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Transcript of AWM Seminar Dubai
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ICAO Doc 9760 (Airworthiness Manual)3rd Edition
Sebastian WongAirworthiness / OPS
Air Navigation Bureau
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Introductions and administrativearrangements Introductions
Working arrangementsbuilding & facilitiescell phones
questionsprogramme
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Introduction - Programme
Day 1
9.00 9.30 Seminar arrangements / Introductions9.30 10.15 Doc 9760 Part I Definitions and Abbreviations10.15 10.30 Break10.30 12.00 Doc 9760 Part II Airworthiness Organizational Structure and State responsibilities12.00 12.15 Break 12.15 13.00 Doc 9760 Part III State of Registry13.00 13.30 Break13.30 - 14.30 Doc 9760 Part III State of Registry
Day 2
9.00 10.30 Doc 9760 Part IV State of the Operator10.30 10.45 Break 10.45 13.00 Doc 9760 Part IV State of the Operator13.00 13.30 Break 13.30 14.30 Doc 9760 Part IV State of the Operator
Day 3
09.30 10.30 Doc 9760 Part V State od Design and Manufacture10.30 10.45 Break 10.45 - 1200 Quiz/Closing
12.00 13.00 Discussion
Seminar on ICAO Airworthiness Manual
3rd Edition (DOC 9760)Dubai 29 April to 1 May 2013
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This module.
Objectives of the seminars ICAO Structure Discussion airworthiness vs continuing
airworthiness Purpose of Doc 9760 Background of changes to Doc 9760 Contents of Doc 9760
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Introduction
Purpose of the seminarsTo familiarize users with the 3 rd edition of Doc 9760(Airworthiness Manual)
Provide an introduction to the contents of theManualSupport States in their development of regulations,processes and procedures.
Seek comments to improve the contents of theManual
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Introduction - ICAO Structure
Assembly(191 Contracting States)
Secretariat
Committee on JointSupport of Air
Navigation Services
Council
(36 Members)
Panels Meetings
Air TransportCommittee
Finance CommitteeAir NavigationCommission
(19 Members)
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Introduction Secretariat Structure
Secretary General
Legal Affairs andExternal Affairs
Bureau (LEB)
Air TransportBureau(ATB)
Air NavigationBureau(ANB)
Technical Co-operation Bureau
(TCB)
Bureau ofAdministration and
Services (ADB)
Bangkok
Cairo
Dakar
Lima
Mexico
Nairobi
Paris
Safety Standardization andInfrastructure
Safety Management andMonitoring
Flight Operations
Air Transport Management
Aerodromes
Integrated Infrastructure Management
Accident Investigation
Meteorology
Aviation Medicine
Dangerous Goods
Aviation Safety Training
Continuous Monitoring and Oversight
Integrated Safety Management
Implementation Support and Development
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Introduction Flight Operations structure
Mr Mitchell FoxChief, Flight Operations Section
Miguel MarinTechnical Officer
Operations
Henry DefalqueTechnical Officer
Operations / PEL
Nicole Barrette -Sabourin
Training Officer
Training
Michelle MillarTechnical Officer
Operations / Human
Factors
Alain CoutuTechnical Officer
Airworthiness
Annex 1 Personnel LicensingAnnex 6 Operation of Aircraft
Annex 7 Aircraft Nationality and Registration MarksAnnex 8 Airworthiness of Aircraft
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ICAO Documentation structure
Convention and Articles
Annexes (18+1)(Standards and Recommended
Practices, SARPS)
Guidance Circulars
Appendices
Attachments
Procedures for AirNavigation Services
(PANS)
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Objectives of the seminar
At the end of this seminar the participant would beable to identify, with reference to the ICAO Doc9760:
the structure of an Airworthiness Organizationand its airworthiness responsibilities
the roles and responsibilities of the State ofRegistry, State of the Operator and State ofDesign and Manufacture.
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Discussion
What is Airworthiness / Airworthy?
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Discussion
Airworthiness is themeasure of an
aircraft's suitability
for safe flightWikipedia
Airworthy - The status of anaircraft, engine, propeller or partwhen it conforms to its approveddesign and is a condition for
safe operation
Annex 8
To be airworthy :
(1) The aircraft must conform to its TypeCertificate (TC).
(2) The aircraft must be in a condition forsafe operation.
FAA
Airworthy is defined as when an aircraft, including its
component parts, meets its type design or properlyaltered condition and it is in a condition for safeoperation
CASA
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Discussion
http://www.google.com.sg/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&docid=fsqns_K8ZpZMUM&tbnid=6CQe-ZJMeN4dTM:&ved=0CAUQjRw&url=http://thewildones.faketrix.com/picture-137-plane-crashes-into-bird-heavy-damage-to-aircraft-nose.htm&ei=mtpQUY2hC6jo0gHYwIAY&psig=AFQjCNEJTKdrgD3nQxpwB-gf_kDYZPD4JQ&ust=1364339698278570http://www.google.com.sg/url?sa=i&source=images&cd=&cad=rja&docid=MB-Cke56zEqRvM&tbnid=2aXlctodUp61VM:&ved=0CAgQjRwwAA&url=http://www.freerepublic.com/focus/f-news/2042788/posts&ei=8thQUbrZGoTD0gHTuoCQBQ&psig=AFQjCNF2kjZLgaW7tefrWtQpHc9ovwF9Dw&ust=1364339314506316 -
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Discussion
What is continuing airworthiness?
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Discussion
Continuing airworthiness
Annex 8
The set of processes by which an aircraft, engine, propeller or part complies with the applicable
airworthiness requirements and remains in acondition for safe operation throughout itsoperating life
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Incidents reported by States(from ECCAIRS 2005 to 2010)
System / Component
failure or malfunction(non-powerplant) = 628of 5093 incidents
Component failure (total) = 1105of 5093 incidents; which is 22%of total incidents
System / Component failureor malfunction (powerplant)= 477 of 5093 incidents
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Purpose of Doc 9760
Outlines the duties and responsibilities ofStates to meet the provisions of Annex 8 andAnnex 6 with regards to the airworthiness and
continuing airworthiness of aircraftProvides guidance and support for States tomeet their airworthiness safety oversight
functions as described in Doc 9734 Part A(Safety Oversight Manual)
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Purpose of Doc 9760
Annex 8 (Foreword)Use of the guidance material in the Airworthiness Manual (Doc9760) .Contracting States are invited to note that the material in the
Airworthiness Manual is intended to guide them in thedevelopment of their detailed and comprehensive nationalcodes with a view to introducing uniformity in those nationalcodes. The material has no mandatory status and Contracting
States are quite free to differ from it either in detail or inmethods.
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Purpose of Doc 9760
ICAO has identified the following critical elements (CE) of a Statessafety oversight system:
CE 1: Primary LegislationCE 2: Specific Operating Regulations
CE 3: State Civil Aviation System and Safety Oversight FunctionsCE 4: Technical Personnel Qualification and TrainingCE 5: Technical guidance, tools and the provision of safety-critical
informationCE 6: Licensing, certification, authorization and approval obligationsCE 7: Surveillance obligationsCE 8: Resolution of safety concerns
(Doc 9734 Part A - Safety Oversight Manual)
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Purpose of Doc 9760
CE-2. Specific operating regulations: The provision of adequate regulations to address, at a
minimum, national requirements emanating from the primaryaviation legislation and providing for standardized operational
procedures, equipment and infrastructures (including safetymanagement and training systems), in conformance with theStandards and Recommended Practices (SARPs) contained inthe Annexes to the Convention on International Civil Aviation.
Note. The term regulations is used in a generic sense to include but is notlimited to instructions, rules, edicts, directives, sets of laws, requirements, policies, and orders.(Doc 9734 Part A- Safety Oversight Manual)
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Purpose of Doc 9760
CE 5. Technical guidance, tools and the provision of safety-critical information : States should provide technical guidance (including
processes and procedures), tools (including facilitiesand equipment) and safety-critical information, asapplicable, to its technical personnel to enable themto perform their safety oversight functions.
In addition, this includes the provision of technicalguidance to the aviation industry on theimplementation of applicable regulations andinstructions.
(Doc 9734 Part A- Safety Oversight Manual)
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Background - References
Advance 2nd
edition of Doc 9760 (unedited) Annex 8 (Airworthiness of Aircraft) Annex 6 (Operations of Aircraft) Annex 7 (Aircraft Nationality and Registration Marks) Annex 1 (Personnel Licensing) Annex 16 (Environmental Protection) Doc 9734 (Safety Oversight Manual) Doc 9735 (USOAP Audit Programme Continuous Monitoring) Doc 8335 (Manual of Procedures for Operations Inspection,
Certification and Continued Surveillance) Doc 9626 (Manual on the Regulation of International Air
Transport) Doc 9859 (Safety Management Manual)
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Background
1st Edition was published in 2001, replacing: Doc 9642 (Continuing Airworthiness Manual) Doc 9051 (Airworthiness Technical Manual) Doc 9389 (Manual of Procedures for an Airworthiness
Organization) Published in 2 Volumes
Advance 2 nd Edition (unedited) included: Consequential changes as a result to amendments to Annex 8 A new chapter on Production Combined both Volumes into one Manual(The Advance 2 nd Edition (unedited) of Doc 9760 was placed on ICAO-Net in 2008)(Not published nor available in ICAO publication catalog)
Forward Doc 9760
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Background
3rd Edition Completely re-structured Re-organized and presented by responsibililities i.e. State
of Registry, State of the Operator and State of Manufacture
and Design. Several Chapters were revised Information is largely from previous editions of Doc 9760,
with changes carried out by the ICAO Airworthiness Panel(AIRP) and updated by the Secretariat.
Due to the extent of the revision, changes could not betracked. It also required the creation of a third edition.
(3rd edition of Doc 9760 will be available on ICAO-NET)
Forward Doc 9760
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Contents of Doc 9760 (3rd Edition)
Presented in 5 Parts:Part I ( Definitions and Abbreviations)
Part II ( Airworthiness Organization Structure and
Responsibilities of State)Part III ( State of Registry)
Part IV ( State of the Operator)Part V ( State of Design and Manufacture)
(Additional guidance on the contents of forms and theprocessing of applications)
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Contents of Doc 9760 (3rd Edition)
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Roles and Responsibilities
Certificate of Registration (C of R) Certificate of Airworthiness (C of A) Noise certificate Export C of A Special flight permit Major repairs and modifications approval Maintenance programme approval Approval of maintenance organization Continuing airworthiness of aircraft
State of Registry
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Roles and Responsibilities
Air Operator Certificate (Airworthiness Aspects)
Operations Specifications MEL Continuing airworthiness of aircraft
State of the Operator
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Roles and Responsibilities
Type certification
Production approval / certification Continuing airworthiness of aircraft
State of Design and Manufacture
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Summary
Objectives of the seminarsDiscussed airworthiness vs continuingairworthiness
Purpose of Doc 9760Background on changes to Doc 9760Contents of Doc 9760
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Contents of Part I
Part I. Definitions and abbreviations
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This module - Part I
Commonly used definitions New definitions List of abbreviations
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Part I Definitions and Abbreviations
Specific definitions in the Annexes are re-produced.Additional definitions used are specific to Doc 9760.
Lets review a few of these..
Aeroplane A power-driven heavier-than-air aircraft, deriving itslift in flight chiefly from aerodynamic reactions on surfaces whichremain fixed under given conditions of flight.
Aircraft Any machine that can derive support in theatmosphere from the reactions of the air other than the reactions ofthe air against the earths surface.
Part I, Definitions
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Part I Definitions and Abbreviations
Extended diversion time operation (EDTO) . Any operation by anaeroplane with two or more turbine engines where the diversion timeto an en-route alternate aerodrome is greater than the threshold timeestablished by the State of the Operator.
EDTO significant system . An aeroplane system whose failure ordegradation could adversely affect the safety particular to an EDTOflight, or whose continued functioning is specifically important to thesafe flight and landing of an aeroplane during an EDTO diversion.
Part I, Definitions
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Part I Definitions and Abbreviations
Appropriate airworthiness requirements The comprehensivean detailed airworthiness codes established, adopted or accepted by aContracting State for the class of aircraft, engine or propeller underconsideration.
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Part I Definitions and Abbreviations
Instructions for continuing airworthiness . A set of descriptivedata, maintenance planning and accomplishment instructions,developed by a design approval holder in accordance with thecertification basis for the product. The ICAs provide operators with thenecessary information to develop their own maintenance programme
and also for approved maintenance organisations to establish theaccomplishment instructions.
Life-limited part . Any part of which a mandatory replacement
limit (in hours, cycles or calendar time) is specified in the type design,the mandatory continuing airworthiness information or instructionsfor continuing airworthiness. These parts must be permanentlyremoved from service on or before this limit is reached.
Part I, Definitions
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Part I Definitions and Abbreviations
Maintenance programme . A document which describes thespecific scheduled maintenance tasks and their frequency ofcompletion and related procedures, such as a reliability programme,necessary for the safe operation of those aircraft to which it applies.
Mandatory Continuing Airworthiness Information . Themandatory requirements for the modification, replacement of parts, orinspection of aircraft and amendment of operating limitations andprocedures for the safe operation of the aircraft. Among such
information is that issued by Contracting States in the form ofairworthiness directives.
Part I, Definitions
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Part I Definitions and Abbreviations
MCAI Mandatory continuing airworthiness informationAMO Approved maintenance organizationMTOM Maximum take-off mass
Abbreviations When the following abbreviations and acronyms are used in this manual, they have the meanings shown.
AD Airworthiness directiveAED Airworthiness engineering divisionAFM Aircraft flight manualAID Airworthiness inspection divisionALI Airworthiness limitation itemsAMO Approved maintenance organization
AOC Air operator certificateAPU Auxiliary power unitCAA Civil aviation authorityC of A Certificate of airworthinessC of R Certificate of registrationCDL Configuration deviation listCG Centre of gravityCMR Certification maintenance requirementsDGCA Director General of Civil Aviation
Part I, Abbreviations
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Summary
Reviewed some definitionsDiscussed new definitionsAbbreviations can be found after definitions
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Contents of Part II
Part II. Airworthiness organizational structureand State responsibilities
Chapter 1: States airworthiness responsibilities Chapter 2: Primary aviation legislationChapter 3: State regulatory system
Chapter 4: Airworthiness organization
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This module Part II
Setup of a typical Airworthiness Organization Some key responsibilities of an Airworthiness
Organization Roles of the Airworthiness Engineering
Division (AED) and Airworthiness InspectionDivision (AID).
Training requirements and qualifications fortechnical personnel
Airworthiness technical library and records
P t II Ai thi O g i ti
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Part II Airworthiness OrganizationStructure and Responsibilities
State Government
Personnel Licensing Aircraft Operations
Aircraft Maintenance
Licensing
Airworthiness
Engineering
Airworthiness
Inspection
Industry and Service Providers
Airworthiness
Civil Aviation Authority
Flight Safety StandardsAerodromes Air NavigationServices Legal
Accident
Investigation
Administration
Part II, 4.8
P t II Ai thi O g i ti
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Part II Airworthiness OrganizationStructure and Responsibilities
Key responsibilities include:Develop or adopt regulations to meet itsobligations to the Convention on Civil Aviation
Discharging of State responsibilities to:Meet the provisions of Annex 6 and 8 with regards to theairworthiness of aircraftMeet the provisions of Annex 6 and 8 with regards to thecontinuing airworthiness of aircraft
Part II, 1.2; 1.3; 1.4
P t II Ai thi O i ti St t
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Part II Airworthiness Organization Structureand Responsibilities
Develop and implement periodic surveillanceprogrammes based on the complexity of itsaviation industry.
Conduct both periodic and unannounced surveillance ofindustry activities
Evaluate accidents, incidents and service difficulty reportsTake any timely enforcement action when necessary
Part II Airworthiness Organization
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Part II Airworthiness OrganizationStructure and Responsibilities of States
Airworthiness Engineering Division (AED)Approve design organizations
Issue / validate / accept type certificates
Support type certification activitiesApprove production organizations
Issue production certificatesApprove modifications and repairs
Support the AID when requiredEnsure continuing airworthiness of aircraft
Part II, 4.6
Part II Airworthiness Organization
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Part II Airworthiness OrganizationStructure and Responsibilities of States
Airworthiness Inspection Division (AID)Approve maintenance organizations
Oversight of the maintenance and airworthiness aspects of airoperators
Registration of aircraft; maintains a Register of aircraftIssue or validate and renew Certificate of Airworthiness
Approve maintenance programme
Issue special flight approvalIssue Export C of A, if required
Support AED, when requiredLicensing tasks, where applicable
Part II, 4.7
Part II Airworthiness Organization
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Part II Airworthiness OrganizationStructure and Responsibilities of States
Staff and inspector qualifications and experience
AED technical staff
Knowledge and experience with design, manufacture and airworthinesscertificationKnowledge and skill to audit design and manufacturing organizationBe able to apply design and manufacture standards relating toairworthiness certification to ensure the prototype or modified aircraft /parts meet airworthiness requirementsBe able to make airworthiness determination for the issue of initial C of AHave good writing and interpersonal skills
Part II, 4.5.2
Part II Airworthiness Organization
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Part II Airworthiness OrganizationStructure and Responsibilities of States
Staff / inspector qualifications and experience
AID InspectorKnowledge and experience related to aircraft continuing airworthinessmanagementExperience in the performance of maintenance , repair and modificationof aircraft, engines and aircraft systems or componentsHold an aircraft maintenance licenceKnowledge and skill to audit air operator and AMO
Have good writing and interpersonal skills
Part II, 4.5.3
Part II Airworthiness Organization
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Part II Airworthiness OrganizationStructure and Responsibilities of States
Training requirements for CAA technical staff
Initial training OJT Recurrent training
Airworthiness technical library and records
Reference material available for technical personnelCorrespondence system on airworthiness mattersTypes of records to be kept
Part II, 4.5.5, 4.5.6; 4.9
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Summary
Brief description of the content of Part IIDiscussed a typical Airworthiness Organizationsetup.
Look at some key responsibilities of anAirworthiness Organization.AED responsibilities and staff
AID responsibilities and inspectorsQualifications / TrainingAirworthiness technical library and records
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Content of Part III
Part III. State of RegistryChapter 1: State airworthiness legislation system and organizational
structureChapter 2: Registration of aircraft
Chapter 3: Aircraft noise certificationChapter 4: Certificate of airworthinessChapter 5: Approval for special flightsChapter 6: Airworthiness approval for export
Chapter 7: Aircraft maintenanceChapter 8: Aircraft maintenance modifications and repairsChapter 9: Continuing airworthiness of aircraftChapter 10: Approval of the maintenance organization
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This module Part III
Key responsibilities of the State of Registry Information required in a aircraft register Maintenance programme
Continuing airworthiness responsibilities of the Stateof Registry Issuing a Certificate of Airworthiness Approving a maintenance organization Exercises on the process to issue a C of A and the
evaluation of facilities as part of the process forapproving a maintenance organization
Part III State of Registry
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Part III State of RegistryRoles and responsibilities
Article 12 of the Convention
Each contracting State undertakes to adopt measures toinsure that every aircraft flying over and maneuvering
within its territory and that every aircraft carrying itsnationality mark, wherever such aircraft may be, shallcomply with the rules and regulations relating to the
flight and maneuver of aircraft there in force. Each
contracting State undertakes to keep its own regulationsin these respects uniform, to the greatest extent, withthose established from time to time under thisConvention.
Part III State of Registry
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Part III State of RegistryRoles and responsibilities
State of Registry responsibilities Develops and promulgates regulations:
Registration of aircraft
Airworthiness and continuing airworthiness ofaircraftNoise certification
Issuance,validation or acceptance of type certificates
Part III, 1.2
Part III State of Registry
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Part III State of RegistryRoles and responsibilities
Issues certificates and permits:Certificate of Registration
Certificate of Airworthiness
Noise certificateSpecial flight permitExport Certificate of Airworthiness
Part III, 1.2
Part III State of Registry
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Part III State of RegistryRoles and responsibilities
ApprovesModification and repairMaintenance OrganizationsMaintenance programme
Ensures the continuing airworthiness of aircraft
Conducts surveillance and take appropriateenforcement action, when required.
Part III, 1.2
Part III State of Registry
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Part III State of RegistryRoles and responsibilities
Aircraft RegisterAnnex 7, Chapter 6Each Contracting State or common mark registering authority shall maintaina current register showing for each aircraft registered by the State or common
mark registering authority, the information recorded in the certificate ofregistration
This would include:Nationality or common mark and registration markManufacture and manufactures designation of aircraft Aircraft serial numberName and address of ownerDate of issue
Part III, 2.4
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Part III State of Registry
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Part III State of RegistryRoles and responsibilities
Maintenance ProgrammeAn approved maintenance programme is required foreach aircraft type. The information in a maintenanceprogramme should contain at least the following:
Maintenance tasks and the intervals at which these are to be performedWhen applicable, a continuing structural integrity programmeProcedures for changing and deviating from the aboveWhen applicable, conditioning monitoring and reliability programme
descriptions of aircraft systems, components and engines.Maintenance tasks and that have been specified as mandatory in the approvalof the type design should be identified as such in the maintenance programme.
Part III, 7.3,7.5,7.4
Part III State of Registry
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Part III State of RegistryContinuing Airworthiness
a. Ensure that it informs the State of Design when it firstenters on its register an aircraft of a particular type
b. Determine the continuing airworthiness of an aircraftin relation to the appropriate airworthinessrequirements
c. Develop or adopt requirements to ensure thecontinuing airworthiness of aircraft during its servicelife including requirements that the aircraft: Continues to comply with the appropriateairworthiness requirements after a modification,repair or installation of a replacement part. Is maintained in an airworthy condition and incompliance with maintenance requirements of Annex6.
d. Upon receipt of MCAI from State of Design adoptdirectly or assess the information received and takeappropriate action.
e. Ensure the transmission to the State of Design all MCAIissued by the State of Registry in respect of a product ormodification originated from that aircraft.
f. Ensure there exist a system whereby information onfaults, malfunctions, defects and other occurrences thatmight cause adverse effects on continuing airworthinessis transmitted to the type design organization. If this is amodification, then the organization responsible for thedesign modification should be informed.
g. Each Contracting State should establish, in respect forlarge aircraft, the type of service information that is to bereported to its airworthiness authority by operators,organizations responsible for type design and maintenanceorganizations. Procedures for reporting this informationshould also be established.
Part III, Chapter 9
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Certificate of Airworthiness (C of A)Article 31:Every aircraft engaged in international navigationshall be provided with a valid Certificate of
Airworthiness issued or rendered valid by the State inwhich the aircraft is registered
Annex 8, Part II, Para 3.2.1:
A Certificate of Airworthiness shall be issued by aContracting State on the basis of satisfactory evidence thatthe aircraft complies with the design aspects of theappropriate airworthiness requirements
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
A Certificate of Airworthiness shall be:Issued orValidated
States should develop regulations and procedures for:The issuance of a C of AThe validation of a C of A
The renewal of a C of A andThe delegation for the issuance or renewal of a C of A
Part III, 4.1
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
State of Registry has to ensure that the design ofthe aircraft meets the appropriate airworthinessrequirements. This can be done through:
Type Certification
- Full certification exerciseType Validation
- certification review to the differences that existbetween the State of Registry and State of Design
Type Acceptance- recognition and direct acceptance of type certification
already done by State of Design
Part III, 4.3
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Application for the issue of C of A:Review application form
Duly completed and submitted with all supporting documents
Identify aircraft configurationTo identify which components and changes to the type design have been made
- For new aircraft, manufacturer should identify any changes- For old aircraft, records from previous State that issued the C of A
Review documentationAFMMaintenance programmeStatus of maintenance tasks with respect to the maintenance programmeCertification of any major repairs or modificationsStatus of MCAI compliance mandated by the State of RegistryMass and balance report together with equipment listAircraft and engine or propeller log books and maintenance recordsRecords that demonstrate the origin of parts that were installed new or repairedExport C of A, if applicable
Part III, 4.4
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Application for the issue of C of A (cont):Inspection of aircraft
Exterior- Damage to aircraft- Verify major modifications and repairs- Aircraft, engines / propellers identification plates
- Components serial numbers conformity with aircraft records
Interior- Conformity of aircraft interior configuration, emergency and safety equipment- Markings and placards location and language- Additional markings as required by local regulations
Note: All non-conformities observed should be reported to the applicant in writing.The C of A is only issued after all non-conformities are satisfactorilyaddressed.
Part III, 4.4.5
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Issuance of a C of AThe aircraft must be registered in the State.Application form completed and signed by owner or appropriatelydelegated person on behalf of the operator.Particulars of all work done to restore the aircraft to an airworthycondition.Full particulars of work done should be entered in the appropriate logbook and a maintenance release should be completed and the aircraftcertified airworthy by an organization or suitably authorized person.
An organization or suitably qualified person should certify the aircraftairworthy.All MCAI and other applicable requirements are carried out and certified.Issue C of A when all requirements are met.
Note: The C of A is only issued after all non-conformities are satisfactorily addressed .Part III, 4.5
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Continuing validity of C of A
Types of C of A
C of A with an expiring validity
C of A with a non-expiring period of validity
Part III, 4.6
Part III State of Registry
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Part III State of RegistryCertificate of Airworthiness
Continuing validity of C of A
A C of A becomes invalid:
The aircraft does not conform with the type design approvedby the State of Registry.
The aircraft is not maintained in an airworthy condition
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Part III State of RegistryExercise
FictionLands procedure for processing anapplication for a C of A.
1. Review the procedure2. Provide your comments3. Propose areas of improvement
Part III State of Registry
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Part III State of RegistryApproved Maintenance Organization
Aeroplane / Helicopter Maintenance
Annex 6 Part I Chapter 8 and Annex 6 Part III
Section II Chapter 6:An operator shall not operate an aeroplane / helicopter unless itis maintained and released to service by an organizationapproved in accordance with 8.7 (AMO), or under an equivalent
system, either of which shall be acceptable to the State ofRegistry
Part III State of Registry
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g yApproved Maintenance Organization
Application process for a maintenanceorganization approval (5 phases):
1. Pre-application2. Formal application
3. Document evaluation4. Demonstration and inspection
5. Certification
Part III State of Registry
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g yApproved Maintenance Organization
Pre-application phase
Face to face meeting
Applicant explains its intent and make any clarificationsCAA to provide guidance, approximate time and cost for thecertification and standard information packageAgree on the procedures and a timeline for the certificationprocessIdentify focal persons
Part III State of Registry
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Part III State of RegistryApproved Maintenance Organization
Formal application phasea) Submission of application:
Application form and supporting attachmentsschedule of eventsstatement of compliance
Documents to be submitted
maintenance organization procedures manual (MOPM)safety management system, if separate from MOPMquality assurance system, if separate from MOPM
Part III, 10.3; 10.4; 10.5
Part III State of Registry
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g yApproved Maintenance Organization
Formal application phase
b) Acceptability of formal applicationEnsure the application package is complete
c) Formal application meetingFirst formal meeting between the CAA and key managementpersonnel of the applicant. Followed by a formal written acceptance of application.
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g yApproved Maintenance Organization
Document evaluation phaseEnsure the documents submitted are complete andmeet the regulatory requirements
Maintenance organizations procedures manual (as required inAnnex 6, Part I, Chapter 8.7.2) should include:Scope of work to be included in the terms of approvalOrganizations procedures and quality or inspection system Organizations facilities Names and duties person or persons responsible to ensuring theorganization is in compliance with the requirements for an AMOProcedures to establish the competence of maintenance personnel
Part III, 10.3; Att A; A6,8.7
Part III State of Registry
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g yApproved Maintenance Organization
Document evaluation phase
Maintenance organizations procedures manual (cont):Method used for the completion and retention of maintenancerecordsProcedures for preparing and signing the maintenance releasePersonnel authorized to sign the maintenance releaseAdditional procedures to comply with operators maintenanceprocedures
Procedures for reporting service informationProcedures to receive, assess, amending and distributing allnecessary airworthiness data
Part III, 10.3
Part III State of Registry
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g yApproved Maintenance Organization
Demonstration and inspection phaseTo ensure that the applicant is capable to execute thescope of work applied for.
What to look at? Facilities
Facilities and working environment is appropriate for the scope of
work to be performedTechnical data, equipment tools and material to perform the workProper storage facilities for parts, equipment, tools and material
Part III, 10.6
Part III State of Registry
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g yApproved Maintenance Organization
PersonnelKey person or persons whose responsibilities include ensuring thatthe maintenance organization complies with the requirementsThe necessary personnel to plan, perform, supervise, inspect andrelease work to be performed
Training policy and programme to include the relevant initial andrecurrent training
RecordsProcess to retain maintenance records, work orders and task cardsetc.Note: All non-conformities observed should be reported to the applicant in writing
for follow-up and corrective action.
Part III, 10.7
Part III State of Registry
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g yApproved Maintenance Organization
Certification PhaseInspector should compile a report for the issuance of anmaintenance organization approval. The report shouldinclude:
Complete application formAll completed checklists used during the demonstration /inspectionInspection reports with proper closure to findings
Note: Approval is only issued after all non-conformities are satisfactorily addressed.
Other documentation to substantiate any recommendationsmade
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g yApproved Maintenance Organization
Certification phase - Issuance of approval documentReview report and recommendations
Note: Approval is only issued after all non-conformities are satisfactorily addressed
The approval document should have at least :Organizations name and locationDate of issue and period of validityTerms of approval
A6,8.7.1
Summary Part III
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Summary Part III
Brief description of the content of Part IIIKey responsibilities of the State of Registry
Information required in a Aircraft register
Maintenance programmeContinuing airworthiness responsibilities of the Stateof Registry
Issuing a Certificate of Airworthiness
Approving a maintenance organizationExercise on the process to issue a C of A
Content of Part IV
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Content of Part IV
Part IV. State of the Operator
Chapter 1: State airworthiness legislation system and organizationalstructure
Chapter 2: Air operator certificate airworthiness aspectsChapter 3: Aircraft maintenance modifications and repairsChapter 4: Continuing airworthiness of aircraftChapter 5: Airworthiness requirements for extended diversion time
operationsChapter 6: Leasing arrangements
This module Part IV
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This module Part IV
Key responsibilities of the State of theOperator
AOC certification airworthiness aspects Contents of a Maintenance Control Manual Continuing airworthiness responsibilities of
the State of the Operator Extended Time Diversion Operations (EDTO)
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Annex 6 Part I, Chapter 4 and Part III, Section II,Chapter 2:
The issue of an air operator certificate by the State of theOperator shall be dependent upon the operatordemonstrating an adequate organization, method of controland supervision of flight operations, training programme aswell as ground handling and maintenance arrangementsconsistent with the nature and extent of the operationsspecified.
Part IV State of the Operator
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Roles and responsibilities
State of the Operator responsibilities
Development and promulgation of regulationsOperations of aircraft (including foreign aircraft)Airworthiness and continuing airworthiness of aircraftAcceptance of air operators MCM
Issues Air Operator CertificateIncludes the operations specifications of the operator
Approves MEL
Conducts surveillance and takes appropriate enforcement actions,when required
Part IV, 1.2
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Annex 6, Part I, Chapter 8.1 and Part III, Section II,Chapter 6.1 ( Operators maintenance responsibilities): Operators shall ensure that, in accordance to proceduresacceptable to the State of Registry:
a) each aeroplane / helicopter they operate is maintained in anairworthy condition;
b) The operational and emergency equipment necessary for anintended flight is serviceable; and
c) The certificate of airworthiness of each aircraft they operateremains valid.
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Annex 6, Part I, Chapter 8.1 and Part III, Section II,Chapter 6.1 ( Operators maintenance responsibilities):
An operator shall not operate an aeroplane / helicopter unless itis maintained and released to service by an organizationapproved in accordance with Annex 6, Part I, Chapter 8.7, orunder an equivalent system, either of which shall be acceptableto the State of Registry.
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Certification of an AOC (airworthiness aspects) is todetermine the capability of the applicant to adequatelymaintain its aircraft in a airworthy condition.This would include a detailed review and evaluation ofthe applicants:
Maintenance organizationMaintenance contract, if applicableStaffingFacilities
Maintenance programmeMaintenance control manualTrainingAbility to carryout day to day operations
Part IV, 2.1.4
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Application process for an AOC (5 phases):
1. Pre-application
2. Formal application3. Document evaluation
4. Demonstration and inspection5. Certification
(The 5 phase process drawn from Doc 8335- Manual of procedures for operationsinspection, certification and continued surveillance)
Part IV, 2.1.6
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Pre-application phase
Face to face meeting
Applicant to explain intent and make clarificationsCAA to provide guidance, approximate time and cost forthe certification and an information packageAgree on the procedures and a timeline for the
certification processIdentify focal persons
Part IV, 2.2
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Formal application phase
a) Submission of application:
Application form and supporting attachments
schedule of eventsstatement of compliancemanagement structure and key staff membersinformation of aircraft to be operatedmaintenance contract, if applicable
documents of purchase, leases, contracts or letters of intent
Part IV, 2.3
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Formal application phase
a) Submission of application (cont):Documentation to be submitted
maintenance control manual
maintenance programme for each type of aircraft
reliability programme, as required
quality assurance systemsafety management system
Part IV, 2.3.1.3
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Formal application phase
b) Acceptability of formal applicationEnsure the application package is complete
c) Formal application meetingFirst formal meeting between the CAA and key
management personnel of the applicant.Followed by a formal written acceptance.
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Document evaluation phase
Provisions to be approved / accepted
aircraft-specific maintenance programmemaintenance organization
maintenance quality assurance methodologymaintenance control manual
Note: All non-conformities observed should be reported to the applicant in writing for follow-up and corrective action.
Part IV, 2.4
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Provisions that may require evaluation with anothergroup:MELSpecial operations including EDTO and RVSM
SMS
Part IV, 2.4.4
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Demonstration and inspection phase
To demonstrate that the applicant has the required qualifiedstaff, equipment and facilities to ensure the its aircraft remain inairworthy condition for the duration of its operational life. Thiswill include actual performance of activities / operations
Part IV, 2.5
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Demonstration and inspection phaseWhat to look at?
Maintenance control organization
MCMFacilities
Aircraft inspection
Note: All non-conformities observed should be reported to the applicant in writing for follow-up and corrective action.
Part IV, 2.5
Part IV State of the Operator
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Air Operator Certificate (Airworthiness aspects)
Certification PhaseAID inspector should submit a report to the projectmanager with the recommendations as to theapplicants ability to conduct safe operations. The
report should include:All checklists used during the demonstration / inspectionInspection reports with proper closure to findingsOther documentation to substantiate the any
recommendations madeNote: All non-conformities observed should addressed before the issuance of the
approval document
Part IV, 2.6
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Part IV State of the OperatorAi O C ifi (Ai hi )
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Air Operator Certificate (Airworthiness aspects)
MCM (cont.)Names and duties of the person or persons to ensure that allmaintenance is carried out in accordance with the MCMA reference to the maintenance programme for each aircraft
type operatedMethods used for completion and retention of maintenancerecordsProcedures for monitoring, assessing and reporting
maintenance experience to the State of RegistryProcedures for the complying of service information reporting
Procedures to assess continuing airworthiness informationand implementing resulting actions
Part III, 7.2
Part IV State of the OperatorAi O C ifi (Ai hi
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Air Operator Certificate (Airworthiness aspects
MCM (cont.)Procedures for implementing MCAI and process for using analternate means of complianceA system of analysis and continued monitoring of the
maintenance programmea description of aircraft types and models to which themanual appliesProcedures to ensure that unserviceable systems and
components are recorded and rectifiedProcedures for completing and signing a maintenance releasefor aircraft and parts that have undergone maintenance
Part III, 7.2
Part IV State of the OperatorAi O C ifi (Ai hi
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Air Operator Certificate (Airworthiness aspects
MCM (cont.)Procedures to ensure the aircraft is maintained in accordanceto the maintenance programmeTraining programme for the maintenance personnel employed
by the operatorOperators SMS
Procedure to ensure modifications and repairs comply withState of Registry requirements
Procedure for MCM revision and controlNote: Operator to provide a copy of MCM to the State of Registry and State ofthe Operator.
Part III, 7.2
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Part IV State of the OperatorE t d d Di i Ti O ti (EDTO)
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Extended Diversion Time Operations (EDTO)
Extended Diversion Time Operations (EDTO)
Any operation by an aeroplane with two or more turbine engineswhere the diversion time to an en-route alternate aerodrome is
greater than the threshold time established by the State of theOperator.
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Part IV State of the OperatorE t d d Di i Ti O ti (EDTO)
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Extended Diversion Time Operations (EDTO)
EDTO is an evolution of ETOPSBased on existing ETOPS provisionApplies to all commercial aeroplanesAddresses systems that could force an aeroplane to divert:
Engines (for twins)Loss of pressurizationTime limited systems
Requirements for 2 engines aeroplanes remains mostlyunchanged
Part IV State of the OperatorE t d d Di i Ti O ti (EDTO)
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Extended Diversion Time Operations (EDTO)
Requirements for 3 or more engines aeroplanes are based ongood industry practices
No additional maintenance requirements nor additionalcertification requirements
Consideration of Time Limited System / identification of en-route
alternates and verification of weather
Guidance on EDTO also provided in Annex 6 Attachment D
Part IV,5.3
EDTOGraphic Representation
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Graphic Representation
113
Diversion range
(in time) 60 min
Operations beyond 60 MIN
Fixed valueState
established(specific to
aircraft type)
EDTO approval
OPS Ctrl & Flt Dispatch OPS Procedures Training Identify alternates-For twin engined a/c:-verify alternates aboveminima
Threshold(eg 75, 90, 180 min) Max Div Time
-EDTO approval-EDTO significant systems-EDTO critical fuel-Verify alternates aboveminima
-For twin engined a/c:-maintenance program- file alternate in ATS FP
Stateapproved
(specific tooperator &
aircraft type)
EDTOGraphic Representation Twins
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EDTO approval Maintenance program EDTO significant systems EDTO critical fuel OPS Ctrl & Flit Dispatch OPS Procedures Training Identify & verify alternates above
minima file Alt in ATS flight plan
Graphic Representation Twins
114
Diversion range
(in time) 60 min
Operations beyond 60 MIN
Fixed value
Stateestablished(specific to
aircraft type)
EDTO approval
Threshold(eg 60 min)
Max Div Time
Stateapproved(specific tooperator &
aircraft type)
EDTOGraphic Representation Tris & Quads
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Graphic Representation Tri s & Quad s
115
Diversion range
(in time) 60 min
Operations beyond 60 MIN
Fixed valueState
established(specific to
aircraft type)
EDTO approval
OPS Ctrl & Flt Dispatch OPS Procedures Training Identify alternates
Threshold(eg 120, 180 min) Max Div Time
-EDTO approval-EDTO significant systems-EDTO critical fuel -Verify alternates aboveminima Stateapproved
(specific tooperator &
aircraft type)
Part IV State of the OperatorExtended Diversion Time Operations (EDTO)
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Extended Diversion Time Operations (EDTO)
Operators conducting operations beyond 60 mins to an en-routealternate aerodrome will require:1. All en-route alternate aerodromes be identified2. The most up-to-date information be provided to the flight
crew on identified en-route alternate aerodromes, includingoperational status and meteorological conditions
3. Conditions at identified en-route alternate aerodromes in(2) above to be at or above the operators establishedaerodrome operating minima for the operation at theestimated time of use (for 2 engines aeroplanes).
4. Also taking into account the operators: Operational control and flight dispatch proceduresOperational proceduresTraining programmes
Part IV State of the OperatorExtended Diversion Time Operations (EDTO)
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Extended Diversion Time Operations (EDTO)
The EDTO threshold is not an operating limit. It is aflight time to an en-route alternate aerodrome,which is established by the State of the Operator.
Establishing an EDTO threshold:a) the airworthiness certification of the aeroplane type does not
restrict operations beyond the threshold time;b) specific flight dispatch requirements are met;
c) necessary in-flight operational procedures are established; andd) the operators previous experience on similar aircraft typesand routes is satisfactory.
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Part IV State of the OperatorExtended Diversion Time Operations (EDTO)
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Extended Diversion Time Operations (EDTO)
EDTO significant system
An aeroplane system whose failure or degradation could adversely affect thesafety particular to an EDTO flight, or whose continued functioning isspecifically important to the safe flight and landing of an aeroplane during anEDTO diversion.
Includes:Propulsion systemsHydraulic systemsFlight control systemsElectrical powerEquipment cooling systemsPressurization systemsAPUCargo compartment fire suppression systemsFuel systems
Exercise
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Exercise on Fictionland MCM approval
1. Review the procedure2. Provide your comments3. Propose areas of improvement
Summary Part IV
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Brief description of the content of Part IVKey responsibilities of the State of the OperatorAOC certification airworthiness aspects
Contents of a Maintenance Control ManualContinuing airworthiness responsibilities of theState of the Operator
Extended Time Diversion Operations (EDTO)Exercise on the process of approving aMaintenance Control Manual
Content of Part V
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Part V. State of Design and State of ManufactureChapter 1: State airworthiness legislation system and organizationalstructure
Chapter 2: Type certification
Chapter 3: Aircraft maintenance modifications and repairsChapter 4: Production approvals / certificationChapter 5: Additional requirements when the State of Manufacture is
not the State of DesignChapter 6: Continuing airworthiness of aircraftChapter 7: Issuance of export certificates of airworthiness
This module Part V
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Key responsibilities of the State of the Designand State of Manufacture Type certification activities
Absence of or deficiency by a type certificateholder
Continuing airworthiness responsibilities of
the State of the Design and State ofManufacture
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Part V State of Design and State ofManufacture
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State of Design responsibilities (cont)
When the State of Design and State of Manufacture is differentensures the organization responsible for the type designcooperates with the manufacturing organization in assessing the
information received on the experience with operating theaircraft
When the State of Design of an engine or propeller is not the
State of Design of the aircraft, it transmits any continuingairworthiness information to the State of Design of the aircraftand any other Contracting State upon request
Part V, 1.2.1
Part V State of Design and State ofManufacture
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Manufacture
State of Manufacture responsibilities
Ensure that the production of aircraft and aircraft parts,including aircraft parts manufactured by contractorsand/or suppliers, are airworthy
Issue a production approval to the manufacturing
organization upon satisfactorily evaluation of itsprocesses and systems and inspection of the productionfacilities
Part V, 1.2.2
Part V State of Design and State ofManufacture
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Manufacture
Type certification activitiesApplication for a type certificateEstablishing the certification basis
Establishing the means of complianceDemonstration of complianceCertifying the type design
Post type certification activities
Part V, 2.2, 2.3
Part V State of Design and State ofManufacture
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Manufacture Absence of or deficiency by a TC holder
Cease to legally existAbandon its responsibilities (surrender TC)Fail in its responsibilities (suspension / revoke TC)
What can a State of Design do?
assume the limited responsibilities of the TC holder itself
seek a new holdersuspend or revoke the TC if no other options are available
Part V, 6.2.4
Part V State of Design and State ofManufacture
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Suspension or revocation of a TC
Annex 8 Part II 4.2.1.1 requires the State of Design to notifyContracting States of the suspension or revocation of a typecertificate
Annex 8 Part II 4.2.3 ultimately assigns the State of Registry theresponsibility for determining the continuing airworthiness of theaircraft in its aircraft register.
The State of Registry is required develop or adopt requirements
necessary for ensuring the continuing airworthiness of the aircraftin its aircraft register during its service life.
Part V, 6.2.4
Part V State of Design and ManufactureState of Design continuing airworthiness responsibilities
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g g p
State of Design
a. Transmit to every State that hasadvised that it has an aircraft on itsregister and any State on request, anyapplicable information that is necessaryfor the continuing airworthiness andsafe operations of the aircraft. Alsonotify States of the suspension or
revocation of a TC.b. Ensure there is a system for: Receiving information on faults,
malfunctions, defects and otheroccurrences that cause and mightcause adverse effects on thecontinuing airworthiness of theaircraft
Deciding if and when airworthinessaction is needed Developing the necessary
airworthiness actions Promulgating the information on
those actions
c. Ensure a continuing SIP foraeroplanes over 5700kgs
d. Ensure where the State ofManufacture is not the State ofDesign, there is an agreementacceptable to both States to ensure
that the type design organizationcooperates with the manufacturingorganization in assessing informationreceived on experience withoperating the aircraft.
Part V, 6.2.5
Part V State of Design and Manufacture State of Manufacture continuing airworthinessresponsibilities
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responsibilities
State of Manufacture
Ensure where the State of Manufacture is not the Stateof Design, there is an agreement acceptable to bothStates to ensure that the manufacturing organization
cooperates with the type design organization inassessing information received on experience withoperating the aircraft.
Part V, 6.2.5d
Summary Part V
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Brief description of the content of Part VKey responsibilities of the State of the Design andState of ManufactureType certification activitiesAbsence of or deficiency by a type certificateholderContinuing airworthiness responsibilities of theState of the Design and State of Manufacture
Quiz
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1. How many Parts are there in 3rd edition of Doc 9760?5 Parts
2. Where can you find guidance to the structure for an AirworthinessOrganisation?Part II, Chapter 4
3. Whose responsibility is it to issue a Certificate of Airworthiness?State of Registry, Part III Chapter 4
4. A Maintenance Organisation approval is granted by whom?State of Registry, Part III Chapter 10
5. How many phases are in the process for the grant of an Air OperatorCertificate?5 Phases, Part IV Chapter 2
Quiz
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6. Who grants the approval for Extended Diversion Time Operations?State of the Operator, Part IV Chapter 5
7. What are the State of Registrys responsibilities for continuingairworthiness?Part III, Chapter 1
8. What happens when a Type Certificate is suspended and revoked?Part V, Chapter 6.2.4
9. What are the State of Designs responsibilities for continuingairworthiness?Part V, Chapter 6
10. Whose responsibility is it to issue the Mandatory ContinuingAirworthiness Instruction?State of Design, Part V,Chapter 6.9
Review of objectives
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At the end of this seminar the participant would beable to identify, with reference to the ICAO Doc9760:
the structure of an Airworthiness Organizationand the airworthiness responsibilities of States
the roles and responsibilities of the State ofRegistry, State of Operator and State of Designand Manufacture.
Doc 9760 Whats next?
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Revision 1 (possibly late 2013)Enhance guidance on the approval of AMOsMore guidance provided to the State of Registry whentype certificates are suspended, surrendered or revoked?
Recognition of aircraft below 750kgs?New guidance on handling of security sensitive ADs?Additional guidance on reviewing the airworthiness
provisions for RVSM approvalProvide guidance on the maintenance of a aircraftregister
ICAO APAC and COSCAP websites
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www.coscap-gs.org
Doc 9760 , 3 rd edition (unedited) PresentationGroup photograph
Doc 9760 will be published on ICAO-Net
Doc 9760 (Airworthiness Manual)
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Thank you
Queries and comments:Alain Coutu, Technical Officer (Airworthiness) at [email protected]
Sebastian Wong at [email protected]