flight Standards Service, will determine the conditions for each cer tion. This process may require the certificate holder to conduct an actual diversion du the validation flights.
n flights, unless successful demonstration of these conditions has been approved and subsequently witnessed by the FAA in an acceptable simulation prior to the validation flight:
power (as a minimum, the ETOPS critical electrical condition identified duri certification), or
(2) Any other condition considered more critical in terms of Airworthiness, crewmember workload, or performance risk.
Par 404 Page 43 (and 44)
CHAPTER 5. FAA ETOPS APPROVAL
500. FINAL ETOPS OPERATING AUTHORITY. Following completion of the ETOPS application requirements and before the issuance of OpSpecs, the certificate holder’s application with supporting data, together with the CHDO’s recommendations, should be forwarded through the certificate holder’s regional FAA office, to AFS-200 (Washington Headquarters) for review and concurrence. The CHDO’s recommendations should include any specific recommendations made by the principal maintenance inspector (PMI), principal avionics inspector (PAI), and principal operations inspector (POI), as appropriate. Following review and concurrence by AFS-200, the validation flights should be conducted in accordance with any additional guidance or recommendations specified in the review and concurrence process. Following the successful completion of the validation flights, the Director, Flight Standards Service, will authorize the CHDO to issue the certificate holder OpSpecs for ETOPS operations.
501. ETOPS OPSPECS. Those OpSpecs for ETOPS provide authorizations and limitations covering at least the following:
a. Approved airplane-engine combinations,
b. Current approved CMP standard required for ETOPS, if appropriate,
c. Authorized geographic area(s) of operation,
d. ETOPS area of operation,
e. Airports authorized for use, including alternates and associated instrument approaches and operating minima,
f. Approved maintenance and reliability program for ETOPS including those items specified in the type design approved CMP standard, if appropriate, and
g. Identification of the airplanes authorized for ETOPS by make, model, serial, and registration number.
502. CHANGES TO APPROVED ETOPS OPERATIONS, MAINTENANCE AND TRAINING PROCEDURES. Following final ETOPS approval, if a certificate holder determines a need to make substantial changes to its ETOPS operations, maintenance and training procedures, it should submit such changes in a timely manner to the CHDO for review and acceptance before incorporation. The certificate holder and its CHDO should negotiate what constitutes a substantial change to allow flexibility and take into consideration a certificate holder's ETOPS experience. What is considered substantial for a new entrant ETOPS certificate holder may be considerably different than for a certificate holder with many years of ETOPS experience.
503. PROCESSES AFTER RECEIVING ETOPS AUTHORITY.
a. The FAA continuously monitors the world fleet average IFSD rate for two-engine ETOPS authorized airplane-engine combinations to ensure that the levels of reliability achieved Par 500 Page 45
in ETOPS remain at the required levels. If an acceptable level of reliability in fleet average IFSD is not maintained, or if significant deficiencies or adverse trends are detected in type design (i.e., basic design of the airplane-engine) or in the operation, the FAA may require the airframe and engine manufactures to develop a plan acceptable to the FAA to address the deficiencies.
b. As with all other operations, the CHDO will monitor all aspects of the ETOPS operations it has authorized to the certificate holder to ensure that the levels of reliability achieved in ETOPS operations remain at acceptable levels, and that the operation continues to be conducted safely.
c. In the event that an acceptable level of reliability is not maintained, if significant adverse trends exist, or critical deficiencies are detected in the type design or in the conduct of ETOPS operations, the CHDO will:
(1) Alert the appropriate airplane certification office and the airplane evaluation group, when problems associated with airplane design or operations are identified; and
(2) Initiate a special evaluation, impose operational restrictions (if necessary), and ensure that the certificate holder adopts corrective actions to resolve the problems in a timely manner.
Page 46 Par 503
CHAPTER 6. POLAR OPERATIONS
600. BACKGROUND.
a. In February 2001, in response to several U.S. carriers’ plans to conduct north polar operations, the FAA developed a “Polar Policy Letter.” This policy letter documented the requirement for airlines to develop necessary plans in preparation for north polar flights and identified the necessary equipment and airplane configuration requirements for all airplanes regardless of the number of engines. The FAA’s intent in issuing the policy letter was to “establish a process that can be applied uniformly to all applicants for polar route authority.”
This policy was applied to all operators, and although not ETOPS per se, it required ETOPS-like planning, equipage and operational requirements in these areas.
b. During the development of the expanded ETOPS regulations the Aviation Rulemaking Advisory Committee (ARAC) recommended that the guidance contained in the Polar Policy letter be incorporated in the ETOPS regulations. It also recommended that these requirements be expanded to the South Polar Region. Although no U.S. certificate holders were operating in the South Polar Area at the time, it was felt that due to similar extremes in remoteness, weather, and terrain, this area should be included in anticipation of future industry growth.
c. The FAA agreed with the recommendations of the ARAC and has determined that operating in the polar areas presents operational issues similar to typical ETOPS flights, and as such, the risks associated with this operation can be mitigated by applying planning, operational, and equipage requirements similar to ETOPS and specific procedures applicable to the risks associated with this type of flying.
601. DEFINITION. The North Polar Area is defined as the entire area north of latitude 78 degrees North, and the South Polar Area is defined as the entire area south of latitude 60 degrees South.
602. APPLICABILITY. Any certificate holder operating an airplane whose route contains any point within the North Polar area or South Polar area as defined in paragraph 601 above, must comply with the requirements of part 121, appendix P, section III. The certificate holder must first determine during the route planning stage if the operation will be ETOPS as defined in § 121.161 and as further discussed in Chapter 2, paragraph 201 of this AC. If the operation is ETOPS the polar requirements of part 121, appendix P and the guidance in this chapter are in addition to any of the applicable ETOPS requirements discussed in Chapter 3, paragraphs 300 through 304 of this AC.
603. POLAR REQUIREMENTS.
a. The certificate holder applying for authority to fly in the Polar Areas must develop plans in preparation for all polar flights in the North and/or South Polar Areas, as appropriate.
This section documents the added requirements and identifies equipment and airplane configuration requirements in addition to the requirements discussed in Chapter 3, paragraphs 300 through 304.
Par 600 Page 47
b. The certificate holder’s plan for conducting operations within these areas must include the following elements:
(1) Requirements for Designating Alternates. Certificate holders should designate a set of alternate airports regardless of their distance from the planned route, such that one or more can reasonably be expected to be available in a variety of weather conditions to support a necessary diversion. The flight must have sufficient fuel as required by § 121.646, if applicable, and should be able to make a safe landing and the airplane maneuvered off of the runway at the selected diversion airport. In the event of a disabled airplane following landing, the capability to move the disabled airplane should exist at that airport, so as not to block the operation of any recovery airplane. In addition, those airports designated for use should be capable of protecting the safety of all personnel by being able to:
(a) Offload the passengers and crewmember in a safe manner during adverse weather conditions;
(b) Provide for the physiological needs of the passengers and crewmembers for the duration of the stay at the diversion airport until safe evacuation; and
(c) Safely extract passengers and crewmembers as soon as possible (execution and completion of the passenger recovery is expected as soon as possible within 48 hours following diversion).
(2) Passenger Recovery Plan. Except for supplemental all-cargo operations, each certificate holder conducting operations in the polar areas must have a passenger recovery plan at designated diversion airports as discussed in paragraph (1) above and in Chapter 4, paragraph 403c(5). The passenger recovery plan in these Polar Regions should also include special consideration for the possibility of extreme cold weather, limited passenger facilities, and the need to initiate passenger recovery without delay.
(3) Fuel Freeze Strategy and Monitoring. The certificate holder must have a fuelfreeze strategy and procedures for monitoring fuel freezing. The certificate holder may wish to develop a fuel freeze strategy and monitoring program (e.g., alternate fuel freeze point temperature determination based on actual measurements of uploaded fuel), in lieu of using the standard minimum fuel freeze temperatures for specific types of fuel used. In such cases, the certificate holder’s fuel freeze analysis and monitoring program for the airplane fuel load is subject to FAA approval. The certificate holder should have procedures established that require coordination between maintenance, dispatch, and assigned flight crewmembers to convey the determined fuel freeze temperature of the fuel load on board the airplane.
(4) Communication Capability. The certificate holder must have effective voice communications and/or data link capability for all portions of the flight route. The requirements of § 121.99 apply to all ETOPS operations in these areas. For all other operations, company communications may be accomplished using HF voice, HF data link, satellite communication (SATCOM) voice or SATCOM data link. Because of the limitations of VHF and satellite-based voice communications, ATC communications will probably require high frequency (HF) voice over portions of these routes. The FAA recognizes that SATCOM may not be available for short Page 48 Par 603