ICAO Doc 9760

(Airworthiness Manual)
3rd Edition-2014
Alain Coutu
Airworthiness / OPS
Air Navigation Bureau
ICAO-HQ

Mashhor Alblowi
Regional Officer, Flight Safety
ICAO MID Regional Office

1
Introductions and administrative arrangements
• Introductions
• Working arrangements
 Building & facilities
 Cell phones
 Questions
 Parking Lot
 Programme
 Feed Back Form

2
Airworthiness Manual Doc 9760 Third Edition
Khartoum, Sudan
(27-29 May 2014) DAY 1: Tuesday, 27 May 2014

Seminar Schedule 9.00-9.30 Presentation/Seminar arrangements

9.30-10.30 Introduction
10.30-10.45 Coffee Break

10.45-12.00 Doc 9760 Part I – Definitions and Abbreviations

12.00-13.00 Lunch Break

13.00-14.30 Doc 9760 Part II – Airworthiness Organizational Structure and State responsibilities

14.30-14.45 Coffee Break

14.45-16.00 Doc 9760 Part III – State of Registry

DAY 2: Wednesday, 28 May 2014

9.00-10.30 Doc 9760 Part III – State of Registry

10.30-10.45 Coffee Break

10.45-12.00 Doc 9760 Part IV – State of the Operator

12.00-13.00 Lunch Break

13.00-14.30 Doc 9760 Part IV – State of the Operator

14.30-14.45 Coffee Break
14.45-16.00 Doc 9760 Part IV – State of the Operator

DAY 3: Thursday, 29 May 2014

9.00-10.30 Doc 9760 Part V – State of Design and Manufacture

10.30-10.45 Coffee Break

10.45-12.00 Quiz

12.00-13.00 Lunch Break

13.00-14.30 Discussion/Conclusion

14.30-15.00 Closing

3
 Introductions and administrative arrangements
Programme
Airworthiness seminar
Opening, introduction and administrative announcements
Module 1 – Overview
Module 2 – Part I of Doc 9760
Module 3 – Part II of Doc 9760
Module 4 – Part III of Doc 9760
Module 5 – Part IV of Doc 9760
Module 6 – Part V of Doc 9760
Quiz and closing

4
Introductions and administrative arrangements

Questions?

5
 Module 1 - Overview
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
6
 Module 1 - Overview

• Purpose of the seminar

 To familiarize users with the 3rd edition of Doc 9760
(Airworthiness Manual)
 Provide an introduction to the contents of the Manual
 Support States in their development of regulations,
processes and procedures.
 Seek comments to improve the contents of the
Manual

7
 Module 1 – Overview
ICAO Structure
Assembly
(191 Contracting States)

Council
(36 Members)

Air Navigation Committee on Joint

Air Transport
Commission Support of Air Finance Committee
Committee
(19 Members) Navigation Services

Secretariat

Panels Meetings

8
International Civil Aviation Organization

ICAO Member States (191) ICAO Assembly

ICAO Council Air Navigation Commission

9
 Module 1 – Overview
Secretariat Structure
Secretary General

Legal Affairs and Air Transport Air Navigation Technical Co- Bureau of Bangkok
External Affairs Bureau Bureau operation Bureau Administration and
Cairo
Bureau (LEB) (ATB) (ANB) (TCB) Services (ADB)
Dakar
Lima
Safety Standardization and Safety Management and
Infrastructure Monitoring Mexico

Nairobi
Flight Operations
Aviation Safety Training
Paris
Air Transport Management
Continuous Monitoring and Oversight
Aerodromes
Integrated Safety Management
Integrated Infrastructure Management
Implementation Support and Development
Accident Investigation
Meteorology
Aviation Medicine
Dangerous Goods

10
 Module 1 - Overview
Flight Operations structure
Mr Mitchell Fox
Chief, Flight Operations Section

Nicole Barrette - Michelle Millar Martin Maurino

Miguel Marin Henry Defalque Alain Coutu
Sabourin Technical Officer Safety, Efficiency
Technical Officer Technical Officer Technical Officer and Operations
Training Officer Operations /
Operations Operations / PEL Airworthiness Officer
Training Human Factors

Annex 1 – Personnel Licensing

Annex 6 – Operation of Aircraft
Annex 7 – Aircraft Nationality and Registration Marks
Annex 8 – Airworthiness of Aircraft

11
 Module 1 – Overview
ICAO Documentation structure

Convention and Articles

Appendices Annexes (19) Procedures for Air

(Standards and Recommended Navigation Services
Practices, SARPS) (PANS)
Attachments

Guidance Circulars

12
 Module 1 - Overview
Making of a ICAO Standard

Proposal

Development

Review

Adoption and
publication
13
Origin of Proposal

Contracting States

Organizations
International
Assembly
Council
Secrétariat
Secretariat ANC
Réunions
Meetings Panels &
Committees

Proposal for Action

Audio-visual
Aids Unit

© 14
ICAO, 2004
 Development Phase
Proposal for Action

ANC
ANC Panel Divisional
Secretariat Meeting
AN
Study Group

Technical
Proposal

ANC Preliminary Review Audio-visual

Aids Unit

© 15
ICAO, 2004
 Review Phase
ANC Preliminary Review

Contracting International
States Organizations

Secretariat

Secretariat
Analysis

ANC Final Review Audio-visual

Aids Unit

© 16
ICAO, 2004
Adoption / Publication Phase
ANC Final Review

ANC Recommends ANNEX

Adoption Date
Council Adopts
(Usually March)
2 weeks

Green Edition 4 Months

States
Disapprove Effective Date
(Amendment becomes
effective if not disapproved
Secretariat
Notification of
by majority of States)
Differences
4 Months (minimum)
ANNEX
Blue Edition
Supplement Applicability Date
(Usually November) Audio-visual
Applicability Date Aids Unit

© 17
ICAO, 2004
 Origin of

Organizations
International
Contracting States
Assembly
Council
Proposal
Secretariat ANC
Meetings Panels &
Committees

Proposal for Action

ANC
Development Phase
ANC Panel Secretariat Divisional Meeting
AN
0 - 5 years
Study Group

Technical
Proposal
Direct Submission
ANC Preliminary Review
Review
Contracting States
International
Organizations
Phase 3 Months

Secretariat
Validation
Secretariat
Analysis

ANC Final Review

PANS ANNEX Adoption/

Approximately 2 years
10 Months Approximately
ANC Approves ANC Recommends Publication Phase
Subject to Approval
by President of Council Council Adopts Adoption Date
on behalf of Council
2 weeks (Usually March)
Green Edition Green Edition
4 Months
Disapprove
States States Effective Date
Notification of Differences (Amendment becomes effective if
Secretariat not disapproved by majority of
PANS ANNEX States)
4 Months minimum
Audio-visual
Blue Edition Blue Edition Supplement
Aids U nit
Applicability Date Applicability Date
Applicability Date
© ICAO, 2004 (Usually November) 18
 Origin of

Organizations
International
Contracting States
Assembly
Council
Proposal
Secretariat ANC
Meetings Panels &
Committees

Proposal for Action

ANC
Development Phase
ANC Panel Secretariat Divisional Meeting
AN
0 - 5 years
Study Group

Technical
Proposal
Direct Submission
ANC Preliminary Review
Review
Contracting States
International
Organizations
Phase 3 Months

Secretariat
Validation
Secretariat

Approximately 2 years
Analysis

ANC Final Review

PANS ANNEX Adoption/ 10 Months Approximately
ANC Approves ANC Recommends Publication Phase
Subject to Approval
by President of Council Council Adopts Adoption Date
on behalf of Council
2 weeks (Usually March)
Green Edition Green Edition
4 Months
Disapprove
States States Effective Date
Notification of Differences (Amendment becomes effective if
Secretariat not disapproved by majority of
PANS ANNEX States)
4 Months minimum
Audio-visual
Blue Edition Blue Edition Supplement
Aids U nit
Applicability Date Applicability Date
Applicability Date
© ICAO, 2004 (Usually November) 19
 Module 1 – Overview
Objectives of the seminar
At the end of this seminar the participant would be
able to identify, with reference to the ICAO Doc 9760:

• the structure of an Airworthiness Organization and

its airworthiness responsibilities

• the roles and responsibilities of the State of Registry,

State of the Operator and State of Design and
Manufacture.

20
 Module 1 – Overview
Discussion

• What is Airworthiness / Airworthy?

21
 Module 1 – Overview
Discussion
To be airworthy:

(1) The aircraft must conform to its Type

Airworthiness is the Certificate (TC).
measure of an
(2) The aircraft must be in a condition for
aircraft's suitability safe operation.
for safe flight
Wikipedia FAA

Airworthy - The status of an

aircraft, engine, propeller or part
when it conforms to its approved
design and is a condition for Airworthy is defined as when an aircraft, including its
safe operation component parts, meets its type design or properly
altered condition and it is in a condition for safe
Annex 8 operation

CASA

22
 Module 1 – Overview
Discussion
Annex 8, Definitions
Appropriate airworthiness requirements
The comprehensive and detailed airworthiness codes
established, adopted or accepted by a Contracting State for the
class of aircraft, engine or propeller under consideration.

Annex 8, Chapter 3.2.1

A Certificate of Airworthiness shall be issued by a Contracting
State on the basis of satisfactory evidence that the
aircraft complies with the design aspects of the appropriate
airworthiness requirements.

Annex 8, Definitions; 3.2.1 23

Module 1 – Overview
Discussion

24
Module 1 – Overview
Discussion

25
Module 1 – Overview
Discussion

26
 Module 1 – Overview
Discussion

• What is continuing airworthiness?

27
 Module 1 – Overview
Discussion
Annex 8, Definitions
Continuing airworthiness
The set of processes by which an aircraft, engine, propeller
or part complies with the applicable airworthiness
requirements and remains in a condition for safe operation
throughout its operating life

Annex 8, Definitions 28
 Module 1 – Overview
Incidents reported by States
(from ECCAIRS 2005 to 2010)

System / Component failure

or malfunction (powerplant)
= 477 of 5093 incidents

System / Component
failure or malfunction
(non-powerplant) = 628
of 5093 incidents
Component failure (total) = 1105
of 5093 incidents; which is 22%
of total incidents 29
Module 1 – Overview
Global accident rate

30
Module 1 – Overview
Global audit results

31
 Quiz
Do you know?

1. How many Parts are there in 3nd edition of Doc 9760?

2. Where can you find guidance on the structure for an Airworthiness Organization?

3. Whose responsibility is it to issue a Certificate of Airworthiness?

4. A Maintenance Organisation approval is granted by whom?

5. How many phases are in the process for the issuance of an Air Operator Certificate?

6. Who grants the approval for Extended Diversion Time Operations?

32
 Quiz
Do you know?

7. What are the State of Registry’s responsibilities for continuing airworthiness?

8. Which State approves Major repairs and modifications?

9. What are the State of Design’s responsibilities for continuing airworthiness?

10. Whose responsibility is it to issue the Mandatory Continuing Airworthiness Instruction?

11. Whose responsibility is it to approve the Maintenance Programme?

12. Who approves the Reliability Programme?

33
 Quiz
Do you know?

13. Can an aircraft be registered in more then one State?

14. Can one airplane have a different States of Registry then the State of the Operator?

34
 Module 1 – Overview
Purpose of Doc 9760
 Outlines the duties and responsibilities of States
to meet the provisions of Annex 8 and Annex 6
with regards to the airworthiness and continuing
airworthiness of aircraft
 Provides guidance and support for States to
meet their airworthiness safety oversight
functions as described in Doc 9734 Part A
(Safety Oversight Manual)

35
 Module 1 – Overview
Purpose of Doc 9760
Annex 8 (Foreword)
Use of the guidance material in the Airworthiness Manual (Doc
9760).

Contracting States are invited to note that the material in the

Airworthiness Manual is intended to guide them in the
development of their detailed and comprehensive national codes
with a view to introducing uniformity in those national codes. The
material has no mandatory status and Contracting States are
quite free to differ from it either in detail or in methods.

Annex 8,Forward 36
 Module 1 – Overview
Purpose of Doc 9760
ICAO has identified the following critical elements (CE) of a State’s
safety oversight system:

CE 1: Primary Legislation
CE 2: Specific Operating Regulations
CE 3: State Civil Aviation System and Safety Oversight Functions
CE 4: Technical Personnel Qualification and Training
CE 5: Technical guidance, tools and the provision of safety-critical
information
CE 6: Licensing, certification, authorization and approval obligations
CE 7: Surveillance obligations
CE 8: Resolution of safety concerns

(Doc 9734 Part A - Safety Oversight Manual)

37
 Module 1 – Overview
Purpose of Doc 9760
CE-2. Specific operating regulations:

The provision of adequate regulations to address, at a minimum,

national requirements emanating from the primary aviation legislation
and providing for standardized operational procedures, equipment and
infrastructures (including safety management and training systems), in
conformance with the Standards and Recommended Practices
(SARPs) contained in the Annexes to the Convention on International
Civil Aviation.
Note.— The term “regulations” is used in a generic sense to include but is not
limited to instructions, rules, edicts, directives, sets of laws, requirements,
policies, and orders.

(Doc 9734 Part A- Safety Oversight Manual)

Doc 9734, 3.1.2 38

 Module 1 – Overview
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 facilities and
equipment) and safety-critical information, as applicable, to its
technical personnel to enable them to perform their safety
oversight functions.
• In addition, this includes the provision of technical guidance to
the aviation industry on the implementation of applicable
regulations and instructions.
(Doc 9734 Part A- Safety Oversight Manual)

Doc 9734, 3.1.2 39

 Module 1 – Overview
Purpose of Doc 9760
CE-6. Licensing, certification, authorization
and/or approval obligations:
The implementation of processes and procedures to
ensure that personnel and organizations performing
an aviation activity meet the established
requirements before they are allowed to exercise the
privileges of a licence, certificate, authorization
and/or approval to conduct the relevant aviation
activity.
(Doc 9734 Part A- Safety Oversight Manual)

Doc 9734, 3.1.2 40

 Module 1 – Overview
Background - References
 Doc 9760 Advance 2nd edition
 Annex 1 (Personnel Licensing)
 Annex 6 (Operations of Aircraft)
 Annex 7 (Aircraft Nationality and Registration Marks)
 Annex 8 (Airworthiness of Aircraft)
 Annex 16 (Environmental Protection)
 Annex 19 (Safety Management)
 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)

41
 Module 1 – Overview
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 2nd 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 Doc 9760, Advance 2nd Edition (unedited) was placed on ICAO-Net in 2008)
 Not published nor available in ICAO publication catalog

Doc 9760 Foreword 42

 Module 1 – Overview
Background
 3rd Edition
– Completely re-structured
– Re-organized and presented by responsibilities 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 be tracked.
It also required the creation of a third edition.
 Doc 9760, 3rd edition, is available on ICAO-NET

Doc 9760 Foreward 43

 Module 1 – Overview
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 the processing of

applications

44
 Module 1 – Overview
Contents of Doc 9760 (3rd Edition)

45
 Module 1 – Overview
Roles and Responsibilities
State of Registry

 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

46
 Module 1 – Overview
Roles and Responsibilities
State of the Operator

 Air Operator Certificate (Airworthiness Aspects)

 Operations Specifications
 MEL
 Continuing airworthiness of aircraft

47
 Module 1 – Overview
Roles and Responsibilities
State of Design and Manufacture

 Type certification
 Production approval / certification
 Continuing airworthiness of aircraft

48
 Module 1 – Overview
Summary

 Objectives of the seminars

 Discussed – airworthiness vs continuing airworthiness
 Purpose of Doc 9760
 Background on changes to Doc 9760
 Contents of Doc 9760

49
Module 1 – Overview

Questions?

50
 Module 2 - Part I of Doc 9760
Contents of Part I

Part I. Definitions and abbreviations

• Specific definitions of the Annexes are re-produced.

Additional definitions used are specific to Doc 9760.
• New section “Abbreviations” is included

51
 Module 2 - Part I of Doc 9760

This module….

• Commonly used definitions

• New definitions
• List of abbreviations

52
 Module 2 - Part I of Doc 9760
Definitions
Lets review a few of these…..

Aeroplane A power-driven heavier-than-air aircraft, deriving

its lift in flight chiefly from aerodynamic reactions on surfaces
which remain fixed under given conditions of flight.

Aircraft Any machine that can derive support in the

atmosphere from the reactions of the air other than the reactions
of the air against the earth’s surface.

Part I, Definitions 53
 Module 2 - Part I of Doc 9760
Definitions

Classification of aircraft
Annex 7, Chapter 2 54
 Module 2 - Part I of Doc 9760
Definitions
Remotely Piloted Aircraft System (RPAS)
Annex 7 Paragraph 2.3

Unmanned aircraft shall include unmanned free balloons

and remotely piloted aircraft.

55
 Module 2 - Part I of Doc 9760
Definitions
Extended diversion time operation (EDTO). Any operation
by an aeroplane with two or more turbine engines where the
diversion time to an en-route alternate aerodrome is greater than
the threshold time established by the State of the Operator.

EDTO – significant system. An aeroplane system whose

failure or degradation could adversely affect the safety particular to
an EDTO flight, or whose continued functioning is specifically
important to the safe flight and landing of an aeroplane during an
EDTO diversion.

Part I, Definitions 56
 Module 2 - Part I of Doc 9760
Definitions

Appropriate airworthiness requirements The comprehensive

an detailed airworthiness codes established, adopted or
accepted by a Contracting State for the class of aircraft, engine
or propeller under consideration.

Part I, Definitions 57
 Module 2 - Part I of Doc 9760
Definitions
Instructions for continuing airworthiness. A set of descriptive
data, maintenance planning and accomplishment instructions,
developed by a design approval holder in accordance with the
certification basis for the product. The ICAs provide operators with the
necessary information to develop their own maintenance programme
and also for approved maintenance organisations to establish the
accomplishment 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 instructions for
continuing airworthiness. These parts must be permanently removed
from service on or before this limit is reached.

Part I, Definitions 58
 Module 2 - Part I of Doc 9760
Definitions
Maintenance programme. A document which describes the
specific scheduled maintenance tasks and their frequency of
completion and related procedures, such as a reliability
programme, necessary for the safe operation of those aircraft to
which it applies.

Mandatory Continuing Airworthiness Information. The

mandatory requirements for the modification, replacement of
parts, or inspection of aircraft and amendment of operating
limitations and procedures for the safe operation of the aircraft.
Among such information is that issued by Contracting States in
the form of airworthiness directives.

Part I, Definitions 59
 Module 2 - Part I of Doc 9760
Abbreviations
Abbreviations
When the following abbreviations and acronyms are used in this manual, they have the meanings shown.

AD Airworthiness directive
AED Airworthiness engineering division
AFM Aircraft flight manual
AID Airworthiness inspection division
ALI Airworthiness limitation items
AMO Approved maintenance organization
AOC Air operator certificate
APU Auxiliary power unit
CAA Civil aviation authority
C of A Certificate of airworthiness
C of R Certificate of registration
CDL Configuration deviation list
CG Centre of gravity
CMR Certification maintenance requirements
DGCA Director General of Civil Aviation

MCAI – Mandatory continuing airworthiness information

AMO – Approved maintenance organization
MTOM – Maximum take-off mass
Part I, Abbreviations 60
 Module 2 - Part I of Doc 9760
Summary

 Reviewed some definitions

 Discussed new definitions
 Abbreviations can be found after definitions

61
Module 2 - Part I of Doc 9760
Definitions and abbreviations

Questions?

62
 Module 3 - Part II of Doc 9760

Part II. Airworthiness organizational structure

and State responsibilities

Contents of Part II

Chapter 1: State’s airworthiness responsibilities

Chapter 2: Primary aviation legislation
Chapter 3: State regulatory system
Chapter 4: Airworthiness organization

63
 Module 3 - Part II of Doc 9760

This module….

• Setup of a typical Airworthiness Organization

• Some key responsibilities of an Airworthiness Organization
• Roles of the Airworthiness Engineering Division (AED) and
Airworthiness Inspection Division (AID).
• Training requirements and qualifications for technical
personnel
• Airworthiness technical library and records

64
 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities
Accident
State Government Investigation

Civil Aviation Authority

Air Navigation
Aerodromes
Services
Flight Safety Standards Legal Administration

Personnel Licensing Aircraft Operations Airworthiness

Aircraft Maintenance Airworthiness Airworthiness

Licensing Inspection Engineering

Industry and Service Providers

Part II, 4.8 65

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

Key responsibilities include:

• Develop or adopt regulations to meet its
obligations to the Convention on Civil Aviation
• Discharging of State responsibilities to:
 Meet the provisions of Annex 6 and 8 with regards to the
airworthiness of aircraft
 Meet the provisions of Annex 6 and 8 with regards to the
continuing airworthiness of aircraft

Part II, 1.2; 1.3; 1.4 66

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

• Develop and implement periodic surveillance

programmes based on the complexity of its
aviation industry:
 Conduct both periodic and unannounced surveillance of
industry activities
 Evaluate accidents, incidents and service difficulty
reports
 Take any timely enforcement action when necessary

Part II, 1.2; 1.3; 1.4 67

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

Airworthiness Engineering Division (AED)

 Approve design organizations

 Issue / validate / accept type certificates
 Support type certification activities
 Approve production organizations
 Issue production certificates
 Approve modifications and repairs
 Support the AID when required
 Ensure continuing airworthiness of aircraft

Part II, 4.6 68

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities
Airworthiness Inspection Division (AID)

 Approve maintenance organizations

 Oversight of the maintenance and airworthiness aspects
of air operators
 Registration of aircraft; maintains a Register of aircraft
 Issue or validate and renew Certificate of Airworthiness
 Approve maintenance programme
 Issue special flight approval
 Issue Export C of A, if required
 Support AED, when required
 Licensing tasks, where applicable
Part II, 4.7 69
 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities
Staff and inspector qualifications and experience

AED technical staff

 Knowledge and experience with design, manufacture and

airworthiness certification
 Knowledge and skill to audit design and manufacturing
organization
 Be able to apply design and manufacture standards relating to
airworthiness certification to ensure the prototype or modified
aircraft / parts meet airworthiness requirements
 Have good writing and interpersonal skills
Part II, 4.5.2 70
 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities
Staff and inspector qualifications and experience

AID Inspector

 Knowledge and experience related to aircraft continuing

airworthiness management
 Experience in the performance of maintenance , repair and
modification of aircraft, engines and aircraft systems or
components
 Hold an aircraft maintenance licence
 Have good communication skills
 Have good interpersonal skills
 Knowledge and skill to audit air operator and AMO

Part II, 4.5.3 71

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

Training requirements for CAA technical staff

• Develop a training programme for staff
 Initial training
 OJT
 Recurrent training
 Technical training

• Ensure implementation of training

Part II, 4.5.5, 4.5.6; 4.9 72

 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

Airworthiness technical library and records

• Reference material available for technical personnel

• Correspondence system on airworthiness matters
• Types of records to be kept
• Electronic records

Part II, 4.9 73

 Module 3 - Part II of Doc 9760
Summary
 Brief description of the content of Part II
 Discussed a typical Airworthiness Organization setup.
 Look at some key responsibilities of an Airworthiness
Organization.
 AED – responsibilities and staff
 AID – responsibilities and inspectors
 Qualifications / Training
 Airworthiness technical library and records

74
 Module 3 - Part II of Doc 9760
Airworthiness Organization Structure and Responsibilities

Questions?

75
 Module 4 - Part III of Doc 9760
State of Registry
Part III. State of Registry
Content of Part III
Chapter 1: State airworthiness legislation system and organizational structure
Chapter 2: Registration of aircraft
Chapter 3: Aircraft noise certification
Chapter 4: Certificate of airworthiness
Chapter 5: Approval for special flights
Chapter 6: Airworthiness approval for export
Chapter 7: Aircraft maintenance
Chapter 8: Aircraft maintenance – modifications and repairs
Chapter 9: Continuing airworthiness of aircraft
Chapter 10: Approval of the maintenance organization
76
 Module 4 - Part III of Doc 9760
State of Registry
This module….

• Key responsibilities of the State of Registry

• Information required in a aircraft register
• Maintenance programme
• Continuing airworthiness responsibilities of the State of Registry
• Issuing a Certificate of Airworthiness
• Approved Maintenance Organization
• Exercises on the process to issue a C of A and the evaluation of
facilities as part of the process for approving a maintenance
organization

77
 Module 4 - Part III of Doc 9760
State of Registry roles and responsibilities

Article 12 of the Convention

Each contracting State undertakes to adopt measures to insure

that every aircraft flying over and maneuvering within its territory
and that every aircraft carrying its nationality mark, wherever
such aircraft may be, shall comply with the rules and regulations
relating to the flight and maneuver of aircraft there in force. Each
contracting State undertakes to keep its own regulations in these
respects uniform, to the greatest extent, with those established
from time to time under this Convention.

78
 Module 4 - Part III of Doc 9760
State of Registry roles and responsibilities

State of Registry responsibilities

• Develops and promulgates regulations:

 Registration of aircraft
 Airworthiness and continuing airworthiness of aircraft
 Noise certification
 Issuance, validation or acceptance of type certificates

Part III, 1.2 79

 Module 4 - Part III of Doc 9760
State of Registry roles and responsibilities

• Issues certificates and permits:

 Certificate of Registration
 Certificate of Airworthiness
 Noise certificate
 Special flight permit
 Export Certificate of Airworthiness

Part III, 1.2 80

 Module 4 - Part III of Doc 9760
State of Registry roles and responsibilities
• Approves
 Modification and repair
 Maintenance Organizations
 Maintenance programme

• Ensures the continuing airworthiness of aircraft

• Conducts surveillance
• Take appropriate enforcement action, when
required.

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 Module 4 - Part III of Doc 9760
Continuing airworthiness responsibilities

e. Ensure the transmission to the State of Design all MCAI

a. Ensure that it informs the State of Design when it first
issued by the State of Registry in respect of a product
enters on its register an aircraft of a particular type
or modification originated from that aircraft.

b. Determine the continuing airworthiness of an aircraft f. Ensure there exist a system whereby information on
in relation to the appropriate airworthiness faults, malfunctions, defects and other occurrences that
requirements might cause adverse effects on continuing airworthiness
is transmitted to the type design organization. If this is a
c. Develop or adopt requirements to ensure the
modification,then the organization responsible for the
continuing airworthiness of aircraft during its service
design modification should be informed.
life including requirements that the aircraft:
• Continues to comply with the appropriate
g. Each Contracting State should establish, in respect for
airworthiness requirements after a modification,
large aircraft, the type of service information that is to be
repair or installation of a replacement part.
reported to its airworthiness authority by operators,
• Is maintained in an airworthy condition and in
organizations responsible for type design and maintenance
compliance with maintenance requirements of Annex
organizations. Procedures for reporting this information
6.
should also be established.
d. Upon receipt of MCAI from State of Design adopt
directly or assess the information received and take
appropriate action.
Part III, Chapter 9 82
 Module 4 - Part III of Doc 9760
Aircraft Register
Annex 7, Chapter 6

Each Contracting State or common mark registering

authority shall maintain a current register showing for each
aircraft registered by the State or common mark registering
authority, the information recorded in the certificate of
registration
This would include:
 Nationality or common mark and registration mark
 Manufacture and manufacture’s designation of aircraft
 Aircraft serial number
 Name and address of owner
 Date of issue
Part III, 2.4 83
 Module 4 - Part III of Doc 9760
Aircraft Register

Annex 7, Chap 7 84
 Module 4 - Part III of Doc 9760
Maintenance programme
Maintenance Programme

An approved maintenance programme is required for each

aircraft type. The information in a maintenance programme
should contain at least the following:

 Maintenance tasks and the intervals at which these are to be performed

 When applicable, a continuing structural integrity programme
 Procedures for changing and deviating from the above
 When applicable, conditioning monitoring and reliability programme
descriptions of aircraft systems, components and engines.

Maintenance tasks and that have been specified as mandatory in the approval of the type
design should be identified as such in the maintenance programme.

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Certificate of Airworthiness
Article 31:

Every aircraft engaged in international navigation shall be provided with

a valid Certificate of Airworthiness issued or rendered valid by the State
in which the aircraft is registered

Annex 8, Part II, Para 3.2.1:

A Certificate of Airworthiness shall be issued by a Contracting State on the

basis of satisfactory evidence that the aircraft complies with the design
aspects of the appropriate airworthiness requirements

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 Module 4 - Part III of Doc 9760
Certificate of Airworthiness
A Certificate of Airworthiness shall be:

 Issued or
 Validated

States should develop regulations and procedures for:

 The issuance of a C of A
 The validation of a C of A
 The renewal of a C of A and
 The delegation for the issuance or renewal of a C of A

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 Module 4 - Part III of Doc 9760
Certificate of Airworthiness
State of Registry has to ensure that the design of the
aircraft meets the appropriate airworthiness
requirements. This can be done through:

 Type Certification
- Full certification exercise
 Type Validation
- certification review to the differences that exist between the
State of Registry and State of Design
 Type Acceptance
- recognition and direct acceptance of type certification
already done by State of Design

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 Module 4 - Part III of Doc 9760
Certificate of Airworthiness
Application for the issue of C of A:
• Review application form
 Duly completed and submitted with all supporting documents

• Identify aircraft configuration

 To identify which components and changes to the type design have been made
o For new aircraft, manufacturer should identify any changes
o For old aircraft, records from previous State that issued the C of A

• Review documentation
 AFM
 Maintenance programme
 Status of maintenance tasks with respect to the maintenance programme
 Certification of any major repairs or modifications
 Status of MCAI compliance mandated by the State of Registry
 Mass and balance report together with equipment list
 Aircraft and engine or propeller log books and maintenance records
 Records that demonstrate the origin of parts that were installed new or repaired
 Export C of A, if applicable

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 Module 4 - Part III of Doc 9760
Certificate of Airworthiness
Application for the issue of C of A (cont):
• Inspection of aircraft
 Exterior
o Damage to aircraft
o Verify major modifications and repairs
o Aircraft, engines / propellers identification plates
o Components serial numbers conformity with aircraft records

 Interior
o Conformity of aircraft interior configuration, emergency and safety
equipment
o Markings and placards location and language
o 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 satisfactorily addressed.

Part III, 4.4.5 90

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Certificate of Airworthiness
Issuance of a C of A
 The aircraft must be registered in the State.
 Application form completed and signed by owner or appropriately
delegated person on behalf of the operator.
 Particulars of all work done to restore the aircraft to an airworthy condition.
 Full particulars of work done should be entered in the appropriate log book
and a maintenance release should be completed and the aircraft certified
airworthy by an organization or suitably authorized person.
 An organization or suitably qualified person should certify the aircraft
airworthy.
 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 91

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Certificate of Airworthiness

Continuing validity of C of A

Types of C of A

 C of A with an expiring period of validity

 C of A with a non-expiring period of validity

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Certificate of Airworthiness

Continuing validity of C of A

A C of A becomes invalid(not in force):

 The aircraft does not conform with the type design

approved by the State of Registry.
 The aircraft is not maintained in an airworthy condition

Part III, 4.6 93

 Module 4 - Part III of Doc 9760
Exercise - Example

FictionLand’s procedure for processing an

application for a C of A.

1. Review the procedure

2. Provide your comments
3. Propose areas of improvement

94
Module 4 - Part III of Doc 9760
Exercise - Example

95
 Part III – State of Registry
Exercise
FictionLand’s procedure for processing an
application for a C of A.

1. Review the procedure

2. Provide your comments
3. Propose areas of improvement

96
 Part III – State of Registry
Approved 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 it is maintained and released to service by an
organization approved in accordance with 8.7 (AMO), or
under an equivalent system, either of which shall be
acceptable to the State of Registry”
97
 Part III – State of Registry
Approved Maintenance Organization

Annex 6, Part 1, 8.1.3:

“When the State of Registry accepts an equivalent system, the person

signing the maintenance release shall be licensed in accordance with
Annex 1”

Annex 1, 4.1:

“An applicant shall, before being issued with any licence or rating…….,
meet such requirements with respect of age, knowledge, experience and
where appropriate, medical fitness and skill, as are specified for that
licence or rating.”

 Para 4.2.1. provides the requirements for age, knowledge, experience and skill

98
 Part III – State of Registry
Approved Maintenance Organization

Application process for a maintenance

organization approval (5 phases):

1. Pre-application
2. Formal application
3. Document evaluation
4. Demonstration and inspection
5. Certification

99
 Part III – State of Registry
Approved Maintenance Organization

Pre-application phase

 Face to face meeting

 Applicant explains its intent and make any clarifications
 CAA to provide guidance, approximate time and cost for
the certification and standard information package
 Agree on the procedures and a timeline for the
certification process
 Identify focal persons
100
 Part III – State of Registry
Approved Maintenance Organization
Formal application phase

• Submission of application:

 Application form and supporting attachments

o schedule of events
o statement of compliance

 Documents to be submitted
o maintenance organization procedures manual (MOPM)
o safety management system, if separate from MOPM
o quality assurance system, if separate from MOPM

 Applicable application fees

Part III, 10.3; 10.4; 10.5 101

 Part III – State of Registry
Approved Maintenance Organization
Formal application phase

• Acceptability of formal application

 Ensure the application package is complete

• Formal application meeting

 First formal meeting between the CAA and key
management personnel of the applicant.
Followed by a formal written acceptance of application.

102
 Part III – State of Registry
Approved Maintenance Organization
Document evaluation phase

Ensure the documents submitted are complete and meet the

regulatory requirements

The maintenance organization’s procedures manual (as required

in Annex 8, Part I, Chapter 8.7.2) should include:

 Scope of work to be included in the terms of approval

 Organization’s procedures and quality or inspection system
 Organization’s facilities
 Names and duties person or persons responsible to ensuring the
organization is in compliance with the requirements for an AMO
 Procedures to establish the competence of maintenance personnel
Part III, 10.3; Att A; A6,8.7 103
 Part III – State of Registry
Approved Maintenance Organization
Document evaluation phase

Maintenance organization’s procedures manual (cont):

 Method used for the completion and retention of maintenance records

 Procedures for preparing and signing the maintenance release
 Personnel authorized to sign the maintenance release
 Additional procedures to comply with operator’s maintenance procedures
 Procedures for reporting service information
 Procedures to receive, assess, amending and distributing all necessary
airworthiness data

Part III, 10.3 104

 Part III – State of Registry
Approved Maintenance Organization
Demonstration and inspection phase

To ensure that the applicant is capable to execute the

scope of work applied for.

What to look at?

• Facilities
 Facilities and working environment is appropriate for the scope of
work to be performed
 Technical data, equipment tools and material to perform the work
 Proper storage facilities for parts, equipment, tools and material
Part III, 10.6 105
 Part III – State of Registry
Approved Maintenance Organization
Demonstration and inspection phase
• Personnel
 Key person or persons whose responsibilities include ensuring that
the maintenance organization complies with the requirements
 The necessary personnel to plan, perform, supervise, inspect and
release work to be performed
 Training policy and programme to include the relevant initial and
recurrent training

• Records
 Process to retain maintenance records, work orders and task cards
etc.
Note: All non-conformities observed should be reported to the applicant in
writing for follow-up and corrective action.
Part III, 10.7 106
 Part III – State of Registry
Approved Maintenance Organization
Certification Phase

Inspector should compile a report for the issuance of an

maintenance organization approval. The report should
include:

 Complete application form

 All completed checklists used during the demonstration /
inspection
 Inspection reports with proper closure to findings
Note: Approval is only issued after all non-conformities are satisfactorily addressed.
 Other documentation to substantiate any recommendations
made
107
 Part III – State of Registry
Approved Maintenance Organization
Certification phase - Issuance of approval document

• Review report and recommendations

Note: Approval is only issued after all non-conformities are satisfactorily addressed

• The approval document should have at least :

 Organization’s name and location
 Date of issue and period of validity
 Terms of approval

A6,8.7.1 108
 Part III – State of Registry
Exercise
FictionLand’s procedure for processing the
evaluation of facilities as part of the process
for approving a maintenance organization

1. Review the procedure

2. Provide your comments
3. Propose areas of improvement

109
 Module 4 - Part III of Doc 9760
Summary
 Brief description of the content of Part III
 Key responsibilities of the State of Registry
 Continuing airworthiness responsibilities of the State of
Registry
 Information required in a Aircraft register
 Maintenance programme
 Issuing a Certificate of Airworthiness
 Approved Maintenance Organization
 Exercises on the process to issue a C of A and the evaluation
of facilities as part of the process for approving a maintenance
organization

110
Module 4 - Part III of Doc 9760
State of Registry

Questions?

111
 Module 5 - Part IV of Doc 9760
State of the Operator
Part IV. State of the Operator
Content of Part IV

Chapter 1: State airworthiness legislation system and

organizational structure
Chapter 2: Air operator certificate – airworthiness aspects
Chapter 3: Aircraft maintenance – modifications and repairs
Chapter 4: Continuing airworthiness of aircraft
Chapter 5: Airworthiness requirements for extended
diversion time operations
Chapter 6: Leasing arrangements
112
 Module 5 - Part IV of Doc 9760
State of the Operator
This module…….

• Key responsibilities of the State of the Operator

• Continuing airworthiness responsibilities of the State of
the Operator
• AOC certification – airworthiness aspects
• Contents of a Maintenance Control Manual (MCM)
• Extended Time Diversion Operations (EDTO)
• Exercise on the process of approving a Maintenance
Control Manual

113
 Module 5 - Part IV of Doc 9760
State of the Operator

Annex 6 Part I, Chapter 4 and Part III, Section II,

Chapter 2:

The issue of an air operator certificate by the State of the

Operator shall be dependent upon the operator
demonstrating an adequate organization, method of
control and supervision of flight operations, training
programme as well as ground handling and maintenance
arrangements consistent with the nature and extent of the
operations specified.

114
 Module 5 - Part IV of Doc 9760
State of the Operator roles and responsibilities
State of the Operator responsibilities
• Development and promulgation of regulations

 Operations of aircraft (including foreign aircraft)

 Airworthiness and continuing airworthiness of aircraft
 Acceptance of air operator’s MCM
• Issues Air Operator Certificate

 Includes the operations specifications of the operator

• Approves MEL
• Conducts surveillance
• Takes appropriate enforcement actions, when required

Part IV, 1.2 115

 Module 5 - Part IV of Doc 9760
Continuing airworthiness responsibilities

State of the Operator

Each Contracting State should establish, in respect for large

aircraft, the type of service information that is to be reported to its
airworthiness authority by operators, organizations responsible for
type design and maintenance organizations. Procedures for
reporting this information should also be established.

The operator of an large aeroplane / helicopter The operator of an large aeroplane / helicopter
should monitor and assess maintenance and should obtain and assess continuing airworthiness
operational experience with respect to continuing information and recommendations available from
airworthiness and provide the information as the organization responsible for the type design
prescribed by the State of Registry and report and should implement resulting actions
through a system specified in Annex 8, Part II, considered necessary in accordance with a
4.2.3f) and 4.2.4 procedure acceptable to the State of Registry.

Part IV, Chapter 4 116

 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Annex 6, Part I, Chapter 8.1 and Part III, Section II,
Chapter 6.1 ( Operator’s maintenance responsibilities):

Operators shall ensure that, in accordance to procedures

acceptable to the State of Registry:
a) each aeroplane / helicopter they operate is maintained in an
airworthy condition;
b) The operational and emergency equipment necessary for an
intended flight is serviceable; and
c) The certificate of airworthiness of each aircraft they operate
remains valid.

117
 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)

Annex 6, Part I, Chapter 8.1 and Part III, Section II,

Chapter 6.1 ( Operator’s maintenance responsibilities):

An operator shall not operate an aeroplane / helicopter unless

it is maintained and released to service by an organization
approved in accordance with Annex 6, Part I, Chapter 8.7, or
under an equivalent system, either of which shall be
acceptable to the State of Registry.

118
 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Certification of an operator (airworthiness aspects) is to determine the
capability of the applicant to adequately maintain its aircraft in a
airworthy condition.

This would include a detailed review and evaluation of the applicant’s:

 Maintenance control manual

 Supplemental manual( W/B, EDTO etc)
 Maintenance programme
 Maintenance arrangements
 Staffing
 Facilities
 Training
 MEL (coordination with OPS)

Part IV, 2.1.4 119

 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Application process for an AOC (5 phases):

1. Pre-application
2. Formal application
3. Document evaluation
4. Demonstration and inspection
5. Certification

(The 5 phase process drawn from Doc 8335- Manual of procedures for operations
inspection, certification and continued surveillance)

Part IV, 2.1.6 120

 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Pre-application phase

 Face to face meeting

 Applicant to explain intent and make clarifications
 CAA to provide guidance, approximate time and cost for
the certification and an information package
 Agree on the procedures and a timeline for the
certification process
 Identify focal persons

Part IV, 2.2 121

 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Formal application phase
• Submission of application:
 Application form and supporting attachments (to include)

o schedule of events
o statement of compliance
o management structure and key staff members
o information of aircraft to be operated
o maintenance arrangements, if applicable
o documents of purchase, leases, contracts or letters of intent

 Applicable application fees

Part IV, 2.3 122

 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
Formal application phase
• Submission of application (cont):

 Documentation to be submitted
o maintenance control manual
o maintenance programme for each type of aircraft
o reliability programme, if applicable
o quality assurance system
o safety management system

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Air Operator Certificate (Airworthiness aspects)

Formal application phase

• Acceptability of formal application

 Ensure the application package is complete

• Formal application meeting

 First formal meeting between the CAA and key management
personnel of the applicant.
 Followed by a formal written acceptance.

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Air Operator Certificate (Airworthiness aspects)

Document evaluation phase

• Provisions to be approved / accepted

 maintenance control manual
 aircraft-specific maintenance programme
 maintenance arrangements

Note: All non-conformities observed should be reported to the applicant in

writing for follow-up and corrective action.

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 Module 5 - Part IV of Doc 9760
Air Operator Certificate (Airworthiness aspects)
• Provisions that may require evaluation by more then one
specialty group:

 MEL
 Special operations including PBN, Low visibility operations, Cat II
and Cat III operations, EDTO and RVSM
 SMS

Part IV, 2.4.4 126

 Module 5 - Part IV of Doc 9760
Maintenance control manual (MCM)

Maintenance Control Manual (MCM)

• Procedures to ensure:
 Each aircraft is maintained in an airworthy condition
 Operational and emergency equipment is serviceable
 C of A remains valid
• A description of the administrative arrangements between the
air operator and the AMO
• A description of the maintenance procedures and the
procedures for completing and signing a maintenance release
when maintenance is based on a system other than that of an
AMO
Part III, 7.2 127
 Module 5 - Part IV of Doc 9760
Maintenance control manual (MCM)
MCM (cont.)

• Names and duties of the person or persons to ensure that all

maintenance is carried out in accordance with the MCM
• A reference to the maintenance programme for each aircraft
type operated
• Methods used for completion and retention of maintenance
records
• Procedures for monitoring, assessing and reporting
maintenance experience to the State of Registry
• Procedures for the complying of service information reporting
• Procedures to assess continuing airworthiness information
and implementing resulting actions
Part III, 7.2 128
 Module 5 - Part IV of Doc 9760
Maintenance control manual (MCM)
MCM (cont.)

• Procedures for implementing MCAI and process for using an

alternate means of compliance
• A system of analysis and continued monitoring of the
maintenance programme
• a description of aircraft types and models Procedures to
ensure that unserviceable systems and components are
recorded and rectified
• Procedures for completing and signing a maintenance release
for aircraft and parts that have undergone maintenance

Part III, 7.2 129

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Maintenance control manual (MCM)
MCM (cont.)

• Procedures to ensure the aircraft is maintained in accordance

to the maintenance programme
• Training programme for the maintenance personnel employed
by the operator
• Operator’s SMS
• Procedure to ensure modifications and repairs comply with
State of Registry requirements
• Procedure for MCM revision and control

Note: The Operator to provide a copy of MCM to the State of Registry and State
of the Operator, if applicable

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Air Operator Certificate (Airworthiness aspects)

Demonstration and inspection phase

To demonstrate that the applicant has the required qualified

staff, equipment and facilities to ensure that its aircraft
remain in airworthy condition for the duration of its
operational life.

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Air Operator Certificate (Airworthiness aspects)
Demonstration and inspection phase
What to look at?

 MCM
 Maintenance programme
 Maintenance control organization
 Facilities
 Aircraft inspection

Note: All non-conformities observed should be reported to the applicant in

writing for follow-up and corrective action.

Part IV, 2.5 132

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Air Operator Certificate (Airworthiness aspects)
Certification Phase

AID inspector should submit a report to the project manager with

the recommendations as to the applicant’s ability to conduct safe
operations. The report should include:

 All checklists used during the demonstration / inspection

 Inspection reports with proper closure to findings
 Other documentation to substantiate the any recommendations made

Note: All non-conformities observed should addressed before the issuance of the
approval document

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Extended Diversion Time Operations (EDTO)

Extended Diversion Time Operations (EDTO)

Any operation by an aeroplane with two or more turbine

engines where the diversion time to an en-route alternate
aerodrome is greater than the threshold time established
by the State of the Operator.

Annex 6 & Doc 9760, Definitions 134

 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)

Background:

 Initial State Letter circulated in 2007 (ref SP 59/4-07/47)

 Special Operations Task Force (SOTF) set-up in 2008
 Second State Letter, with revised EDTO provisions circulated in
June 2011
 7 Mar 2012: Amendment 36 to Annex 6 was adopted by Council
 16 July 2012: Effective date.
 15 Nov 2012: Applicable date

135
 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)
EDTO is an evolution of ETOPS
• Based on existing ETOPS provision
• Applies to all commercial aeroplanes
• Addresses systems that could force an aeroplane to divert:

 Engines (for twins)

 Loss of pressurization
 Time limited systems

• Requirements for 2 engines aeroplanes remains mostly

unchanged

Part IV, 5.1 136

 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)
• Requirements for 3 or more engines aeroplanes are
based on good “ industry practices”
 No additional maintenance requirements nor additional
certification 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,5.2;5.3, Annex 6 AttD , 3.2.9 137

 EDTO
Graphic Representation
Diversion range
60 min Threshold Max Div Time
(in time) (eg 75, 90, 180 min)

Operations beyond 60 MIN

• OPS Ctrl & Flt Dispatch
• OPS Procedures
• Training
• Identify alternates EDTO approval
-For twin engined a/c:
-verify alternates above
minima -EDTO approval
-EDTO significant systems
-EDTO critical fuel
State -Verify alternates above
Fixed value established minima State
(specific to -For twin engined a/c: approved
program (specific to
aircraft type) -maintenance
-maint. procedures operator &
-file alternate in ATS FP
aircraft type)

138
 EDTO
Graphic Representation Twins
Diversion range Threshold (eg 60 min)
(in time) 60 min Max Div Time

Operations beyond 60 MIN

EDTO approval

• EDTO approval
• Maintenance program
• EDTO significant systems
Fixed value • EDTO critical fuel State
• OPS Ctrl & Flit Dispatch
State • OPS Procedures
approved
established • Training (specific to
(specific to • Identify & verify alternates above operator &
minima aircraft type)
aircraft type)
• file Alt in ATS flight plan
139
 EDTO
Graphic Representation Tri’s & Quad’s
Diversion range Threshold
(in time) 60 min Max Div Time
(eg 120, 180 min)

Operations beyond 60 MIN

• OPS Ctrl & Flt Dispatch
• OPS Procedures
• Training
• Identify alternates EDTO approval

-EDTO approval
-EDTO significant systems
-EDTO critical fuel
State -Verify alternates above
Fixed value State
established minima
approved
(specific to
(specific to
aircraft type)
operator &
aircraft type)
140
 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)
Operators conducting operations beyond 60 mins to an en-route
alternate aerodrome will require:
a. All en-route alternate aerodromes be identified
b. The most up-to-date information be provided to the flight crew on
identified en-route alternate aerodromes, including operational
status and meteorological conditions
c. Conditions at identified en-route alternate aerodromes in (2) above
to be at or above the operator’s established aerodrome operating
minima for the operation at the estimated time of use (for 2
engines aeroplanes).
d. Also taking into account the operator’s:
 Operational control and flight dispatch procedures
 Operational procedures
 Training programmes

Annex6 AttD, 2.4 141

 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)

The EDTO threshold is not an operating limit. It is a flight time to

an en-route alternate aerodrome, which is established by the
State of the Operator. When establishing an EDTO threshold the
State needs to consider that:

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; and
d. the operator’s previous experience on similar aircraft types and
routes is satisfactory.

Annex6 AttD, 3.2.3 142

 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)
An EDTO approval is required for operations beyond
the established EDTO threshold.

An EDTO approval should take into consideration:

 the aeroplane’s EDTO significant systems (limiting time limitation, if
any, and relevant to that particular operation)
 the operator’s operational and EDTO experience with the aeroplane
type

Note: The operator’s approved maximum diversion time should not exceed
the most limiting EDTO significant system time limitation identified in
the aeroplane flight manual.

Annex6 AttD, 3.2.3 143

 Module 5 - Part IV of Doc 9760
Extended Diversion Time Operations (EDTO)
EDTO significant system
An aeroplane system whose failure or degradation could adversely
affect the safety particular to an EDTO flight, or whose continued
functioning is specifically important to the safe flight and landing of an
aeroplane during an EDTO diversion.
Includes:
 Propulsion systems
 Hydraulic systems
 Flight control systems
 Electrical power
 Equipment cooling systems
 Pressurization systems
 APU
 Cargo compartment fire suppression systems
 Fuel systems
Part IV, 5.1 144
 Module 5 - Part IV of Doc 9760
Exercise
Exercise on Fictionland process to approve a
MCM

1. Review the procedure

2. Provide your comments
3. Propose areas of improvement

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 Module 5 - Part IV of Doc 9760
Summary
 Brief description of the content of Part IV
 Key responsibilities of the State of the Operator
 Continuing airworthiness responsibilities of the State
of the Operator
 AOC certification – airworthiness aspects
 Contents of a Maintenance Control Manual
 Extended Time Diversion Operations (EDTO)
 Exercise on the process of approving a
Maintenance Control Manual

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Module 5 - Part IV of Doc 9760
State of the Operator

Questions?

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 Module 5 - Part IV of Doc 9760
State of Design and State of Manufacture
Part V. State of Design and State of Manufacture
Content of Part V

Chapter 1: State airworthiness legislation system and

organizational structure
Chapter 2: Type certification
Chapter 3: Aircraft maintenance – modifications and repairs
Chapter 4: Production approvals / certification
Chapter 5: Additional requirements when the State of
Manufacture is not the State of Design
Chapter 6: Continuing airworthiness of aircraft
Chapter 7: Issuance of export certificates of airworthiness
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 Module 5 - Part IV of Doc 9760
State of Design and State of Manufacture

This module…..

• Key responsibilities of the State of the Design and State

of Manufacture
• Continuing airworthiness responsibilities of the State of
the Design and State of Manufacture
• Type certification activities
• Absence of or deficiency by a type certificate holder

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 Module 5 - Part IV of Doc 9760
State of Design
State of Design responsibilities
• Ensures the design aspects of the aircraft type comply
with the Standards in Annex 8
• Issues type certificate
• Approves AFM, MMEL and CDL
• Approves modifications to the type certificate
• Transmits any ICA and MCAI necessary for the safe
operation of the aircraft (including suspension and
revocation of TC)
• Addresses the information received from State of
Registry on faults, malfunctions, defects and other
occurrences

Part V, 1.2.1 150

 Module 5 - Part IV of Doc 9760
State of Design
State of Design responsibilities (cont)
• When the State of Design and State of Manufacture is
different ensures the organization responsible for the
type design cooperates with the manufacturing
organization in assessing the information received on the
experience with operating the aircraft

• When the State of Design of an engine or propeller is not

the State of Design of the aircraft, it transmits any
continuing airworthiness information to the State of
Design of the aircraft and any other Contracting State
upon request

Part V, 1.2.1 151

 Module 5 - Part IV of Doc 9760
State of Manufacturer
State of Manufacture responsibilities

• Ensure that the production of aircraft and aircraft parts,

including aircraft parts manufactured by contractors
and/or suppliers, are airworthy

• Issue a production approval to the manufacturing

organization upon satisfactorily evaluation of its
processes and systems and inspection of the production
facilities

Part V, 1.2.2 152

 Module 5 - Part IV of Doc 9760
State of Design continuing airworthiness responsibilities
State of Design

a. Transmit to every State that has c. Ensure a continuing SIP for

advised that it has an aircraft on its aeroplanes over 5700kgs
register and any State on request, any
applicable information that is necessary d. Ensure where the State of
for the continuing airworthiness and Manufacture is not the State of
safe operations of the aircraft. Also Design, there is an agreement
notify States of the suspension or acceptable to both States to ensure
revocation of a TC. that the type design organization
cooperates with the manufacturing
b. Ensure there is a system for:
organization in assessing information
• Receiving information on faults,
received on experience with
malfunctions, defects and other
operating the aircraft.
occurrences that cause and might
cause adverse effects on the
continuing airworthiness of the
aircraft
• Deciding if and when airworthiness
action is needed
• Developing the necessary
airworthiness actions
• Promulgating the information on
those actions

Part V, 6.2.5 153

 Module 5 - Part IV of Doc 9760
State of Manufacture continuing airworthiness responsibilities

State of Manufacture

Ensure where the State of Manufacture is not the State

of Design, there is an agreement acceptable to both
States to ensure that the manufacturing organization
cooperates with the type design organization in
assessing information received on experience with
operating the aircraft.

Part V, 6.2.5d 154

 Module 5 - Part IV of Doc 9760
State of Design

Type certification activities

 Application for a type certificate

 Establishing the certification basis
 Establishing the means of compliance
 Demonstration of compliance
 Certifying the type design
 Post type certification activities

Part V, 2.2, 2.3 155

 Module 5 - Part IV of Doc 9760
State of Design
Absence of or deficiency by a TC holder

 Cease to legally exist

 Abandon 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 holder
 suspend or revoke the TC if no other options are available

Part V, 6.2.4 156

 Module 5 - Part IV of Doc 9760
State of Design
Suspension or revocation of a TC

 Annex 8 Part II 4.2.1.1 requires the State of Design to notify

Contracting States of the suspension or revocation of a type
certificate

 Annex 8 Part II 4.2.3 ultimately assigns the State of Registry the

responsibility for determining the continuing airworthiness of the
aircraft in its aircraft register.

 The State of Registry is required develop or adopt requirements

necessary for ensuring the continuing airworthiness of the aircraft
in its aircraft register during its service life.

Part V, 6.2.4 157

 Module 5 - Part IV of Doc 9760
State of Design and State of Manufacture
Summary
 Brief description of the content of Part V
 Key responsibilities of the State of the Design and State
of Manufacture
 Type certification activities
 Absence of or deficiency by a type certificate holder
 Continuing airworthiness responsibilities of the State of
the Design and State of Manufacture

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 Module 5 - Part IV of Doc 9760
State of Design and State of Manufacture

Questions?

159
 Quiz
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 Airworthiness Organisation?
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 Operator Certificate?
5 Phases, Part IV Chapter 2

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 Quiz
6. Who grants the approval for Extended Diversion Time Operations?
State of the Operator, Part IV Chapter 5
7. What are the State of Registry’s responsibilities for continuing
airworthiness?
Part III, Chapter 1
8. Which State approves Major repairs and modifications?
State of Registry, Part III, Chapter 8
9. What are the State of Design’s responsibilities for continuing airworthiness?
Part V, Chapter 6
10. Whose responsibility is it to issue the Mandatory Continuing Airworthiness
Instruction?
State of Design, Part V, Chapter 6.9
State of Registry, Part III, Chapter 9.5

161
 Quiz
11. Whose responsibility is it to approve the Maintenance Programme?
State of Registry, Part III, Chapter 7.3
12. Who approves the Reliability Programme?
State of Registry, Part III, Chapter 7.4
13. Can an aircraft be registered in more then one State?
No, Part III, Chapter 2.2.2
14. Can one airplane have a different States of Registry then the State of the
Operator?
Yes, Part IV, Chapter 6.1

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 Review of objectives

At the end of this seminar the participant would be

able to identify, with reference to the ICAO Doc
9760:

 the structure of an Airworthiness Organization

and the airworthiness responsibilities of States

 the roles and responsibilities of the State of

Registry, State of Operator and State of Design
and Manufacture.

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 Doc 9760 – What’s next?

Revision 1 (possibly late 2015)

 Enhance guidance on the approval of AMOs

 More guidance provided to the State of Registry when type
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 approval
 Provide guidance on the maintenance of a aircraft register

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Doc 9760 (Airworthiness Manual)

Queries and comments:

Alain Coutu, Technical Officer (Airworthiness) at [email protected]
Sebastian Wong at [email protected]

165