2.4 ICAO Guidance Documents and Reference Material. Find the following ICAO documents at the ICAO store at https://store.icao.int.
2.4.1 Guidance Documents. We developed much of the material in this AC from these foundational documents: ICAO Annexes, other ICAO guidance documents, related sections of 14 CFR, and other FAA guidance material.
2.4.2 The Convention on International Civil Aviation. We single out the following articles of ICAO Document 7300/9, Convention on International Civil Aviation, because of their importance in regulating international aviation. If you operate in oceanic and remote continental airspace, you should thoroughly understand them.
• Article 1, Sovereignty.
• Article 12, Rules of the Air.
• Article 29, Documents Carried in Aircraft.
2.4.3 ICAO Recommended Guidance Documents. Similar to our ACs, ICAO’s Recommended Guidance Documents provide guidance and information intended to facilitate the uniform application of SARPs contained in the 19 Annexes to ICAO Document 7300/9.
Therefore, you should familiarize yourself with the following documents (current editions) prior to undertaking operations in oceanic and remote continental airspace.
Note: Ensure you understand the primacy relationship between the various ICAO documents. For example, ICAO Annex 2 details loss of communications procedures, which it points out you are expected to follow unless amended by regional agreement. In this case, you would then consult ICAO Document 7030 to review the loss of communications guidance for a specific geographical area.
FAA principal inspectors (PI) and Special Areas of Operation (SAO) specialists can help you understand the relationship between various ICAO documents.
2.4.3.1 ICAO Document 4444, Procedures for Air Navigation Services—Air Traffic Management. These procedures complement the SARPs contained in ICAO Annex 2 and Annex 11 and specify, in greater detail than in the SARPs, the actual procedures Air Traffic Service (ATS) units apply when providing various services to air traffic.
2.4.3.2 ICAO Document 7030, Regional Supplementary Procedures (SUPPS).
For each ICAO region, Document 7030 provides detailed procedures designed to meet those needs of specific areas that are not covered in the worldwide provisions contained in the Annexes and Procedures for Air Navigation Services (PANS) documents. The SUPPS complement the statement of requirements for facilities and services contained in the Air Navigation Plan publications.
2-4
2.4.3.3 ICAO Document 8168, Procedures for Air Navigation Services—Aircraft Operations, Volume I, Flight Procedures. Document 8168, Volume I, describes operational procedures for flight operations personnel. It also outlines the various parameters upon which the safety criteria in Volume II, Construction of Visual and Instrumental Flight Procedures, are based in order to illustrate the need for all operational personnel to adhere strictly to the published procedures in order to maintain an acceptable level of safety in operations.
2.4.3.4 ICAO Document 9574, Manual on a 300m (1,000 ft) Vertical Separation Minimum Between FL 290 and FL 410 Inclusive. Document 9574 provides States’ regional planning groups with a basis for the revision of documents, procedures, and programs to enable the maintenance of a 300m (1,000 ft) vertical separation minimum between flight level (FL) 290 and FL 410 inclusive, in accordance with the criteria and requirements developed by ICAO. It provides guidance to State aviation authorities on those measures necessary to ensure that the criteria and requirements are met within their area of responsibility, as well as background information for operators to assist in the development of operating manuals and flightcrew procedures.
2.4.3.5 ICAO Document 9613, Performance-based Navigation (PBN) Manual.
This manual provides practical guidance to States, air navigation service providers (ANSP), and airspace users on how to implement Area Navigation (RNAV) and Required Navigation Performance (RNP) applications, and how to ensure that the performance requirements are appropriate for the planned application.
2.4.3.6 ICAO Document 9869, Performance-Based Communication and Surveillance (PBCS) Manual. This guidance material explains the concepts of Required Communication Performance (RCP) and Required Surveillance Performance (RSP), identifies RCP and RSP requirements applicable to the provision and use of ATS, and provides a basis for the application of RCP and RSP in a specified airspace.
2.4.3.7 ICAO Document 10037, Global Operational Data Link (GOLD) Manual.
The GOLD Manual addresses data link service provision, operator readiness, controller and flightcrew procedures, performance-based specifications, and post-implementation monitoring and analysis. GOLD provides guidance and information concerning data link operations and is intended to facilitate the uniform application of ICAO SARPs contained in ICAO Annex 2, Annex 10, and Annex 11; the provisions in ICAO Document 4444; and, when necessary, ICAO Document 7030.
2.4.3.8 ICAO Document 10038, Satellite Voice Guidance Material. This document is intended to maximize the operational benefits of Satellite Voice (SATVOICE) implementations by promoting seamless and interoperable SATVOICE operations throughout the world. The document provides 2-5
guidance and information concerning SATVOICE communications for aeronautical use and is intended to facilitate the uniform application of ICAO SARPs contained in ICAO Annex 2, the provisions in ICAO Document 4444, and, when necessary, ICAO Document 7030.
2.4.3.9 ICAO NAT Document 007, North Atlantic Operations and Airspace Manual. This document provides information for aircraft operating agencies, pilots, and dispatchers planning and conducting operations in or above the North Atlantic High Level Airspace (NAT HLA) (formerly known as Minimum Navigation Performance Specifications Airspace (MNPSA), effective February 2016). It also offers guidance to the State regulators responsible for the approval/certification/licensing of such aircraft operators, pilots, or dispatchers.
Note: General Aviation (GA) operators flying below NAT HLA should pay particular attention to Chapter 17, Flight Operations Below the NAT HLA, of this document. Information in the North Atlantic International General Aviation Operations Manual (NAT IGA) was incorporated into ICAO NAT Document 007 in 2013. Much of the information previously included in the NAT IGA has been updated and included here. The NAT IGA is no longer maintained as a separate document.
2.4.4 Other References:
1. Applicable FAA Domestic/International Notices to Airmen (NOTAM).
2. U.S. AIP and applicable foreign AIPs. Refer to the current AIP for any States whose airspace you intend to operate in/through. 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, particularly if they differ from ICAO SARPs (so-called “differences” are listed in AIPs).
3. Regulations of the foreign countries over which you intend to fly.
4. The customs procedures, cultural considerations, entry and overflight procedures, and health and safety precautions for each country in which you intend to land.
5. The oceanic and remote section of the FAA’s Flight Operations Group web page, found at http://www.faa.gov/about/office_org/headquarters_offices/ avs/offices/afx/afs/afs400/afs410/oceanic_remote.
2.5 Authorization to Operate in SAOs. SAOs are areas with unique characteristics that require you to use special equipment, procedures, and/or techniques to safely conduct your flight operations. In some SAOs, the ATC system supports an increased airspace capacity by reducing required separation between aircraft. This reduction in separation requires improved levels of performance and in some cases more stringent procedures.
2-6
To fly in airspace considered an SAO, you need to obtain an operational authorization from the Administrator in the form of an operations specification (OpSpec), a management specification (MSpec), or a Letter of Authorization (LOA), depending on what part of 14 CFR governs your operations.
1. If you operate under 14 CFR part 121, 125, or 135, you require OpSpecs.
2. GA operators under parts 91 and 125 (including part 125 Letter of Deviation Authority (A125 LODA) holders) may require LOAs.
3. If you are a fractional ownership operator under part 91 subpart K (part 91K), you require MSpecs.
4. You can find a list of common oceanic and remote and SAO-specific OpSpecs/MSpecs/LOAs in Appendix B, Special Areas of Operation and OpSpec/MSpec/LOA. SAO specialists will have the most up-to-date information regarding airspace or capabilities requirements requiring approval.
5. The North Atlantic (NAT) Resource Guide for United States Operators, West Atlantic Route System, Gulf of Mexico, Caribbean Resource Guide for U.S. Operators, and Pacific Resource Guide for U.S. Operators include detailed charts that provide cross references for various oceanic OpSpecs/MSpecs/LOAs and associated guidance documents.
2.6 Authorization Process Relative to SAO. We have developed a five-phase process for you to gain approval for a desired operation. The responsible Flight Standards (FS) office can provide you with the details pertinent to each phase and your specific requirements.
2.6.1 Phase 1. You determine a need for authorization and contact the FAA.
2.6.2 Phase 2. You formally submit a proposal for FAA evaluation.
2.6.3 Phase 3. We evaluate the request and determine what level of demonstration is required.
We may conduct the demonstration within the responsible FS office, at your site of operations, or at both facilities.
2.6.4 Phase 4. We observe and evaluate a demonstration of your ability to perform in accordance with your proposal. This is an operational evaluation. If you don’t pass, we will notify you at this time.
Note: Flight or line observations are not required for GA LOA applications. For GA operators, we evaluate your application and normally conduct an in-person knowledge validation (tabletop exercise and/or static airplane demonstration).
2.6.5 Phase 5. If you pass the evaluation, we approve your proposal. We will grant approval by issuing an OpSpec/MSpec/LOA.
2-7
2.7 Web-Based Operations Safety System (WebOPSS).
2.7.1 WebOPSS Access. WebOPSS is the FAA’s regulatory document management system for issuing OpSpecs, MSpecs, and LOAs to air operators as indicated in 14 CFR. Authorized aviation industry personnel can apply for access to WebOPSS through their PIs.
WebOPSS access allows industry personnel to view and propose changes to their authorizations, which can expedite applications.
2.7.2 WebOPSS Training. You will require training prior to receiving WebOPSS access. You can accomplish the training either through an FAA inspector or by taking the WebOPSS formal training course through the FAA’s Mike Monroney Aeronautical Center (MMAC).
2-8
CHAPTER 3. PILOT QUALIFICATION AND TRAINING GUIDANCE FOR
INTERNATIONAL, OCEANIC, AND REMOTE CONTINENTAL AIRSPACE
OPERATIONS
3.1 Operator/Pilot-in-Command (PIC) Responsibilities—International Operations.
3.1.1 Operator Responsibilities. In Annex 6, ICAO makes the following stipulations for flights outside the jurisdiction of Member States:
1. An operator will ensure that all employees, when abroad, know that they must comply with the laws, regulations, and procedures of those States where they conduct operations.
2. An operator will ensure that all pilots are familiar with the laws, regulations, and procedures pertinent to the performance of their duties prescribed for the areas traversed, the airports used, and the related air navigation facilities.
3. The operator will ensure that other members of the flightcrew are familiar with these laws, regulations, and procedures that are pertinent to the performance of their respective duties in the operation of the aircraft.
3.1.2 PIC Responsibilities. As a PIC conducting flight operations in international airspace, you must:
1. Comply with the relevant laws, regulations, and procedures of the United States.
2. Assume responsibility for the operation and safety of the aircraft and for the safety of all persons aboard your aircraft during flight time.
3. Notify the appropriate Air Traffic Service (ATS) unit, as soon as circumstances permit, of actions you took in an emergency which necessitated immediate action and involved a violation of local regulations or procedures.
Ensure they understand that you took this action under your emergency authority as PIC. You must also submit a report on any such violation to the appropriate authority of that State, if required.
4. Notify the nearest appropriate authority, by the quickest means available, in the event of an accident or incident involving the airplane which results in the serious injury or death of any person, or results in substantial damage to the airplane or property.
3.2 Training Requirements for Oceanic and Remote Continental Airspace Operations.
3.2.1 Commercial Operator Training. Operators (other than GA operators) conducting flights in oceanic and remote continental airspace are required to have training approved by the Administrator. Your training programs will receive approval in conjunction with your company’s certification and prior to our issuance of OpSpecs or MSpecs.
3-1
3.2.2 GA Training. If you are a GA pilot desiring to fly in oceanic and remote continental airspace, you may need operational approval via an LOA (see paragraph 2.5). One or more of the following actions may satisfy the requirements for us to issue an LOA:
1. Completing an operator’s oceanic operations training program.
2. Completing a commercial oceanic operations training program.
3. Submitting military training records indicating prior oceanic operations experience.
4. Using other methods indicating that you can safely conduct oceanic operations. Examples could include written testing, oral testing, or evidence of prior experience.
3.2.3 Relevant Subject Matter. The following items are examples of the subject matter with which you should be familiar in order to conduct operations in oceanic and remote continental airspace:
1. Title 14 CFR (applicable parts).
2. ICAO SARPs.
3. ICAO measurement standards.
4. Use of oceanic flight planning charts.
5. Sources and content of international flight publications.
6. Itinerary planning and overflight clearances.
7. Meteorology, including significant weather (SIGWX) charts, prognostic weather charts, tropopause prognostic charts, and Terminal Aerodrome Forecasts (TAF), as well as contingency procedures for weather diversions.
8. Preparation of international flight plans, plotting charts, and operational flight plans/flight logs, to include ETP calculations. These include the Communications, Navigation, and Surveillance capability codes appropriate to your aircraft and your operational authorization.
9. Specific airspace requirements, to include communications, navigation, and surveillance equipment requirements, as well as operational procedures related to Reduced Vertical Separation Minimum (RVSM) and RNP.
10. Long-range, air-to-ground communication procedures, including all data link and satellite communications (SATCOM) voice operations, as applicable.
11. En route and terminal procedures—differences from U.S. procedures.
12. Use of oceanic checklists.
13. Oceanic error risk mitigations.
14. Understanding of Strategic Lateral Offset Procedures (SLOP).
15. Air traffic clearances, to include proper terminology and phraseology.
3-2
16. Emergency and contingency procedures (see Appendix F, Special Procedures for In-Flight Contingencies in Oceanic and Remote Continental Airspace), including required emergency equipment, SAR techniques, navigation equipment failure techniques, and communication equipment failure techniques.
17. Specialized training, if conducting operations in areas of magnetic unreliability (AMU), as applicable.
18. Use of polar/remote area checklists.
19. Polar/remote area error risk mitigations.
3-3
CHAPTER 4. COMMUNICATIONS, NAVIGATION, AND SURVEILLANCE
SYSTEMS GUIDANCE FOR OPERATIONS IN OCEANIC AND REMOTE
CONTINENTAL AIRSPACE
4.1 Communications, Navigation, and Surveillance Improvements—Impact on Air Traffic Services (ATS).
4.1.1 Technological Advances. Technological advances in ground-based computers, space-based signals, and aircraft communications, navigation, and surveillance systems all contribute to an air traffic system that provides increased navigational accuracy and allows you and your aircraft to interact more quickly with controllers. These advances have also improved controller-pilot communications, navigation accuracy, and aircraft surveillance reporting. This enhanced communications, navigation, and surveillance capability greatly reduces the errors and retransmissions that hampered oceanic flights just a few years ago. These safety improvements have facilitated corresponding improvements in efficiency and capacity, where aircraft are now allowed to fly closer to each other (separation minima have been reduced). Regional airspace managers continually update equipment requirements, making it incumbent on you to fully understand the current equipment, training, and authorization requirements for any airspace in which you intend to operate.
4.1.2 Automatic Dependent Surveillance-Broadcast (ADS-B). ADS-B supports these improvements by providing a higher update and enhanced accuracy of surveillance information over the current radar-based surveillance systems. ADS-B Out capability will be required, beginning January 1, 2020, for operations throughout much of the U.S.
National Airspace System (NAS). A number of other countries are also implementing widespread use of ADS-B.
4.2 Performance-Based Operations.
4.2.1 Measures of Performance. Performance-based operations relies on Required Communication Performance (RCP), Required Navigation Performance (RNP), and Required Surveillance Performance (RSP). It uses these three primary measures of performance to determine required separation between flights, both in radar contact and in oceanic and remote continental airspace. ATS providers determine separation requirements based on a combination of these three performance indicators.
4.2.2 RCP. RCP establishes aircraft/controller communications timeline, equipment, and flightcrew training standards. Generally, you can measure RCP in terms of the timeline required to complete the communication transaction and the continuity, availability, and integrity of the transaction. In oceanic and remote continental airspace, RCP 240 and RCP 400 are the prevalent performance standards.
4.2.2.1 RCP 240 requires a 99.9 percent probability (continuity) the communications transaction will complete in less than 240 seconds (timeline). It also requires a
99.99 percent probability the communication can be initiated (availability) and 4-1
no more than 10-5 communications transaction malfunctions per flight-hour (integrity).
4.2.2.2 RCP 400 requires a 99.9 percent probability (continuity) the communications transaction will complete in less than 400 seconds (timeline). It also requires a
99.9 percent probability the communication can be initiated (availability) and no more than 10-5 communications transaction malfunctions per flight-hour (integrity).
4.2.2.3 For additional details, please see the current editions of the International Civil Aviation Organization (ICAO) Document 10037, Global Operational Data Link (GOLD) Manual, Appendix B, RCP Specifications, and ICAO Document 9869, Performance-based Communication and Surveillance (PBCS) Manual, at https://store.icao.int.
4.2.3 RNP. RNP establishes aircraft navigation accuracy, equipment, and flightcrew training standards. ICAO Document 9613, Performance-based Navigation (PBN) Manual, outlines these standards. Generally, we measure these standards in terms of accuracy, integrity, continuity, availability, and functionality. Oceanic and remote continental airspace ATS providers primarily provide RNP 10- (also known as Area Navigation (RNAV) 10) and RNP 4-based separation minima. RNP 2 applications have also become available for oceanic and remote continental airspace, to be used by individual States as necessary to meet their airspace requirements. In all cases, ATS providers will determine separation minima between adjacent aircraft based on the authorized capability each aircraft operator files in the flight plan.
1. RNP 10 requires an aircraft to be capable of remaining within 10 nautical miles (NM) of centerline 95 percent of the time and within 20 NM
99.999 percent of the time.
2. RNP 4 requires an aircraft to be capable of remaining within 4 NM of centerline 95 percent of the time and within 8 NM 99.999 percent of the time.
3. RNP 2 requires an aircraft to be capable of remaining within 2 NM of centerline 95 percent of the time and within 4 NM 99.999 percent of the time.
4.2.4 RSP. RSP establishes aircraft/controller surveillance timeline and equipment standards.
Generally, you can measure RSP in terms of the timeline required to complete the transaction and the continuity, availability, and integrity of the transaction. In oceanic and remote continental airspace, RSP 180 and RSP 400 are the prevalent performance standards.
4.2.4.1 RSP 180 requires a 99 percent probability (continuity) the surveillance transaction will complete in less than 180 seconds (timeline). It also requires a
99.99 percent probability the communication can be initiated (availability) and no more than 10-5 communications transaction malfunctions per flight-hour (integrity).
4-2
4.2.4.2 RSP 400 requires a 99 percent probability (continuity) the surveillance transaction will complete in less than 400 seconds (timeline). It also requires a
99.9 percent probability the communication can be initiated (availability) and no more than 10-5 communications transaction malfunctions per flight-hour (integrity).
4.2.4.3 For additional details, please see ICAO Document 10037, Appendix C, RSP Specifications.
4.2.5 Access to Performance-Based Routes. The communications, navigation, and surveillance capabilities of your crew and equipment determine your eligibility for operations specification (OpSpec)/management specification (MSpec)/Letter of Authorization (LOA) authorizations that enable you to take advantage of the performance-based routes in oceanic and remote continental airspace. The significant improvements in communications, navigation, and surveillance systems have allowed air traffic controllers to reduce separation between aircraft, expanding access to the routes that offer you the maximum savings in time and fuel.
Note: For a list of pertinent OpSpecs/MSpecs/LOAs, please see Appendix B, Special Areas of Operation and OpSpecs/MSpecs/LOAs.
4.3 Voice Communications in Oceanic and Remote Continental Airspace. ICAO Annex 6 (all three parts) requires those airplanes operating under instrument flight rules (IFR) to have installed and approved radio communication equipment capable of conducting two-way communications at any time during the flight. When operating over the high seas, ICAO Annex 2 requires you to equip your aircraft with a functioning two-way radio, to establish two-way radio communications with the appropriate air traffic control (ATC) unit, and to maintain a continuous listening watch on the appropriate radio frequency.
Note: It is not acceptable to depend solely on radio relay operations to satisfy this requirement. The appropriate authority for the airspace where you conduct the flight may prescribe the aeronautical stations and frequencies used for two-way communications.
4.3.1 High Frequency (HF) Radio Communications. HF radios have been in use for almost a century over oceanic and remote continental areas. As technological advances lead to more sophisticated methods of communication, HF equipment has also improved.
HF radios now offer digital tuning, compact size, selective calling systems (SELCAL) (see below), and new antenna concepts. Consider the following when using HF communications:
4.3.1.1 HF radio calls are normally relayed electronically, via keyboard and display, to air traffic controllers by a radio operator. There is often a delay between your requests and ATC clearance. The radio operator does not have the authority to approve your request and must coordinate with the appropriate controller for that approval.
4-3
4.3.1.2 Communications over HF radio rely heavily on proper radio terminology and scripted reports. Use the published guidance found in en route publications or the Aeronautical Information Manual (AIM) to make sure you deliver messages in the proper format. Speak at a moderate speed using the internationally accepted phraseology. You may find ICAO standard phraseology in ICAO Document 9432, Manual of Radiotelephony. This document and other ICAO reference materials can be found on ICAO’s website at https://store.icao.int.
4.3.1.3 If ATC uses the terms “expect” or “when are you able,” they have not granted you a clearance. Typically, oceanic radio operators will use the phraseology “ATC clears…” when relaying a clearance.
4.3.1.4 You must read back every clearance received from ATC. Ensure that ATC acknowledges your exact read back to confirm that you correctly heard the instructions.
4.3.1.5 In general, higher frequencies (above 10.0 megahertz (MHz)) work better during daylight and lower frequencies (below 10.0 MHz) at night. It is not uncommon to use several frequencies on one flight while communicating with the same ATS provider.
4.3.1.6 HF communications are dependent on transmitted signals striking the ionosphere and reflecting back to antennae at ground stations. The ionosphere is susceptible to interference from space weather, resulting in periods where HF reception is marginal or unreadable. You may especially notice this phenomenon in polar regions above 60° N or below 60° S and during periods of significant solar activity.
4.3.2 SELCAL. SELCAL is a means to alert an individual aircraft that a ground station wishes to communicate with it. ATS providers can transmit SELCAL signals over very high frequencies (VHF) or HF. The signals produce an audio tone and possibly a cockpit light or message that alerts you to initiate contact with the appropriate ATC unit.
4.3.2.1 The SELCAL codes are controlled by a commercial service and are assigned to a specific aircraft. Since the number of unique SELCAL codes is less than the number of aircraft with SELCAL capability, multiple aircraft could be operating and logged in with the same SELCAL code assignment.
4.3.2.2 When you apply for SELCAL codes for your aircraft, the issuing company will deconflict duplicate codes by region as much as possible. However, aircraft flying in multiple regions may encounter another aircraft using the same code. You must ensure that the SELCAL contact you respond to is intended for your aircraft.
4.3.2.3 Efforts are underway to increase the number of codes by expanding the number of audible tones that make up the system. The newest SELCAL equipment will use alphanumeric instead of the alpha-only codes, increasing 4-4