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.
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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.
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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
periods during flight over the Poles. Communication capability with HF radios also may be affected during periods of solar flare activity. The certificate holder should consider predicted solar flare activity and its effect on communications for each flight that is dispatched for operations into these areas.
(5) MEL Considerations. The certificate holder must amend its MEL to reflect the items that must be operational for these operations. For ETOPS flights, all MEL restrictions for the applicable ETOPS operations apply. Before receiving FAA authority to conduct these operations, all certificate holders should review its MEL for consideration of the dispatch availability of the following systems/equipment:
(a) Fuel quantity indicating system (FQIS), including the fuel tank temperature indicating system;
(b) APU (when the APU is necessary for an airplane to comply with ETOPS requirements), including electrical and pneumatic supply to its designed capability,
(c) Autothrottle system;
(d) Communication systems relied on by the flight crewmember to satisfy the requirement for communication capability; and
(e) Except for all-cargo operations, an expanded medical kit to include automated external defibrillators (AED).
(6) Training. The certificate holder should address the following training requirements in its approved training programs:
(a) QFE/QNH and meter/feet conversions (required for flight crewmember and dispatcher training);
(b) Training requirements for fuel freeze, to include maintenance, dispatch, and flight crewmember training (special curriculum segments);
(c) General route-specific training on weather patterns;
(d) Relevant airplane system limitations (for example fuel temperature limits);
(e) Role of the maintenance department in providing airplane systems capability information to dispatch and flight crewmember to aid the PIC in diversion decision making;
(f) Crewmember training in the use of the cold weather anti-exposure suit,
(g) For dispatch and crewmember considerations during solar flare activity, the certificate holder must be aware of the content of AC 120-52, Radiation Exposure of Certificate Holder Crewmembers, and provide crewmember training as stated in AC 120-61, Crewmember Training on In-Flight Radiation Exposure; and Par 603 Page 49
(h) Training for flight crewmembers and dispatcher roles in the certificate holder’s passenger recovery plan.
(7) Crew Exposure to Radiation during Solar Flare Activity. The certificate holder must provide a plan for mitigating crew exposure to the effects of solar flare activity at the altitudes and latitudes expected in such operations.
(8) Special Equipment for Polar Operations. A minimum of two cold weather anti-exposure suits must be on board each airplane, so that outside coordination at a diversion airport with extreme climatic conditions can be accomplished safely. A short term MEL relief for this item may be granted provided the certificate holder has arranged ground support provisions for providing such protective clothing at alternate airports. The FAA may also relieve the certificate holder from this requirement during those periods of the year when the seasonal temperature makes the equipment unnecessary.
604. VALIDATION BEFORE APPROVAL.
a. Prior to receiving an authorization to conduct polar operations a certificate holder must conduct an FAA observed validation flight. As part of polar area validation, the certificate holder must exercise its passenger recovery plan. Adequate and timely notification must be made to the FAA before the validation flight so that any necessary coordination between the FAA inspector and personnel at the selected diversion airport can be completed. The inspector will witness the effectiveness and adequacy of the following areas of operation:
• Communications,
• Coordination,
• Facilities,
• Accuracy of Notices to Airman and weather information, and
• Operability of ground equipment during the simulated diversion.
b. The exercise of the certificate holder’s passenger recovery plan may be completed before the validation flight. The FAA will not consider a request by a certificate holder to conduct the validation flight in a passenger revenue status if the certificate holder’s passenger recovery plan has not been previously and satisfactorily demonstrated to the FAA. If the certificate holder elects to demonstrate its passenger recovery plan as part of and during its validation flight, the flight may not be conducted in a passenger revenue status. However, the carriage of cargo revenue is permissible in this case and is encouraged for airplane weight and balance purposes.
605. FAA POLAR AREA APPROVAL. Certificate holders must obtain FAA approval to conduct these operations and to operate in any area of magnetic unreliability. The FAA will grant such authority based on a specific airplane-engine combination. Any certificate holder wishing to obtain Polar authorization must submit an application with all supporting data to their local CHDO office. This application must address all the regulatory requirements for Polar operations and may follow the guidance as found in this AC. The application should be submitted at least 60 days prior to the proposed start of polar operations with the specific airplane-engine combination. FAA approval is granted by an amendment to the certificate holder’s OpSpecs.
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Appendix 1 APPENDIX 1. DEFINITIONS The following definitions are applicable to ETOPS. They include definitions from Title 14 of the Code of Federal Regulations (14 CFR) parts 1 and 121, as well as terms that are used within the context of this AC with respect to ETOPS:
1. Adequate Airport. An airport that an airplane operator may list with approval from the Federal Aviation Administration (FAA) because that airport meets the landing limitations of part 121, § 121.197 and is either, an airport that meets the requirements of 14 CFR part 139 subpart D, excluding those that apply to aircraft rescue and firefighting service, or a military airport that is active and operational. Airports without specific part 139 approval (i.e., outside FAA jurisdiction), may be considered adequate provided that they are determined to meet the equivalent standards and intent of part 139 subpart D.
2. Configuration, Maintenance, and Procedures (CMP) Document. A document approved by the FAA that contains minimum configuration, operating, and maintenance requirements, hardware life-limits, and Master Minimum Equipment List (MMEL) constraints necessary for an airplane-engine combination to meet ETOPS type design approval requirements.
3. Dual Maintenance. Dual maintenance means maintenance on the “same” ETOPS significant system. Dual maintenance is maintenance action performed on the same element of identical, but separate ETOPS Significant Systems during a scheduled or unscheduled maintenance visit. Dual maintenance on “substantially similar” ETOPS significant systems means maintenance actions performed on engine-driven components on both engines during the same maintenance visit.
4. Equal-Time Point (ETP). A point on the route of flight where the flight time, considering wind, to each of two selected airports is equal.
5. ER. An abbreviation used in the MMEL and in the minimum equipment list (MEL) of some certificate holders to indicate ETOPS. As used in this AC, any ETOPS MMEL/MEL restrictions applicable to ETOPS.
6. ETOPS Alternate Airport. An adequate airport listed in the certificate holder’s operations specifications (OpSpecs) that is designated in a dispatch or flight release for use in the event of a diversion during ETOPS. This definition applies to flight planning and does not in any way limit the authority of the pilot in command (PIC) during flight.
7. ETOPS Area of Operation. For turbine-engine-powered airplanes with two engines an area beyond 60 minutes from an adequate airport, or with more than two engines in passengercarrying operations, an area beyond 180 minutes from an adequate airport, and within the authorized ETOPS maximum diversion time approved for the operation being conducted. An ETOPS area of operation is calculated at an approved one-engine inoperative cruise speed under standard conditions in still air.
8. ETOPS Entry Point. The first point on the route of an ETOPS flight; determined using a oneengine inoperative cruise speed under standard conditions in still air that is more than 60 minutes from an adequate airport for airplanes with two engines, and more than 180 minutes from an adequate airport for passenger-carrying airplanes with more than two engines.
AC 120-42B 6/13/8 Appendix 1
9. ETOPS Significant System. An airplane system, including the propulsion system, the failure or malfunctioning of which could adversely affect the safety of an ETOPS flight, or the continued safe flight and landing of an airplane during an ETOPS diversion. Each ETOPS significant system is either an ETOPS Group 1 significant system or an ETOPS Group 2 significant system.
a. An ETOPS Group 1 Significant System:
(1) Has fail-safe characteristics directly linked to the degree of redundancy provided by the number of engines on the airplane;
(2) Is a system, the failure or malfunction of which could result in an in-flight shutdown (IFSD), loss of thrust control, or other power loss;
(3) Contributes significantly to the safety of an ETOPS diversion by providing additional redundancy for any system power source lost as a result of an inoperative engine; and
(4) Is essential for prolonged operation of an airplane at engine inoperative altitudes.
b. An ETOPS Group 2 significant system is an ETOPS significant system that is not an ETOPS Group 1 significant system. Group 2 system failures will not cause aircraft flight performance loss or cabin environment problems but may result in diversions or turn backs.
10. ETOPS-Qualified Personnel. A person performing maintenance for the certificate holder, who has satisfactorily completed the certificate holder’s ETOPS qualification program.
11. ETOPS. An airplane flight operation during which a portion of the flight is conducted beyond 60 minutes from an adequate airport for turbine-engine-powered airplanes with two engines, and beyond 180 minutes for turbine-engine-powered passenger-carrying airplanes with more than two engines. This distance is determined using an approved one-engine inoperative cruise speed under standard atmospheric conditions in still air.
12. Flight-by-Flight Exception. The application of a greater ETOPS maximum diversion authority under specific, limited circumstances, as defined in this AC, when a flight cannot be planned on the preferred route within an authorized lesser diversion time.
13. In-Flight Shutdown (IFSD). When an engine ceases to function (when the airplane is airborne) and is shut down, whether self induced, flightcrew initiated or caused by an external influence. The FAA considers IFSD for all causes, such as flameout, internal failure, flight crew initiated shutdown, foreign object ingestion, icing, inability to obtain or control desired thrust or power, and cycling of the start control; however briefly, even if the engine operates normally for the remainder of the flight. This definition excludes the airborne cessation of the functioning of an engine when immediately followed by an automatic engine relight and when an engine does not achieve desired thrust or power but is not shut down.
14. Maximum Diversion Time. For the purposes of ETOPS in § 121.161 and related ETOPS regulations, maximum diversion time (for example 120 minutes, 180 minutes, 240 minutes, and, beyond 240 minutes) is the longest diversion time authorized for a flight under Page 2
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AC 120-42B Appendix 1 Page 3 the operator’s ETOPS authority. It is calculated under standard conditions in still air at a oneengine inoperative cruise speed.
15. One-Engine Inoperative Cruise Speed. For the purposes of those sections of part 121 applicable to ETOPS, the one-engine inoperative cruise speed is a speed within the certified operating limits of the airplane that is specified by the certificate holder and approved by the FAA for calculating required fuel reserves needed to account for an inoperative engine, or determining whether an ETOPS alternate is within the maximum diversion time authorized for an ETOPS flight.
NOTE: The following areas (16-18) are defined for the purposes of those sections of part 121 applicable to ETOPS.
16. North Pacific (NOPAC). The North Pacific Air Traffic Service (ATS) routes and adjacent airspace between Anchorage and Tokyo Flight Information Regions (FIR).
17. North Pacific Area of Operations. Pacific Ocean areas north of 40º North latitudes including NOPAC ATS routes, and published Pacific Organized Track System (PACOTS) tracks between Japan and North America. (For the purposes of this definition, “North America” includes the countries of Canada, the United States, and Mexico.)
18. Polar Areas.
a. North Polar Area. The entire area north of 78º North latitude.
b. South Polar Area. The entire area south of 60º South latitude.
19. Process. A series of steps or activities that are accomplished in a consistent manner to ensure a desired result is attained on an ongoing basis.
20. Proven Process. A process is considered to be proven when the following elements are developed and implemented:
a. Definition and documentation of process elements.
b. Definition of process related roles and responsibilities.
c. Procedures for validation of process or process elements to include:
• Indications of process stability/reliability;
• Parameters to validate process and monitor (measure) success; and
• Duration of necessary evaluation to validate process.
d. Procedure for follow-up in-service monitoring to assure the process remains reliable and stable.
AC 120-42B Appendix 2 APPENDIX 2. ETOPS APPROVALS As described in Section 401 of this AC, appendix P to part 121 permits certificate holders to seek various levels of ETOPS approvals. This Appendix summarizes the details for each approval level, and is intended to provide further guidance to the requirements in appendix P to part 121.
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1. Airplanes with Two Engines
Approval Level Area of Applicability Requirements How to apply Comments 75 minutes Caribbean / Western Atlantic Area.
1. The airplane-engine combination need not be type design approved for ETOPS.
2. The FAA reviews the airframe-engine combination to ensure the absence of factors that could prevent safe operations.
3. The airframe-engine combination must have sufficient favorable experience to demonstrate to the Administrator a level of reliability appropriate for 75-minute ETOPS.
4. Even though there is no requirement for the type design approval of the airplane, the certificate holder must ensure the airplane has systems that are capable of complying with the requirements of § 121.633 for timelimited system planning.
5. The certificate holder must comply with the maintenance program requirements of § 121.374, except that a pre-departure service check before departure of the return flight is not required. Guidance is provided in Chapter 3, paragraphs 301 and 302 of this AC.
6. The certificate holder must comply with the flight operational requirement in part 121, as described in Chapter 3, paragraphs 303 and 304 of this AC.
7. The certificate holder need not comply with 120-minute ETOPS provisions of the MMEL.
8. The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications (OpSpecs).
Request made to the FAA for route authority. The application will show the need for such an authority.
Minimal or no inservice experience with the airplaneengine combination is required (see Appendix 3).
This area is considered a “benign” area of operations due to
(1) numerous airports, (2) a high level of reliability and availability are required of communications, navigation, and ATC services and facilities, and (3) prevailing weather conditions that are stable and generally do not approach extremes in temperature, wind, ceiling, and visibility.
75 minutes Other areas besides Caribbean / Western
1. The airplane-engine combination need not be type design approved for ETOPS.
2. The FAA reviews the airframe-engine combination to ensure the absence of factors that could prevent safe operations.
Request made to the FAA for route authority. The application will Areas not considered benign such as North Atlantic