International Civil Aviation Organization Organisation de l aviation civile internationale Organización de Aviación Civil Internacional Международная организация гражданской авиации Tel.: +1 514-954-8219 ext. 8080 Ref.: AN 11/1.3.32-18/12 29 March 2018 Subject: Adoption of Amendment 43 to Annex 6, Part I Action required: a) Notify any disapproval before 16 July 2018; b) Notify any differences and compliance before 8 October 2018 1 ; c) Consider the use of the Electronic Filing of Differences (EFOD) System for notification of differences and compliance Sir/Madam, 1. I have the honour to inform you that Amendment 43 to the International Standards and Recommended Practices, Operation of Aircraft International Commercial Air Transport Aeroplanes (Annex 6, Part I to the Convention on International Civil Aviation) was adopted by the Council at the fifth meeting of its 213th Session on 7 March 2018. Copies of the Amendment and the Resolution of Adoption are available as attachments to the electronic version of this State letter on the ICAO-NET (http://portal.icao.int) where you can access all other relevant documentation. 2. When adopting the amendment, the Council prescribed 16 July 2018 as the date on which it will become effective, except for any part concerning which a majority of Contracting States have registered their disapproval before that date. In addition, the Council resolved that Amendment 43, to the extent it becomes effective, will become applicable on 8 November 2018 unless otherwise indicated. 3. Amendment 43 arises from: a) recommendations stemming from the third meeting of the Flight Operations Panel (FLTOPSP/3) concerning guidance on rescue and fire-fighting services (RFFS); b) recommendations stemming from the ninth meeting of the Flight Recorder Specific Working Group (FLIRECSWG/9) relating to flight crew-machine interface 2 1 5 October 2020 for provisions indicating applicable as of 5 November 2020. 2 Provisions for flight crew-machine interface recordings were originally included in State letter SP 55/4-17/1 under the title Airborne Image Recording. 999 Robert-Bourassa Boulevard Montréal, Quebec Canada H3C 5H7 Tel.: +1 514-954-8219 Fax: +1 514-954-6077 Email: icaohq@icao.int www.icao.int
- 2 - recordings including an CVR and AIR erase function, flight data recorder parameter lists and the simplification of flight recorder SARPs; c) recommendations developed by the Secretariat, in consultation with the Aviation Security Panel (AVSECP) and the FLTOPSP concerning security of flight crew compartment; d) recommendations stemming from the third and fourth meetings of the Airworthiness Panel (AIRP/3 and AIRP/4) concerning the approval and global recognition of approved maintenance organizations (AMOs) (Phases I and II) and the introduction of provisions linked to electronic aircraft maintenance records (EAMR) framework; e) proposals developed by the Helicopter Fatigue Management Task Force (Heli-FM TF) and recommended by FLTOPSP/3 concerning harmonization and alignment of fatigue management SARPs; f) proposals developed by the Aeronautical Information Service (AIS) to Aeronautical Information Management (AIM) Study Group (AIS-AIMSG) concerning update to references as a result of the review and restructuring of Annex 15 Aeronautical Information Services and the new Procedures for Air Navigation Services Aeronautical Information Management (PANS-AIM, Doc 10066); and g) proposals developed by the thirteenth meeting of the Instrument Flight Procedure Panel (IFPP/13) concerning update to references as a result of the restructuring of Procedures for Air Navigation Services Aircraft Operations, Volume I Flight Procedures (Doc 8168). 4. The subjects are given in the amendment to the Foreword of Annex 6, Part I a copy of which is in Attachment A. The background information concerning each subject are presented in detail in Attachment B. 5. In conformity with the Resolution of Adoption, may I request: a) that before 16 July 2018 you inform me if there is any part of the adopted Standards and Recommended Practices (SARPs) amendments in Amendment 43 concerning which your Government wishes to register disapproval, using the form in Attachment C for this purpose. Please note that only statements of disapproval need be registered and if you do not reply it will be assumed that you do not disapprove of the amendment; b) that before 8 October 2018 3 you inform me of the following, using the Electronic Filing of Differences (EFOD) System or the form in Attachment D for this purpose: 1) any differences that will exist on 8 November 2018 between the national regulations or practices of your Government and the provisions of the whole of Annex 6, Part I as amended by all amendments up to and including Amendment 43, and thereafter of any further differences that may arise; and 3 5 October 2020 for provisions indicating applicable as of 5 November 2020.
- 3-2) the date or dates by which your Government will have complied with the provisions of the whole of Annex 6, Part I as amended by all amendments up to and including Amendment 43. 6. With reference to the request in paragraph 5 a) above, it should be noted that a registration of disapproval of Amendment 43 or any part of it in accordance with Article 90 of the Convention does not constitute a notification of differences under Article 38 of the Convention. To comply with the latter provision, a separate statement is necessary if any differences do exist, as requested in paragraph 5 b) 1). It is recalled in this respect that international Standards in Annexes have a conditional binding force, to the extent that the State or States concerned have not notified any difference thereto under Article 38 of the Convention. 7. With reference to the request in paragraph 5 b) above, it should be also noted that the ICAO Assembly, at its 38th Session (24 September 4 October 2013), resolved that Member States should be encouraged to use the EFOD System when notifying differences (Resolution A38-11, refers). The EFOD System is currently available on the Universal Safety Oversight Audit Programme (USOAP) restricted website (http://www.icao.int/usoap) which is accessible by all Member States. You are invited to consider using this for notification of compliance and differences. 8. Guidance on the determination and reporting of differences is given in the Note on the Notification of Differences in Attachment D. Please note that a detailed repetition of previously notified differences, if they continue to apply, may be avoided by stating the current validity of such differences. 9. I would appreciate it if you would also send a copy of your notifications, referred to in paragraph 5 b) above, to the ICAO Regional Office accredited to your Government. 10. At the fifth meeting of its 204th Session, the Council requested that States, when being advised of the adoption of an Annex amendment, be provided with information on implementation and available guidance material, as well as an impact assessment. This is presented for your information in Attachments E and F, respectively. Editorial adjustment and comprehensive new edition of Annex 6, Part I 11. In order to maintain a comprehensive edition of Annex 6, Part I, provisions that will become applicable on a date after 8 November 2018 as a result of Amendment 43 are identified with an italicized paragraph number and feature the date at the beginning of each provision. Definitions related to those provisions with delayed applicability date are identified by a footnote indicating the date of applicability. 12. In addition, the following adopted amendments with delayed applicability dates will be consolidated with Amendment 43 in a new edition of the Annex and will feature the 2019 and 2020 applicability dates at the beginning of each affected provision: a) Amendment 40-B (adopted by the Council on 2 March 2016 and applicable 7 November 2019); b) Amendment 40-C (adopted by the Council on 2 March 2016 and applicable 5 November 2020); and
-4c) Amendment 42 (adopted by the Council on 27 February 2017 and applicable 8 November 2018). Further information relating to the new editorial adjustment is available at https://www.icao.int/2018amendments. 13. As soon as practicable after the amendment becomes effective on 16 July 2018, a new edition of Annex 6, Part I incorporating Amendment 43 as well as the adopted amendments mentioned above will be forwarded to you. Accept, Sir/Madam, the assurances of my highest consideration. Fang Liu Secretary General Enclosures: A Amendment to the Foreword of Annex 6, Part I B Background information concerning the subjects of Amendment 43 to Annex 6, Part I C Form on notification of disapproval of all or part of Amendment 43 to Annex 6, Part I D Form on notification of compliance with or differences from Annex 6, Part I E Note on the Notification of Differences F Implementation task list and outline of guidance material in relation to Amendment 43 to Annex 6, Part I G Impact assessment in relation to Amendment 43 to Annex 6, Part I
ATTACHMENT A to State letter AN 11/1.3.32-18/12 AMENDMENT TO THE FOREWORD OF ANNEX 6, PART I Add the following at the end of Table A: Amendment Source(s) Subject 43 Third meeting of the Flight Operations Panel (FLTOPSP/3); ninth meeting of the Flight Recorder Specific Working Group (FLIRECSWG/9); Secretariat, in consultation with the Aviation Security Panel (AVSECP) and the FLTOPSP; third and fourth meeting of the Airworthiness Panel (AIRP/3 and AIRP/4); Helicopter Fatigue Management Task Force (Heli FM TF) and recommendation by FLTOPSP/3; Twelfth meeting of the Aeronautical Information Service (AIS) to Aeronautical Information Management (AIM) Study Group (AIS-AIMSG); and thirteenth meeting of the Instrument Flight Procedure Panel (IFPP/13) a) guidance on rescue and firefighting services (RFFS); b) flight recorder requirements to include: flight crew-machine interface recordings including CVR and AIR erase function; additional FDR parameters to be recorded; and simplification of flight recorder provisions; c) security of the flight crew compartment; d) approval and global recognition of approved maintenance organizations (AMOs) (Phases I and II) and the introduction of the electronic aircraft maintenance records (EAMR) framework; e) harmonization and alignment of fatigue management SARPs; f) amendment as a result of the review and restructuring of Annex 15 Aeronautical Information Services and the introduction of PANS-AIM (Doc 10066); and Adopted/Approved Effective Applicable 7 March 2018 16 July 2018 8 November 2018 g) amendments as a result of the restructuring of the Procedures for Air Navigation Services Aircraft Operations, Volume I Flight Procedures (Doc 8168)
ATTACHMENT B to State letter AN 11/1.3.32-18/12 BACKGROUND INFORMATION CONCERNING THE SUBJECTS OF AMENDMENT 43 TO ANNEX 6, PART I Note. For further clarification regarding a particular subject, please do not hesitate to contact OPS@icao.int. 1. GUIDANCE ON RESCUE AND FIRE-FIGHTING SERVICES (RFFS) 1.1 The amendment regarding RFFS introduces changes to complete the guidance contained within Attachment I to Annex 6, Part I. It provides more flexibility for the determination of an acceptable aerodrome RFFS protection level, on the condition that a risk assessment is performed as part of the operator s safety management system (SMS). The principle used is that the operator would consider the RFFS available at an aerodrome as one part of the risk assessment, which would enable them to select the best aerodrome for use considering a number of factors. At present there is insufficient guidance to allow for the full flexibility potential when conducting a risk assessment. 2. FLIGHT RECORDER REQUIREMENTS TO INCLUDE: FLIGHT CREW-MACHINE INTERFACE RECORDINGS 1 INCLUDING CVR AND AIR ERASE FUNCTION; ADDITIONAL FDR PARAMETERS TO BE RECORDED; AND SIMPLIFICATION OF FLIGHT RECORDER PROVISIONS 2.1 The amendment concerning flight crew machine interface recordings, flight data recorder parameter lists and the simplification of flight recorder SARPs addresses the following issues: a) Flight crew-machine interface: Safety recommendations addressed to ICAO related to flight crew-machine interface recordings raised the issue of unavailability of such recordings. The issues leading to these recommendations vary from data not available on either the CVR or flight data recorder (FDR) to analyse human performance, to the lack of data because no CVR or FDR was installed in the aircraft, or where it was unclear what was displayed to the flight crew during the occurrence. The provisions for image recordings of the information displayed to the flight crew and the operation of switches and selectors will be less invasive. These recordings will be less appealing to the media, thus assisting the protection of such information. Due to several comments during the consultation with States, the reference to image recordings was amended to flight crew-machine interface recordings and the related provisions were amended accordingly. The amendment also strengthens the requirements for an erase function available to the crew to erase CVR and AIR recordings after flights. In the case of solid-state recorders, although such function erases the recordings, it would still be possible for 1 Provisions for flight crew-machine interface recordings were originally included in State letter SP 55/4-17/1 under the title Airborne image recording.
B-2 the accident investigation authorities to access these recordings using special techniques. b) Flight data recorder parameter lists: During the simplification process, and as a consequence of safety recommendations made by investigation authorities, the parameters in Table A8-1 align the lists in Annex 6, Parts I and II with the EUROCAE ED-112A specifications. A Standard for newly designed aircraft applying for type certificate and a Recommendation for newly manufactured aircraft obtaining a first certificate of airworthiness on or after 1 January 2023 provides manufacturers and operators ample time to take these provisions into account for new aircraft. In many cases, the parameters are available but have not been included in the FDR dataframe layout to be recorded. This implies a modification to the dataframe and the approvals associated with such a modification. Having these parameters available will also be advantageous to flight data monitoring systems. c) Simplification of flight recorder SARPs: Due consideration was given to a performance-based approach for future development or revision of flight recorder provisions that would specify what recorded material needs to be available after an accident or incident, and allow for advancements in technology to provide a means of compliance. The flight recorder-related SARPs in Annex 6 were simplified but without change to the intent of the provisions. During the simplification, the provisions were reformatted to facilitate their interpretation. 3. SECURITY OF THE FLIGHT CREW COMPARTMENT 3.1 The amendment concerning security of the flight crew compartment addresses the following issues: a) The current requirement for a reinforced flight crew compartment is a barrier to the development and utilization of long-range business aircraft models with a passenger seating capacity of 19 or less and maximum certificated take-off mass (MCTOM) above 45 500 kg. The amendment provides for an increase in the MCTOM threshold from 45 500 kg to 54 500 kg, which is not considered a significant increase and provides an enduring limit that will also accommodate modest growth in current long-range business aeroplanes. It seeks the right balance between security and safety while giving due consideration to economic and operational impacts. b) During the final review process, comments were received stating that an increase in the MCTOM threshold would lead to an increased risk. This increased risk is considered to be minimal. The likelihood of an incident arising from the lack of a locked flight deck door is unaffected by the weight of the aeroplane. While it can be argued that the severity of the consequences of an incident may be higher due to the higher MCTOM, there are valid reasons to support the increase of the threshold. The original MCTOM threshold was originally selected as a means of differentiating between business aviation and commercial air transport and not for any reasons related to the transfer of energy on impact. Given this fact, there is no reason to assume that the current figure has any significance in terms of the consequence of an impact.
B-3 c) In response to suggestions that this figure would need to be further increased in the future, it should be noted that the need for an increase in MCTOM of business jets is primarily due to the increased fuel load required for extended range. With the new threshold, the range of these aircraft is extended to reach halfway around the world making further increases in range improbable. d) In seeking to maintain a tolerable level of risk to the operation, the amendment adds a requirement for 19 or less seats which was not included in the original provision. This helps to better distinguish the type of operation which is intended to be covered by the locked door provision. The addition of the seat requirement, therefore, prevents a higher MCTOM being used for an aircraft which is used for commercial air transport, a distinction that was implicit in the drafting of the original Standard which attempted to make this distinction on MCTOM alone. For larger aircraft with more than 19 seats, there is no change to the threshold MCTOM, resulting in no increase of risk to commercial air transport operations. e) Regarding the risk profile for commercial air transport and business aviation, an analysis of security incidents since November 2003 (when the locked cockpit door became a requirement) indicates that there have been no attempts to unlawfully seize an aircraft in flight while engaged in business aviation type operations. This is due in part to the additional passenger profiling normally conducted on business aviation operations. In the same period there were thirty-eight recorded incidents involving commercial air transport aircraft. There is a clear distinction in the risk profile of these two types of operation which supports the use of different mitigation strategies. 4. APPROVAL AND GLOBAL RECOGNITION OF APPROVED MAINTENANCE ORGANIZATIONS (AMOs) (PHASES I AND II) AND THE INTRODUCTION OF PROVISIONS LINKED TO THE ELECTRONIC AIRCRAFT MAINTENANCE RECORDS (EAMR) FRAMEWORK 4.1 The amendment concerning approval and global recognition of approved maintenance organizations (AMOs) will facilitate and enhance the promotion of the mutual recognition of AMOs and will ensure the clear allocation of responsibility for the approval of an AMO to the State of Registry. The amendment concerning electronic aircraft maintenance records (EAMR) introduces provisions linked to the EAMR framework. Current ICAO provisions for aircraft maintenance records do not specifically describe the format in which the records should be issued. This amendment will support Member States in issuing national legislation to address the existence and use of EAMR digital and other paperless forms of maintenance records. The amendment facilitates the development of a globally harmonized approach to the regulations governing EAMR, which would improve aircraft interoperability 5. CONSEQUENTIAL AMENDMENT AS A RESULT OF THE HARMONIZATION AND ALIGNMENT OF FATIGUE MANAGEMENT SARPS 5.1 The consequential amendment to fatigue management Standards and Recommended Practices (SARPs) aligns Annex 6, Part I with Amendment 22 to Annex 6, Part III International Operations Helicopters, where fatigue management SARPs for flight and cabin crew support: a) prescriptive flight and duty time limitation regulations; and b) fatigue risk management system (FRMS) regulations. In a few cases, the fatigue management SARPs for Part III are considered to provide slightly
B-4 clearer wording. The consequential amendment to Part I follow on from the Part III amendment, identifying instances where minor editorial changes would benefit Part I terms and language and further enhance the Part I/Part III alignment with regard to fatigue management. 6. CONSEQUENTIAL AMENDMENT AS A RESULT OF THE REVIEW AND RESTRUCTURING OF ANNEX 15 AERONAUTICAL INFORMATION SERVICES AND THE INTRODUCTION OF PANS-AIM (DOC 10066) 6.1 The consequential amendment as a result of the review and restructuring of Annex 15 Aeronautical Information Services and the introduction of Procedures for Air Navigation Services Aeronautical Information Management (PANS-AIM, Doc 10066) updates references in Annex 6, Part I following the review and restructuring of Annex 15 and the new PANS-AIM. 7. CONSEQUENTIAL AMENDMENTS AS A RESULT OF THE RESTRUCTURING OF THE PROCEDURES FOR AIR NAVIGATION SERVICES AIRCRAFT OPERATIONS, VOLUME I FLIGHT PROCEDURES (DOC 8168) 7.1 The consequential amendment as a result of the restructuring of Procedures for Air Navigation Services Aircraft Operations (PANS-OPS, Doc 8168), Volume I Flight Procedures to corrects a reference to PANS-OPS.
ATTACHMENT C to State letter AN 11/1.3.32-18/12 NOTIFICATION OF DISAPPROVAL OF ALL OR PART OF AMENDMENT 43 TO ANNEX 6, PART I To: The Secretary General International Civil Aviation Organization 999 Robert-Bourassa Boulevard Montréal, Québec Canada H3C 5H7 (State) hereby wishes to disapprove the following parts of Amendment 43 to Annex 6, Part I: Signature Date NOTES 1) If you wish to disapprove all or part of Amendment 43 to Annex 6, Part I, please dispatch this notification of disapproval to reach ICAO Headquarters by 16 July 2018. If it has not been received by that date it will be assumed that you do not disapprove of the amendment. If you approve of all parts of Amendment 43, it is not necessary to return this notification of disapproval. 2) This notification should not be considered a notification of compliance with or differences from Annex 6, Part I. Separate notifications on this are necessary. (See Attachment C.) 3) Please use extra sheets as required.
ATTACHMENT D to State letter AN 11/1.3.32-18/12 NOTIFICATION OF COMPLIANCE WITH OR DIFFERENCES FROM ANNEX 6, PART I (including all amendments up to and including Amendment 43) To: The Secretary General International Civil Aviation Organization 999 Robert-Bourassa Boulevard Montréal, Québec Canada H3C 5H7 1. No differences will exist on between the national regulations and/or practices of (State) and the provisions of Annex 6, Part I, including all amendments up to and including Amendment 43. 2. The following differences will exist on between the regulations and/or practices of (State) and the provisions of Annex 6, Part I, including Amendment 43 (Please see Note 2) below.) a) Annex Provision (Please give exact paragraph reference) b) Details of Difference (Please describe the difference clearly and concisely) c) Remarks (Please indicate reasons for the difference) (Please use extra sheets as required.)
D-2 3. By the dates indicated below, (State) will have complied with the provisions of Annex 6, Part I, including all amendments up to and including Amendment 43 for which differences have been notified in 2 above. a) Annex Provision b) Date c) Comments (Please give exact paragraph reference) (Please use extra sheets as required.) Signature Date NOTES 1) If paragraph 1 above is applicable to your State, please complete paragraph 1 and return this form to ICAO Headquarters. If paragraph 2 is applicable to you, please complete paragraphs 2 and 3 and return the form to ICAO Headquarters. 2) A detailed repetition of previously notified differences, if they continue to apply, may be avoided by stating the current validity of such differences. 3) Guidance on the notification of differences is provided in the Note on the Notification of Differences and in the Manual on Notification and Publication of Differences (Doc 10055). 4) Please send a copy of this notification to the ICAO Regional Office accredited to your Government.
ATTACHMENT E to State letter AN 11/1.3.32-18/12 NOTE ON THE NOTIFICATION OF DIFFERENCES (Prepared and issued in accordance with instructions of the Council) 1. Introduction 1.1 Article 38 of the Convention on International Civil Aviation ( Convention ) requires that a Contracting State notify ICAO any time it does not comply with a Standard in all respects, it does not bring its regulations or practices into full accord with any Standard, or it adopts regulations or practices differing in any particular respect from the Standard. 1.2 The Assembly and the Council, when reviewing the notification of differences by Contracting States in compliance with Article 38 of the Convention, have repeatedly noted that the timeliness and currency of such notifications is not entirely satisfactory. Therefore, this note is issued to reiterate the primary purpose of Article 38 of the Convention and to facilitate the determination and notification of differences. 1.3 The primary purpose of the notification of differences is to promote safety, regularity and efficiency in air navigation by ensuring that governmental and other agencies, including operators and service providers, concerned with international civil aviation are made aware of all national regulations and practices in so far as they differ from those prescribed in the Standards contained in Annexes to the Convention. 1.4 Contracting States are, therefore, requested to give particular attention to the notification of differences with respect to Standards in all Annexes, as described in paragraph 4 b) 1) of the Resolution of Adoption. 1.5 Although differences from Recommended Practices are not notifiable under Article 38 of the Convention, the Assembly has urged Contracting States to extend the above considerations to Recommended Practices contained in Annexes to the Convention, as well. 2. Notification of differences from Standards and Recommended Practices (SARPs) 2.1 Guidance to Contracting States in the notification of differences to Standards and Recommended Practices (SARPs) can only be given in very general terms. Contracting States are further reminded that compliance with SARPs generally extends beyond the issuance of national regulations and requires establishment of practical arrangements for implementation, such as the provision of facilities, personnel and equipment and effective enforcement mechanisms. Contracting States should take those elements into account when determining their compliance and differences. The following categories of differences are provided as a guide in determining whether a notifiable difference exists: a) A Contracting State s requirement is more exacting or exceeds a SARP (Category A). This category applies when the national regulation and practices are more demanding than the corresponding SARP, or impose an obligation within the scope of the Annex which is not covered by the SARP. This is of particular importance where a Contracting State requires a higher standard which affects the operation of aircraft of other Contracting States in and above its territory;
E-2 b) A Contracting State s requirement is different in character or the Contracting State has established other means of compliance (Category B). This category applies, in particular, when the national regulation and practices are different in character from the corresponding SARP, or when the national regulation and practices differ in principle, type or system from the corresponding SARP, without necessarily imposing an additional obligation; and c) A Contracting State s requirement is less protective, partially implemented or not implemented (Category C). This category applies when the national regulation and practices are less protective than the corresponding SARP; when no national regulation has been promulgated to address the corresponding SARP, in whole or in part; or when the Contracting State has not brought its practices into full accord with the corresponding SARP. These categories do not apply to Not Applicable SARP. Please see the paragraph below. 2.2 Not Applicable SARP. When a Contracting State deems a SARP concerning aircraft, operations, equipment, personnel, or air navigation facilities or services to be not applicable to the existing aviation activities of the State, notification of a difference is not required. For example, a Contracting State that is not a State of Design or Manufacture and that does not have any national regulations on the subject, would not be required to notify differences from Annex 8 provisions related to the design and construction of an aircraft. 2.3 Differences from appendices, tables and figures. The material comprising a SARP includes not only the SARP itself, but also the appendices, tables and figures associated with the SARP. Therefore, differences from appendices, tables and figures are notifiable under Article 38. In order to file a difference against an appendix, table or figure, States should file a difference against the SARP that makes reference to the appendix, table or figure. 2.4 Differences from definitions. Contracting States should notify differences from definitions. The definition of a term used in a SARP does not have independent status but is an essential part of each SARP in which the term is used. Therefore, a difference from the definition of the term may result in there being a difference from any SARP in which the term is used. To this end, Contracting States should take into consideration differences from definitions when determining compliance or differences to SARPs in which the terms are used. 2.5 The notification of differences should be not only to the latest amendment but to the whole Annex, including the amendment. In other words, Contracting States that have already notified differences are requested to provide regular updates of the differences previously notified until the difference no longer exists. 2.6 Further guidance on the identification and notification of differences, examples of well-defined differences and examples of model processes and procedures for management of the notification of differences can be found in the Manual on Notification and Publication of Differences (Doc 10055). The expression different in character or other means of compliance in b) would be applied to a national regulation and practice which achieve, by other means, the same objective as that of the corresponding SARPs or for other substantive reasons so cannot be classified under a) or c).
E-3 3. Form of notification of differences 3.1 Differences can be notified: a) by sending to ICAO Headquarters a form on notification of compliance or differences; or b) through the Electronic Filing of Differences (EFOD) System at www.icao.int/usoap. 3.2 When notifying differences, the following information should be provided: a) the number of the paragraph or subparagraph which contains the SARP to which the difference relates ; b) the reasons why the State does not comply with the SARP, or considers it necessary to adopt different regulations or practices; c) a clear and concise description of the difference; and d) intentions for future compliance and any date by which your Government plans to confirm compliance with and remove its difference from the SARP for which the difference has been notified. 3.3 The differences notified will be made available to other Contracting States, normally in the terms used by the Contracting State when making the notification. In the interest of making the information as useful as possible, Contracting States are requested to ensure that: a) statements be as clear and concise as possible and be confined to essential points; b) the provision of extracts from national regulations not be considered as sufficient to satisfy the obligation to notify differences; and c) general comments, unclear acronyms and references be avoided. This applies only when the notification is made under 3.1 a).
ATTACHMENT F to State letter AN 11/1.3.32-18/12 IMPLEMENTATION TASK LIST AND OUTLINE OF GUIDANCE MATERIAL IN RELATION TO AMENDMENT 43 TO ANNEX 6, PART I 1. IMPLEMENTATION TASK LIST 1.1 Essential steps to be followed by a State in order to implement the amendment to Annex 6, Part I: a) identification of the rule-making process necessary to transpose the amendments concerning the following provisions into the national regulation taking into consideration the applicability date: 1) guidance on rescue and fire-fighting services (RFFS); 2) flight crew-machine interface recordings including erase function, flight data recorder parameter lists and simplification of the flight recorder Standards and Recommended Practices (SARPs); 3) security of the flight crew compartment; 4) approval and global recognition of approved maintenance organizations (AMOs) (Phases I and II) and the introduction of the electronic aircraft maintenance records (EAMR) framework; if applicable, amendment of existing 83 bis agreements; 5) harmonization and alignment of fatigue management SARPs; 6) amendment as a result of the review and restructuring of Annex 15 Aeronautical Information Services and the new PANS-AIM (Doc 10066); and 7) amendments as a result of the restructuring of the Procedures for Air Navigation Services Aircraft Operations, Volume I Flight Procedures (Doc 8168); b) identification and notification of differences, if applicable; c) establishment of a national implementation plan that takes into consideration the provisions that are under development to complement the above provisions and to confirm compliance for each applicable air operator and approved maintenance organization; d) drafting of the amendment(s) to the national requirements and means of compliance; e) official adoption of national requirements and/or means of compliance (industry guidance); f) amendment of air operator certification and/or surveillance programmes to include new requirements;
F-2 g) revision of guidance material(s) and checklist(s) for applicable inspectors that support air operator and approved maintenance organization certification, surveillance and the resolution of any issues identified; h) training of inspectors based on the revised inspector guidance material; i) operational acceptance of policy and procedures of operator(s) and approved maintenance organizations to comply with applicable requirements. 2. STANDARDIZATION PROCESS 2.1 Effective date: 16 July 2018 2.2 Applicability date: 8 November 2018 2.3 Embedded applicability date(s): a) 5 November 2020 for elements concerning approval and global recognition of AMO and the introduction of the EAMR framework; and b) 1 January 2023 for elements concerning flight data recorder parameter lists, CVR and AIR erase functions and flight crew machine interface recordings. 3. SUPPORTING DOCUMENTATION 3.1 ICAO documentation Title Type Planned (PANS/TI/Manual/Circ) publication date Manual of Aircraft Accident and Incident Manual Available Investigation (Doc 9756) Manual on Flight Crew-Machine Interface Manual November 2019 Recordings (Doc 10101)(under development) Airworthiness Manual (Doc 9760) Manual 2018 Manual on the implementation of Article 83 bis of Manual 2018 the Convention on International Civil Aviation (Doc 10059) Manual of Procedures for Operations Inspection, Manual 2018 Certification and Continued Surveillance (Doc 8335) Safety Management Manual (SMM) (Doc 9859) Manual 2018 Human Factors Guidelines for Aircraft Manual 2018 Maintenance Manual (Doc 9824) Human Factors Guidelines for Safety Audits Manual (Doc 9806) Manual 2018
F-3 Title Manual of Procedures for Establishment and Management of a State's Personnel Licensing System (Doc 9379) Type Planned (PANS/TI/Manual/Circ) publication date Manual 2018 3.2 External documentation Title External Organization Publication date EUROCAE ED-112A EUROCAE September 2013 EUROCAE ED-155 EUROCAE July 2009 EUROCAE ED-55 EUROCAE September 1998 EUROCAE ED-56A EUROCAE November 1996 4. IMPLEMENTATION ASSISTANCE TASKS Type Global Regional Increased awareness By RASGs, RSOOs, and COSCAPs regarding amendments to Annex 6, Part I Workshop/Seminar By regional offices regarding amendments to Annex 6, Part I and guidance materials on the AMO and EAMR provisions 5. UNIVERSAL SAFETY OVERSIGHT AUDIT PROGRAMME (USOAP) 5.1 The content of this paper may require an amendment of the USOAP continuous monitoring approach (CMA) protocol questions in the areas of accident investigation (AIG), airworthiness of aircraft (AIR), air navigation services (ANS) and aircraft operations (OPS) to assess effective implementation by States. Existing protocol questions may need amendment or new protocol questions may be required. This will be assessed during the next amendment cycle of the protocol questions.
ATTACHMENT G to State letter AN 11/1.3.32-18/12 IMPACT ASSESSMENT IN RELATION TO AMENDMENT 43 TO ANNEX 6, PART I 1. INTRODUCTION 1.1 Amendment 43 to Annex 6, Part I is intended to: a) provide guidance on rescue and fire-fighting services (RFFS); b) provide for flight crew-machine interface recordings, benefitting the investigation of accidents and incidents, and introduce a requirement for the erase function. The additional flight data recorder parameters and simplification of the flight recorder Standards and Recommended Practices (SARPs) are intended to make flight recorder data available for effective and efficient accident and incident investigations; c) promote the mutual recognition of approved maintenance organizations (AMOs) and ensure a clear allocation of responsibilities to the State of Registry, and introduce provisions linked to the electronic aircraft maintenance records (EAMR) framework; d) harmonize and align fatigue management SARPs; e) update references as a result of the review and restructuring of Annex 15 Aeronautical Information Services and the new PANS-AIM (Doc 10066); and f) update references as a result of the restructuring of Procedures for Air Navigation Services Aircraft Operations, Volume I Flight Procedures (Doc 8168). 2. IMPACT ASSESSMENT 2.1 Guidance on RFFS 2.1.1 Safety impact: The amendment will improve both safety and operational flexibility for commercial air carriers. The amendments to Attachment I will give operators the tools they need to better assess the safety of the aerodrome they intend to use. In addition, the amendments will provide a more comprehensive basis on which to make operational decisions, such as the choice of an alternate aerodrome. 2.1.2 Financial impact: The amendment will make very few demands of signatory States in terms of regulatory changes, the development of guidance materials, oversight, or the need for infrastructure changes. States should be able to accommodate the changes though simple one-time amendments to regulatory or policy materials. This would need to be supported by amendments to internal guidance for inspectors and safety personnel and to external guidance for operators. Oversight would be accomplished in the same manner as today. The amendment will not require any additional cost or staffing demands. The amendment will not drive additional resource costs for the industry, specifically air operators. The industry may realize some limited cost benefits resulting from the added flexibility afforded by the changes. 2.1.3 Security impact: No security impact with the implementation of this amendment.
G-2 2.1.4 Environmental impact: The recommended SARP changes will allow performance-based choices that will optimize routing (particularly for large aircraft flying to new destinations), resulting in the need to carry less fuel for diversionary purposes (alternate planning). This will, in turn, help to reduce emissions and fuel consumption. 2.1.5 Efficiency impact: The recommended SARP changes will allow performance-based choices that will optimize routing. 2.1.6 Expected implementation time: Minimal time needed to update regulations where necessary; however, the material is guidance only and need not be used. 2.2 Flight crew-machine interface recordings, flight data recorder parameter lists and the simplification of flight recorder SARPs 2.2.1 Safety impact: The amendment will allow for flight crew-machine interface recordings, including improved protection of CVR and AIR data, which will enable States to conduct more effective and efficient accident and incident investigations based on additional flight recorder data. This will improve the safety value of investigations. 2.2.2 Financial impact: The cost impact to States relates to promulgating the regulations for the flight crew-machine interface recordings including the erase function, additional flight data recorder parameters and to include these requirements in the air operator oversight system. The simplified flight recorder provisions will assist in the understanding of the flight recorder provisions, resulting in less resources required. 2.2.3 The cost impact to industry for the flight crew-machine interface recordings, including the erase function, and additional flight data recorder parameters implies either equipping aircraft or, in the case of recording additional parameters, modifying the data-frame layout. Additionally, amending related aircraft documentation would result in negligible financial impact to the industry. Considering the provisions are mostly for new type certificate (newly designed) aircraft from 1 January 2023 onwards, this cost would be offset against being part of the manufacturing cost of the aircraft. 2.2.4 Security impact: No security impact is foreseen with the implementation of this amendment. 2.2.5 Environmental impact: The environmental impact associated with implementation of these provisions is considered negligible. 2.2.6 Efficiency impact: It is not anticipated that there will be a significant change in the efficiency of the air transportation system. 2.2.7 Expected implementation time: Implementation time will depend on the timelines of States to amend their regulations. From an equipage perspective and recalling the embedded applicability date for some of the provisions is 1 January 2023, the industry implementation period is estimated to be feasible in that period. Operators will have to amend their policies and procedures, including training of relevant personnel, to accommodate the requirements prior to the applicability date. 2.3 Security of the flight crew compartment 2.3.1 Safety impact: Small safety benefit in having no door for better egress in the event of an accident or serious incident.
G-3 2.3.2 Financial impact: Minimal financial impact with the implementation of this amendment. 2.3.3 Security impact: Small security decrease in having no door for aircraft up to 54 500 kg with 19 or less seats. Small security benefit in being able to operate, where required, with quicker turnarounds without refuelling. 2.3.4 Environnemental impact: Positive impact. Longer range. Reduced CO2 emissions due to reduced fuel burn without fuelling stopovers. 2.3.5 Efficiency impact: Positive economic impact for manufacturers and on-demand longer range operators. Reduced time without stopovers. 2.3.6 Expected implementation time: Minimal time needed to update regulations where necessary. 2.4 Approval and global recognition of AMOs (Phases I and II) and the introduction of provisions linked to EAMR framework 2.4.1 Safety impact: There will be a positive safety impact with the implementation of this amendment. The AMO provision clarifies the responsibilities of operators and maintenance organizations, particularly in relation to which records must be retained, and supports the option for the State of Registry to recognize an AMO approval issued by another Contracting State, promoting the exchange of information between such States. The EAMR provision ensures the accurate recording and real time accessibility of continuing airworthiness aircraft maintenance status and aircraft maintenance-related work completion. 2.4.2 Financial impact: There will be a significant reduction in cost and a positive financial impact to States and industry with the implementation of this amendment. 2.4.3 Security impact: No security impact with the implementation of the amendment concerning AMOs. Physical security requirements are still applicable. Cybersecurity should be addressed as part of the overall aviation organization structure. The EAMR specific cybersecurity requirements will represent a very limited set of the overall cybersecurity mechanism required to be implemented by aviation stakeholders. 2.4.4 Environmental impact: Implementation of the AMO provisions has no environmental impact. The EAMR is a paperless aircraft technical operations component which lowers the environmental footprint of aviation entities. The significant reduction of demand for use of paper will put less stress on the supporting natural resources and reduce waste. 2.4.5 Efficiency impact: Implementation of these AMO provisions will support a positive change in the efficiency of the air transportation system. The amendment supports the option for the State of Registry to recognize an AMO approval issued by another Contracting State, promoting also the exchange of information between such States. There will be a positive change in the efficiency of the air transportation system. Rapid and accurate search, sort and monitor capabilities will drastically reduce the time required compared to paper records processing. Maintenance records transfer required to take place between aviation entities will be facilitated at significantly reduced time and cost.
G-4 2.4.6 Expected implementation time: 2.4.6.1 The expected implementation time for the AMO provisions would be two to five years and for the EAMR provisions one to two years. 2.4.6.2 For States, the changes introduced in Annexes 1, 6 and 8 consist of the uniform application of the terms repairs, modifications and maintenance release, the appropriate use of the terms maintenance records and continuing airworthiness records and the transfer of the AMO approval provisions from Annex 6 to Annex 8. 2.4.6.3 This may require certain changes to definitions, terms and cross-references in the procedures of the competent authorities and in their national legislation. Additionally, certain changes may be needed to the references contained in existing 83bis agreements between States. It is not expected, however, that the changes to the Annexes will affect the substance of the procedures and national legislation. On the other hand, the procedures and national legislations of certain States may be affected by the introduction of provisions in line with the guidance to be introduced in the Airworthiness Manual (Doc 9760) to facilitate the standardization of the approval and recognition process of AMO regulations foreseen with the implementation of this amendment. This may take two to five years. 2.4.6.4 For industry, the changes introduced in Annexes 1, 6 and 8 are only expected to affect some definitions, terms and cross references contained in the maintenance organization s manual (AMO) and in the maintenance control manual (operator). This can be performed within one to two years. 2.4.6.5 Additional changes may be needed if the State of Registry decides to introduce changes to their legislation related to the guidance to be provided in Doc 9760. 2.5 Harmonization and alignment of fatigue management SARPs 2.5.1 Safety impact: Improved flight and passenger safety as States and operators better understand fatigue management accountabilities and employ scientifically-based processes and procedures to reduce flight and cabin crew fatigue. 2.5.2 Financial impact: Nil. 2.5.3 Security impact: No security impact with the implementation of this amendment. 2.5.4 Environmental impact: Implementation of these provisions has no environmental impact. 2.5.5 Efficiency impact: It is not anticipated that there will be a net change in the efficiency of the air transportation system. 2.5.6 Expected implementation time: Minimal time needed to update regulations where necessary. 2.6 Amendment as a result of the review and restructuring of Annex 15 and the new PANS-AIM 2.6.1 Safety impact: The amendment provides a positive safety impact and ensures alignment among requirements, as contained in Annex 6, Part I, Annex 15 Aeronautical Information Services and
G-5 the Procedures for Air Navigation Services Aeronautical Information Management (PANS-AIM, Doc 10066), and avoids misinterpretation. Therefore, there is an indirect benefit in terms of safety. 2.6.2 Financial impact: Minimal financial impact with the implementation of this amendment from changes to regulatory material in line with the editorial change. 2.6.3 Security impact: No security impact with the implementation of this amendment. 2.6.4 Environmental impact: Implementation of these provisions has no environmental impact. 2.6.5 Efficiency impact: The amendment provides a positive efficiency impact and ensures alignment among requirements, as contained in Annex 6, Part I, Annex 15 and the PANS-AIM (Doc 10066). Requirements are retrieved in a more efficient way as they are cross-referenced. The change is, therefore, considered beneficial. 2.6.6 Expected implementation time: There is no significant change to State regulations foreseen with the implementation of this amendment. 2.7 Amendments as a result of the restructuring of PANS-OPS, Volume I 2.7.1 Safety impact: No safety impact with the implementation of this amendment. 2.7.2 Financial impact: Minimal financial impact with the implementation of this amendment from changes to regulatory material in line with the editorial change. 2.7.3 Security impact: No security impact with the implementation of this amendment. 2.7.4 Environmental impact: Implementation of these provisions has no environmental impact. 2.7.5 Efficiency impact: It is not anticipated that there will be a net change in the efficiency of the air transportation system. Expected implementation time: Minimal time needed to update regulations where necessary. END