Par 9 Page 12 NOTE: Section 121.122 for supplemental operations requires rapid and reliable communications for an airplane with more than two engines, other than all-cargo operations.
10. OPERATIONAL CONTROL REQUIRED INFORMATION.
a. Airport Data. OpSpec A009 describes the system to obtain and distribute airport data.
b. Operators’ Manuals. Operators’ manual systems must contain guidance and procedures by which the PIC and aircraft dispatcher or DO/designee (flight follower) (or other operational control personnel) acquire, disseminate, and apply operational information. The required information (refer to § 121.135) must include at least the following:
• Departure, destination, and alternate airport information.
• En route facilities information.
• NOTAMs.
• Aircraft performance data.
• Driftdown (if applicable).
• Equal time point (if applicable).
• Extended Operations (ETOPS) (if applicable).
• Airport obstacle data.
• Weather.
• Flight and fuel planning.
• Load control.
• Crew/aircraft dispatcher/flight follower qualifications.
• Flight-time limitations/rest requirements.
• Airworthiness of aircraft.
c. Operational Control Weather Data. For operational control weather data, reference or describe in OpSpec A010, Aviation Weather Information, the system the certificate holder used to acquire, analyze, and disseminate weather data. For domestic and flag operations, § 121.101(d) requires an approved adverse weather program.
(1) Use one of the following sources for weather data:
(a) The National Weather Service (NWS); or
(b) A source approved by the Administrator (Order 8900.1, Volume 3, Chapter 26, Aviation Weather Regulatory Requirements).
NOTE: Currently, the NWS does not have a process to approve commercial weather providers for providing analysis or forecasts.
(2) Data from an approved source must be the basis for all weather forecasts.
Par 10 Page 13
(3) Some certificate holders have elected to adopt an approved Enhanced Weather Information System (EWINS). An approved EWINS program provides air carriers operational flexibility for weather forecasting.
NOTE: All reports or forecasts used to control flight operations that have not been produced by the NWS, such as a Terminal Aerodrome Forecast from a third-party vendor, must be specifically approved in A010 of the OpSpecs as a EWINS provider.
11. SUMMARY.
a. Consult ASIs. Each certificate holder is encouraged to consult with their ASIs (dispatch inspector subject matter expert (SME)) in developing and documenting guidance, policies, practices, and procedures recommended in this AC. Positive communication and clear delineation of functions, duties, and responsibilities between the participants in the management of operational control is essential to safe and efficient operations.
b. Intent of This AC. The models presented in this AC are recommended practices. The intent is to provide information on development of a comprehensive operational control system.
Each certificate holder should structure its system according to size, structure, complexity, and availability of resources.
c. Comments and Inquiries. Direct any questions regarding the guidance in this AC to the Air Transportation Division, Operations Group at (202) 267-8166.
12. AC FEEDBACK FORM. For your convenience, the AC Feedback Form is the last page of this AC. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this AC on the Feedback Form.
Appendix 1 APPENDIX 1. OPERATIONAL CONTROL DIAGRAM Operational Control FAA Aviation Safety System Weather ATC Maintena Engineering NOTAMs System Coor'd.
Management and Operations Support Personnel Customer Service Maintenance Control Flight Planning (Provide Airworthy Aircraft) Aircraft Computer & Dispatched/ Dispatch Interface Rleased Dispatch/ Training Pilots Department PIC/Dispatcher Or Release PIC/DO/Flight •Flight Attendants Follower System Crew Scheduling Dispatchers Flight Monitoring/ Following Manuals 14 CFRs Performance Marketing (le. Policies and Load Planners Aircraft Fuelers Engineers Procedures) Specific regulations associated with each activity in the operational control system are included in the matrix in the next section.
NOTE: For a more comprehensive interface diagram refer to DOT/FAA/AR 00/45, Air Carrier Operations System Model, dated March 2001, located at: https://www.tc.faa.gov/its/worldpac/techrpt/ar00-
45.pdf.
Appendix 2 APPENDIX 2. OPERATIONAL CONTROL REGULATION MATRIX Operational Control Function Regulation Reference Operational Control Function Regulation Reference Operational Control
65.51, 121.107, 121.125, 121.533, 121.535, OpSpec A008 Communications 121.99, 121.122 Weather System 121.101, 121.119, OpSpec A010 Dispatch/Flight Release System
119.43, 119.49, 119.53, 121.97, 121.99,
121.101, 121.103, 121.107, 121.125, 121.135,
121.161, 121.551, 121.557, 121.593, 121.599,
121.601, 121.605, 121.607, 121.613, 121.619,
121.625, 121.629, 121.631, 121.635, 121.647,
121.651, 121.652, 121.655, 121.683, 121.693,
121.695, OpSpec A003 NOTAM Information
121.601, OpSpec A009 Training Department 121.135, 121.400 ATC Coordination
121.607, 121.613, 121.615, 121.647 Pilot Training Part 121 Subpart N, 121.400, 121.402,
121.403, 121.404, 121.405, 121.406, 121.409,
121.411, 121.412, 121.413, 121.414, 121.415,
121.418, 121.419, 121.424, 121.427, 121.429 Engineering 121.605 Flight Attendant Training Part 121 Subpart N, 121.400, 121.401,
121.403, 121.421, 121.427 Maintenance 121.605 Dispatcher Training Part 121 Subpart N, 121.400, 121.401,
121.402, 121.403, 121.404, 121.405, 121.406,
121.415, 121.418, 121.422, 121.427 Maintenance Control
121.605 Flight Follower Training 119.65(d), 121.127, 121.597 Management and Operations Support Personnel
119.65, 121.533, 121.535, 121.537, 121.539,
121.551, 121.553 Crew Scheduling Part 121 Subpart Q, 121.470, 121.471 Customer Service
121.135, 121.401 Pilot/Dispatcher Joint Responsibility Part 121, 121.533, 121.601, 121.633 Inability to Proceed as Released: 121.557,
121.533 Customer Service
121.593, 121.599, 121.601, 121.605, 121.613,
121.617, 121.619, 121.625, 121.637, 121.639,
121.647, 121.651, 121.652, 121.655, 121.657,
121.659, 121.663, 121.665, 121.687 Flight Monitoring/ Following
121.601, 121.603. 121.607, 121.624, 121.107,
121.125, 121.127 Flight Planning Computer/ Dispatcher Interface
121.533, 121.539, 121.541, 121.593, 121.599,
121.601, 121.605, 121.607, 121.613, 121.617,
121.619, 121.625, 121.627, 121.628, 121.629,
121.631, 121.635, 121.639, 121.647, 121.651,
121.652, 121.655, 121.657, 121.663, 121.665,
121.683, 121.685, 121.687, 121.693, 121.695,
121.711 Aircraft Dispatched 121.593, 121.599, 121.601, 121.605, 121.613,
121.617, 121.619, 121.625, 121.637, 121.639,
121.647, 121.651, 121.652, 121.655, 121.657,
121.659, 121.663, 121.665, 121.687 Responsibility for Pre-Departure Function
121.533, 121.538, 121.539, 121.541, 121.542,
121.557, 121.557, 121.580, 121.585, 121.586,
121.589, 121.590, 121.593, 121.599, 121.601,
121.605, 121.617, 121.628, 121.629, 121.639,
121.651, 121.655, 121.665, 121.687, 121.693,
121.695, 121.697 14 CFRs 121.135(a) and 121.135(b) Emergencies 121.533, 121.535, 121.537, 121.557, 121.559 Aircraft Performance Engineering Part 121 Subpart I, 121.171, 121.173,
121.191, 121.195, 121.197
Appendix 3 APPENDIX 3. OPERATIONAL CONTROL RELATED DOCUMENTS AND
GUIDANCE MATERIAL
1. SAFETY ASSURANCE SYSTEM (SAS) AIR CARRIER OPERATIONAL CONTROL RELATED ELEMENTS. Found on the Dynamic Regulatory System (DRS) at https://drs.faa.gov.
a. Operational Control Elements.
(1) 3.1 Training & Qualification (M):
• 3.1.1 (OP) Training and Qualifications of Dispatchers and Flight Followers.
• 3.1.2 (OP) Dispatcher Duty/Rest Time.
(2) 3.2 Flight Operations Engineering (M):
• 3.2.1 (OP) Aircraft Performance Operating Limitations.
• 3.2.2 (OP) Use of Approved Areas, Routes, and Airports.
• 3.2.3 (OP) Special Navigation Areas of Operation.
• 3.2.4 (OP) RVSM Authorization.
(3) 3.3 Flight Planning and Monitoring (H):
• 3.3.1 (OP) Operational Control.
• 3.3.2 (OP) Dispatch/Flight Release.
• 3.3.3 (OP) Flight/Load Manifest/Weight and Balance Procedures.
• 3.3.4 (OP) MEL/CDL/NEF Procedures.
• 3.3.5 (OP) Extended Operations (ETOPS).
b. Related Operations and Airworthiness Elements.
• 1.2.1 (OP) Required Personnel.
• 1.2.3 (OP) Electronic Signatures, Recordkeeping and/or Manuals.
• 2.2.1 (OP) Airmen Duties/Flight Deck Procedures.
• 2.2.2 (OP) Category II and III Operations.
• 2.3.1 (OP) Appropriate Operational Equipment.
• 4.2.5 (AW) Maintenance Control Functions.
• 4.3.1 (AW) Airworthiness Release/Maintenance Log Requirements.
• 4.3.3 (AW) MEL/CDL/NEF and Other Deferred Maintenance.
• 4.3.5 (AW) Extended Operations (ETOPS).
• 4.4.5 (AW) Weight and Balance.
• 6.1.2 (OP) Hazardous Material Training Program.
• 6.2.1 (AW) Fueling.
• 6.3.1 (OP) Carriage of Cargo.
• 6.3.2 (OP) Hazardous Materials.
Appendix 3
• 6.4.1 (AW) Operations in Ground Icing.
• 6.4.2 (OP) Operations in Ground Icing.
2. ADVISORY CIRCULARS (AC). Current editions of the following ACs have guidance and information that may be beneficial to operational control. These ACs may be accessed on the Federal Aviation Administration’s (FAA) website at https://www.faa.gov/regulations_policies/ad visory_circulars and DRS at https://drs.faa.gov.
• AC 00-6, Aviation Weather.
• AC 00-45, Aviation Weather Services.
• AC 25.1581-1, Airplane Flight Manual.
• AC 60-22, Aeronautical Decision Making.
• AC 60-28, FAA English Language Standard for an FAA Certificate Issued Under 14 CFR Parts 61, 63, 65, and 107 (also see International Civil Aviation Organization (ICAO) items below).
• AC 120-28, Criteria for Approval of Category III Weather Minima for Takeoff, Landing, and Rollout.
• AC 120-29, Criteria for Approval of Category I and Category II Weather Minima for Approach.
• AC 120-42, Extended Operations (ETOPS and Polar Operations).
• AC 120-51, Crew Resource Management Training.
• AC 120-55, Air Carrier Operational Approval and Use of TCAS II.
• AC 120-71, Standard Operating Procedures and Pilot Monitoring Duties for Flight Deck Crewmembers.
• AC 120-88, Preventing Injuries Caused by Turbulence.
• AC 120-91, Airport Obstacle Analysis.
• AC 120-92, Safety Management Systems for Aviation Service Providers.
• AC 121-32, Dispatch Resource Management Training.
3. OTHER RELATED MATERIALS. See the applicable website for the current editions of:
• DOT/FAA/AR-00/45, Air Carrier Operations System Model, March 2001 (https://www.tc.faa.gov/its/worldpac/techrpt/ar00-45.pdf).
• FAA Order 8040.4, Safety Risk Management Policy.
• FAA-H-8083-15, Instrument Flying Handbook (https://www.faa.gov/sites/faa.gov/files/regulations_policies/handbooks_manuals/aviatio n/FAA-H-8083-15B.pdf).
• Information for Operators (InFO) 08026, Compliance with Flight Dispatch Communications for Flag Air Carriers, 14 CFR Section 121.99; OpSpec A008 (https://www.faa.gov/other_visit/aviation_industry/airline_operators/airline_safety/info/al l_infos/media/2008/inFO08026.pdf).
• ICAO Annex 6, Operation of Aircraft, which contains additional information on flight operations officers and flight dispatchers (https://elibrary.icao.int/home).
Appendix 4 APPENDIX 4. TERMS AND DEFINITIONS
1. Aircraft Dispatcher. An airman certificated under Title 14 of the Code of Federal Regulations (14 CFR) part 65 who exercises joint responsibility with the pilot in command (PIC) in the safe conduct of flight(s) in connection with any civil aircraft in air commerce. The aircraft dispatcher must be current and qualified for the operation being conducted.
2. Airworthy Aircraft. An aircraft that conforms to its type design and is in a condition for safe operation (refer to 14 CFR part 3, § 3.5).
3. Certificate Holder. For the purposes of this AC, a 14 CFR part 119 certificated operator that conducts operations under 14 CFR part 121.
4. Director of Operations (DO). A management representative who meets certain regulatory requirements.
5. Dispatch Release (Domestic and Flag). A legal document signed by the PIC and aircraft dispatcher stating the agreed upon conditions under which the flight will be operated safely.
Regulations require the release to be amended if the agreed upon conditions change.
6. Flight Follower. The flight follower is typically a designee of the DO who is appropriately trained and who may be delegated the functions (i.e., authority) of initiating, continuing, diverting and terminating a flight with the PIC. However, the DO may not delegate the responsibility of initiating, continuing, continuing, diverting and terminating a flight.
7. Flight Release (Supplemental). A legal document signed by the PIC and DO or designee (flight follower) stating the agreed upon conditions under which the flight will be operated safely. Regulations require the release to be amended if the agreed upon conditions change.
8. Load Manifest. An electronic or hardcopy form used by the certificate holder to ensure compliance with manufacturer’s aircraft limitations or approved air carrier flight manual limitations in accordance with part 121.
9. Management Interface. The supervision and interface of operational control functions
(e.g., System Operation Control Center (SOCC), dispatch, crew scheduling, Weight and Balance (W&B), etc.).
10. Operate. The use of, cause to use, or authorizing to use aircraft, for the purpose of air navigation including the piloting of aircraft, with or without the right of legal control (as owner, lessee, or otherwise).
11. Operational Control. The exercise of authority over initiating, conducting, or terminating a flight.
a. Domestic and Flag Certificate Holders. Each domestic or flag certificate holder is responsible for operational control. For such operations, the aircraft dispatcher and PIC exercise joint responsibility for the preflight planning, delay, and dispatch release of a flight. They are
Appendix 4 responsible for ensuring that all flight operations under their control are conducted safely in accordance with all applicable regulations and operations specifications (OpSpecs).
b. Supplemental Certificate Holder. Each supplemental certificate holder is responsible for operational control. For supplemental operations, the PIC and DO or designee (flight follower) are responsible for initiation, diversion, and termination of a flight in accordance with all applicable regulations and OpSpecs.
12. Pilot in Command (PIC). A 14 CFR part 61 certificated airline transport pilot (ATP) in command of the aircraft and crew. They are responsible for the safety of the passengers, crewmembers, cargo, and aircraft.
13. System. A group of interrelated processes which are a composite of people, procedures, materials, tools, equipment, facilities, and software operating in a specific environment to perform a specific task or achieve a specific purpose, support, or mission requirement for an air carrier.
14. System Safety. The application of special technical and managerial skills to identify, analyze, assess, and control hazards and risks associated with a complete system. System safety is applied throughout a system’s life cycle to achieve an acceptable level of risk within the constraints of operational effectiveness, time, and cost.
15. Safety Management System (SMS). The formal, top-down business-like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety.
16. System Operations Control Center (SOCC). The Airline Operational Control Center (AOCC) may include the System Operations Control (SOC), Airline Operational Control (AOC), Operations Control Center (OCC), Flight Control, or Dispatch Center. SOCCs consist of various departments that provide support to the airline operation and provide resources for operational control. The operational control function is approved through OpSpec A008 and other related OpSpec paragraphs (see subparagraph 4b of this AC).
Advisory Circular Feedback Form If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by contacting the Air Transportation Division at 9-AFS-200-Correspondence@faa.gov or the Flight Standards Directives Management Officer at 9-AWA-AFB-120-Directives@faa.gov.
Subject: AC 120-101 CHG 1, Part 121 Air Carrier Operational Control Date: _____________________ Please check all appropriate line items:
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