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6.4.3 Entering Oceanic and Remote Continental Airspace—First Steps.
6.4.3.1 Set your transponder in accordance with regional requirements (generally to code 2000). This requirement varies with the oceanic airspace. You should confirm these procedures, through applicable AIP or other regional documents during flight planning. In the NAT, for example, pilots should squawk 2000 10 minutes after entering oceanic airspace (in 2024, this changed from 30 minutes to 10 minutes). In the Pacific, Oakland advises that pilots should change the transponder code “upon entering” the OCA, after radar (/surveillance) services are terminated.
6.4.3.2 Adjust your airspeed to maintain your assigned Mach number, as applicable.
6.4.3.3 Once you have departed very high frequency (VHF) radio range, set your radios to air-to-air (generally 123.45) and guard (121.5) frequencies.
6.4.3.3.1 ATC and air defense authorities will generally attempt contact with aircraft on guard (121.5 or 243.0 megahertz (MHz)) before ordering an intercept. For this reason, all aircraft are highly encouraged to maintain a listening watch on guard.
6.4.3.3.2 The AIM, Chapter 5, Air Traffic Procedures, Section 6, National Security and Interception Procedures, addresses interception procedures and provides the intercepting signals table published in ICAO Annex 2.
6.4.3.3.3 The International Air Transport Association (IATA) has developed widely adopted procedures for use in FIRs where poor communications and/or reduced quality of ATS may pose a flight hazard. See Appendix E, IATA In-Flight Broadcast Procedure, for IATA procedures for transponder use and radio broadcast in affected areas. The procedures involve maintaining a listening watch and broadcasting aircraft position “in the blind.”
6.4.3.4 Institute an appropriate offset, based on the Strategic Lateral Offset Procedures (SLOP), unless not authorized. Use of SLOP helps mitigate the heightened risk of collision due to highly accurate navigation systems, and it helps avoid wake turbulence.
6.4.3.4.1 SLOP guidance is published in the U.S. AIP, Part 2, En Route (ENR), and ICAO Doc 4444, section 16.5. As a reminder, SLOP offsets are only right of course, up to a maximum of 2 NM, in increments of 0.1 NM.
6.4.3.4.2 We recommend SLOP be part of your oceanic training program and standard procedures for oceanic flying, on organized tracks as well as on random routes. You should check applicable State AIPs to determine where use of SLOP is authorized.
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6.4.3.5 Specify which FMS pages, or other displays of navigation information, that individual flightcrew members are charged with monitoring during the oceanic portion of the flight (e.g., cross-track error or time/distance).
6.4.4 The Master Document: A Suggested Method for Managing It.
6.4.4.1 A Master Document is a copy of the operational flight plan (also referred to as navigation log, or computer flight plan (CFP)) with “MASTER” written on it.
It does not “belong” to the pilot or the copilot, but rather is the flightcrew’s central reference document to record clearances, frequencies, ETAs notified to ATC, fuel status, and other operational information. The Master Document is also used to record verification of waypoint information and should be kept current and organized so pilots can easily understand the progress of the flight, to include the currently effective route clearance. ICAO NAT Doc 007 provides further details on recommended use of a Master Document, and notes that it should list sequentially the waypoints defining the route, the course and distance between each waypoint, and other information relevant to navigation along the cleared route.
6.4.4.2 Suggested Master Document annotations are provided here to help operators standardize procedures. Other annotations (e.g., squares, rectangles, or hash marks) could be used as well, as long as they are part of a clearly defined and standardized process of managing the Master Document.
6.4.4.2.1 A circle next to the waypoint identifier denotes both pilots verified the coordinates, courses, and distances. This would normally be done during initial navigation system loading.
6.4.4.2.2 A diagonal backslash (\) over the circle denotes confirming a subsequent waypoint’s coordinates and the track and distance to it. An ETA for that waypoint is also recorded. This would normally be done after rollout on the new course, and/or approaching the active waypoint.
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6.4.4.2.3 As you make your position report over the waypoint, note your fuel remaining on the Master Document next to that waypoint. This is especially important if the cleared route and FL differ from your flight plan.
Approaching each oceanic waypoint, verify the next and subsequent (“next + 1”) waypoints. Using your currently effective route clearance:
1. Check the expanded FMC coordinates for the next and subsequent waypoints, and
2. Check that the expected outbound magnetic course and distance to the next waypoint presented in the FMC agree with that clearance.
6.4.4.2.4 A diagonal forward slash (/) turns the previously annotated backslash into an “X.” This denotes waypoint passage. Overhead time is confirmed with a “check” (or updated time, as applicable), and fuel remaining is annotated.
As you pass each waypoint, verify the aircraft is progressing on the correct route by cross-checking the leg distance and magnetic course on the Master Document against the distance and magnetic course to the next point as displayed on the avionics.
6.4.5 Position Reporting—General Requirements.
6.4.5.1 Communications over HF radio rely heavily on proper radio terminology and scripted reports. Use the published guidance found in en route publications or the AIM to make sure you deliver messages in the proper format.
1. You are expected to speak at a moderate speed using internationally accepted phraseology.
2. Be certain you are communicating with the facility appropriate to the oceanic and remote continental airspace in which you are operating or about to enter. More than one station may be using the same HF frequency at the same time. Only accept clearances from the ATSP for the oceanic and remote continental airspace in which you are operating.
6.4.5.1.1 Radio call signs of ground stations. Position reports are generally provided to aeronautical radio stations, which relay this information to ATC. If the ATSP you are talking to is identified as a “Center,” (e.g., “Gander Center”) or a “Control” (e.g., “Tokyo Control”), you are talking directly to an air traffic
6-21 controller. If the provider you are talking to is identified as a “Radio”
(e.g., “New York Radio”), you are talking to an aeronautical radio station, which is a relay facility that communicates between the ATC controlling facility and aircraft. An aeronautical radio station does not control air traffic— it relays the instructions of the ATC facility.
6.4.5.1.2 You must report departing your current FL. In certain regions, the NAT for example, you are also required to report reaching your assigned altitude. You should consult the appropriate regional or State documents (e.g., ICAO NAT Doc 007, AIP, Chart Supplement, etc.) to confirm reporting requirements.
6.4.5.1.3 In addition to reporting your position to your current ATSP, in the case of boundary points, often you must repeat your last position report to the FIR or CTA you are entering. Do so when so prescribed in the appropriate section of ICAO Doc 7030, Regional Supplementary Procedures (SUPPS), in the applicable AIP, or when requested by ATC.
6.4.5.1.4 If another aircraft relays your report, use the appropriate air-to-air frequency and not the emergency (guard) frequency.
6.4.5.1.5 If you operate in airspace approved for the use of data link, you may provide Automatic Position Reporting (APR) via ADS-C. In this case, you should discontinue voice position reports.
6.4.5.2 When following a designated oceanic route, you must make position reports when passing each designated compulsory reporting point.
Note: The appropriate ATS authority may request reports over noncompulsory reporting points as well. In oceanic airspace where the FAA is the ATSP, position reports are required over all points used in the flight plan to define the route of flight, even if they are noncompulsory.
6.4.5.3 If you are not on a designated oceanic route, provide position reports at all points listed in item 15 (route of flight) of the flight plan. ATC expects reports as soon as possible after the first half hour of flight in oceanic and remote continental airspace and at hourly intervals (approximately) thereafter. The appropriate ATSP, however, may request additional reports at shorter intervals.
1. If your flight tracks predominantly east and west, ATSPs will generally request reports every 5° or 10° of longitude.
2. If your flight tracks predominantly north and south, ATSPs will generally request reports every 5° or 10° of latitude.
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6.4.6 Position Reporting—Format.
6.4.6.1 Refer to the AIM, chapter 5, for general guidance on position report format.
You must provide information regarding your current fix and the next two fixes on your route of flight, in the following order:
1. Your complete aircraft call sign.
2. Your position and crossing time, reported in 4 digits UTC.
Note: In reporting coordinates and times, say each number individually (e.g., 1032 is “one zero three two,” not “ten thirty-two”). You do not have to say “UTC” or “Zulu” when you report the time.
3. Your FL.
4. Your next fix and estimate over that fix in 4 digits UTC.
Note: If any reported ETA changes in excess of 2 minutes (3 minutes or more in the NAT), you must provide an updated estimate to the ATSP. For aircraft providing automatic position reports via ADS-C, position reports can be omitted in airspace where ADS-C services are provided.
5. Name of your subsequent fix.
6.4.6.2 An example position report is:
“N1234 over CEBEN at 1422, FL350, estimating CIVIT 1503, CORTT next.”
6.4.6.3 When position is expressed in coordinates, the following pertains:
1. If your flight tracks predominantly east and west, ATSPs will generally expect latitude to be expressed in degrees and minutes (if not zero), and longitude in whole degrees only.
2. If your flight tracks predominantly north and south, ATSPs will generally expect latitude to be expressed in whole degrees only, and longitude in degrees and minutes (if not zero).
6.4.6.4 A 2010 change to ICAO Annex 3, Meteorological Service for International Air Navigation, canceled the requirement to report wind and temperature data via voice. You should continue to report any turbulence or other significant meteorological conditions you encounter to ATC.
Note: Ensure the reporting of such meteorological observations references your geographical coordinates at the time of occurrence.
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6.4.7 Navigation Cross-Checking Procedures: Why They Are Important.
6.4.7.1 ICAO Doc 7030 includes language requiring the State of Registry or the State of the Operator to approve operator programs established to mitigate the occurrence of navigational errors due to equipment malfunction or operational error. These operator programs must include in-flight operating drills, consisting of mandatory navigation cross-checking procedures, to identify navigation errors in sufficient time to prevent aircraft from inadvertent deviation from an ATC-cleared route.
6.4.7.2 Navigation cross-check procedures mitigate risk and promote situational awareness—an essential requirement for crews operating highly automated airplanes in increasingly crowded airspace. Such procedures help ensure aircraft operating under procedural ATC control are in fact maintaining the separation from other aircraft that ATC has planned and is expecting.
Cross-check procedures enable pilots to be certain they are where they think they are; this awareness becomes particularly critical during emergency situations.
6.4.7.3 While advances in navigation accuracy and communications capability generally enhance safety and reduce flightcrew and controller workloads, these advancements have not eliminated human errors. Pilot deviations continue to occur and can be attributed to complacency, poor operational procedures, poor understanding of systems and processes, or simply human frailties, such as cognitive or auditory failures.
Note: Numerous deviations in oceanic airspace are the result of flightcrews failing to follow revised clearances. Transposed numbers, misunderstood clearances, or route amendments not properly verified or not passed on to relief crewmembers also contribute to navigation errors. In addition, paragraph 4.4.3 describes issues with displays of CPDLC messages; and Figure 4-1, Sample CPDLC Route Uplinks, shows sample FMS pages flightcrews would interact with to load an uplinked, revised route.
6.4.8 Navigation Cross-Checking—Acceptable Procedures.
6.4.8.1 In line with the rationale and requirements for navigation cross-checking procedures described in paragraph 6.4.7, the FAA believes cross-checking is synonymous with “making sure.” We consider the “sample oceanic checklists,” provided in Appendix D, to provide operators with not only a “to-do” list but also a means to make sure certain items, known to result in navigation errors if overlooked or done incorrectly, are performed in an organized, systematic manner.
6.4.8.2 The sample checklists (simple and expanded versions) provided in Appendix D are derived from the ICAO NAT Sample Oceanic Checklists,
6-24 now found in NAT Doc 007. In these checklists, we have provided two acceptable methods for cross-checking aircraft position at a point approximately 5–10 minutes after oceanic waypoint passage. Previously, the only recommended method of cross-checking aircraft position in the oceanic airspace environment was manual plotting on a chart. However, a panel of aviation industry and FAA personnel completed an Operational Safety Assessment (OSA) of methods for cross-checking oceanic flight navigation.
The panel determined that an alternative to manual plotting, by which aircraft position could be checked through use of aircraft FMS-driven navigation displays and indications, would provide for an equivalent level of safety (ELOS). See Appendix D, paragraph D.2.9.2.
6.4.8.3 The check of aircraft position at a point approximately 5–10 minutes following waypoint passage is designed to enable you to observe and correct a navigation error before safety of flight is jeopardized. If you made a subtle mistake either while en route to or crossing a waypoint, 5–10 minutes of travel should allow you to observe that mistake before significant problems result.
These cross-checks are a backup to an otherwise well-planned flight that is being executed through systematic and disciplined attention to effective procedures, such as those provided in this chapter and Appendix D. The cross-checks are not designed to overcome poor planning, sloppy procedures, or inadequate attention to detail. To reiterate: in-flight operating drills, to include cross-checking of navigation during oceanic and remote continental airspace operations, are mandatory under ICAO standards.
Note: Previously, the FAA included a check called “10 minutes after waypoint passage” in the sample oceanic checklist. Most operators use position cross-checking methods that allow observation of an error earlier. In addition, pilot workload on data communications-equipped aircraft has decreased, where voice position reports are no longer required. Accordingly, the FAA now has renamed this check the “5 minutes after waypoint passage” check, which can be completed approximately 5–10 minutes after waypoint passage, which is about 1–2 degrees of latitude or longitude (depending on direction of flight) after passing the waypoint.
6.4.8.4 The FAA recognizes that, for any number of reasons, operators may require or choose to use navigation cross-checking procedures different from those in the oceanic checklist provided in Appendix D. For those operators who require operational approval, whether to operate in oceanic and remote continental airspace in general, to operate in airspace where RNP is prescribed, or to operate within oceanic and remote Special Areas of Operation (SAO), such as NAT HLA, their choice of procedures will help establish the basis of that approval. Operational approval will be predicated upon use of either the cross-checking procedures described in the sample oceanic checklist (Appendix D) or via an alternative method that will achieve an ELOS. In order to determine equivalent levels of flight safety, an operator’s proposed
6-25 alternative cross-checking procedures will be assessed, by the PI and a specialist from the FAA’s Flight Technologies and Procedures Division, Flight Operations Group, against the following criteria:
1. Are they written, standardized, and required for use by the operator’s flightcrews?
2. Do they require use of a plotting or orientation chart, of adequate scale, for reference/situational awareness purposes?
3. Do they address all the major functions/action points (e.g., independent route verification; at waypoint passage; after waypoint passage) outlined in the sample oceanic checklist?
4. Do they provide for confirming that the aircraft is flying toward, via the expected course/track line, the intended/expected waypoint contained in the flight’s currently effective route clearance?
5. Do they prescribe periodic cross-checking, for reasonableness, of the position data reported by all onboard navigation systems?
6. Do they require checking of aircraft position approximately 5–10 minutes after each oceanic waypoint prescribed in the currently effective route clearance?
7. Do they direct prompt and proper correction for any detected deviations from the currently effective route clearance?
8. Do they establish acceptable tolerances for track deviation, as well as course/heading/distance between waypoints, when compared between the flight plan and the navigation system?
9. Do they include ready reference to, and direct compliance with, accepted in-flight contingency procedures (refer to ICAO Doc 4444)?
Note: Alternative methods proposed by certificated operators will also require review/approval by the Flight Standards Service (FS).
6.4.8.5 If an operator adopts new oceanic procedures, it is crucial this be done as part of a carefully orchestrated effort in close coordination with both your PI and a specialist from the Flight Operations Group. Checklists need to be tailored to reflect operator-unique aspects, manuals need to be updated, and crews need to be trained. Failure to properly implement the change can lead to confusion, misunderstandings, and errors.
6.4.8.6 Diligent cross-checking of the navigation system and Master Document against the currently effective route clearance remains the key to preventing inadvertent deviations from the cleared route.
1. The active leg is the most immediate indication of adherence to the currently effective route clearance. The active leg is formed by a “FROM” position and a “TO” waypoint and features an associated course to fly
6-26 between the points; this information should be cross-checked against the operational flight plan.
2. In addition to verifying the “TO” waypoint, the FAA also recommends the flightcrew verify autopilot steering mode (e.g., lateral navigation (LNAV)/navigation (NAV), not Heading (HDG)).
3. When checking waypoints, ensure you look at the “expanded”
(i.e., degrees and minutes) coordinates. Some waypoint labels can be misleading.
6.4.8.7 While the procedures discussed above, and the items provided in the oceanic checklists in Appendix D, emphasize prevention of lateral errors, we want to emphasize that altitude deviations and longitudinal errors are no less significant. Steps to avoid those two types of errors in oceanic operations are discussed further in paragraph 6.1.2.
6.4.9 Relief Pilots—Preparing to Assume Duties. Increasingly, with long-range operations, relief pilots are part of the crew. In such cases, it is vital to brief the relief pilot on all current operational issues affecting the flight.
1. Many navigation errors have been traced back to inadequate handoff between pilots who first loaded the route into the navigation system and relief pilots who took over hours into the flight. It is therefore vital that you fully brief the relief pilot on your currently effective route clearance.
2. We recommend the relief pilot verify the current cleared route prior to occupying the seat, if practical. Work from the navigation system to the Master Document to lessen the risk of expectation bias (seeing what is expected) and maintain an attitude of “healthy suspicion.”
6.4.10 Exiting Oceanic and Remote Continental Airspace. Refer to the Coast In step in the sample oceanic checklist (Appendix D).
7-1 CHAPTER 7. IN-FLIGHT CONTINGENCY GUIDANCE FOR OPERATIONS IN
OCEANIC AIRSPACE
7.1 Contingency Procedures: When They May Be Needed. ICAO Doc 4444, Procedures for Air Navigation Services—Air Traffic Management (PANS-ATM), includes contingency procedures to allow you to safely deviate from your assigned clearance, in the event a revised clearance cannot first be obtained. The procedures are designed to rapidly separate you from the regular flow of traffic while you address an emergency.
Although we cannot cover all possible emergencies you may face, the more common cases that might drive you to fly oceanic contingency procedures include:
1. Unexpected meteorological conditions (e.g., severe weather and/or turbulence).
2. Degradations in aircraft performance.
• Aircraft engine or pressurization failure.
• Inability to maintain cleared flight level (FL) (e.g., due to unexpected temperatures).
• Loss of, or significant reduction in, navigation capability.
3. Loss of communications capability. This can have many causes:
• Degradation or failure of aircraft communication equipment.
• Degradation or failure of ground communication equipment.
• Unexpected closure of an oceanic air traffic control (ATC) facility.
4. Medical situations.
7.1.1 Adhering to Contingency Procedures. Keep in mind that you must follow these contingency procedures precisely as written. If you fail to do so, you incur additional risk by invalidating procedures designed to prevent collisions. To be clear, for operations in airspace where direct controller-pilot very high frequency (VHF) voice communications are not available, the only assurances of safe separation come when all aircraft are flying the exact track and altitude assigned by ATC. ATC can no longer assure safe separation when an aircraft deviates from the assigned track or altitude, without prior clearance. The contingency procedures, if followed exactly, minimize the risk inherent in these deviations.
7.2 Choosing the Correct Contingency Procedure.
7.2.1 Primary Guidance. ICAO Doc 4444, Section 15.2, Special Procedures for In-Flight Contingencies in Oceanic Airspace, contains primary guidance for oceanic contingency procedures. ICAO Doc 7030, Regional Supplementary Procedures (SUPPS), includes additional region-specific guidance, generally in chapter 9 of each regional section. The procedures are also described in the U.S. Aeronautical Information Publication (AIP), Section ENR 7.3. Refer also to the FAA’s International Notices web page, which will include any changes or regional applications to contingency procedures.
7-2 Note 1: In 2020, ICAO changed the lateral offset values in oceanic contingency procedures to 5 nautical miles (NM). For the general procedures, acquire the 5 NM offset before changing altitude. For the weather contingency procedures, adjust altitude by 300 ft (climb or descend, per the procedures) only when deviating 5 NM or more.
Note 2: Whenever possible, obtain a revised clearance instead of flying a contingency procedure. If the nature of the emergency precludes this, consider querying ATC about safest routes, even if ATC is unable to clear you that way.
7.2.2 General and Weather Deviation Contingency Procedures. A “General” contingency procedure is available, as is a weather deviation procedure. Flightcrews should be thoroughly familiar with these procedures and ensure ready access to them on the flight deck so they may be performed precisely and without undue delay.
7.2.2.1 The general procedure results in a 5 NM lateral offset, at an altitude of 500 or 1,000 feet “different from those normally used.” It is reprinted in Appendix F, Special Procedures for In-Flight Contingencies in Oceanic Airspace.
7.2.2.2 The weather deviation procedure results in an altitude change of 300 feet, to be applied when the lateral deviation reaches 5 NM from the centerline. It is also reprinted in Appendix F.
7.3 Altimetry and/or Navigation Degradation. You must notify the Air Traffic Service (ATS) Provider (ATSP) as soon as possible if your altimetry and/or navigation systems have degraded below that required to operate in Reduced Vertical Separation Minimum (RVSM), Required Navigation Performance (RNP), or Area Navigation (RNAV) airspace. In general, that notification, either via voice or Controller-Pilot Data Link Communications (CPDLC), will include the phrase “UNABLE RNP (OR RNAV OR RVSM) DUE EQUIPMENT.”
7.3.1 Whenever possible, you should request a revised clearance that accounts for the degradation you have experienced. Upon receipt of your message, ATSPs will assess the traffic situation and either allow you to remain as filed or issue a reroute, depending on your current (and projected future) separation from other traffic.
7.3.2 For navigation degradation scenarios, dead reckoning procedures may be required.
Flightcrews should be familiar with determining heading and leg time required, through the use of the Master Document, the chart, and/or Electronic Flight Bag (EFB) applications.
Note: ICAO NAT Doc 007, North Atlantic Operations and Airspace Manual, provides specific procedures to be used in the North Atlantic (NAT) in the event of navigation system degradation or failure.
7.4 Lost Communications Procedures. The general rules for lost communications are captured in ICAO Annex 2, Rules of the Air, Chapter 3, General Rules, and are included in their entirety in ICAO Doc 4444, Section 15.3, Air-Ground Communications Failure.
7-3 Prior to departure, ensure you are familiar with the lost communications rules for the regions you are transiting.
7.4.1 Region-Specific Rules. In some regions, ATS authorities have amended the rules to meet their specific air traffic management (ATM) requirements. These amended rules are included in ICAO Doc 7030, generally in chapter 9 of the applicable region’s section.
ICAO NAT Doc 007 also provides a detailed discussion of lost communications procedures specific to NAT airspace. Refer also to the FAA’s International Notices web page, which will include any changes or regional applications to lost communications procedures.
7.4.1.1 Generally, ATS authorities expect you to maintain your last assigned speed and altitude for some period (usually 20 minutes or 60 minutes, depending on the region), then adjust your speed and altitude to conform to your flight plan.
7.4.1.2 In the NAT region, you are expected to fly your ATC-cleared routing, FL, and airspeed through oceanic airspace, picking up your filed flight plan route after passing the oceanic exit point.
7.4.2 Unexpected Closure of an Oceanic ATC Facility. See Appendix F, paragraph F.4 for considerations in the event of an oceanic ATC facility shutdown.
7.5 Normal Aircraft Tracking. ICAO, in Annex 6, Operation of Aircraft, Part I, International Commercial Air Transport—Aeroplanes, Section 3.5, Aircraft Tracking, established a requirement for an automated four dimensional (4D) (latitude, longitude, altitude, and time) tracking capability for oceanic operations involving aircraft above a certain weight and seating capacity. The FAA recommends all operators establish some automated capability to track the position of their aircraft during oceanic operations using a means that does not require direct flightcrew action. ICAO Circular 347, Aircraft Tracking Implementation Guidelines, provides additional information.