CHAPTER 3. OCEANIC, INTERNATIONAL, AND REMOTE OPERATIONS
3-1. INTRODUCTION.
a. References. It is imperative that all pilots planning an oceanic flight become familiar with the appropriate sections of Title 14 of the Code of Federal Regulations (14 CFR), some of which are in this advisory circular (AC). Additionally, pilots should familiarize themselves with the information contained in Notices to Airmen (NOTAM), the International Flight Information Manual (IFIM), Aeronautical Information Publication (AIP), International Civil Aviation Organization (ICAO) Annexes, and regulations of the foreign countries over which they intend to fly. In addition, pilots must consider customs procedures, cultural considerations, entry, overflight procedures, and immunization requirements. The Federal Aviation Administration (FAA) Web site, www.faa.gov, publishes all of these documents either directly or through a link to ICAO documentation.
b. Legal Basis for International Operations. During oceanic flights, pilots must adhere to the U.S. regulations, ICAO Standards and Recommended Practices (SARP), and the regulations of the nations that they overfly or in which they land. Annex 2, Rules of the Air, specifically covers flight regulations for oceanic operations. Title 14 CFR part 91, § 91.703 ensures that the Rules of the Air are binding to operators of U.S.-registered aircraft operating outside the United States, and it is the aviation authority’s (AA) responsibility to ensure that pilots of U.S.-registered aircraft comply with these regulations.
c. Information Sources. Member states follow ICAO SARPS by publishing statistical aeronautical information in the AIP for a flight information region (FIR). The AIP is the state’s official publication that defines and describes the airspace, aeronautical facilities, services, and national rules and practices pertaining to air traffic. AIPs are available through the aviation departments of the publishing country. International NOTAM information is available from the U.S. International NOTAM Office.
d. Precautions. The FAA advises operators to ensure full compliance with each country’s requirements in advance. This ensures that all flights into, from, or over foreign territories comply with that territory’s regulations. Give particular attention to the permissibility of night flights and operations between sunset and sunrise. They should also consider the hours during which customs, immigration, and other services are operational. You may obtain information on a country’s normal work week from the U.S. Embassy. All countries require some form of advance notification of arrival. You should send an advance notification to permit processing and response if there is no specification regarding the number of days or hours. Pilots should carry a copy of the advance notification as well as confirmation that the notification was sent. This is particularly important for countries that do not normally return approvals. Operators should ensure that all required entry documents are available for presentation upon arrival and may need multiple copies of the following documents:
• Ownership papers.
• Management specifications (MSpecs)/operations specifications (OpSpecs)/letters of authorization (LOA).
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• General declarations.
• Passenger and cargo manifests.
• Licenses.
• Crewmember certificates.
• Logbooks.
• Radio licenses.
• Detailed insurance information.
e. Departure. Operators should determine the availability, types, and duration of visas, tourist cards, and other entry documents before departure. Some countries require that a traveler have a visa for the next country of entry before departure as well as proof of required immunizations for that country. You can obtain this information from the U.S. Embassy. Aircraft that remain within the territorial limits of a country for an extended period of time may become subject to import regulations and impoundment. Operators should determine in advance the number of days that an aircraft may remain in any country where the aircraft will land. For a large amount of the information needed for ICAO states, see the International Flight Information Web site (http://www.faa.gov/air_traffic/publications/ifim).
f. Planning. Adequate planning and training are the keys to a successful international flight, whether it is an airline or a single-engine light aircraft. The lead time required for planning varies with the experience and training background of the crew and the amount of assistance available from a company dispatcher or a planning agency. Planning can never start too early and should be done with at least 30 days lead time. Experienced crews flying the same route on a regular basis can reduce planning time significantly, but a new crew or a crew flying a new route should adhere to the 30-day recommendation. Many crews use planning agencies for flight planning as they only provide the information that is requested and not responsible for errors.
The pilot in command (PIC) is ultimately responsible for the operation of the aircraft. A planning agency may cause an error, but the PIC is the responsible party. Some crews prefer to do their own planning, or do so for economic reasons. The following information is provided to assist in planning an oceanic operation.
g. Preflight Considerations. Operators planning international flights should complete the following tasks:
• Research the IFIM.
• Arrange all aircraft and personnel handling if the flight lands in several countries.
This is extremely important if there are multiple passengers on the aircraft. It is advisable to look at each of the countries’ AIP to determine information such as visa requirements, landing permits required, and other pertinent data.
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• Ensure that the correct grade of fuel is available at the planned arrival points.
• Prepare flight plan/logs and international flight plans. Ensure that the crew has all of the paperwork required for passengers and crew. Obtain and complete the following required documents:
• General declarations.
• Passenger/cargo manifests.
• Passenger passports, visas (if required), and health cards.
• Crew lists with certificate information, medical data, and passport.
• Contact customs.
• Complete the checklist and carefully review each of the items to ensure that all items are complete. A sample checklist is included in Appendix 2.
h. Itinerary Preparation. Preparing the itinerary is one of the most important aspects of an international flight. Experienced international operators often observe that the most difficult, but important, part of an international flight takes place before the aircraft departs. Here are some questions that a preflight planner must consider:
• What is the route, altitude, and destination of the flight?
• Will a suitable alternate be available?
• Is lodging available at the destination?
• Is the appropriate grade of fuel available?
• Are overflight and landing permits required?
• Does the flight require a visa and are there any specific restrictions?
• Will the flight be allowed cabotage?
• Does a State Department warning exist for health, security, or other precautions?
• Are maintenance services available at the destination airport?
• Should the aircraft carry spare parts?
i. Route Analysis.
• En route airports-determine the suitability of alternate airports.
• Communications, navigation, and surveillance requirements.
• Computer flight planning service.
• Equal time point (ETP) considerations.
• Pressurization ETP where an altitude change is mandated.
• Loss of one or more engines.
• Combined problem (pressurization and loss of engine).
• Oxygen requirements.
• Terrain clearance.
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• Passenger requirements.
• Turnaround capability.
• Crew rest requirements, if applicable.
• Next stop arrival time.
j. Time Considerations.
• Local time.
• Universal coordinated time (UTC) and Greenwich mean time (GMT).
• Local time at departure airport.
• Curfews.
• Slot times.
k. The International Notice to Airmen (IN). The IN is a biweekly compilation of significant international information and special notices, which could affect a pilot’s decision to enter or use certain areas of foreign or international airspace. Of crucial importance to those seeking to enter areas of the world that require special considerations, this publication complements and expands upon data contained in the IFIM. The United States NOTAM Office (USNOF), a part of the National Flight Data Center Office of the Asst. Secretary of Defense (NFDC) in Washington, DC, accomplishes the distribution of U.S. international NOTAMs to foreign international NOTAM offices (NOF) and the receipt and distribution of foreign international NOTAMs.
l. International Flight Plans. All flights require flight plans when traveling into international and foreign airspace. The standard flight plan form is FAA Form 7233, International Flight Plan. You can find the most recent format for this document on the FAA Web site at www.faa.gov/air_traffic/publications/ifim/. The FAA format is similar to the ICAO format, except that it does not accept cruising speed/level in metric terms. ATC authorities should receive and must have flight plans transmitted to them in each ATC region at least 2 hours prior to entry, unless otherwise required by an en route or destination country. It is extremely important that pilots make inquiries regarding the method used for subsequent transmission of flight plan information to en route and destination points and of the approximate total elapsed time applicable to such transmissions when filing flight plans in countries outside the United States.
m. Prior Permission Only (PPO). The flight plan provides advance notice of foreign airspace penetration and facilitates effective ATC procedures. For some countries, the flight plan is the only advance notice required; other countries use the flight plan as a check against previously granted permission to enter national airspace. Acceptance of a flight plan and issuance of a flight clearance by a foreign ATC unit does not constitute official approval for airspace penetration. CAAs may require prior permission for airspace penetration. Pursue airspace violations that occur in such instances as in-flight interception may result.
(1) Preparation for Flights in Foreign Airspace. In the case of flights outside of U.S.
airspace, it is particularly important for pilots to leave a complete itinerary and flight schedule with a responsible person. Keep that person apprised of the flight’s progress and instruct them to contact a Flight Service Station (FSS) or the nearest U.S. Foreign Service Post (embassy and Page 14 Par 3-1
consular office) if serious doubt arises as to the safety of the flight. Whenever there are reports of distressed or missing aircraft of U.S. registry or any aircraft with U.S. citizens aboard during flight in or over foreign territory or foreign territorial waters, the nearest U.S. Foreign Service Post as well as the Search and Rescue (SAR) facilities and services in that area should receive all available information.
(2) Landing and Overflight. The flightcrew must also ensure the knowledge of current and special notices relating to entry and overflight requirements. In most cases outside North America and Europe, obtain prior permission to land in or overfly a country directly from that country’s CAA. The American Embassy or consulate in a destination country may be of assistance in some instances and a required point of contact (POC) in others. Make the entry to most countries through specific airports of entry agreed to by ICAO members and listed in the ICAO Regional Air Navigation Plan (ANP), the country’s AIP, the IFIM, and other commercial publications. Depending upon the country, it may take up to 6 weeks to obtain overflight and landing permits. The requirements vary from country to country. Some countries will not allow overflights without a landing, usually to collect airspace user fees. Therefore, action to obtain landing and overflight permits must be one of the first steps in planning any flight outside of the United States.
n. Cabotage. Private pilots and commercial operators should understand cabotage, formally defined as “Air transport of passengers and goods within the same national territory.”
The definition adopted by ICAO at the Chicago Convention is as follows: “Each state shall have the right to refuse permission to the aircraft of other contracting states to take on its territory passengers, mail, and cargo destined for another point within its territory.” Although cabotage rules are different in various countries and usually incorporate the term “for hire,” some countries do not allow foreign aircraft within their boundaries to carry even non-revenue passengers. The restrictions range from no restrictions to not allowed. The fines for cabotage can be extremely high; therefore, pilots and flight departments should be absolutely sure of a country’s cabotage rules before carrying passengers. The corporate aircraft restraints section for each country in the IFIM list the cabotage requirements and restrictions of individual countries.
Refer to chapter II, article 7 of the Chicago Convention and the FAA Web site at www.faa.gov/air_traffic/publications/ifim/. Then, select the country of choice.
o. Flight Planning Firms and Ground Handling Agents. The assistance of Fixed-Base Operators (FBO) or airport service organizations may be nonexistent at overseas destinations outside of Western Europe. Many countries do not have sufficient general aviation traffic to require these services or to generate any profitability. Therefore, the assistance of a ground-handling agent may be essential and should expedite handling. A domestic or regional airline or U.S. flag (international) airline with operations at the specific foreign destination airport can frequently provide some of the necessary services, such as help with customs, immigration, public health procedures, and expediting shipment of spare parts. These agents may also arrange aircraft maintenance. Flight planning firms may also provide for these services.
Firms that specialize in obtaining overflight and landing permits, security information, computerized flight planning, charts, international NOTAMs, communication services, flight following, weather, ground handling of passengers, and ground handling of aircraft offer a wide range of services. It is important to remember that the responsibility for a flight rests with the pilot, not with ground handlers and/or flight-planning firms.
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p. Journey Logbook. Article 34 of the Chicago Convention determined that it was extremely important that each aircraft have a journey logbook. Annex 2 requires this standard for operations engaged in international aviation. The aircraft should carry a journey logbook containing the particulars of the aircraft, crew, reporting points, communication problems, and any unusual circumstances surrounding the flight.
NOTE: An electronic version of the journey logbook is acceptable but you should retain the data at least 90 days for support in the event of an oceanic error.
q. Significant Sections of the Chicago Convention. Pilots planning international flights should know the regulations of their country, special regulations for international flight, and the Articles of the Chicago Convention. Give particular attention to Article 1, “Sovereignty;”
Article 12, “Rules of the Air;” and Article 40, “Validity of Endorsed Certificates and Licenses.”
We single out these three Articles because of their importance in regulating international flights as all pilots who are flying internationally should thoroughly understand them.
r. Personal Documentation Requirements. When planning a trip to or from a foreign country, obtain proper personal documentation for all participants. The FAA requires the flightcrew to carry at least a restricted radio telephone operator’s license, even though domestic operations no longer require the license. You may find the requirements for individual countries in the IFIM and other commercial publications. The responsibility for documentation varies with individual operations, but the PIC will bear the responsibility either directly or indirectly because of the effect on the flight operation.
s. Passports. Contact the nearest passport agent for more information. The U.S.
Government section of most telephone books list the telephone numbers.
t. Visas. Requirements for a visa may differ for passengers and flightcrews. Investigate the country or countries of interest for visa and passport requirements on the FAA Web site at www.faa.gov/air_traffic/publications/ifim/. Then, select country of choice.
u. Aircraft Document Requirements. Title 14 CFR requires that aircraft carry the Airworthiness Certificate, the aircraft registration certificate (a temporary registration certificate is not acceptable for international travel), a Federal Communications Commission (FCC) license (commonly referred to as radio station license), and the operator’s manual with Weight and Balance (W&B) information onboard during international flights. The operator is responsible for ensuring the need for airframe logbooks, the engine logbooks, and insurance certificates. For additional details for operations of corporate aircraft, contact the company’s aviation underwriter. In operations of private aircraft, if the owner is the pilot or is onboard the aircraft, there are usually no insurance difficulties. However, if a private aircraft owner is not onboard the aircraft, many countries require a letter from the owner that authorizes international flight in that specific country before they will allow operations within their country (you can find specific information on this letter and other requirements in the AIPs of the countries concerned). Some countries require an LOA from the state (country) of registry or the state of the operator before operating the aircraft in those countries. Special operations (e.g., Reduced Vertical Separation Page 16 Par 3-1
Minimum (RVSM) and minimum navigation performance specification ((MNPS) airspace operations, etc.) also require LOAs.
(1) Export Licenses and Import Duty Receipts. Export licenses from the U.S.
Department of Commerce are necessary for certain navigation systems and/or aircraft if the operations will include certain countries. Retain a copy of the import duty receipt in the aircraft’s file for aircraft that are U.S. registered and were manufactured abroad. The receipt, which proves that the operator legally imported the aircraft into the United States, may require a return to the United States. The IFIM and numerous commercial publications delineate aircraft entry requirements. Refer to the U.S. Department of Commerce Web site at www.commerce.gov for additional information.
(2) Onboard Aircraft Documentation. Include the following list of documents as aircraft documentation. Any aircraft flying internationally should carry these documents onboard. The Articles of the Chicago Convention specify items marked with a double asterisk (**). It is important to note that the operator is responsible for additional documentation requirements that this list does not include:
• Airworthiness Certificate. **
• Aircraft registration (international flights do not allow temporary certificates).
**
• Radio station license.
• Minimum equipment list (MEL) or Master Minimum Equipment List (MMEL) if operator plans on operating under this option. **
• Aircraft Flight Manual (AFM) with W&B information. Metric conversion tables, if applicable.
• OpSpecs/MSpecs/LOA for Special Areas of Operation (SAO), if applicable.
• Copies of aircraft and engine logbooks.
• Certificates of insurance, if applicable.
• Export licenses for aircraft navigation equipment (U.S. requirement). Check with the U.S. Department of Commerce or its Web site at www.commerce.gov.
• Import papers for aircraft of foreign manufacture.
• Copies of overflight and landing permissions.
• Authorization letters from the operating company or the aircraft owner (original signature required), if applicable.
• Master document.
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• Passenger manifest containing complete names of passengers and places of embarkation and destinations of each. **
• If the aircraft carries cargo, a manifest and detailed declaration of the cargo. **
• Check with the Transportation Security Administration (TSA) or its Web site (www.tsa.gov) for any applicable requirements. **
3-2. EQUIPMENT.
a. ICAO Standards. Annex 6 (Part I–International Commercial Air Transport— Aeroplanes and Part II–International General Aviation—Aeroplanes) to the Convention on International Civil Aviation details standards with respect to required equipment. This equipment list may be incomplete but includes the following examples (see ICAO Web site (www.icao.int) to purchase current list):
• Accessible and adequate medical supplies appropriate to the aircraft’s passenger carrying capacity.
• Portable fire extinguisher of a type that, when discharged, will not cause dangerous contamination of the air within the airplane. Locate at least one extinguisher in the pilot’s compartment and in each passenger compartment that is not readily accessible to the flightcrew.
• A seat or berth for each person over the age specified by the state of the operator.
• A seatbelt for each seat and a restraining belt for each berth.
• A seatbelt and a safety harness for each flightcrew seat. The safety harness will incorporate a device that will automatically restrain the occupant’s torso in the event of rapid deceleration.
• A means of ensuring that the passengers have the following information and instructions conveyed to them:
• When to fasten seatbelts;
• When and how to use oxygen equipment if there is a requirement for the carriage of oxygen;
• Restrictions on smoking;
• Location and use of life jackets or equivalent individual flotation devices if required for carriage; and
• Location and method of opening emergency exits.
• An operations manual or those parts of the manual that pertain to flight operations.
• The AFM or other document(s) containing performance data required for the application of operating limitations, and any other information necessary for the operation of the airplane within the terms of its Certificate of Airworthiness.
• Current and suitable charts to cover the route of the proposed flight and any route along which it is reasonable to expect that you may divert the flight.
• Flight recorders (data recorder and cockpit voice recorder) as specified below.
b. Traffic Alert and Collision Avoidance Systems (TCAS). Several 14 CFR parts require the use of TCAS. Operators should review the specific regulation that pertains to their operations to ensure that these TCAS requirements are met. Operators are also responsible for ensuring they comply with any foreign airspace requirements concerning the use of TCAS. In addition, RVSM operations have TCAS requirements contained in part 91 appendix G. Although non-radar environments cannot verify TCAS indications, it does perform an alerting function that provides the crew with an exceptional aid to situational awareness (SA).
NOTE: International flight information may reference Airborne Collision Avoidance System (ACAS) (e.g., ACAS II is TCAS II Version 7.0, or later).
c. Flight Recorders. Operators are responsible for ensuring they comply with 14 CFR and any foreign airspace requirements concerning the use of flight data recorders.
d. Cockpit Voice Recorders. Operators are responsible for ensuring they comply with 14 CFR and any foreign airspace requirements concerning the use of cockpit voice recorders.
e. Required Equipment for Oceanic and Remote Airspace. Operators are responsible for ensuring compliance with 14 CFR and any foreign airspace requirements concerning the use of over-water equipment. The following equipment is not a complete list but includes:
• Life rafts;
• Survival radio equipment;
• Emergency locator transmitter (ELT) radio equipment;
• Pyrotechnic signaling devices;
• Navigation equipment; and
• Communication equipment.
f. Performance Requirements.
(1) Operator Responsibilities. Operators are responsible for ensuring compliance with the following performance issues:
• Terrain clearance.
• Fuel.
• Emergency landing site selection.
• One or two-engine inoperative requirements.
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(2) ICAO Rules for Airworthiness of Aircraft. In addition to the specific equipment for over-water operations, Annex 8 to the Convention on International Civil Aviation details ICAO rules with respect to the airworthiness of aircraft. Chapter 8 of Annex 8 details ICAO rules relative to instruments and equipment. Commercial operators should note that 14 CFR part 121, §§ 121.343, 121.353, and 121.359 may or may not be more stringent than the ICAO regulations. In either case, the more stringent regulations apply to U.S.-registered aircraft.
Operators of large and turbine powered, multiengine aircraft must note that §§ 91.509 and
91.511 may also be more or less stringent than ICAO requirements, but the more restrictive regulations apply to U.S.-registered aircraft.
g. W&B Control for Part 121 and 135 Operations. The current edition of AC 120-27, Aircraft Weight and Balance Control, includes a method and procedures for developing a W&B control system. It provides guidance to certificate holders required by part 121 to have an approved W&B program, or certificate holders under 14 CFR part 135 who elect to have an approved program. The significance of this document to international operators is that emergency equipment for international operations is included in the empty weight of the aircraft.
h. Navigation Equipment. Section 91.1(b) states in part that each person operating an aircraft in the airspace overlying the waters between 3 and 12 nautical miles (NM) from the U.S.
coast shall comply with § 91.703. Section 91.703 requires that civil aircraft comply with ICAO Annex 2 when operating over the high seas (beyond 3 NM under § 91.1(b)). Annex 2 requires that “Aircraft shall be equipped with suitable instruments and with navigation equipment appropriate to the route being flown.” In addition, ICAO Annex 6, Part II stipulates that an airplane operated in international airspace have navigation equipment which will enable it to proceed in accordance with the flight plan and with the requirements of the Air Traffic Service (ATS). ICAO Annex 6, Part I contains standards and recommended practices adopted as minimum standards for all airplanes engaged in air carrier operations. Part II contains the standards and practices for general aviation international air navigation. These parts require that those airplanes operated under IFR at night, or on a visual flight rules (VFR)-controlled flight (such as in control area (CTA)/FIR oceanic airspace) have installed and approved radio communication equipment capable of conducting two-way communications at any time during the flight. The appropriate authority for the airspace where you conduct the flight may prescribe the aeronautical stations and frequencies used for two-way communications. You can find additional ICAO regulations for aircraft radio equipment in Article 30 of the Chicago Convention. (Refer to Chapter 10 for information on long-range navigation.)
i. Specific Equipment Requirements. Specific operations, such as 14 CFR part 121, 125, and 135 regulated flight, require that aircraft have the equipment required by these parts in addition to any ICAO requirements.
j. Survival Equipment. Operators are responsible for ensuring they comply with 14 CFR and any foreign airspace requirements concerning use of survival equipment. This equipment list is not complete but includes the following items:
• Life preserver for each occupant.
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• Rafts or slide/rafts with appropriate buoyancy and sufficient capacity for all aircraft occupants. The rafts might have the following items equipped:
• Lines, including an inflation/mooring line with a snap-hook, rescue or lifeline, and a heaving or trailing line.
• Sea anchors.
• Raft repair equipment such as repair clamps, rubber plugs, and leak stoppers.
• Inflation devices including hand pumps and cylinders (carbon dioxide bottles).
• Safety/inflation relief valves.
• Canopy and equipment for erecting the canopy.
• Position lights.
• Hook-type knife, sheathed and secured by retaining line.
• Placards that give the location of raft equipment and that are consistent with placard requirements.
• Propelling devices such as oars or glove paddles.
• Water catching devices including bailing buckets, cups, and sponges.
• Signaling devices including the following:
• At least one approved pyrotechnic device.
• Mirror.
• One spotlight or flashlight, spare bulb, and at least two D-cell batteries or equivalent.
• One police whistle.
• One dye marker.
• Radio beacon with water-activated battery.
• Radio reflector.
• One magnetic compass.
• A 2-day supply of rations supplying at least 1,000 calories a day for each person.
• One desalination kit for every two persons the raft is rated to carry or two pints of water for each person the raft is rated to carry.
• One fishing kit.
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• One book on survival appropriate for any area.
• A survival kit, appropriately equipped. The kit could include some of the following items:
• Triangular cloths.
• Bandages.
• Eye ointments.
• Water disinfection tablets.
• Sun protection balsam.
• Heat retention foils.
• Burning glass.
• Seasickness tablets.
• Ammonia inhalants.
3-3. ATC. Oceanic and remote airspace is mostly non-radar (i.e., where the separation of aircraft does not depend on ground-based radar coverage) and considered procedural airspace.
Therefore, it is paramount crews operate with strict discipline and adherence to ATC clearances and all procedures, both normal and contingency. You may find detailed ICAO procedures for specific geographical areas in ICAO Regional Document 7030, Regional Supplementary Procedures, and in this AC. FAA ATC generally base their procedures for oceanic and remote airspace on ICAO standards.
NOTE: ATC monitors the compliance with the issued clearance for all aircraft entering and/or departing international airspace under U.S. jurisdiction. Navigation performance is monitored by the United States for all aircraft entering and/or departing international airspace under U.S. jurisdiction. All deviations of 20 NM or more are reported and investigated.
a. U.S. Oceanic Service Areas. The United States provides ATS in oceanic airspace as follows:
• Atlantic Ocean: New York, Miami, and San Juan FIRs.
• Gulf of Mexico: Miami and Houston FIRs.
• Pacific Ocean: Oakland and Anchorage FIRs.
b. Flight Planning. A flight plan is required for all flights that cross international borders.
IFR operations in oceanic airspace generally start at 6,000 feet. VFR operations below 6,000 feet must comply with all applicable regulations and foreign airspace requirements. The FAA only permits operations in offshore airspace (the airspace between the U.S. 12-mile limit and the oceanic control area (OCA)/FIR boundary) on a VFR flight plan between sunrise and sunset and at or below flight level (FL) 200. Even though you may legally conduct flights using VFRs, experience indicates that you will encounter instrument meteorological conditions (IMC) at some