AC 120-42B Appendix 2 Approval Area of Requirements How to apply Comments Level Applicability
7. Comply with all part 121 flight operations and maintenance requirements pertaining to ETOPS as discussed in Chapter 3 of this AC.
8. The nearest available ETOPS alternate within 207-minutes diversion time must be specified in the dispatch or flight release.
9. In conducting such a flight the certificate holder must consider Air Traffic Service’s preferred track.
10. This exception may be used only on a flight-by-flight basis when an ETOPS alternate is not available within 180 minutes for reasons such as political or military concerns; volcanic activity; temporary airport conditions; and airport weather below dispatch requirements or other weather related events.
11. The certificate holder must operate in accordance with the ETOPS authority as contained in its operations specifications.
12. The certificate holder must track how many times 207-minute authority is used.
240 minute North Polar Area, in the area north of the NOPAC, and in the Pacific Ocean north of the equator
1. Airplane-engine combination must be ETOPS type design approved for greater than 180 minutes. The certificate holder must ensure the airplane has systems that are capable of complying with the requirements of § 121.633(b) for time-limited system planning.
2. Certificate holder must have existing 180-minute ETOPS operating authority for the airplane-engine combination to be operated.
3. The certificate holder must have previous ETOPS experience satisfactory to the Administrator.
4. The certificate holder must make every effort to plan ETOPS with 180 minutes or less, if possible.
5. The certificate holder must inform the flightcrew each time an airplane is proposed for dispatch for greater than 180 minutes and tell them why the route was selected.
6. In addition to the equipment specified in the certificate holder’s minimum equipment list for 180-minute ETOPS, the following systems must be operational for dispatch:
(A) The fuel quantity indicating system, (B) The APU (including electrical and pneumatic supply and operating to the APU’s designed capability) when the APU is necessary for an airplane to comply with ETOPS requirements, Those certificate holders that have 180-minute ETOPS authority in this area can apply to the FAA for approval as an extension to their 180-minute authority.
This is an extension of 180- minute ETOPS in this area and is to be used on a flight by flight exception basis when an ETOPS alternate is not available within 180 minutes.
6/13/08
6/13/08 Approval Area of Requirements How to apply Comments Level Applicability (C) The auto throttle system, (D) The communication system required by § 121.99(d) or § 121.122(c), as applicable, and (E) One-engine inoperative auto-land capability, if flight planning is predicated on its use.
7. Comply with all part 121 flight operations and maintenance requirements pertaining to ETOPS as provided in Chapter 3 of this AC.
8. The nearest available ETOPS alternate within 240-minutes diversion time must be specified in the dispatch or flight release.
9. In conducting such a flight the certificate holder must consider Air Traffic Service’s preferred track.
10. The criteria used by the certificate holder to decide that extreme weather precludes using an airport must be established by the certificate holder, accepted by the FAA, and published in the certificate holder’s manual for the use of dispatchers and pilots.
11. The certificate holder must operate in accordance with the ETOPS authority as contained in its OpSpecs.
12. This exception may be used in the North Polar Area and in the area north of NOPAC only in extreme conditions particular to these areas such as volcanic activity, extreme cold weather at en route airports, airport weather below dispatch requirements, temporary airport conditions, and other weather related events. This exception may be used in the Pacific Ocean area north of the equator only for reasons, such as political or military concern, volcanic activity, airport weather below dispatch requirements, temporary airport conditions and other weather related events.
AC 120-42B Appendix 2 Page 6
AC 120-42B Appendix 2 Approval Area of Requirements How to apply Comments Level Applicability 240 minute Areas south of the equator:
1. Pacific Ocean areas between the US West coast and Australia, New Zealand and Polynesia,
2. South Atlantic Oceanic areas,
3. Indian Ocean areas
4. Oceanic areas between Australia and South America
1. Airplane-engine combination must be ETOPS type design approved for greater than 180 minutes. The certificate holder must ensure the airplane has systems that are capable of complying with the requirements of § 121.633 (b) for time-limited system planning.
2. Certificate holder must have existing 180-minute ETOPS operating authority for the airplane-engine combination to be operated.
3. The certificate holder must have previous ETOPS experience satisfactory to the Administrator.
4. In addition to the equipment specified in the certificate holder’s minimum equipment list for 180-minute ETOPS, the following systems must be operational for dispatch:
(A) The fuel quantity indicating system, (B) The APU (including electrical and pneumatic supply and operating to the APU’s designed capability) when the APU is necessary for an airplane to comply with ETOPS requirements, (C) The auto throttle system, (D) The communication system required by § 121.99(d) or § 121.122(c), as applicable, and (E) One-engine inoperative auto-land capability, if flight planning is predicated on its use.
5. Comply with all part 121 flight operations and maintenance requirements pertaining to ETOPS as provided in Chapter 3 of this AC.
6. The nearest available ETOPS alternate within 240-minutes diversion time must be specified in the dispatch or flight release.
7. The certificate holder must operate in accordance with the ETOPS authority as contained in its OpSpecs.
Request made to the FAA for route authority. The application will show the need for such an authority.
This is an unlimited authority Beyond 240 minute Specific city pairs in the following areas as designated in the operators application:
1. Airplane-engine combination must be ETOPS type design approved for greater than 180-minute. The certificate holder must ensure the airplane has systems that are capable of complying with the requirements of § 121.633 (b) for time-limited system planning.
2. The certificate holder must have existing 180-minute ETOPS operating authority for the airplane-engine combination to be operated.
3. The certificate holder must have previous ETOPS experience satisfactory to the Administrator.
4. The operator must have been operating at 180-minute or greater ETOPS Request made to the FAA for route authority. The application will show the need for such an authority.
There is no time limit to this authority.
6/13/08
6/13/08 Approval Area of Requirements How to apply Comments Level Applicability
1. Pacific Ocean areas between the U.S. West coast and Australia, New Zealand and Polynesia,
2. South Atlantic Oceanic areas,
3. Indian Ocean areas
4. Oceanic areas between Australia and South America
5. South Polar Area
authority for at least 24-consecutive months, of which at least 12-consecutive months must have been under 240-minute ETOPS authority with the airplane-engine combination to be used.
5. In addition to the equipment specified in the certificate holder’s minimum equipment list for 180-minute ETOPS, the following systems must be operational for dispatch:
(A) The fuel quantity indicating system, (B) The APU (including electrical and pneumatic supply and operating to the APU’s designed capability) when the APU is necessary for an airplane to comply with ETOPS requirements, (C) The auto throttle system, (D) The communication system required by § 121.99(d) or § 121.122(c), as applicable, and (E) One-engine inoperative auto-land capability, if flight planning is predicated on its use.
6. The certificate holder must comply with all part 121 flight operations and maintenance pertaining to ETOPS as provided in Chapter 3 of this AC.
7. The certificate holder must operate in accordance with the ETOPS authority as contained in its OpSpecs.
AC 120-42B Appendix 2 Page 8
AC 120-42B Appendix 2
2. Passenger-Carrying Airplanes with more than Two Engines.
6/13/08
Approval Level
Area of Applicability Requirements How to apply Comments Beyond 180 minute Unlimited area of the world
1. The airplane-engine combination must be type-design-approved for ETOPS, except as provided in § 121.162 (see comments).
2. The certificate holder must ensure the airplane has systems that are capable of complying with the requirements of § 121.633 for time-limited system planning.
3. The operator must designate the nearest available ETOPS alternate or alternates within 240-minutes diversion time (at one engine inoperative cruise speed under standard conditions in still air). If an ETOPS alternate is not available within 240 minutes, the operator must designate the nearest available ETOPS alternate or alternates along the planned route of flight.
4. The minimum equipment list (MEL) limitations for the authorized ETOPS diversion time apply.
(i) The Fuel Quantity Indicating System must be operational.
(ii) The communications systems required by § 121.99(d) or § 121.122(c) must be operational, except for three and four-engine airplanes operating 180 minutes or less from an alternate in the North Polar and South Polar areas.
5. The certificate holder must operate in accordance with the ETOPS authority as contained in its OpSpecs.
Request made to the FAA for route authority. The application will show the need for such an authority.
Certificate holders who have authority to operate on specific routes that under this AC are newly defined as ETOPS routes do not have to re-apply for specific route authority. The certificate holder will be required to comply with all the ETOPS operational requirements in this AC.
§ 121.162 allows for an eight-year ‘production cut-in for ETOPS type design requirements for these airplanes. The certificate holder should review their aircraft for applicability.
Those airplanes not required to have an ETOPS type design do not have any CMP or Parts control compliance requirements.
AC 120-42B 6/13/08 Appendix 2
3. All airplanes planned on routings any portion of which enter the North Polar or South Polar areas.
1. Approval Level
Area of Applicability
Requirements
How to Apply
Comments
North Polar area – the entire area north of 78N latitude
and,
South Polar area – the entire area south of 60S latitude
In addition to any applicable requirements of Sections
1. and 2. of this Appendix, the certificate holder’s operations specifications must contain the following:
(1) The designation of alternate airports that may be used for enroute diversions and the requirements the airports must meet at the time of diversion.
(2) Except for supplemental, all-cargo operations, a recovery plan for passengers at diversion alternates.
(3) A fuel-freeze strategy and procedures for monitoring fuel freezing.
(4) A plan to ensure communication capability for these operations.
(5) An MEL for these operations.
(6) A training plan for operations in these areas.
(7) A plan for mitigating crew exposure to radiation during solar flare activity.
(8) A plan for providing at least two cold weather antiexposure suits in the aircraft, to protect crewmembers during outside activity at a diversion airport with extreme climatic conditions. The FAA may relieve the certificate holder from this requirement if the season of the year makes the equipment unnecessary.
Certificate holders 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 the guidance in this AC. The application should be submitted at least 60 days prior to the proposed start of polar operations with the specific airplaneengine combination.
Except for intrastate operations within the State of Alaska.
These requirements are in addition to any applicable ETOPS requirements listed in chapters 3 and 4 of this AC.
The validation requirements of this approval include an exercise of the certificate holder’s passenger recovery plan as per 605.
Appendix 3 APPENDIX 3. ETOPS APPROVAL METHODS The two different approval methods available for a certificate holder’s use are described in this appendix.
1. In-Service Experience Method (Two-Engine ETOPS for up to 180-Minute ETOPS).
a. General.
(1) An in-service experience program is one way of gaining ETOPS operational approval. As a prerequisite to obtaining any operational approval, the certificate holder should show that an acceptable level of propulsion system reliability has been achieved in service by the world fleet for that particular airplane-engine combination. The candidate certificate holder also should obtain sufficient maintenance and operation familiarity with the particular airplane-engine combination. Each certificate holder requesting approval to conduct ETOPS by the in-service method should have operational experience appropriate to the operation proposed.
(2) This appendix contains guidelines for requisite in-service experience. These guidelines may be reduced or increased following review and concurrence on a case-by-case basis by the Director, Flight Standards Service. Any reduction or increase in in-service experience guidelines will be based on an evaluation of the certificate holder’s ability and competence to achieve the necessary reliability for the particular airplane-engine combination in ETOPS. For example, a reduction in in-service experience may be considered for a certificate holder who can show extensive in-service experience with a related engine on another airplane that has achieved acceptable reliability. In contrast, an increase in in-service experience may be considered for those cases where heavy maintenance has yet to occur and/or abnormally low number of takeoffs has occurred.
b. Specific Approvals.
(1) 75- and 90-Minute Operation. Consideration may be given to the approval of 75-minute and 90-minute ETOPS for certificate holders with minimal or no in-service experience with the airplane-engine combination. This determination considers such factors as the proposed area of operations, the certificate holder’s demonstrated ability to successfully introduce airplanes into operations, and the quality of the proposed maintenance and operations programs.
(2) 120-Minute Operation. Each certificate holder requesting approval to conduct ETOPS with a maximum diversion time (in still air) of 120 minutes should have 12 consecutive months of operational in-service experience with the specified airplane-engine combination. Inservice experience guidelines may be increased or decreased by the Director, Flight Standards Service.
Appendix 3
(3) 180-Minute Operation.
(a) Each certificate holder requesting approval to conduct ETOPS with a maximum diversion time (in still air) of 180 minutes should have previously gained 12-consecutive months of operational in-service experience with the specified airplane-engine combination in conducting 120-minute ETOPS. In-service experience guidelines may be reduced or increased by the Director, Flight Standards Service. Likewise, the substitution of in-service experience, which is equivalent to the actual conduct of 120-minute ETOPS operations, also will be established by the Director, Flight Standards Service, on a case-by-case basis.
(b) Before approval, the certificate holder’s capability to conduct operations and implement effective ETOPS programs in accordance with the criteria detailed in this AC will be examined. Only certificate holders who have demonstrated capability to successfully conduct a 120-minute program will be considered for approval beyond 120-minutes. Approval will be given on a case-by-case basis for an increase to their area of operation beyond 120-minutes. The dispatch limitation will be a maximum diversion time of 180 minutes to an ETOPS alternate at an approved one-engine inoperative speed (under standard conditions in still air).
c. Requesting Approval. A certificate holder requesting approval under Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.161 for ETOPS under this method should submit the request with the required supporting data to its CHDO at least 60 days before the proposed start of ETOPS operation with the specific airplane-engine combination. In considering an application from a certificate holder to conduct ETOPS, the CHDO should assess the certificate holder’s overall safety record, past performance, flight crewmember training, and maintenance programs. The data provided with the request should substantiate the certificate holder’s ability and competence to safely conduct and support these operations and should include the means used to satisfy the considerations outlined in this paragraph.
2. Accelerated ETOPS Method (Up to 180-Minute ETOPS for Two-Engine Airplanes and for all ETOPS for Passenger-Carrying Airplanes With More Than Two Engines). This section describes the means by which a certificate holder may initiate ETOPS operations when the certificate holder establishes the processes necessary for successful and reliable ETOPS operations and proves to the FAA that such processes can be successfully applied throughout the applicant’s ETOPS operations. This may be achieved by thorough documentation and analysis of processes and process validation, or demonstration on another airplane/validation (as described under process validation in this appendix, below) or a combination of these processes.
a. ETOPS Processes. The airplane-engine combination for which the certificate holder is seeking accelerated ETOPS operational approval must be ETOPS type design-approved (except for two-engine ETOPS at 75-minute authorization and for passenger-carrying airplanes with more than two engines manufactured prior to March 17, 2015) and be capable of operating at a satisfactory level of reliability before commencing ETOPS. The certificate holder seeking accelerated ETOPS operational approval must demonstrate to the FAA that it has an ETOPS program in place that consists of all the following applicable ETOPS process elements:
(1) The applicable process elements defined as the ETOPS maintenance and operations requirements of Chapter 3, paragraphs 301 through 304.
Appendix 3 NOTE: Passenger carrying airplanes with more than two engines are exempt from the ETOPS maintenance requirements. Therefore the operator may ignore the maintenance processes described in this Appendix.
(2) Documentation of the following elements as appropriate:
(a) Technology new to the certificate holder and significant difference in primary and secondary power (engines, electrical, hydraulic, and pneumatic) systems between the airplanes currently operated and the two-engine airplane for which the certificate holder is seeking ETOPS operational approval.
(b) The plan to train flight and maintenance personnel to the differences identified in the maintenance subparagraph above.
(c) The plan to use proven manufacturer-validated training and maintenance and operations manual procedures relevant to ETOPS for the two-engine airplane for which the certificate holder is seeking accelerated ETOPS operational approval.
(d) Changes to any previously proven validated training, maintenance or operations manual procedures used in previous non-ETOPS operations or in previous ETOPS with a different airplane-engine combination and/or geographic area of operations. Depending on the nature and extent of any changes, the certificate holder may be required to provide a plan for validating such changes.
(e) The validation plan for any additional certificate holder unique training and procedures relevant to ETOPS.
(f) Details of any ETOPS program support from the airframe manufacturer, engine manufacturer, other certificate holders or any other outside person.
(g) The control procedures when maintenance or flight dispatch support is provided by an outside person as described above.
b. Process Validation Methodology.
(1) Paragraph (a) identifies those process elements that should be proven before ETOPS authority is granted by the FAA under the accelerated ETOPS approval program. For a process to be considered proven the process should first be defined. Typically, this will include a flow chart showing the various elements of the process. Roles and responsibilities of the personnel who will be managing this process should be defined including any training requirement. The certificate holder should demonstrate that the process is in place and functions as intended. The certificate holder may accomplish this by thorough documentation and analysis, or by demonstrating on an airplane, that the process works and consistently provides the intended results. The certificate holder should define the necessary evaluation duration to validate the process and also show that a feedback loop exists to illustrate need for revision of the process, if required, based on in-service experience.
Appendix 3
(2) Normally the choice to use or not to use demonstration on an airplane as a means of validating individual processes should be determined by the certificate holder. Process validation may be done with the airframe-engine combination that will be used in ETOPS. It can also be done with a different airplane type from that for which ETOPS approval is being sought, including an airplane with more than two engines, if it can be shown that the particular airplaneengine combination in the certificate holder’s ETOPS program is not necessary to validate a process. With sufficient preparation and dedication of resources, such validation may not be necessary to assure processes that produce acceptable results. However, if the plan proposed by the certificate holder to prove processes is determined by the FAA to be inadequate or the plan does not produce acceptable results, validation of the processes with an airplane will be required.
(3) If a certificate holder currently is conducting ETOPS with a different airplaneengine combination, it may be able to document that it has proven ETOPS processes in place with only minimal further validation required. If the certificate holder has similar non-ETOPS operations and can simulate or demonstrate proven ETOPS processes in such operations, credit can be given for such successful evaluations. In either case, the certificate holder should demonstrate that the means are in place to assure equivalent results with the airplane-engine combination being proposed for ETOPS operational approval. The following elements may aid in justifying a reduction in the validation requirement of ETOPS processes:
(a) Experience with other airframes and/or engines,
(b) Previous ETOPS experience,
(c) Experience with long range, overwater operations with two-, three-, or fourengine airplanes, and
(d) Experience gained by flight crewmembers and maintenance and flight dispatch personnel while working with other ETOPS-approved certificate holders.
c. Application for Accelerated ETOPS Program. The certificate holder seeking accelerated ETOPS operational approval should submit an Accelerated ETOPS operational approval plan to the FAA six months before the proposed start of ETOPS. This will provide sufficient time for the certificate holder and the FAA to validate the effectiveness of all ETOPS process elements (“proven process”). The certificate holder’s application for ETOPS should:
(1) State the ETOPS authority requested. Define proposed routes and the ETOPS diversion time necessary to support these routes and the airplane-engine combination to be flown.
(2) Define processes and related resources being allocated to initiate and sustain ETOPS operations in a manner that demonstrates commitment by management and all personnel involved in ETOPS maintenance and operational support.
(3) Provide a documented plan for compliance with requirements listed in this section for Accelerated ETOPS.
Appendix 3
(4) Define Review Gates. A review gate is a milestone- tracking plan to allow for the orderly tracking and documentation of specific provisions of this Appendix. Each review gate should be defined in terms of the process elements to be validated. Normally, the review gate process will start six months before the proposed start of ETOPS and should continue until at least six months after the start of ETOPS. The review gate process will help ensure that the proven processes comply with the provisions of this AC and are capable of continued ETOPS operations.
d. Validation of Process Elements. When the certificate holders accelerated ETOPS plan receives approval by the CHDO and final concurrence by AFS-200, a validation of the process elements of the accelerated ETOPS plan should begin. Close coordination between the certificate holder and the FAA is necessary for a successful validation of the ETOPS plan. All process elements required in paragraph (a) should be validated.
(1) Before the start of the validation of the process elements, the following information should be part of the Accelerated ETOPS plan submitted to the FAA:
(a) Validation periods, including start dates and proposed completion dates.
(b) Definition of airplane(s) to be used in the validation. List should include registration numbers, manufacturer and serial number and model of the airframes and engines.
(c) Description of the areas of operation (if relevant to validation objectives) proposed for validation and actual ETOPS.
(d) Definition of designated ETOPS validation routes. The routes should be of duration necessary to ensure process validation occurs.
(2) Process validation reporting. The certificate holder should compile results of ETOPS process validation. The certificate holder should:
(a) Document how each element of the ETOPS process was utilized during the validation.
(b) Document any shortcomings with the process elements and measures in place to correct such shortcomings.
(c) Document any changes to ETOPS processes that were required after an IFSD, unscheduled engine removals, or any other significant operational events.
(d) When there is concurrence between the certificate holder and the CHDO that a process element has been successfully proven, the review gate should be closed and confirmation documented.
(e) Provide periodic process validation reports to the FAA. This should be addressed during the review gates.
Appendix 3
(3) The certificate holder should include a final review gate prior to final ETOPS approval that is the validation flights described in Chapter 4, paragraphs 404 and 405 of this AC.
This review gate should ensure that all ETOPS processes have been proven.
(4) Any validation program should address the following:
(a) The certificate holder should show that it has considered the impact of the ETOPS validation program with regard to safety of flight operations. The certificate holder should state in its application any policy guidance to personnel involved in the ETOPS process validation program. Such guidance should clearly state that ETOPS process validation exercises should not be allowed to adversely impact the safety of operations especially during periods of abnormal, emergency, or high cockpit workload operations. It should emphasize that during periods of abnormal or emergency operation or high cockpit workload ETOPS process validation exercises may be terminated.
(b) The validation scenario(s) should be of sufficient frequency and operational exposure to validate maintenance and operational support systems not validated by other means.
(c) A means must be established to monitor and report performance with respect to accomplishment of tasks associated with ETOPS process elements. Any recommended changes to ETOPS maintenance and operational process elements should be defined.
e. Final Approval for Accelerated ETOPS Authority. At the successful completion of the certificate holder’s accelerated ETOPS validation program all process elements should have been validated and appropriate review gates closed. Report of a successful completion of review gates will be forwarded by the CHDO to AFS-200. Upon final concurrence and approval, the applicant should forward to the FAA a plan for final validation flights to be conducted over proposed routes in the ETOPS area of operation and in the airframe-engine combination listed in the certificate holder’s application. This FAA witnessed ETOPS validation flight or flights will be conducted in accordance with Chapter 4, paragraphs 404 and 405 of this AC. The purpose of these flights is for the certificate holder to demonstrate to the FAA that it has the competence and capability to safely conduct and adequately support the intended ETOPS operation.