U .S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Extended Operations (ETOPS) and Operations in the North Polar Area Date: 6/10/08 AC No: 135-42 Initiated by: AFS-220 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 135. The Federal Aviation Administration (FAA) may authorize operations 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 also provides guidance for obtaining authorization to conduct operations under part 135 in the North Polar Area. The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
ORIGINAL SIGNED by James J. Ballough Director, Flight Standards Service
CONTENTS Paragraph Page
CHAPTER 1. GENERAL1
100. Purpose1
101. Applicability1
102. Canceled ACs and Policy Letters1
103. Related Regulations (current editions)1
104. AC Feedback Form2
CHAPTER 2. E TOPS BACKGROUND3
200. ETOPS Regulatory Requirements3
201. Extended Operations (ETOPS)3
202. ETOPS Applicability to Part 135 Long-Range Operations3
203. ETOPS Areas of Operation4
204. ETOPS Risk Management and the Level of Safety5
205. ETOPS Reliability and Systems Suitability Requirements5
206. Preclude and Protect6
207. ETOPS Alternate Airport Requirements6
208. ETOPS In-Service Experience7
CHAPTER 3. RE QUIREMENTS FOR ETOPS AUTHORIZATION8
300. Airplane Requirements for ETOPS Authorization8
301. Certificate Holder Requirements for ETOPS Authorization8
302. Flightcrew Member Training Requirements for ETOPS10
303. Maintenance Requirements for Two-Engine ETOPS Authorization12
CHAPTER 4. ETO PS FLIGHT PLANNING23
400. Time-Limited Systems Requirements23
401. Flight Planning/Management Requirements23
402. ETOPS Fuel Planning Requirements25
403. ETOPS Alternate Weather Minima Requirements27
404. Landing Distance Requirements28
CHAPTER 5. AP PLICATIONS TO CONDUCT ETOPS29
500. Application Requirements for ETOPS Approval29
501. Operating Experience Requirements30
502. Validation Flight Requirements30
CHAPTER 6. F AA APPROVAL31
600. ETOPS Approval Procedures31
601. ETOPS OpSpecs31
602. Processes After Receiving ETOPS Authority31
603. Changes to Approved ETOPS Operations, Maintenance, and Training Procedures31
APPENDIX 1. DEFINITIONS (2 pages)1
APPENDIX 2. ETOPS APPLICATION CHECKLISTS ( 6 pages)1
APPENDIX 3. POLAR OPERATIONS UNDER 14 CFR PART 135 ( 3 pages)1
Par 100 Page 1 CHAPTER 1. GENERAL
100. PURPOSE.
a. This advisory circular (AC) provides certificate holders guidance for obtaining operational approval to conduct Extended Operations (ETOPS) under Title 14 of the Code of Federal Regulations (14 CFR) part 135, § 135.364. Operations under part 135 with multiengine-powered airplanes may be authorized over a route that contains a point farther than 180 minutes flying time, but no more than 240 minutes flying time, from an airport meeting the requirements of § 135.385 or § 135.393 and § 135.219 at an approved one-engine-inoperative cruise speed (see part 135 and Appendix 1 for definition of one-engine-inoperative cruise speed) under standard conditions in still air. This AC also provides guidance for obtaining authorization under § 135.98 to conduct operations in the North Polar Area.
b. 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 § 135.364. The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
c. This AC also provides information and guidance that could be useful for certificate holders conducting flights less than 180 minutes from an airport during other long-range operations.
101. APPLICABILITY. This AC provides guidance to certificate holders applying for approval to conduct ETOPS under part 135. This AC also provides guidance to certificate holders and other operators currently conducting such operations in resolving operational issues that may arise.
102. CANCELED ACs AND POLICY LETTERS. None, this is a new AC having applicability to part 135 operations.
103. RELATED REGULATIONS (current editions).
a. Appendix G to part 135, Extended Operations (ETOPS).
b. Appendix P to 14 CFR part 121, Requirements for ETOPS and Polar Operations.
c. Appendix K to 14 CFR part 25, Extended Operations (ETOPS).
d. AC 120-42, Extended Operations (ETOPS and Polar Operations).
e. Sections 135.98, 135.219, 135.321, 135.345, 135.364, 135.385, 135.387, 135.393,
135.395, and 135.411.
Par 104 Page 2
104. AC FEEDBACK FORM. For your convenience, the AC Feedback Form is the last page of this AC. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this AC on the Feedback Form.
Par 200 Page 3 CHAPTER 2. ETOPS BACKGROUND
200. ETOPS REGULATORY REQUIREMENTS.
a. All airplanes operated under part 135 are required to comply with § 135.364. This regulation imposes special requirements for multiengine airplanes to operate over a route that contains a point farther than 180 minutes flying time at an approved one-engine-inoperative cruise speed in still air from an adequate airport outside the continental United States. Special requirements are imposed for any airplane that operates a route, a portion of which enters these areas of operation. It is significant to note that this rule applies equally to airplanes operating over oceanic areas or over land.
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.
However, appendix G to part 135 allows those airplanes manufactured prior to February 16, 2015, to be grandfathered from the ETOPS type certification requirements. In addition, the certificate holder must be approved for ETOPS under part 135. As with all other operations, a certificate holder requesting any route approval must 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.
201. EXTENDED OPERATIONS (ETOPS). Since 1985, the acronym, ETOPS, has been defined as “extended twin operations” and has been limited to part 121 airplanes with only two engines. Current regulations have extended these applications to airplanes operating in both 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 operations of all airplanes operating today and the common issues that impact such operations. Even though for continuity with current two-engine operations the existing acronym ETOPS is retained, the ETOPS acronym has been redefined. The concept has been expanded to include all passenger carrying airplane operations in part 135 planned 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).
202. ETOPS APPLICABILITY TO PART 135 LONG-RANGE OPERATIONS.
a. The Federal Aviation Administration (FAA) and industry analysis of the accidents and incidents involving longer range operations conducted in accordance with (IAW) part 135 indicate that they have been conducted for many years with a high degree of safety without regulatory limitations on range. Before February 15, 2007, no additional regulations had been promulgated. In recent years, several manufacturers have produced new airplanes with range capabilities that could take them well beyond 180 minutes from an airport. As a result these airplane operations are now compatible with those long-range operations typically associated with large three- and four-engine part 121 airplanes. Because of their smaller maximum payload and seating capacity, despite their range capabilities, these airplanes are authorized to operate IAW part 135.
Par 202 Page 4
b. Those geographic areas not within 180-minutes of an airport tend to be remote areas of the world that are uniquely challenging for all certificate holders and airplanes, regardless of the number of engines. Some of these issues are extremes in terrain and meteorology and limited navigation and communications infrastructure. The margin of safety is increased when adequate consideration is made for a possible diversion and subsequent recovery in such areas. These considerations include additional crewmember and maintenance technician training, assurance that certain airplane equipment and systems are installed and functioning before takeoff, more thorough flight planning, and additional fuel reserves. The development and application of ETOPS requirements is intended to address all these issues.
c. ETOPS requirements are intended to address all these issues, while also bringing FAA regulations into compliance with the International Civil Aviation Organization (ICAO) Standards and Recommended Practices (SARP).
NOTE: The ICAO Standards and Recommended Practices, Annex 6, Operation of Aircraft, Part I, International Commercial Air Transport – Aeroplanes, states that unless the operation has been specifically approved by the state of the certificate holder, no twin-engine aeroplane shall be operated on a route where the flight time at single engine cruise speed to an adequate airport exceeds a threshold time established for such operations.
The United States is a signatory to ICAO.
203. ETOPS AREAS OF OPERATION.
a. An ETOPS area of operation is an area within the authorized ETOPS maximum diversion time approved for the operations being conducted. For multiengine airplanes operating under part 135 it is described as an area beyond 180 minutes from an adequate airport, planned to be no more than 240 minutes from an adequate airport, in still air at normal cruise speed with one engine inoperative. 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 Administrator for approval to operate in an ETOPS area using the methodologies in this AC and will be granted ETOPS authority for a specific ETOPS area of operations in their operations specifications (OpSpecs).
b. 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. The area bounded by distance circles from adequate airports representing the approved one-engine-inoperative cruise speed under standard conditions in still air chosen by the applicant is normally used during the route planning stage to determine an ETOPS area of operation. During this initial route planning stage, an operator first undertakes a determination if the ETOPS requirements apply to the planned operation. Using a value of the airplanes one-engine-inoperative cruise speed selected by the certificate holder (see Appendix 1, paragraph 12 of this AC) from a range of speeds approved by the FAA that is within the certificated operating limits of the airplane, the operator determines 180-minute distance circles from adequate airports in the area of the proposed routing. If the proposed routes remain within this area, the operation is not defined as ETOPS and is not subject to the requirements of
Par 203 Page 5 appendix G of part 135 and this guidance. As long as the adequate airports used in this process remained viable, this determination applies to any subsequent flight planning in this area bounded by these distance circles regardless of the actual conditions encountered on any particular flight. However, once a certificate holder determines from their route planning that the ETOPS requirements apply, all subsequent flight planning in the ETOPS area of operation must account for the effects of wind and temperature on the calculated distances from each ETOPS alternate airport. The time-limited capabilities of certain airplane systems must be able to support these varying distances to maintain dispatch reliability. It is therefore incumbent on a certificate holder who applies for ETOPS approvals to have time limited system capabilities that can satisfy the regulations under expected meteorological conditions over planned routes or have airports of sufficient availability to support the maximum ETOPS type design capability of the airplane-engine combination in their application.
204. ETOPS RISK MANAGEMENT AND THE LEVEL OF SAFETY.
a. Current service experience for the newest generation of engines developed for airplanes typically operated over long distances IAW part 135 indicate that engine reliability may not be the most significant issue relative to the safety of ETOPS or any long-range flight. As propulsion systems have achieved ever-increasing levels of reliability, other systems and operational issues have increased in their relevance to the overall level of safety of the flight.
b. The number of airplanes and operations conducting ETOPS under part 135 is forecast to remain relatively small for the foreseeable future. This greatly reduces the usefulness and reliability of safety trend analysis based on fleet averages of specific airframe/engine combinations. Accordingly, the means of ensuring an adequate level of safety for ETOPS is to require that certificate holders and manufacturers of airplanes conducting ETOPS evaluate each reported malfunction, incident, or accident pertaining to an airframe, powerplant system, or other critical component on an airplane that is relevant to the conduct of ETOPS. Subsequent to this evaluation, corrective action may be required on the part of the certificate holder or manufacturer before ETOPS operations continue.
205. ETOPS RELIABILITY AND SYSTEMS SUITABILITY REQUIREMENTS.
a. The safety of long-range operations (ETOPS) depends on the reliability of all critical airplane systems, including the propulsion systems. Therefore, a comprehensive program to monitor the reliability of flight-critical systems is essential. The type design requirements of ETOPS certification consider the probability of any condition that reduces the capability of the airplane or the ability of the flightcrew member to cope with an adverse operating condition.
System failures or malfunctions occurring during ETOPS could affect flightcrew member workload and procedures. Although the demands on the flightcrew member may increase, a manufacturer applying for ETOPS type design approval must consider crew workload, operational implications, and the crew’s and passengers’ physiological needs during continued operation with failure effects for the longest diversion time for which it seeks approval. The manufacturer must also conduct flight tests to validate the adequacy of the airplane’s flying qualities and performance, and the flightcrew’s ability to safely conduct an ETOPS diversion with expected system failures and malfunctions. An ETOPS operator should carefully consider the possible adverse effects that changes in airplane equipment or operating procedures may
Par 205 Page 6 have on the original evaluations conducted when the airplane was approved for ETOPS before implementing such changes.
b. Following a determination that the airframe systems and propulsion systems are ETOPS type design approved as per 14 CFR part 25, an indepth review of the applicant’s required ETOPS programs will be accomplished to show the ability to achieve and maintain an acceptable level of systems reliability and to safely conduct these operations.
206. PRECLUDE AND PROTECT.
a. ETOPS is intended to preclude a diversion and, if it were to occur, have programs in place that protect that diversion. Under this concept, propulsion systems and other airplane systems are designed and tested to ensure an acceptable level of reliability. Maintenance practices monitor the condition of engines so as to identify problems before they cause diversions, and take aggressive steps to identify and resolve airplane systems and engine problems once they are identified. All are intended to minimize the potential for procedural and human errors, thereby precluding a diversion.
b. However, despite the best design/testing and maintenance practices for airplanes, situations may occur that require an airplane to divert. Regardless of whether the diversion is for technical (airplane or engine systems) or non-technical reasons (crewmember or passenger illness), there must be a flight operations plan to protect that diversion, ensuring that it is successful. Such a plan may include ensuring that pilots are knowledgeable about the availability of en route alternate airport alternates, weather conditions at those alternates, adequate ability to communicate with appropriate flight following services and air traffic control (ATC), sufficient fuel to divert to the alternate, etc.
c. Under the preclude and protect concept, various failure scenarios are considered. For example, during the design of the airplane, time limited systems such as oxygen capability must be considered. Fuel planning must account for an engine failure, the possibility of a decompression, and subsequent descent to a lower altitude. It must also include considerations for encountering en route icing at the lower altitude. The best options under any of these scenarios should be provided to the pilot before and during the flight.
d. Airplanes divert from time to time for various reasons, most of which are not related to failure of a powerplant. Airplanes with more than two engines also operate in areas where there are a limited number of en route airports, the support infrastructure is marginal, or there are challenging weather conditions. All ETOPS flights, therefore, regardless of the number of engines on the airplane, must adopt the same preclude and protect concept. If operations with airplanes with more than two engines are contemplated in areas where en route airports are farther than 180 minutes flight time, these operations also are required to meet the standards defined under ETOPS. This ensures that sufficient efforts are made to preclude a diversion and, if a diversion does occur, procedures are in place to protect that diversion.
207. ETOPS ALTERNATE AIRPORT REQUIREMENTS.
a. One of the distinguishing features of ETOPS operations is the concept of an en route alternate airport being available where an airplane can divert after a single failure or combination
Par 207 Page 7 of failures. Whereas most airplanes operate in an environment where there is a choice of diversion airports available within close proximity to the route of flight, an airplane conducting ETOPS may have only one alternate within a range dictated by the endurance of a particular airframe system. Therefore, it is important that any airport designated as an ETOPS alternate airport has the capabilities and facilities to safely support the airplane and its passengers and crewmember for the diversion. The weather conditions at the time of arrival (TOA) should provide assurance that adequate visual references are available upon arrival at decision height (DH) or minimum descent altitude (MDA), and the surface wind conditions and corresponding runway surface conditions must be within acceptable limits to permit the approach and landing to be safely completed with an engine and/or systems inoperative.
b. When the airplane departs on a route planned for ETOPS, an en route alternate must meet alternate weather requirements specified in the certificate holder’s OpSpec. Because of the natural variability of weather conditions with time, as well as the need to determine the suitability of a particular en route alternate before departure, such requirements are higher than the weather minimums required to initiate an instrument approach. This is necessary to provide for some deterioration in weather conditions after planning, prior to the time that the instrument approach will be conducted. This increases the probability, considering weather conditions, that the flight will land safely after a diversion to an alternate airport.
c. While en route, the forecast weather for designated ETOPS alternate airports is expected to remain at or above operating minima. This allows the pilot in command (PIC) of an ETOPS flight to successfully resolve diversion decisions. While in-flight, the suitability of an ETOPS alternate airport is based solely on a determination that the weather and field conditions at that airport at the predicted TOA will permit an instrument approach to be initiated and a safe landing completed.
208. ETOPS IN-SERVICE EXPERIENCE.
a. Safety is enhanced when, before conducting ETOPS, a certificate holder gains operational experience in the type of airplane capable of ETOPS, and with the operational environment typically encountered on longer range flights in areas where airports available for an en route diversion are limited. Typically, this involves prior operational experience on overwater flights to international areas of operation IAW part 135. However, it is recognized that once a certificate holder is authorized to conduct ETOPS with one type of airplane, the procedures and systems are in place to support additional airplane types. Therefore, when a certificate holder currently authorized to conduct ETOPS adds additional ETOPS capable airplane types, the 12 months experience requirements under appendix G, part 135, § G135.2.2.
Required certificate holder experience prior to conducting ETOPS, will not apply.
b. A firm commitment by the certificate holder to establish adequate ETOPS procedures before the start of actual operations, and continued commitment throughout the life of the program to continually review these procedures, is a significant factor in safe and reliable ETOPS.
Par 300 Page 8 CHAPTER 3. REQUIREMENTS FOR ETOPS AUTHORIZATION Section 135.364 permits operation of passenger-carrying airplanes over a route that contains a point farther than 180 minutes flying time from an airport in still air at normal cruising speed with one engine inoperative when approved by the Administrator. Certificate holders seeking approval for ETOPS must incorporate ETOPS requirements into their approved operations, and if required, maintenance programs. ETOPS must be authorized in the certificate holder’s OpSpecs and conducted in compliance with those sections of part 135 applicable to ETOPS, including appendix G.
Two independent transmitters and two independent receivers, appropriate to the planned route, are required for ETOPS flights. At least one of each must be capable of voice communication. If operating in areas where voice communication is not possible or of poor quality, alternate systems such as data link may be used.
300. AIRPLANE REQUIREMENTS FOR ETOPS AUTHORIZATION.
a. Airplanes Manufactured after February 15, 2015. No person may operate a passenger-carrying multiengine airplane that was manufactured after February 15, 2015 IAW ETOPS unless the airplane is certificated for ETOPS under 14 CFR part 25, § 25.1535.
b. Airplanes Manufactured on or Before February 15, 2015. Passenger-carrying, multiengine airplanes manufactured on or before February 15, 2015 do not need to be type designed for ETOPS IAW § 25.1535. However, the airplane should be acceptable to the Administrator.
301. CERTIFICATE HOLDER REQUIREMENTS FOR ETOPS AUTHORIZATION.
a. Operational Experience.
(1) As international operating experience typically involves long-range flights, before applying for authorization to conduct ETOPS a certificate holder must have at least 12 months experience operating a transport category multiengine airplane in international operations (excluding Canada and Mexico). Operations to or from the State of Hawaii may be considered as experience in international operations.
(2) Certificate holders granted authority to operate under part 135 or part 121 before February 15, 2007, may credit up to 6 months of domestic operating experience (including Canada and Mexico) in a transport category airplane as part of the required 12 months of international experience.
(3) Operating experience gained by a certificate holder in operating any type of equipment in ETOPS may be credited towards the operating experience requirements.
b. Oversight Activities.
(1) Certificate holders should ensure that:
Par 301 Page 9
(a) All appropriate management personnel are aware of the unique and demanding nature of ETOPS.
(b) Airplanes involved in ETOPS receive the highest feasible level of flight-following services.
(2) Certificate holders should:
(a) Ensure that airplanes flown IAW ETOPS are maintained and equipped according to recommended ETOPS standards and practices.
(b) Ensure that flightcrew and maintenance personnel involved in ETOPS are properly trained and qualified in all aspects of ETOPS per the certificate holders approved programs.
(c) Develop a minimum equipment list (MEL) that reflects the unique aspects of ETOPS for each type of airplane operating IAW ETOPS.
(d) In addition to the information required in § 135.83, certificate holders must ensure flightcrew members, for preflight and during flight, have access to the most current information available about possible ETOPS alternates, destination and destination alternate airports to include:
1. Airports.
• Facilities (for example, snow removal, fuel availability, aircraft rescue, and firefighting capability)
• Navigation and communications aids,
• Construction affecting takeoff, landing, or ground operations, and
• Air traffic facilities.
2. Runways, clearways, and stopways.
• Dimensions,
• Surface,
• Marking and lighting systems, and
• Elevation gradient.
3. Displaced thresholds.
• Location,
• Dimensions, and
• Take off, landing or both.
Par 302 Page 10
302. FLIGHTCREW MEMBER TRAINING REQUIREMENTS FOR ETOPS. The certificate holder’s flightcrew member training program must provide ETOPS training for flightcrew member IAW its approved program for ETOPS. The training should include, but is not limited to, the following areas:
a. ETOPS regulations and advisory materials.
b. Review of representative routes and airports within an ETOPS area of operation.
c. Procedures for determining the ETOPS Entry Point (EEP) and maximum diversion distance allowed under ETOPS.
d. Procedures for determining, before entry into an ETOPS area of operation, that critical systems and components are operating within normal parameters. Critical Systems and components that may affect the decision to enter into the ETOPS area of operation include, but are not limited to the following:
(1) Engines and powerplants.
(2) Pressurization.
(a) Dual sources of pressurization.
(b) Automatic pressurization mode.
(3) A sufficient supply of oxygen for the planned flight, and the impact oxygen endurance may have on fuel requirements.
(4) Auto flight system, including:
(a) Altitude hold.
(b) Heading hold.
(5) Electrical systems.
e. Airplane performance, including engine-out performance data, driftdown, engine-out service ceiling data, and engine-out instrument approach procedures (IAP).
f. Flight preparation, planning, and preflight, including:
(1) ETOPS alternate airport requirements.
(2) Conduct a crewmember briefing for each ETOPS leg.
(3) Inflight procedures for updating weather forecasts and other reports of airport conditions.
(4) Fuel/oil requirements at departure, including calculation of reserves required for: