text:
Airworthiness. An Introduction to Aircraft Certification and OperationsFilippo De Florio
Airworthiness: An Introduction to Aircraft Certification and Operations, Third Edition, once again proves to be a valuable, user-friendly reference guide for certification engineers engaged in professional training and practical work in regulatory agencies and aircraft engineering companies. The discussions reflect the recent changes in the EASA-FAA regulations and also include the concepts of flight safety and airworthiness; the ICAO and civil aviation authorities; airworthiness requirements; type certifications and the type-certification process; production of products, parts, and appliances; certifications of airworthiness; and rules for spaceworthiness.
Since publication of the second edition, airworthiness regulation and certification around the world have gone through significant changes. For example, EASA structure has completely changed, FAA rules are no longer applicable, substantial changes have been made in the international airworthiness regulations and certification procedures, and unmanned aircraft have evolved technically and operationally. The changes in airworthiness regulations in the last five years have been striking, changing the way in which we look at airworthiness and certification processes around the world.
- Includes updates throughout to reflect changes to the airworthiness regulations of the two most influential ruling authorities―EASA and FAA
- Includes an update on remotely piloted air systems as well as space vehicles
- Provides guidelines to shape a comprehensive 'certification map' including comparisons, explanations, and backgrounds of institutions and processes
- Features a new chapter "Certificates of Airworthiness and Permits to Fly" that provides an overall description of the requirements governing the certificates of airworthiness
You may be interested in
Airworthiness An Introduction to Aircraft Certification and Operations Third Edition Filippo De Florio AMSTERDAM • BOSTON • HEIDELBERG • LONDON NEW YORK • OXFORD • PARIS • SAN DIEGO SAN FRANCISCO • SINGAPORE • SYDNEY • TOKYO Butterworth-Heinemann is an imprint of Elsevier Butterworth-Heinemann is an imprint of Elsevier The Boulevard, Langford Lane, Kidlington, Oxford OX5 1GB, United Kingdom 50 Hampshire Street, 5th Floor, Cambridge, MA 02139, United States Copyright © 2016, 2011, 2006 Filippo De Florio. Published by Elsevier Ltd. All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording, or any information storage and retrieval system, without permission in writing from the publisher. Details on how to seek permission, further information about the Publisher's permissions policies and our arrangements with organizations such as the Copyright Clearance Center and the Copyright Licensing Agency, can be found at our website: www.elsevier.com/permissions. This book and the individual contributions contained in it are protected under copyright by the Publisher (other than as may be noted herein). Notices Knowledge and best practice in this field are constantly changing. As new research and experience broaden our understanding, changes in research methods, professional practices, or medical treatment may become necessary. Practitioners and researchers must always rely on their own experience and knowledge in evaluating and using any information, methods, compounds, or experiments described herein. In using such information or methods they should be mindful of their own safety and the safety of others, including parties for whom they have a professional responsibility. To the fullest extent of the law, neither the Publisher nor the authors, contributors, or editors, assume any liability for any injury and/or damage to persons or property as a matter of products liability, negligence or otherwise, or from any use or operation of any methods, products, instructions, or ideas contained in the material herein. Library of Congress Cataloging-in-Publication Data A catalog record for this book is available from the Library of Congress British Library Cataloguing-in-Publication Data A catalogue record for this book is available from the British Library ISBN: 978-0-08-100888-1 For information on all Butterworth-Heinemann publications visit our website at https://www.elsevier.com/ Publisher: Joe Hayton Acquisition Editor: Carrie Bolger Editorial Project Manager: Carrie Bolger Production Project Manager: Nicky Carter Designer: Maria Inês Cruz Typeset by TNQ Books and Journals About the Author Filippo De Florio, an aeronautical engineer, was Director of the Italian RAI ENAC Type Certification Division between 1992 and 2000. During this time, he was also a member of the JAA Certification Committee. As a member of the JAR 22 and JAR-VLA Study Groups since the 1970s, he has contributed to the creation and development of such standards. He performed sport and test flight activity as a sailplane and aeroplane pilot for over 25 years; he is a member of the OSTIV Sailplane Development Panel and honorary member of UVS International. In June 2008, he was awarded the first UAS Pioneer Award instituted by UVS International 'to honour and thank individuals for their exceptional and dedicated services to the international Unmanned Air Systems (UAS) community'. xix Preface This is the Third Edition of a book I have started many years ago; a book I wish I had when, as a young engineer, I began tackling the complex realities of the aviation industry. This is why I hope this book will guide young engineers and generally be a reference for aviation professionals in what it is now more than ever an evolving and exciting time for the industry. Technology and regulations have evolved so fast and in so many ways that it has been necessary to revisit the entire content of the previous edition. It was also necessary to expand this content in consideration of the growing application of unmanned systems, autonomous flight, sport flight, and space technology. Aviation regulations are in fact a continuously evolving domain, they will evolve and will keep changing. However, the philosophies behind airworthiness regulations and their very nature have not substantially changed: airworthiness, ultimately, is about safety. The safety of people, the environment, the economy. This book covers the airworthiness regulations of the two most advanced ruling authority: EASA and FAA. ICAO Annexes are the basis for these regulations as well of all regulations in more than 180 contracting States. In this Third edition, I focus on this very subject. Many other regulations are based on this very framework and the current Chinese edition of the book already confirms the increasing interest on this domain outside Europe or the United States. This book therefore is not a certification manual: the scope of this book is to provide guidance on the philosophies and processes behind the certification process and related regulations. Sometimes, starting a new job feels like to be at the foot of a hill without knowing what there is on the other side. If you reach the top of the hill, you can have an overview of the valley but if you want to explore a particular site you have to descend the hill and visit it. In other terms, to become an expert in a particular topic, you will have to go beyond this book and go explore. Similarly, I often report only titles or excerpts from standards and advisory material to provide guidance on their content: when this material is approached for practical purposes, I suggest the good practice of reading the original text. Filippo De Florio January 2016 xxi Acknowledgements I would like to express my gratitude to my daughter Francesca De Florio, for her invaluable contribution and advice. A special thanks to Jonathan Simpson, Elsevier, for assessing the content of my original manuscript of the First Edition and his suggestion on expanding the scope and depth of its content. I am also grateful to Carrie Bolger and Nicky Carter at Elsevier for their professional and enthusiastic guidance. xxiii CHAPTER FLIGHT SAFETY 1 Safety is a concept generally ingrained in the human mind. The word safety has many definitions depending on the context. In general sense, the official Merriam-Webster definition of the word is 'The condition of being safe from undergoing or causing hurt, injury, or loss'. The ICAO1 offers a definition for safety more pertinent to aviation as 'The state in which risks associated with aviation activities, related to, or in direct support of the operation of aircraft, are reduced and controlled to an acceptable level'. Another good definition is 'Safety is the freedom from those conditions that can cause death, injury, occupational illness, damage to or loss of equipment or property, or damage to the environment'.2 Safety is something related to all human activities and, therefore, every civil society is organised (or should be organised) to guarantee public safety in relation to one's own or others' activities. This is certainly a moral obligation, and it is also a practical requirement because accidents causing damage to persons and properties have either social or economic costs. This is also the reason why human activities that could cause damage to persons and properties are controlled by national states through regulations. 1.1 FLIGHT SAFETY FACTORS We will specifically deal with safety related to aeronautical activities with methods for safety assessment in relation to the certification of aircraft systems. We start now by considering what we have defined as the main conventional flight safety factors: the person, the environment, and the machine. (1) Person is intended here as an active part of the flight operations; we then consider flight and ground crew members, air traffic controllers, and others. Clearly it is important to be able to rely on very skilled people to avoid errors that cause accidents or catastrophes in flight operations. It is then of paramount importance to place these people in a legislative and organised context to guarantee a suitable level of professional training, updating of techniques and procedures, and psychological and physical fitness. National states entrust special public institutions with the responsibility for such obligations. (2) The environment covers all the external factors that can have an influence on the flying of an aircraft. This includes meteorological conditions, traffic situations, communications, aerodromes, and so on. It is equally important to avoid situations that could jeopardise the aircraft itself. Then we should consider correct meteorological information, rules for the vertical and horizontal separation of the aircraft, suitable aerodromes, and so on. 1International 2U.S. Civil Aviation Organisation Annex 19. Title 48 of Federal Acquisition Regulation System (Chapter 18). Airworthiness. http://dx.doi.org/10.1016/B978-0-08-100888-1.00001-X Copyright © 2016 Filippo De Florio. Published by Elsevier Ltd. All rights reserved. 1 2 CHAPTER 1 FLIGHT SAFETY FIGURE 1.1 Flight safety represented as three links in a chain. (3) The machine does not require a definition, but it is easy to understand the importance of a good project, sound construction, and efficiency in relation to the operations to be carried out. Also, in this case, national states entrust special public bodies with the responsibility of assuring that the project, the construction, and the operating instructions comply with flight safety. An important point regarding these safety factors is that they act in series and not in parallel. They can be seen as three links of a chain representing flight safety (Fig. 1.1). The failure of a single link is sufficient for an accident to happen. A pilot's error can put the best aircraft in jeopardy, and the best pilot cannot compensate for a serious failure in an aircraft. Accident reports offer countless examples of this; however, accidents are often caused by a combination of factors that could involve all these safety factors. Nevertheless the accident always begins with the failure of one of the above-mentioned links. 1.1.1 THE MACHINE In this book, we deal specifically with one of these safety factors: the machine. We explain design rules, the people who make them, those who make the oversight from design to construction and operations and who is responsible for the organisation of manufacturers and air operators. 1.1 Flight Safety Factors 3 We must consider in any case that the machine factor is strictly interlinked with the other two factors. The design of the machine, must consider the environment in all of the forms connected with the expected operations: air pressure and temperature, gusts, icing and lightning protection, air traffic communications, etc. Certainly it is of paramount importance to remember that the machine is operated by persons in flight and on the ground. In the last few years, we have seen fatal accidents caused by insufficient crew management: pilots incapable of controlling efficient aircraft with just one system failure and incapable of deciding what to do efficiently. In these cases, it is easy to blame the pilots, but the true question is the relationship between person and machine: are the pilots sufficiently trained to the complexity of modern automated aircraft? Are the machines designed to make training easier? Should the pilots be capable, like in the past, to control manually a modern commercial aircraft? These and other questions are still being carefully considered by authorities and air operators. CHAPTER AIRWORTHINESS 2 2.1 DEFINITION OF AIRWORTHINESS A definition of 'airworthiness' can be found in an Italian RAI-ENAC Technical Regulations text: 'For an aircraft, or aircraft part, (airworthiness) is the possession of the necessary requirements for flying in safe conditions, within allowable limits'. In this definition, three key elements deserve particular consideration: safe conditions, possession of the necessary requirements, and allowable limits. (1) We can take for granted the meaning of safe conditions relating to the normal course and satisfactory conclusion of the flight. According to one definition we have seen, 'safety is the freedom from those conditions that can cause death, injury or illness, damage to/loss of equipment or property, or damage to the environment'. (2) Possession of the necessary requirements means that the aircraft, or any of its parts, is designed and built according to the studied and tested criteria, to fly in safe conditions, as mentioned above. Regulations are intended to promote safety by eliminating or mitigating conditions that can cause death, injury, or damage. These regulations are established by the airworthiness authorities appointed by each country. These are obtained through the publication of airworthiness standards (see details in the following chapters) containing a series of design requirements: from the strength of the structures to the flight requirements (flight qualities and performance), criteria for good design practice, systems, fatigue and flutter, necessary tests, flight and maintenance manual content, and so on. These standards are different for different types of aircraft. Obviously it is not possible to design a sailplane, a big transport aeroplane, or a helicopter using the same rules. An important characteristic of these standards is their evolution with time. Generally a standard does not precede aeronautical progress; it does follow and sometimes accompanies it. A blocked standard would prevent aeronautical progress. It follows that the rules have to continuously fit with technical aeronautical progress. Moreover very often accident analysis leads to additional rules that, had they been applied to the design, might have prevented the accident or at least limited its effects; this process might be considered as an afterthought, but it is better to consider it as an experience from which to learn. Modifications to the standards (normally with the purpose of adding something new or different) make the design compliance to the rules more and more expensive, but this is the price to pay to improve flight safety. (3) Allowable limits. Aircraft are designed for operation within a certain flight envelope, which depends mainly on speed and structural load factors. In addition, the maximum weight of the aircraft can be established differently for different types of operations. Operational conditions of the aircraft, such as day-visual flight rule, night flight, instrumental flight, in or out of icing conditions, and so on, are also established. Exceeding these conditions and limits can cause accidents. Airworthiness. http://dx.doi.org/10.1016/B978-0-08-100888-1.00002-1 Copyright © 2016 Filippo De Florio. Published by Elsevier Ltd. All rights reserved. 5 6 CHAPTER 2 AIRWORTHINESS Overweight take off, aerobatic manoeuvres performed with aircraft designed with load factors for nonaerobatic operations, flights in icing conditions without suitable protection, and exceeding the speed limits are just few examples of the importance of flying within the allowable limits. Pilots are made aware of these limits through the flight manual, the markings and placards displayed in the cockpit, and, of course, training. 2.2 AIRWORTHINESS IN THIS BOOK In this book, the concept of Airworthiness is treated in a consequential manner. • • • • • • • • • • • tarting in this Chapter 2 with its definition and in Chapter 3 with a description of the internaS tional organisations that establish the rules and oversight their application. Chapter 4 offers an overview of the regulations concerning directly or indirectly the certification of aircraft and parts and general considerations on the airworthiness regulations. Chapter 5 deals with the type certification of products (aircraft engines and propellers), parts and appliances (initial airworthiness). Chapter 6 offers a description of type certification processes. After the type certification, the logic sequence is the production of the flying material. Chapter 7 describes the pertinent processes. Aircraft are authorised to fly only if a certificate of airworthiness or similar documents are issued by the competent authorities. Chapter 8 deals with this complex subject. The ICAO Annex 61 requires that the level of airworthiness must be integrated by the application of complementary standards for the particular aircraft operations. Chapter 9 offers a summary of the pertinent operational standards and the additional airworthiness requirements for the operations. The operations of an aircraft can continue for many years, often for decades, provided the aircraft remains airworthy. Continuing airworthiness is defined by ICAO as '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.' Chapter 10 describes the inherent requirements taking into considerations also the means to ensure the airworthiness of ageing aircraft. Other items are treated in this chapter, like the requirements for extended operations and the Safety Management System. Though not directly related to the certification of the machine, this chapter also gives information about the air operator's certification. The growing importance of the unmanned aircraft and the commitment in the last years of authorities, associations, and industries to establish a set of regulations and the possibility of operations in nonsegregated airspace like manned aircraft deserved a new chapter. Chapter 11 is dedicated to Airworthiness of unmanned aircraft systems (UAS). The last chapter of the II Edition of 'AIRWORTHINESS' (2011), was titled 'From Airworthiness to Spaceworthiness?' due to the success of experimental suborbital flights, which suggested a rapid development of commercial flight. We resume this subject in Chapter 12. 1See Chapter 3 (126.96.36.199) Annex 6. Operation of Aircraft. CHAPTER THE ICAO AND THE CIVIL AVIATION AUTHORITIES 3 3.1 THE INTERNATIONAL CIVIL AVIATION ORGANIZATION The first recorded flight by a heavier-than-air machine was by the Wright brothers on 17 December 1903 in North Carolina. Since the earliest years of aviation, far-seeing people envisaged a new dimension of transport that would go beyond national boundaries. In 1910, the first conference on air navigation international law was hosted by France in Paris, with the attendance of 18 European states. The First World War fostered considerable development of aeronautical techniques, also demonstrating the potential for transport of goods and people. After the war, it became increasingly evident that this advanced means of transport would require international attention. These issues were debated at the Paris Conference of Peace in 1919, and the discussion led to the establishment of an Aeronautical Commission. To succeed in the purpose of making aviation, an instrument of peace, an International Air Convention was written and ratified by 38 states. The Convention contemplated all aspects of civil aviation and also the establishment of an International Commission for Air Navigation to monitor the development of civil aviation and to propose measures for this development. The years between the two World Wars marked a continuous development of civil aviation in both the technical and the commercial fields. The Second World War, apart from the horrors also caused by the operations of progressively more sophisticated military aircraft, had a major effect on their technical development, compressing a quarter of a century of normal peacetime development into 6 years. The possibility of carrying a great number of people and a large quantity of goods over long distances became a reality. For these reasons, in 1944 the Government of the United States started to conduct exploratory discussions with other allied nations. On the basis of these talks, invitations were sent to 55 allied and neutral states to meet in Chicago in November 1944. Of these 55 states, 52 attended the meeting. The outcome of 5 weeks of meetings was the Convention on International Civil Aviation, consisting of a preamble and 96 articles. The International Civil Aviation Organization (ICAO) officially came into existence on 4 April 1947. At the invitation of the Government of Canada, Montreal was chosen as the site for its headquarters. Presently, the Contracting States are more than 180. The aims and objectives of the ICAO are to develop the principles and techniques of international air navigation and to foster the planning and development of international air transport so as to: (1) e nsure the safe and orderly growth of international civil aviation throughout the world; (2) encourage the arts of aircraft design and operation for peaceful purposes; (3) encourage the development of airways, airports, and air navigation facilities for international civil aviation; Airworthiness. http://dx.doi.org/10.1016/B978-0-08-100888-1.00003-3 Copyright © 2016 Filippo De Florio. Published by Elsevier Ltd. All rights reserved. 7 8 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES (4) m eet the needs of the people across the world for safe, regular, efficient, and economical air transport; (5) prevent economic waste caused by unreasonable competition; (6) ensure that the rights of the Contracting States are fully respected and that every Contracting State has fair opportunity to operate international airlines; (7) avoid discrimination between Contracting States; (8) promote safety of flight in international air navigation; and (9) promote generally the development of all aspects of international civil aeronautics. 3.1.1 THE INTERNATIONAL STANDARDS Since the ICAO was created, a main technical task of the organisation has been the achievement of standardisation in the operation of a safe, regular, and efficient air service. This has resulted in high levels of reliability in many areas that collectively shape international civil aviation, particularly in relation to the aircraft, their crews, and the ground-based facilities and services. Standardisation has been achieved through the creation, adoption, and amendments of 18 Annexes1 to the Convention, identified as International Standards and Recommended Practices. Standards are directives that ICAO members agree to follow. If a member has a standard different from an ICAO Standard, that member must notify the ICAO of the difference. Recommended practices are desirable but not essential. The basic principle for deciding whether a particular issue should be a standard is an affirmative answer to the question, 'Is uniform application by all Contracting States essential?' On the basis of the Convention, the Contracting States are engaged to achieve the highest practical degree of worldwide uniformity in regulations, organising procedures in relation to aircraft, personnel, airways, and auxiliary services, whenever this will facilitate and improve air safety, effectiveness, and regularity. The 18 Annexes are described as follows: • • • • • • • • 119 nnex 1. Personnel Licencing provides information on licencing of flight crews, air traffic conA trollers, and aircraft maintenance personnel, including medical standards for flight crews and air traffic controllers. Annex 2. Rules of the Air contains rules relating to visual- and instrument-aided flight. Annex 3. Meteorological Service for International Air Navigation provides meteorological services for international air navigation and reporting of meteorological observations from aircraft. Annex 4. Aeronautical Charts contains specifications for the aeronautical charts used in international aviation. Annex 5. Units of Measurement to be Used in Air and Ground Operations lists dimensional systems to be used in air and ground operations. Annex 6. Operation of Aircraft enumerates specifications to ensure a level of safety above a prescribed minimum in similar operations throughout the world. Annex 7. Aircraft Nationality and Registration Marks specifies requirements for registration and identification of aircraft. Annex 8. Airworthiness of Aircraft specifies uniform procedures for certification and inspection of aircraft. from 2015: Annex 19 Safety Management. 3.1 The International Civil Aviation Organization • • • • • • • • • • 9 nnex 9. Facilitations provides for the standardisation and simplification of border-crossing A formalities. Annex 10. Aeronautical Telecommunications Volume 1 standardises communications equipment and systems, and Volume 2 standardises communications procedures. Annex 11. Air Traffic Services includes information on establishing and operating air traffic control (ATC), flight information, and alerting services. Annex 12. Search and Rescue provides information on organisation and operation of facilities and services necessary for search and rescue. Annex 13. Aircraft Accident and Incident Investigation provides uniformity in notifying, investigating, and reporting on aircraft accidents. Annex 14. Aerodromes contains specifications for the design and equipment of aerodromes. Annex 15. Aeronautical Information Services includes methods for collecting and disseminating aeronautical information required for flight operations. Annex 16. Environmental Protection Volume 1 contains specifications for aircraft noise certification, noise monitoring, and noise exposure units for land-use planning and Volume 2 contains specifications for aircraft engine emissions. Annex 17. Security-Safeguarding International Civil Aviation against Acts of Unlawful Interference specifies methods for safeguarding international civil aviation against unlawful acts of interference. Annex 18. The Safe Transport of Dangerous Goods by Air specifies requirements necessary to ensure that hazardous materials are safely transported in aircraft while providing a level of safety that protects the aircraft and its occupants from undue risk. As aeronautical technology is continuously developing, the Annexes are constantly reviewed and updated whenever necessary. The typical content of an Annex is based on the following: (1) S tandards intended as specifications when their application is considered as necessary for the safety and regularity of international air navigation. (2) Recommended practices intended as specifications when their application is considered as a recommendation in the interest of safety, regularity, and efficiency of international air navigation. (3) Appendices dealing with the previous points. (4) Definitions of the used terminology. The Contracting States have issued norms not strictly replicating the content of the Annex, which essentially states some of the principles or objectives to attain. The norms contain the requirements used to reach the objectives. Furthermore, although the principles remain the same, the requirements are often influenced by the state-of-the-art (technical evolution, new technology, and acquired experience), and they are then likely to be improved and amended. The applicable Joint Aviation Authorities (JAA), the Federal Aviation Administration (FAA), and the European Aviation Safety Agency (EASA) airworthiness standards for the certification of aircraft to be internationally recognised are issued in accordance with the ICAO Annexes. Therefore, from a practical point of view, the certification process is based on these airworthiness standards rather than (directly) on the ICAO International Standards.2 2As we shall see later, the JAA standards are now superseded. 10 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES To remain within the scope and objectives of this book, we consider the content of four Annexes directly connected with airworthiness. 126.96.36.199 Annex 6. Operation of aircraft The essence of Annex 6 is that the operation of aircraft engaged in international air transport must be as standardised as possible to ensure the highest levels of safety and efficiency. The Annex consists of three parts: PART I. This part contains Standards and Recommended Practices adopted by the ICAO as the minimum standards applicable to the operation by operators authorised to conduct international commercial air transport operations. These international commercial air transport operations include scheduled international air services3 and nonscheduled international air transport operations for remuneration or hire. In conjunction, these two types of operations include all international air transport operations conducted for remuneration or hire by aeroplanes. It is no longer considered necessary to differentiate in the Standards and Recommended Practices between scheduled international air services and nonscheduled international air transport operations. The purpose of Part I is to contribute to the safety of international air navigation by providing criteria of safe operating practice and to contribute to the efficiency and regularity of international air navigation by encouraging States to facilitate the passage over their territories of aeroplanes in international commercial air transport belonging to other States that operate in conformity with such Standards. An element of the safety of an operation is the intrinsic safety of the aircraft, that is, its level of airworthiness. The level of airworthiness of an aircraft is, however, not fully defined by the application of the airworthiness Standards of Annex 8, but also requires the application of those Standards in the present Annex that are complementary to them. PART II. The Standards and Recommended Practices of this Part are applicable to international general aviation operations4 with aeroplanes as described in Section 2 and Section 3.5 The Standards and Recommended Practices represent minimum provisions and, together with those of Annex 6 – Operation of Aircraft, Part I, now cover the operation of all aeroplanes in international civil aviation, except in aerial work operations. It will be noted that the Standards and Recommended Practices contained in this Part II, when applied to the operation of large aeroplanes, are less stringent than those in Annex 6, Part I, applicable to the same or similar aeroplanes when used in commercial air transport operations. Nevertheless it is considered that, in conjunction with existing provisions in Annexes 1 and 8, Annex 6, Part II, ensures an adequate level of safety for the operations envisaged for the large aeroplanes in question. In this context, attention is drawn to the fact that the entire performance Standards of Annex 8 are applicable to all aeroplanes of over 5700 kg mass intended for the carriage of passengers or cargo or mail for international air navigation. Level of safety. The Annex should ensure an acceptable level of safety to passengers and third parties (third parties meaning persons on the ground and persons in the air in other aircraft). Also, as some international general aviation operations (typically under 5700 kg) would be performed by crews less experienced and less skilled, with less-reliable equipment, to less-rigorous standards, and with greater 3Scheduled operations include passenger operations in which the departure location and time and the arrival location are offered in advance by the operator. 4General aviation operation: An aircraft operation other than a commercial air transport operation or an aerial work operation. 5Section 2: General aviation operations. Section 3: Large and turbojet aeroplanes. 3.1 The International Civil Aviation Organization 11 freedom of action than in commercial air transport operations, it was therefore accepted that the passenger in international general aviation aircraft would not necessarily enjoy the same level of safety as the fare-paying passenger in commercial air transport. However, it was recognised that in ensuring an acceptable degree of safety for third parties, an acceptable level of safety for flight crews and passengers would be achieved. PART III. The Standards and Recommended Practices contained in this Part III shall be applicable to all helicopters engaged in international commercial air transport operations or in international general aviation operations, except that these Standards and Recommended Practices are not applicable to helicopters engaged in aerial work. The Section II of this Part covers international commercial air transport. The Section III of this Part covers international general aviation. 188.8.131.52 Annex 8. Airworthiness of aircraft This Annex contains the standards defining the minimum level of airworthiness for the development of the type certification requirements as a basis for the international recognition of the certificates of airworthiness for aircraft (according to Article 33 of the Convention) to fly to and land in the Contracting States. Each state is free to develop its own comprehensive and detailed code of airworthiness or to select, adopt, or accept a code established by another Contracting State. The level of airworthiness that must be maintained by a national code is indicated by the broad standards of Annex 8. Airworthiness Manual (Doc 9760) containing guidance material has been published by ICAO. States are invited to consider 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 content of Annex 8: PART I. Definitions PART II. Procedures for certification and continuing airworthiness6 Chapter 1. Type Certification Chapter 2. Production Chapter 3. Certificate of Airworthiness Chapter 4. Continuing Airworthiness of Aircraft Chapter 5. Safety Management PART III. Large Aeroplanes PART IIIA. Aeroplanes over 5700 Kg for which application for certification was submitted on or after 13 June 1960 but before 2 March 2004 PART IIIB. Aeroplanes over 5700 kg for which application for certification was submitted on or after 2 March 2004 PART IV. Helicopters PART IVA. Helicopters for which application for certification was submitted on or after 22 March 1991 but before 13 December 2007 The Standards of this part shall apply to helicopters intended for the carriage of passengers or cargo or mail in international air navigation. 6Responsibilities of Contracting States in respect of continuing airworthiness. 12 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES PART IVB. Helicopters for which application for certification was submitted on or after 13 December 2007. Except for those Standards and Recommended Practices which specify a different applicability, the Standards and Recommended Practices of this part shall apply to helicopters greater than 750 kg, maximum certificated take-off mass intended for the carriage of passengers or cargo or mail in international air navigation. PART V. Small aeroplanes – Aeroplanes over 750 kg but not exceeding 5700 kg for which application for certification was submitted on or after 13 December 2007 Except for those Standards and Recommended Practices which specify a different applicability, the Standards and Recommended Practices of this part shall apply to all aeroplanes having a maximum certificated take-off mass greater than 750 kg but not exceeding 5700 kg intended for the carriage of passengers or cargo or mail in international air navigation. PART VI. Engines – Except as noted below, the Standards of this part are applicable to engines of all types, used as primary propulsion units, as required in Parts IIIB, IVB, and V. The Standards of this part are applicable to an engine type at the time of submission of an application to the appropriate national authority for a type approval. (…) PART VII. Propellers – The Standards of this part are applicable to all propellers, as required in Parts IIIB and V. The Standards of this part are applicable to a propeller at the time of submission of an application to the appropriate national authority for a type approval. An annex that is not directly linked to airworthiness but also capable of influencing the airworthiness requirements is Annex 13. 188.8.131.52 Annex 13. Aircraft accident and incident investigation This Annex provides the international requirements for the investigation of aircraft accidents and incidents.7 The objective of the investigation of an accident or incident is its prevention. Subsequently the causes of an aircraft accident or a serious incident must be identified to prevent repeated occurrences. Under Annex 13, the particular state in which the accident or incident occurs will lead the investigation, but it may delegate all or part of the investigation to another state. If the occurrence takes place outside the territory of any state, the State of Registry has the responsibility to conduct the investigation. Representatives of the State of Registry, Operator, and Manufacturer are entitled to take part in the investigation. The investigation process is aimed to the determination of the causes of the accident or incident and leads to the issue of a final report including appropriate safety recommendations to prevent similar occurrences. The ICAO operates a computerised database known as the Accident/Incident Data Reporting system allowing the exchange of safety information in any Contracting State. The safety recommendations 7Accident: Annex 13 defines accident as an occurrence associated with operation of an aircraft, which takes place between the time any person boards the aircraft with the intention of flight until such time as all persons have disembarked in which: a) A person is fatally or seriously injured […]; b) The aircraft sustains damage or structural failure which adversely affects the structural strength, performance, or flight characteristics of the aircraft and would normally require major repair or replacement of the affected component […]; c) The aircraft is missing or is completely inaccessible. Incident: An occurrence, other than an accident, associated with the operation of an aircraft which affects or could affect the safety of operation. 3.1 The International Civil Aviation Organization 13 are evaluated by the airworthiness authorities to issue, when deemed necessary, airworthiness directives (ADs) (for mandatory modifications, inspections, etc.), and amendments of the relevant airworthiness requirements and advisory material. An important feature of the Annex 13 is the statement (in Chapter 3) that 'the sole objective of the investigation of an accident or incident shall be the prevention of accidents and incidents. It is not the purpose of this activity to apportion blame or liability'. In other words, the investigation is aimed at finding the causes but not the responsibilities of the accident or incident. The judiciary of a state must usually carry out a judiciary inquiry to assess and punish possible penal responsibilities. Then if the Contracting State has not developed provisions to avoid conflicts between the judiciary inquiry and the technical investigation, normally the first one prevails, sometimes making impossible a prompt development of the technical investigation. Unfortunately this is still happening despite the engagement of the Contracting States to follow the ICAO Standards. Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 clarifies the role of EASA and member states in accident investigations. It also states that arrangements with other authorities likely to be involved in the activities related to the safety investigation, such as the judicial, civil aviation, search and rescue 'shall respect the independence of the safety investigation authority and allow the technical investigation to be conducted diligently and efficiently'. Another important feature of the Annex 13 is (in Chapter 8) the institution of 'a mandatory incident reporting system to facilitate collection of information on actual or potential safety deficiency'. As a recommendation 'a State should establish a voluntary incident reporting system to facilitate the collection of information that may not be captured by a mandatory incident reporting system'. Of course, a voluntary incident reporting system should be 'not punitive and afford protection to the sources of the information'. 220.127.116.11 Annex 16. Environmental protection This Annex contains the standard applicable to the aircraft noise certification in relation to different noise levels proportionate to the type of aircraft (propeller driven, jet propelled, and helicopters). It states with accuracy the test procedures for an effective and unequivocal measurement. The standard contained in this Annex is normally used as proposed because it is directly applicable to all the technical requirements. The Annex contains the standard relating to the aircraft engine emission certification with reference to the toxicity of some chemical components, such as nitrogen oxides. Annex 16 Volume I applies to aircraft noise and specifies the standards and recommended practices that apply to a wide range of aircraft. The revision of July 2012 is intended to make the most recent information available to certificating authorities, noise certification applicants, and other interested parties in a timely manner, aiming at achieving the highest degree of harmonisation possible. Annex 16 Volume II applies to aircraft engine emissions applicable to specified aircraft engines. These annexes influence the design of aircraft for reasons that are different from the typical compliance to the airworthiness standards. The aim of these annexes is not the safety of flight but the environment protection from the damage that can be caused by the aircraft operation. Noise is the most evident environmental impact of aviation for people living in the proximity of airports. But this impact is also concerning millions of people living under the takeoff and landing paths. 14 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES The growth of commercial aviation and the increasing of flight frequency, despite the improvements in design and materials that have considerably diminished the noise made by aircraft, increase the complexity of the issue, because aircraft noise is likely to affect the quality of life of all the people concerned. Therefore together with operational rules to limit the damage, such as restrictions on certain category of aircraft at night, the Annex provides specific noise limitations for different types of aircraft. Another important environmental impact of aviation is pollution, a cause of growing concern also because of the sharp increase in air traffic worldwide. Emissions from aircraft affect climate change through greenhouse effect and depletion of the ozone layer. Civil and military flights have a significant negative effect on the atmosphere, already penalised by the emissions coming from industries and transport at ground level. If we consider that the emissions at high cruising altitudes in the stratosphere have an increased effect on global warming than when they are released at ground level and that the traffic of aircraft is likely to double in the next 20 years, it is clear that there is a need to control such emissions. Annex 16, for the certification of aircraft engines, prescribes the control of emissions such as smoke, unburned hydrocarbons, carbon monoxide (CO), and nitrogen oxides. 3.2 THE CIVIL AVIATION AUTHORITIES 3.2.1 ORIGINS The national states of developed countries have established institutions and authorities to guarantee the safety of flight. In many cases these organisations evolved from pre-existing institutions for the safety of marine and river navigation. It is of interest to point out that, historically, the mainspring for the improvement of the safety of navigation was not a moral principle, but an economical choice made by insurance companies. The word 'register' was adopted by various navigational institutions, and it has a precise origin. In fact it is derived from a register that a certain Edward Lloyd, owner of a tavern situated in the area of the river port of London at the end of the 17th century, filled with information on marine traffic gathered while talking to customers, such as ship owners and sailors. The collected information could be related to ships, traffic, and, most importantly, to accidents resulting in the loss of men, goods, and ships. This was the origin of the highly esteemed newsletters, 'Lloyd's News', that were first issued in 1696. The marine insurance business began to flourish and Lloyd's tavern rapidly became an important negotiation centre. Lloyd was a practical man, well aware of the importance of the information he owned for the insurance business. Finally Lloyd's, the incorporated society of underwriters in London, was born and was destined to become a world reference in the insurance field. When Lloyd died in 1713, his heirs continued his work; 'Lloyd's List', filled with lists, data, and marine news, highly appreciated in the circle of marine traffic, was first published in 1734; the List, originally handwritten, first appeared in printed form in 1760. Meanwhile other lists with various ship classification criteria were published by different ship owners, until all the publications were unified into the 'Lloyd's Register' in 1833, the first register in the world, which acquired legal status in 1871. Other national registers were subsequently instituted in Europe. 3.3 The Joint Aviation Authorities 15 Safety is obviously a matter of great importance for insurance companies: fewer accidents mean fewer indemnities to pay. It is also for this reason that the registers began to issue safety requirements for navigation. Since the beginning of aviation, the operation of aircraft posed problems of an analogous nature to that of marine traffic, hence the necessity of the establishment of specific institutions, similar to the already existing institutions for marine traffic. In some cases, particular marine institutions took on the responsibilities of aviation regulations and control. Later the growth of aviation led to the creation of autonomous registers and national authorities, dealing with aircraft and air navigation. 3.2.2 TASKS OF AIRWORTHINESS AUTHORITIES8 From a general point of view, an airworthiness authority has the following tasks: • • • • o prescribe airworthiness requirements and procedures. In the following chapters, we deal with T these prescriptions, ranging from aircraft type certification, construction, and operation to the relevant organisations. To inform the interested parties regarding the above-mentioned prescriptions. This is performed in different ways. The authority publishes technical regulations, technical standards, circulars, and so on to be obtained on request or by other means. At present, much information can be found on the Internet. To control aeronautical material, design, manufacturing organisations, and aircraft operators. This is to ensure that all pertinent prescriptions are complied with. Control operations can be performed in different ways, with the appropriate involvement of the relevant authority. To certify aeronautical material and organisations. This is to declare in a legal form compliance with the applicable requirements of an aircraft or part of it, or a change to a type certificate, the capability of an organisation, and so on. 3.3 THE JOINT AVIATION AUTHORITIES The JAA was an associated body of the European Civil Aviation Conference (ECAC)9 representing the civil aviation regulatory authorities of a number of European States who had agreed to cooperate in developing and implementing common safety regulatory standards and procedures. This cooperation was intended to provide high and consistent standards of safety and a 'level playing field' for competition in Europe. Much emphasis was also placed on harmonising the JAA regulations with those of the United States. The JAA membership was based on signing the 'JAA Arrangements' document, originally signed by the then current Member States in Cyprus in 1990. Based on these Arrangements and related commitments, we can summarise the objectives and functions that were the basis of JAA. 8These can be considered as a part of aviation authorities dealing with airworthiness. ECAC was founded in 1955 as an intergovernmental organisation. The ECAC's objective is to promote the continued development of a safe, efficient, and sustainable European air transport system. In so doing, the ECAC seeks to harmonise civil aviation policies and practices amongst its Member States (now 44 including 28 EU) and promote understanding on policy matters between its Member States and other parts of the world. Close liaisons are maintained with the ICAO, EUROCONTROL (see Note 11), and the EASA. 9The 16 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES 3.3.1 OBJECTIVES 1. A viation Safety. To ensure, through cooperation amongst Member States, that JAA members achieve a high, consistent level of aviation safety. 2. Cooperation with EASA. To cooperate with the EASA in performing its functions and tasks in accordance with an agreed programme ensuring the involvement of the JAA non-EASA countries with the aim of maintaining the present unity in regulations on a pan-European dimension and the mutual acceptance/recognition of certificates/approvals and of implementing the Future of the JAA (FUJA)10 decisions. 3. Business Effectiveness. To achieve a cost-effective safety system so as to contribute to an efficient civil aviation industry. 4. Consolidation of Common Standards. To contribute, through the uniform application of the highest possible common standards and through regular review of the existing regulatory situation, to fair and equal competition within Member States. 5. International Cooperation. To cooperate with other regional organisations or national authorities of States playing an important role in Civil Aviation to reach at least the JAA safety level and to foster the worldwide implementation of harmonised safety standards and requirements through the conclusion of international arrangements and through participation in technical assistance programmes without affecting community competence. 3.3.2 FUNCTIONS The JAA's work began in 1970 (when it was known as the Joint Airworthiness Authorities). Originally its objectives were only to produce common certification codes for large aeroplanes and engines. This was to meet the needs of European industries and particularly for products manufactured by international consortia. Since 1987, its work was extended to operations, maintenance, licencing, and certification/design standards for all classes of aircraft. With the adoption of the Regulation (EC) No. 1592/2002 by the European Parliament and the Council of the European Union (EU) and the subsequent setup of the EASA, a new regulatory framework was created in European aviation. According to this Regulation, for EU Member States, national regulation in the airworthiness domain has been replaced by EU Regulation, and certification tasks have been transferred from National Authorities to EASA. Non-EU States maintain their responsibility in all fields. Consequently a 'Roadmap' for the establishment of clear milestones for JAA's future was developed and adopted by the JAA Board and by the Directors General of ECAC in August 2005 (FUJA Report) proposing a transformation from JAA to JAA T (T for 'transition'), comprising a Liaison Office (LO) in Cologne (Germany), and a Training Office (TO) in Hoofddorp (the Netherlands). 3.3.3 JOINT AVIATION AUTHORITIES TRANSITION FUNCTION JAA T existed and functioned with two offices: the Liaison Office (LO) and the Training Office (TO): • The Liaison Office 'JAA LO' liaised between EASA and the Civil Aviation Authorities of the non-EASA JAA Member States to integrate the activities of these States with those of EASA. In addition, JAA LO ensured the general management of the rulemaking, 10A working group was established in 2004 to develop a document ('roadmap') to define clear milestones for the FUJA. 3.4 The European Aviation Safety Agency • 17 including that in the fields of operations and licencing. The technical work was undertaken by EASA for all JAA members. The Training Office 'JAA-TO' provided relevant training to the aviation community to ensure that it was sufficiently familiar with the European aviation safety rules and regulations and to assist the non-EASA JAA Member States in their efforts to obtain EASA membership. As of 1 July 2009, after disbanding of JAA T, JAA-TO continues to provide training courses as a Dutch Foundation and associated body of ECAC. 3.3.4 THE JAA TRAINING ORGANISATION The JAA-TO (now) JAA Training Organisation, as a self-financing not-for-profit body, initiated by the member states of ECAC and independent from regulators, promotes safety in aviation both in Europe and globally through providing training and support activities. The JAA-TO provides training courses in multiple fields of aviation safety to help improve aviation safety worldwide and promote the understanding of existing and new European aviation regulations. JAA-TO conducts scheduled training courses at various locations worldwide. With more than 500 training courses scheduled per year in the field of aviation safety, the JAA-TO continues to serve as a platform for the international aviation community to learn and exchange views on the latest developments and topical issues. Besides regular courses covering operational management and specialised fields, the JAA-TO also conducts customised programmes to meet specific requirements. 3.3.5 GENERAL REMARKS The activity of this worthy organisation, which has led the way to the EASA, has very often been limited by its own nature. It is worth mentioning that we were talking about 'authorities', not 'authority'. This means that the JAA did not have the legal status of an authority and therefore a legally recognised power. JAA did not have the power, for example, to issue certificates; they could only 'recommend' the release of such certificates to the national authorities under the relevant terms and conditions. For the same reasons, they could not impose rules and procedures – unless they became European directives – but only 'recommend' their implementation. The shortcomings of such situations are clear, considering the variety of rules and laws that were in force in the Member States. This is why the institution of a true European authority was increasingly felt necessary. This is now a reality with the institution of EASA, which has benefited from the substantial and complex work carried out by the JAA. 3.4 THE EUROPEAN AVIATION SAFETY AGENCY The EASA is an independent European Community body with a legal identity and autonomy in legal, administrative, and financial matters (Fig. 3.1). This single authority has been created by the adoption of a European Parliament and Council Regulation (EC) No. 1592/2002 of 15 July 2002 to put in place a community system of air safety and environmental regulation. The activity of the EASA started, as planned, on 28 September 2003 and, after a transitory period in Brussels, the Agency moved to Cologne (Germany). 18 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES EXECUTIVE DIRECTOR COMMUNICATION EXECUTIVE DIRECTOR'S OFFICE LEGAL CHIEF ENGINEER CHIEF EXPERTS / SENIOR EXPERTS STRATEGY & SAFETY MANAGEMENT DIRECTOR CERTIFICATION DIRECTOR FLIGHT STANDARDS DIRECTOR RESOURCES & SUPPORT DIRECTOR DEPUTY STRATEGY & SAFETY MANAGEMENT DIRECTOR DEPUTY DIRECTOR CERTIFICATION MAINTENANCE & PRODUCTION DEPUTY RESOURCES & SUPPORT DIRECTOR SAFETY INTELLIGENCE & PERFORMANCE LARGE AEROPLANES AIR OPERATIONS HUMAN RESOURCES AIRCREW & MEDICAL INFORMATION TECHNOLOGY STRATEGY & PROGRAMMES GENERAL AVIATION & REMOTELY PILOTED AIRCRAFT SYSTEMS (RPAS) INTERNATIONAL COOPERATION ROTORCRAFT PROPULSORY PARTS & APPLIANCES AIR TRAFFIC MANAGEMENT / AIR NAVIGATION SERVICES (ATM) & AERODROMES APPLICATIONS HANDLING FINANCE & PROCUREMENT POLICY & PLANNING CORPORATE SERVICES ENVIRONMENT DESIGN ORGANISATIONS CERTIFICATION POLICY & SAFETY INFORMATION FIGURE 3.1 European Aviation Safety Agency organisation chart. 3.4 The European Aviation Safety Agency 19 3.4.1 EXECUTIVE AND REGULATORY TASKS The main tasks of the Agency currently include the following: 1. r ulemaking: drafting aviation safety legislation and providing technical advice to the European Commission and to the Member States; 2. inspections, training, and standardisation programmes to ensure uniform implementation of European aviation safety legislation in all Member States; 3. safety and environmental type certification of aircraft, engines, and parts; 4. approval of aircraft design organisations worldwide and of production and maintenance organisations outside the EU; 5. certification of organisations and personnel of aircraft operation; 6. certification of organisations of Air Traffic Management (ATM) and Air Navigation Services (ANS); 7. certification and oversight of ATC training organisations (within EASA remit), non-EU TM/ ANS organisations providing services within the EU, and pan-European service providers; 8. authorisation of third-country (non-EU) operators; 9. coordination of the European Community programme, Safety Assessment of Foreign Aircraft regarding the safety of foreign aircraft using Community airports; 10. data collection, analysis, and research to improve aviation safety. 3.4.2 EUROPEAN AVIATION SAFETY AGENCY PARTNERSHIPS The EASA works closely with representatives of other organisations to ensure that it takes their views into account: 1. I nterested parties in industry, which are subject to rules drafted by the EASA, are pivotal in ensuring the success of civil aviation safety standards by assisting in the drafting and correct application of European Community and EASA rules. 2. European aviation authorities perform a critical role in assisting the EASA with the performance of its core rulemaking, certification, and standardisation functions. 3. International aviation organisations such as the JAA, EUROCONTROL,11 and the ICAO work together with the EASA to promote international civil aviation standards. 4. EASA has developed close working relationships with counterpart organisations across the world through bilateral agreements: EU-US, EU-Canada, EU-Brazil. Working arrangements have been established between the Agency and many aviation authorities of ECAC-non-EU Member States and many states like China, Australia, Russia, Japan, and others. Bilateral and working arrangements are aimed at promoting best practice in aviation safety worldwide and encourage cooperation and assistance in achieving common safety objectives. 5. Accident investigation bodies issue safety recommendations and analysis that guide the Agency's safety strategy. 11EUROCONTROL has the role of coordinating the development of a uniform system of ATM throughout Europe (38 states), working with its partners in the air transport industry to provide a range of services: from air traffic controller training to managing air traffic flow and from regional control of airspace to development of innovative technologies and procedures. 20 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES 3.4.3 STRUCTURE OF THE EUROPEAN AVIATION SAFETY AGENCY The EASA revealed on 1 September 2014 a new organisation, which aims at preparing the Agency for the challenges of the coming years. The new organisation will enable the Agency to engage more pragmatically with the aviation industry. A strategy and safety management directorate has been created to strengthen EASA's overall strategy and to promote a data driven and performance-based approach to managing safety. All regulatory functions have been integrated across the different aviation domains and more homogeneity has been introduced to better enable the Agency to speak with one voice. Patrick Ky, EASA Executive Director, declared, this new organization will reinforce the role of EASA at the center of the European aviation regulatory system, in partnership with the member states and in support of the growth and development of the aviation industry. The new organization shapes EASA for the next decade. The Management team is focused on one objective: develop, for the benefit of travelling passengers, the safest possible aviation regulatory system, in partnership with the European Commission and the Member States and in support of the growth of the aviation industry. Aviation is constantly evolving with innovative business models and new technologies to achieve greater efficiencies. In turn authorities are faced with the challenge to be more efficient and flexible to enable further growth for aviation. The new organisation, which became effective on 1 September 2014, also prepares EASA for new opportunities to enhance its role. The EASA Headquarters include the following: 1. 2. 3. 4. 5. Executive Director Strategy and Safety Management Director Certification Director Flight Standard Director Resources and Support Director 1. The Executive Director is appointed by the Agency's Management Board. This Board, which brings together representatives of the Member States' authorities and the Commission, is responsible for the definition of the Agency's priorities, the establishment of the budget, and for monitoring the Agency's operation.12 2. The Strategy and Safety Management Director provides strategies and programmes for the whole organisation based on data analysis and policy guidance. It provides a top-down, strategic, and forward-looking guidance to the Agency work and participates to an increased level of Aviation safety in Europe by leading all European-wide Safety initiatives. It is responsible for safety analysis, risk and impact assessment programmes and plans, monitoring and reporting, Advisory Body of Interested Parties assists the Management Board in this work. It comprises organisations representing aviation personnel, manufacturers, commercial and aviation operators, the maintenance industry, training organisations, and air sport. 12The 3.4 The European Aviation Safety Agency 21 managing International Cooperation, promoting safety and training in relation to technical cooperation and safety promotion. 3. The Certification Director is responsible for the following core key certification-related activities carried out by around 250 staff: 1. p roduct airworthiness, 2. c ontinuing airworthiness oversight, 3. environmental certification and designing organisation approval. The responsibilities are as follows: 1. e stablishing, implementing, monitoring, and updating operational processes in the areas mentioned above; 2. overseeing the management, planning, and implementation of the Directorate's strategic goals, objectives, and budget; 3. liaising with the Agency's partners and stakeholders; 4. representing the Agency's position in high-level aviation safety forums. On 28 September 2003, the Certification Directorate took over responsibility for the airworthiness and environmental certification of all aeronautical products, parts, and appliances designed, manufactured, maintained, or used by persons under the regulatory oversight of EU Member States. The Agency's certification work also includes all postcertification activities, such as the approval of changes to, and repairs of, aeronautical products and their components, as well as the issuing of ADs to correct any potentially unsafe situation. All type certificates are, therefore, now issued by the EASA and are valid throughout the EU. On the same date, the Agency became the competent authority to approve and oversee the organisations involved in the design of aeronautical products, parts, and appliances. It also carries out the same role for foreign organisations involved in the manufacture or maintenance of such products. To execute its certification tasks, the Agency relies also on national aviation authorities that have historically filled this role and concludes contractual arrangements to this effect. 4. The Flight Standard Director is responsible to lead core activities covering the oversight of approved organisations and Member States as well as the development of policies and regulatory material. It is the most senior position in Safety oversight and regulations for aviation questions at the EU level. The responsibilities are as follows: 1. e stablishing, implementing, monitoring, and updating operational processes in the domains mentioned above; 2. overseeing the management, planning, and implementation of the Directorate's strategic goals, objectives and budget; 3. managing the transition to performance-based regulations as well as monitoring the scarce safety oversight resources in the EU and find innovative schemes to implement; 4. liaising with the Agency's partners and stakeholders; 5. representing the Agency's position in high-level aviation safety forums. 22 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES 5. The Resources and Support Director provide clear leadership to functions that deliver internal services such as Human Resources Management, Information Technology, Certification and Approval Support, Finance and Procurement, and Facility Management. NOTE: Looking at the new EASA organisational chart, we can see that the Rulemaking Directorate does not exist any more. Actually while such organisation was determinant in the phase of EASA development, with the establishment of the new rules now organically consolidated, the issue of updating these rules in a day-by-day approach, when this is needed, still remains. The different Directorates for the sector of their competence can better accomplish this task. 3.4.4 EUROPEAN AVIATION SAFETY AGENCY BASIC REGULATIONS STRUCTURE The basic Regulations establish common essential requirements to provide for a high uniform level of civil aviation safety and environmental protection; they require the Commission to adopt the necessary implementing rules to ensure their uniform application; they establish the EASA to assist the Commission in the development of such implementing rules. According to Regulation (EC) No. 1592/2002 of 15 July 2002, the EASA took responsibility for the design approval of products, parts, and appliances designed, manufactured, or used by persons under the regulatory oversight of EU Member States, except for those excluded by its Annex II13 or by its Article 1.2 (products engaged in military, customs, police, or similar services). The Regulation established 'essential requirements' for Airworthiness. The European Commission then adopted the Commission14 Regulation (EC) No 1702/2003 of 24 September 2003, laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations. This Commission Regulation also contains a grand-fathering mechanism for certain type certificate issued prior to 28 September 2003 by Member States. These type certificates are deemed to have been issued in accordance with Regulation no 1702/2003 and, as a consequence, EASA does not need to issue new type certificates for the related products. However, since 28 September 2003, all changes to these type certificates or associated datasheet must be approved by EASA. The Basic Regulations recognised the need for some transition to facilitate the transfer of responsibility from national administrations to the Agency. Therefore, it was established that the Member States would be able to continue to issue, during the transition period, certificates and approvals by way of derogation of the provisions of the Basic Regulation under the conditions specified in its implementing rules, in particular Commission Regulation 1702/2003. This transition period ended on 28 March 2007. 13ANNEX II lists the categories of aircraft to which the basic principle of Article 4(1) of the Regulation (EC) No. 1592/2002 (now 216/2008) does not apply, namely, aircraft for which a type certificate or a certificate of airworthiness has not been issued on the basis of this Regulation and its implementing rules. 14The Commission Regulations are the Regulation's implementing rules. They are usually composed of a short introductory regulation, colloquially known as 'cover regulation', and Annexes thereto, containing the technical requirements for implementation. In the EASA system, these Annexes are usually called 'Parts' (eg, Part 21 is an Annex to Regulation 1702/2003). 3.4 The European Aviation Safety Agency 23 The Commission Regulation (EC) No 2042/2003 of 20 November 2003 adopted a regulation on the 'continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks'. This regulation established common technical requirements and administrative procedures for ensuring the continuing airworthiness15 of aircraft, including any component for installation thereto, which are as follows: (a) r egistered in a Member State; or (b) registered in a third country and used by an operator for which a Member State ensures oversight of operations. NOTE: The three regulations above concern a first transfer of competencies to EASA as follow: 1. R egulation (EC) No. 1592/2002 establishing an EASA and common rules in the field of civil aviation. 2. Commission Regulation (EC) No 1702/2003 laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations (Part 21). 3. Commission Regulation (EC) No 2042/2003 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks (Annex I Part M, Annex II Part 145, Annex III Part 66). The Commission Regulation (EC) No. 1592/2002 was repealed by Regulation (EC) No 216/2008 of 20 February 2008. 1. T his Regulation applies to: (a) the design, production, maintenance, and operation of aeronautical products, parts and appliances, as well as personnel and organisations involved in the design, production, and maintenance of such products, parts, and appliances; (b) personnel and organisations involved in the operation of aircraft. 2. 'This Regulation shall not apply when products, parts, appliances, personnel, and organisations referred to in point 1 are engaged in military, customs, police, or similar services. The Member States shall undertake to ensure that such services have due regard as far as practicable to the objectives of this Regulation.' NOTE: This regulation concerns a second transfer of competencies to EASA. The Regulation establishes 'essential requirements' also for the following: 1. p ilot qualification, 2. a ir operation, 3. a ircraft used by a third-country operator. The Regulation (EC) No 1108/2009 of 21 October 2009 was issued amending, but not superseding, Regulation (EC) No 216/2008 in the field of aerodromes, ATM, and ANS. 15See Chapter 10. 24 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES NOTE: This regulation concerns a third transfer of competencies to EASA. The Regulation establishes 'essential requirements' also for the following: 1. a erodromes, 2. A TM/ANS, 3. a ir traffic controllers. After a Commission regulation (EC) No 690/2009 of 30 July 2009 amending Regulation (EC) No 216/2008 for the environmental protection requirements, a long list of Regulations and Commission Regulations were issued by EASA. For the scope of this book, we quote and focus only on the following: Commission Regulation (EU)16 No 748/2012 of 3 August 2012, laying down implementing rules for the airworthiness and environmental certification of aircraft and an amended 'Part 21', the requirements and procedures for the certification of aircraft and related products, parts and appliances, and of design and production organisations laid down in Annex I to this regulation. Commission Regulation (EU) No 965/2012 of 5 October 2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council. The following Annexes were issued:17 ANNEX I – Definitions for terms used in Annexes II to V ANNEX II – Authority Requirements for Air Operations (Part-ARO) ANNEX III – Organisation Requirements for Air Operations (Part-ORO) ANNEX IV – Commercial Air Transport Operations (Part-CAT) ANNEX V – Specific Approvals (Part-SPA) Commission Regulation (EU) No 800/2013 of 14 August 2013 amending Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council. The following Annexes were issued: ANNEX VI – Noncommercial Air Operations with Complex Motor-Powered Aircraft (Part-NCC) ANNEX VII – Noncommercial Air Operations with Other-Than-Complex Motor-Powered Aircraft (Part-NCO) Commission Regulation (EU) No 379/2014 of 7 April 2014 amending Commission Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council. 16The Lisbon Treaty, entered into force on 1 December 2009, abolished the European Community (EC) with the European Union (EU) becoming the Community's legal successor. The phrase 'European Communities' no longer appears in the treaties. 17See for details Chapter 9, (9.3) EASA operational standards. 3.5 The Federal Aviation Administration 25 %$6,&5(*8/$7,21 5(*8/$7,216 ,QLWLDO $LUZRUWKLQHVV $11(;(6 , &RQWLQXLQJ $LUZRUWKLQHVV 3DUW ,, ,,, ,9 $LU &UHZ $LU 2SHUDWLRQV 7KLUGFRXQWU\ $16FRPPRQ $70$16VDIHW\ 2SHUDWRUV UHT RYHUVLJKW 3DUW0 '() 3DUW7&2 3DUW 3DUW$52 3DUW$57 3DUW 3DUW252 3DUW 3DUW&$7 $7&2 /LFHQVLQJ $LUVSDFH XVDJHUHT 6(5$ $HURGURPHV 3DUW63$ 9 9, 9,, 9,,, 3DUW1&& 3DUW1&2 3DUW632 FIGURE 3.2 Regulations structure. ANS, Air Navigation Services; ARO, Authority Requirements for Air Operations; ART, Authority Requirements for Third Country Operators; ATCO, Air Traffic Controllers; ATM, Air Traffic Management; CAT, Commercial Air Transport Operations; DEF, Annex I 'Definitions'; ORO, Organisation Requirements for Air Operations; SERA, Standardised European Rules of the Air; SPA, Specific Approvals; SPO, Specialised Operations; TCO, Third Country Operators. This Commission amended the Annex I–VII and issued a new ANNEX VIII – Specialised Operations (Part-SPO). Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks. This Commission issued the new Parts M, 145, 66, 147. In Fig. 3.2, it is possible to navigate through the regulation structure by area of implementation. We have highlighted the regulation quoted in this book. 3.5 THE FEDERAL AVIATION ADMINISTRATION 3.5.1 HISTORY 220.127.116.11 Origins The Air Commerce Act of 20 May 1926 was the cornerstone of the Federal government's regulation of civil aviation. This landmark legislation was passed at the behest of the aviation industry, whose leaders believed that the aircraft could not reach its full commercial potential without Federal action to improve 26 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES and maintain safety standards. The Act charged the Secretary of Commerce with fostering air commerce, issuing and enforcing air traffic rules, licensing pilots, certificating aircraft, establishing airways, and operating and maintaining aids to air navigation. A new Aeronautics Branch of the Department of Commerce assumed primary responsibility for aviation oversight. 184.108.40.206 Early responsibility In fulfilling its civil aviation responsibilities, the Department of Commerce initially concentrated on functions such as safety rulemaking and the certification of pilots and aircraft. In 1934 the Aeronautics Branch was renamed as the Bureau of Air Commerce to reflect its enhanced status within the Department. As commercial flying increased, the Bureau encouraged a group of airlines to establish the first three centres for providing ATC along the airways. In 1936 the Bureau itself took over the centres and began to expand the ATC system. 220.127.116.11 The Civil Aeronautics Act In 1938 the Civil Aeronautics Act transferred the Federal civil aviation responsibilities from the Commerce Department to a new independent agency, the Civil Aeronautics Authority. In 1940 President Franklin Roosevelt split the Authority into two agencies, the Civil Aeronautics Administration and the Civil Aeronautics Board (CAB). The Civil Aeronautics Administration was responsible for ATC, airman and aircraft certification, safety enforcement, and airway development. The CAB was entrusted with safety rulemaking, accident investigation, and economic regulation of the airlines. Both organisations were part of the Department of Commerce. 18.104.22.168 The birth of the Federal Aviation Administration The approaching introduction of jet airliners and a series of midair collisions spurred passage of the Federal Aviation Act of 1958. This legislation transferred the CAA's functions to a new independent body, the FAA, which had broader authority to combat aviation hazards. The act took safety rulemaking from the CAB and entrusted it to the new FAA. It also gave the FAA sole responsibility for developing and maintaining a common civil and military system of air navigation and ATC, a responsibility that the CAA previously shared with others. 22.214.171.124 From agency to administration In 1966 Congress authorised the creation of a cabinet department that would combine major Federal transportation responsibilities. This new Department of Transportation (DOT) began full operations on 1 April 1967. On that day, the FAA became one of the several modal organisations within the DOT and was given a new name, the FAA. At the same time, the CAB's accident investigation function was transferred to the new National Transportation Safety Board. 184.108.40.206 Structural changes The FAA's organisational structure has continued to evolve since its creation. The agency's first Administrator favoured a management system under which officials in Washington exercised direct control over programmes in the field. In 1961, however, his successor began a decentralisation process that transferred much authority to regional organisations. This pattern generally endured until a 1988 'straight lining' again charged managers at national headquarters with more direction of field activities. 3.5 The Federal Aviation Administration 27 3.5.2 FEDERAL AVIATION ADMINISTRATION ACTIVITIES 126.96.36.199 Safety regulations The FAA issues and enforces regulations and minimum standards covering manufacturing, operating, and maintaining aircraft. It also certifies airmen and airports that serve air carriers. 18.104.22.168 Airspace and traffic management The safe and efficient use of navigable airspace is one of the FAA's primary objectives. The FAA operates a network of airport towers, air route traffic control centres, and flight service stations. It also develops air traffic rules, assigns the use of airspace, and controls air traffic. 22.214.171.124 Air navigation facilities The FAA builds or installs visual and electronic aids to air navigation. It also maintains, operates, and assures the quality of these facilities, and sustains other systems to support air navigation and ATC, including voice and data communications equipment, radar facilities, computer systems, and visual display equipment at flight service stations. 126.96.36.199 Civil aviation abroad The FAA promotes aviation safety, encourages civil aviation abroad, and takes part in international conferences. Aeronautical information is exchanged with foreign authorities. The FAA certifies foreign repair shops, airmen, and mechanics; provides technical aid and training; and negotiates 'Bilateral Aviation Safety Agreements' with other authorities with the 'Implementation Procedures for Airworthiness' to allow and facilitate the mutual certification of aeronautical products that are imported or exported between the United States and a signatory country, as well as promoting technical cooperation in matters of airworthiness, including maintenance, flight operations, and environmental certification. The FAA deals with all the issues related to flight safety in the United States, but it also has representatives on five continents committed to ensuring and promoting the safety, security, and efficiency of international civil aviation. The FAA engages in dialogue with its counterparts in 188 countries and works closely with the ICAO. This effort includes providing technical assistance and training, ensuring that countries with airlines flying to the United States meet international standards, and harmonising global standards so that passengers can benefit from seamless air transportation network. It is clear that all these international activities have the final and institutional purpose of guaranteeing flight safety in the United States. However, we cannot ignore the considerable drive offered by the FAA towards the growth of safety regulations on a global scale. 126.96.36.199 Commercial space transportation The FAA regulates and encourages the US commercial space transportation industry. It licenses commercial space launch facilities and private launches of space payloads on expendable launch vehicles. 188.8.131.52 Research, engineering, and development The FAA conducts research on and develops the systems and procedures needed for a safe and efficient system of air navigation and ATC. It helps develop better aircraft, engines, and equipment, and it tests or evaluates aviation systems, devices, materials, and procedures. The FAA also carries out aeromedical research. 28 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES 184.108.40.206 Other programmes The FAA registers aircraft and records documents reflecting title or interest in aircraft and their parts. It administers an aviation insurance programme, develops specifications for aeronautical charts, and publishes information on airways, airport services, and other technical subjects in aeronautics. 22.214.171.124 Summary of Federal Aviation Administration activities The FAA is responsible for the safety of civil aviation. Its main roles include the following: a) b) c) d) e) r egulating civil aviation to promote safety; encouraging and developing civil aeronautics, including new aviation technology; developing and operating a system of ATC and navigation for both civil and military aircraft; researching and developing the National Airspace System and civil aeronautics; developing and carrying out programmes to control aircraft noise and other environmental effects of civil aviation; f) regulating US commercial space transportation. 3.5.3 THE AIRCRAFT CERTIFICATION SERVICE The organisation of the FAA is very complex; this is understandable considering the plurality of tasks, the size of the United States, and its relationship with the rest of the world. From an airworthiness point of view, we will describe which structure deals more directly with each relevant issue. In the complex FAA organisational chart (Fig. 3.3), the Aviation Safety18 headquarters located in Washington, hosts the Aircraft Certification Service, structured as shown in Fig. 3.4. The Aircraft Certification Service is responsible for the following: a) a dministering safety standards governing the design, production, and airworthiness of civil aeronautical products; b) overseeing design, production, and airworthiness certification programmes to ensure compliance with prescribed safety standards; c) providing a safety performance management system to ensure continued operational safety of aircraft; and d) working with aviation authorities, manufacturers, and other stakeholders to help them successfully improve the safety of the international air transportation system. Aircraft Certification is organised into the Office of the Director and four divisions located in Washington, DC Headquarters, and four geographic directorates. The Aircraft Certification Service headquarters' offices and the directorates share responsibility for the design and production approval, airworthiness certification, and continued airworthiness programmes of all US civil aviation products. 18Aviation Safety (AVS): Aviation Safety is an organisation responsible for the certification, production approval, and continued airworthiness of aircraft; and certification of pilots, mechanics, and others in safety-related positions. AVS is also responsible for: (a) certification of all operational and maintenance enterprises in domestic civil aviation; (b) certification and safety oversight of approximately 7300 US commercial airlines and air operators; (c) civil flight operations; (d) developing regulations. AVS – Offices: (a) Accident Investigation and Prevention, (b) Aerospace Medicine, (c) Air Traffic Safety Oversight Service, (d) Aircraft Certification Service, (e) Flight Standards Service, (f) Quality, Integration and Executive Services, (g) Rulemaking. ADMINISTRATOR DEPUTY ADMINISTRATOR AOA Audit & Evaluation Chief of Staff AJO Assistant Admin. for NextGen ANG Associate Admin. for Aviation Safety Associate Admin. for Commercial Space Transportation AVS AST Associate Admin. for Airports ARP Assistant Admin. for Government & Industry Affairs AGI Assistant Admin. for Security & Hazardous material Safety ASH Vice President Safety & Technical Training AJI Director of Management Services ANG-A Director Flight Standards Service AFS Director Airport Safety & Standards AAS Vice President Systems Operations AJR Director of Engineering Services ANG-B MD Federal Air Surgeon AAM Director Airport Compliance &Field Operations ACO Vice President Air Traffic services AJT Director of Advanced concepts & Technology Development ANG-C Director Quality Integration & Executive Service AQS Director Airport Planning & Programming APP Vice President Technical Operations AJW Vice President Mission Support AJV Vice President Management Services AJG Vice President Program Management Organization AJM Director of NAS Lifecycle Integration ANG-D Director of William J Hughes Technical Centre ANG-E Director of NextGen Performance & Outreach ANG-F Director Office of Air Traffic Oversight AOV Director of Rule Making ARM Assistant Admin. for Communications AOC Director Joint Security & Hazardous Materials Safety. West AHW Director Joint Security & Hazardous Materials Safety. Central AHC Director Joint Security & Hazardous Materials Safety. East AHE Director Office of Hazardous Materials Safety Director of Accident Investigation & Prevention AVP ADG Director Aircraft Certification Service AIR AIN Director Office of Security Chief Counsel Assistant Admin. for Human Resources Management AGC AHR Assistant Admin. for Civil Rights ACR Assistant Admin. for Policy. International Affairs & Environment Assistant Admin. for Finance & Management APL APN Director Accountability Board AHA Executive Director Aviation Policy & Plans APO Director Talent Development AHD Executive Director Environment & Energy AEE Director Regional Human Resources (HR) Services AHF Executive Director International Affairs API Director Labor & Employee Relations AHL Director Compensation benefits & WorkLife AHB Deputy Assistant Admin for Financial Services ABA Deputy Assistant Admin for Info & Tech Services /CIO AIT Deputy Assistant Admin for Acquisitions & Business Services ACQ Deputy Assistant Admin for Regions & Center Operations ARC 3.5 The Federal Aviation Administration Chief Operating Officer Air Traffic Org. (ATO) AAE FIGURE 3.3 29 Federal Aviation Administration organisation chart. 30 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES AIRCRAFT CERTIFICATION SERVICE AIR-1 EXECUTIVE SUPPORT OFFICE AIR-10 FUELS PROGRAM OFFICE AIR-20 FUELS PROGRAM BRANCH AIR-21 DESIGN, MANUFACTURING AND AIRWORTHINESS DIVISION AIR-100 SMALL AIRPLANE DIRECTORATE ACE-100 PLANNING AND PROGRAM MANAGEMENT DIVISION AIR-500 ENGINE & PROPELLER DIRECTORATE ANE-100 INTERNATIONAL AIRWORTHINESS PROGRAM STAFF AIR-40 TRANSPORT AIRPLANE DIRECTORATE ANM-100 ROTORCRAFT DIRECTORATE ASW-100 FIGURE 3.4 Aircraft Certification Service (AIR) organisation chart. The Aircraft Certification Service is responsible for the design and production approval, airworthiness certification, and continued airworthiness programmes of all US civil aviation products. FAA support that mission with a training programme and oversight of Designated Representatives of the Administrator. 184.108.40.206 The headquarters' offices The Office of the Director manages the Aircraft Certification Service. The Design, Manufacturing, and Airworthiness Division (AIR-100), effective since 9 February 2014, is the merging of the Aircraft Engineering Division (AIR-100) and Production and Airworthiness Division (AIR-200). The Division promotes aviation safety by issuing federal aviation regulations, national directives, policy, procedures, and advisory material pertaining to continued operational safety, type certification, design approvals, production approvals, airworthiness certification, and authorisation and oversight of certain Designated Representatives of the Administrator. 3.5 The Federal Aviation Administration 31 The International Policy Office (AIR-40) is the focal point for AIR international activities. This office provides liaison support to other FAA organisations, international agencies of the US Government, the ICAO, and other civil aviation authorities (CAAs). The Planning and Program Management Division (AIR-500) manages national programmes and administrative activities in training, staffing, programme planning and evaluation, finance, and human resources. The division also distributes national policy and guidance on these subjects. The Fuels Program Office (AIR-20) is the advocate and focal point for regulations, policies and certification programmes for fuel-related activities. This office is responsible for addressing the Unleaded Avgas Transition Aviation Rulemaking Committee (UAT ARC) recommendations to meet the Destination 2025 goal of having an unleaded replacement fuel that is usable by most general aviation aircraft. 184.108.40.206 The aircraft certification directorates The directorates develop and implement national regulatory requirements, policy, and procedures for continued operational safety and type, production, and airworthiness certifications for their designated products. Each directorate also has responsibility for overseeing certification activities (field office operations, certification programmes, and projects) within its geographic area. 1) The Transport Airplane Directorate (ANM-100) consists of the Directorate headquarters located in Renton, three Aircraft Certification Offices (ACOs) in Denver, Los Angeles, and Seattle, four Manufacturing Inspection District Offices (MIDOs)19 in Los Angeles, Phoenix, Seattle, and Van Nuys. The Manufacturing Inspection Offices (MIOs) operate in the Geographic Service Area of Arizona, Colorado, California, Hawaii, Idaho, Montana, Nevada, Oregon, Utah, Washington, and Wyoming. The Directorate has oversight responsibility for transport category aeroplane design approvals, and modifications worldwide, as well as oversight responsibility for over 900 production approval holders. The Transport Airplane Directorate works closely with other FAA offices throughout the country and with foreign regulatory authorities to accomplish this mission. The Directorate: monitors the Continued Operational Safety of the transport category aeroplane fleet to ensure that aeroplanes continue to meet regulations and are safe throughout their operational life cycle; looks for conditions that affect the safety of aeroplanes through surveillance, inspection, review, investigation, and analysis of service difficulties, incidents, and accidents. If an unsafe condition is identified, it will: a. w ork with the manufacturers to mandate corrective action through ADs; b. revise regulations/policy, or issue new regulations/policy. The Transport Airplane Directorate Field Offices: a) issue design, production, and airworthiness approvals of all aircraft and aircraft parts in the above-mentioned Geographic Service Area and the Pacific Rim countries; b) determine if and ensure that each aircraft design meets the applicable regulations (Design Approvals); c) issue a type certificate when an applicant shows that its aircraft design meets the standards; 19For the definitions see paragraph 18.104.22.168. 32 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES d) e nsure that each manufacturing facility is capable of producing aircraft to the approved design (Production Approvals); e) ensure that each aircraft produced in the manufacturing facility is built to the approved design and is in a condition for safe operation (Airworthiness Certification). 2) The Small Airplane Directorate (ACE-100) (Central Region) consists of the Directorate headquarters located in Kansas City; four ACOs located in Anchorage, Atlanta, Chicago, and Wichita; and seven MIDOs located in Atlanta, Cleveland, Kansas City, Minneapolis, Orlando, Vandalia, and Wichita. The MIOs operate in the Geographic Service Area of Alabama, Alaska, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Michigan, Minnesota, Mississippi, Missouri, Nebraska, North Carolina, North Dakota, Ohio, South Carolina, South Dakota, Tennessee, and Wisconsin. The Primary functions of the Directorate headquarters located in Kansas City are to: a) p rovide administrative support and resource management for the Directorate field offices; b) develop type certification policies and regulations for small aeroplanes, airships, and balloons and ensure standardised application of the policies and regulations; c) administrate type certification of small aeroplanes, airships, and balloons in field offices outside the Directorate; and d) monitor continued airworthiness information and process airworthiness actions for small aeroplanes, airships, and balloons. NOTE: FAR 1 defines a 'small aircraft' an aircraft of 12,500 lbs or less maximum certificated take-off weight. Therefore, any aeroplane, including transport category aeroplanes, could be considered 'small' by the Part 1 definition if the aeroplane is less than 12,500 lbs. However, as commonly used, and in the most basic meaning, small aeroplanes have generally been considered fixed-wing aircraft that are not transport category aeroplanes (ie fixed-wing aeroplanes type certificated to standards other than FAR 25). Therefore, generally speaking, small aeroplanes are fixed-wing aeroplanes that are not transport category. Depending on the category, small aeroplanes can reach up to 19,000 lbs maximum take-off weight (FAR 23). A small aeroplane is not the same as a General Aviation aircraft, because it is operated under FAR 91, which could be any category of aeroplane, including transport category and rotorcraft. Additionally aeroplanes operated under FAR 121 and 125, which may include small aeroplanes, are not considered General Aviation aircraft when operated under these rules. 3) The Rotorcraft Directorate (ASW-100) consists of the Directorate headquarters located in Fort Worth, one ACO in Forth Worth, three MIDOs in Forth Worth, Oklahoma City and San Antonio. The MIOs operate in the Geographic Service Area of Arkansas, Louisiana, New Mexico, Oklahoma, and Texas. The Directorate is responsible for FAA approval of the design and production of any civil aviation product in the Southwest Region. This includes aeroplanes, rotorcraft, powered-lift aircraft, engines, balloons, parts, etc. Additionally it is responsible for writing regulations and policies governing the design of rotorcraft and powered-lift aircraft, the standard application of these regulations and policies within the United States, and the validation/FAA approval of foreign rotorcraft and powered-lift aircraft. 4) The Engine and Propeller Directorate (E&PD) (ANE-100) consists of the Directorate headquarters located in Burlington, two ACOs in Boston and New York, five MIDOs in Burlington, Farmingdale, 3.5 The Federal Aviation Administration 33 New Cumberland, Saddle Brook, and Windsor Locks. The Boston MIO in Burlington operates in the Geographic Service Area of Connecticut, Delaware, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Pennsylvania, Rhode Island, Vermont, Virginia, and West Virginia. The Directorate is responsible for original type certification or changes to approved designs of aircraft engines and propellers, Technical Standard Order approvals of auxiliary power units, and assuring that aviation parts are manufactured to approved standards. The Engine Certification Office in Burlington determines whether engine designs meet performance and certification standards by issuing design approvals, oversees the continual operational safety of certified engines, and manages designated engineering representatives. 22.214.171.124 The field and regional offices The field offices serve the various geographic areas for guidance on aircraft certification related activities. The aircraft local field offices listed below can provide direct personal assistance to address particular situation in a timely manner: Aircraft Certification Offices are staffed with FAA Aviation Safety Engineers (ASE)20 to assist with the following: a) d esign approvals and certificate management; b) US production approvals; c) engineering and analyses questions; investigating and reporting aircraft accidents, incidents, and service difficulties; d) Designated Engineering Representatives oversight. Each directorate incorporates three or more ACOs within their geographical areas issuing the actual certification of aircraft and products. They work directly with the applicant and provide the main interface between the public and the FAA. Manufacturing Inspection District Offices are staffed with FAA Aviation Safety Inspectors (ASI)21 to assist with the following: a) b) c) d) e) anufacturing and production certification; m airworthiness certification; manufacturing facilities approval holder issues; manufacturing Designated Airworthiness Representatives (DAR-F) oversight; support to ACOs during design approvals. The Manufacturing Inspection District Offices provides the following: a) o versight of MIDOs; b) management of geographically located production facilities and designees. 20Aircraft Certification Service – Aviation Safety Engineer (ASE). ASEs are responsible for evaluating design approval projects of aircraft, aircraft engines, and parts. They perform certificate management of design approval holders, including working with manufacturers to develop suitable corrective actions to address potential unsafe conditions. 21Aircraft Certification Manufacturing (ASI). Manufacturing ASIs administer and enforce safety regulations and standards for the production and/or modification of aircraft, aircraft engines, and parts. During type certification programmes and design evaluations, an ASI will inspect prototype or modified aircraft, aircraft parts, and avionics equipment for conformity with design specifications and safety standards. 34 CHAPTER 3 THE ICAO AND THE CIVIL AVIATION AUTHORITIES 3.5.4 THE FLIGHT STANDARD SERVICE The Flight Standards Service promotes safe air transportation by setting the standards for certification and oversight of airmen, air operators, air agencies, and designees. It also promotes safety of flight of civil aircraft and air commerce by: a) a ccomplishing certification, inspection, surveillance, investigation, and enforcement; b) setting regulations and standards; c) managing the system for registration of civil aircraft and all airmen records. 220.127.116.11 The headquarters' offices The Air Transportation Division, among a long and complex series of tasks, provides recommendations governing certification and operation of air carriers and commercial operators of large aircraft (private carriers operating for compensation or hire). The Aircraft Maintenance Division is responsible for regulations and national policy governing the certification, inspection, and surveillance of the maintenance aspects of the following: a) b) c) d) e) g eneral aviation, air carrier, and commercial operators; airmen (mechanics, repairmen, designees, parachute riggers); avionics; air agencies (aviation maintenance technician schools (AMTS), and repair stations); maintenance requirements, pe