awm seminar dubai

8/13/2019 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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Air Operator Certificate (Airworthiness Aspects)

Operations Specifications MEL Continuing airworthiness of aircraft

State of the Operator


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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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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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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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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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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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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



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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



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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



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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



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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.



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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



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Issues certificates and permits:Certificate of Registration

Certificate of Airworthiness

Noise certificateSpecial flight permitExport Certificate of Airworthiness

Part III, 1.2



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ApprovesModification and repairMaintenance OrganizationsMaintenance programme

Ensures the continuing airworthiness of aircraft

Conducts surveillance and take appropriateenforcement action, when required.

Part III, 1.2



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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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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



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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



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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



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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



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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



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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



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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



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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



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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



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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



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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



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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



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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



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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



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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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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



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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



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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



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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



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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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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)

Part IV State of the Operator


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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.



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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



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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.



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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.



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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



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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



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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



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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



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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



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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.



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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



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Provisions that may require evaluation with anothergroup:MELSpecial operations including EDTO and RVSM

SMS

Part IV, 2.4.4



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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



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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



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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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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)


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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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



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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


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


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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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



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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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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



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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



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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



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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



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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]