• Place of arrival.
• Time of departure.
• Time of arrival.
• Hours of flight.
• Nature of flight (private, aerial work, scheduled, or nonscheduled).
• Incidents and observations, if any.
• Signature of person in charge.
5.4.1.3 Personal Documentation for Crew and Passengers. When planning a trip to or from a foreign country, you must ensure all travelers have proper personal documentation (passports and visas, as required). You may find the requirements for individual countries at www.state.gov/travel.
5.5 Entry to Foreign Airspace—Flight Plan Versus Formal Advance Permission.
5.5.1 Permission for Airspace Entry. When the foreign Air Traffic Service (ATS) authority accepts your flight plan and issues you a flight clearance, you have not necessarily received official approval for entering that State’s airspace. The governing CAA may independently require permission for airspace entry, and your destination airfield may require permission as well.
5.5.2 Flight Plans. Your flight plan provides advance notice of foreign airspace penetration and facilitates effective air traffic control (ATC) procedures. For some countries, your flight plan is the only advance notice required; other countries use your flight plan as a check against previously granted permission to enter national airspace.
5.5.3 State AIPs. During your pretrip planning, as noted in paragraphs 5.1.1.2, 5.2.1, and 5.2.2 above, consult the AIP for the States you will transit to determine any overflight/landing permits and whether prior permission is required. Ensure you allow plenty of lead time to request and obtain all necessary permissions.
5.6 Managing Risk in Oceanic and Remote Continental Airspace Operations. Operators should have a risk management process before conducting oceanic operations (per ICAO Annex 19, issued in 2013). Many of the oceanic planning topics included in earlier portions of this chapter should be included as elements of your oceanic operations risk assessment. Examples include the list of topics immediately below. Operators are strongly encouraged to research the information available on the FAA Web site, both from the standpoint of oceanic operations planning, and risk management overall.
Non-airline operators are also encouraged to review the material specifically earmarked for airline operators. You can get a lot of good ideas from that information.
• Communications, navigation, and surveillance requirements for airspace.
• Crew knowledge and recency-of-experience.
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• Crew fatigue.
• Airspace Search and Rescue (SAR) options.
• Weather and atmospheric conditions unique to the airspace.
• Applicable survival equipment.
• Alternate airports.
• Contingency procedures.
Note: The Automated Mutual-assistance Vessel Rescue (AMVER) system, sponsored by the U.S. Coast Guard, is a computer-based voluntary global ship reporting system used worldwide by SAR authorities to arrange for assistance to persons in distress at sea. Operators conducting oceanic operations are encouraged to be familiar with AMVER in case of a potential ditching. Once the operator notifies ATC of a possible ditching, all merchant vessels registered with AMVER and within 100 nautical miles (NM) of the aircraft’s predicted ditching position will be notified.
5.7 Weather Forecasts and Other Meteorological Planning.
5.7.1 The National Weather Service (NWS). The NWS provides weather, hydrologic, and climate forecasts and warnings for the United States, its territories, adjacent waters, and ocean areas. If you operate outside of the jurisdiction of the NWS, you must utilize a weather source approved by the Administrator.
5.7.2 International Weather Services. You can access many different international weather sources through the NWS. While the NWS may recognize these sources, they are not necessarily approved by the NWS and may not meet regulatory requirements.
As a certificate holder, you must have your international weather sources approved in your OpSpec/MSpecs.
5.7.3 Recognized Weather Services. As representatives of the Administrator, principal operations inspectors (POI) may approve the following sources:
• The NWS for the United States and its territories located outside of the 48 contiguous states.
• U.S. and North Atlantic Treaty Organization (NATO) military observing sources.
• Meteorological offices operated by ICAO Member States.
• ICAO Member-State-authorized meteorological stations or automated observations.
• Members of the World Meteorological Organization (WMO).
5.7.4 Enhanced Weather Information Systems (EWINS). Many commercial operators utilize an EWINS. EWINS are systems for gathering, evaluating, and disseminating aviation weather information, and for issuing weather reports and forecasts prepared by properly trained and qualified aviation meteorologists or aircraft dispatchers. Air carriers use 5-8
EWINS which are proprietary to each carrier. Air carriers require FAA approval to use EWINS.
5.7.4.1 Each carrier’s EWINS must have sufficient procedures, personnel, and communications and data processing equipment to effectively obtain, analyze, and disseminate aeronautical weather data. An EWINS source may produce weather analyses and forecasts based on meteorological observations provided by the Federal government.
5.7.4.2 For an explanation of EWINS, refer to the current edition of AC 00-45, Aviation Weather Services. Approval to use EWINS weather products is issued on a case-by-case basis and is currently only applicable to part 91K program managers and part 121 or 135 certificate holders, who may either act as their own EWINS or contract for services from an outside source. These approved operators may conduct flight operations using the weather analyses and forecasts produced by their approved EWINS.
5.8 Notices to Airmen (NOTAM). We publish these NOTAMs on a 28-day cycle. They include significant international information and special notices that could affect your decision to enter or use certain areas of foreign or international airspace. If you are seeking to enter areas of the world that require special considerations, these NOTAMs can be very important. To access the two most recent editions of the domestic/international FAA NOTAMs, click on www.faa.gov/air_traffic/publications/notices/.
5.9 Extended Operations (ETOPS). ETOPS (the ICAO term is Extended Diversion Time Operations (EDTO)) requirements pertain to aircraft operated under parts 121 and 135.
ETOPS is a system of maintenance, planning, alternate airport selection, dispatch, and flight operations standards that are designed to preclude a diversion and, if one were to occur, to protect that diversion. Thus, ETOPS standards establish a higher level of performance requirements and equipment monitoring.
Note: Rules covering ETOPS do not address operations conducted under part 91.
However, because risk increases with distance from an adequate airport, if you are a General Aviation (GA) operator, we strongly recommend that your pilot training, maintenance practices, flight planning, and any applicable dispatch procedures follow the processes and procedures established in ETOPS regulations and guidance.
5.9.1 ETOPS Guidance. Guidance pertaining to ETOPS is provided in the current editions of AC 120-42, Extended Operations (ETOPS and Polar Operations), and AC 135-42, Extended Operations (ETOPS) and Operations in the North Polar Area. The regulatory basis for ETOPS requirements is provided by part 121, §§ 121.161 and 121.374 and appendix P, and part 135, § 135.364 and appendix G.
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5.10 Polar Operations. ACs 120-42 and 135-42 (current editions) cover polar operations by aircraft operated under parts 121 and 135 respectively. As noted in the ETOPS discussion above, we strongly recommend part 91 operators refer to these ACs if you intend to attempt a flight via a polar route. Other worthwhile sources of information include the Canada and Iceland AIPs and the Canadian Designated Airspace Handbook.
The North Polar Area of Operations includes the area that lies north of latitude 78° north.
The North Polar routes across Russia are shown in the Russian AIP or in commercial charting publications for Eastern Europe and Eurasia. The South Polar Area of Operations includes the area south of latitude 60° south. Operators should contact their regional SAO specialist for advice on things to consider when planning polar operations.
1. OpSpec/MSpec B055, North Polar Operations, authorizes North Polar operations. OpSpec/MSpec B040, Operations in Areas of Magnetic Unreliability, authorizes operations in areas of magnetic unreliability (AMU).
2. Operations in AMUs are not authorized when using a Global Positioning System (GPS)-only navigation-sensor flight management system (FMS). This is due to the lack of accurate and reliable heading information from flux valve-derived headings.
5.11 Areas with Limited ATS. While part 91 GA operators are not bound by the requirements below, we recommend that they have a solid understanding of this information before attempting to operate in this type of airspace. If you intend to operate in advisory-only airspace, your training programs and operating procedures must allow for safe operations and ensure compliance with the expected operating practices.
Commercial operators must also show that they comply with OpSpec/MSpec A014, IFR En Route Operations in Class G Airspace. If you intend to operate in uncontrolled information regions, you will not have access to ATC, air traffic advisory, flight information, and alerting services. When operating within these areas, you must have acceptable, alternative means to ensure the following:
1. You can notify the appropriate organization in a timely manner should you require SAR assistance.
2. You have a method to access changes in significant weather information in a timely manner.
3. Those navigation facilities necessary for you to safely conduct the operation are available and serviceable. You can receive updates regarding the serviceability of the required Navigational Aids (NAVAID).
4. You have reliable in-flight information concerning other instrument flight rules (IFR) aircraft operating near your route of flight (e.g., Traffic Alert and Collision Avoidance System (TCAS) and/or Automatic Dependent Surveillance-Broadcast (ADS-B) In). This could also include “broadcast in the blind” procedures and other “expected” practices (see Appendix E, IATA In-Flight Broadcast Procedures, as well as ICAO Annex 11’s description of Traffic Information Broadcasts by Aircraft (TIBA)).
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5.12 Rotorcraft Operations.
5.12.1 FAA and ICAO Requirements. The basic part 91 guidance outlined earlier in this chapter also applies to helicopter operations in oceanic and remote continental airspace. If you are operating in international airspace or another State’s airspace, you are still obligated under § 91.703 to follow ICAO Annex 2. The § 91.703 requirement to follow the rules of the countries you overfly and those in which you intend to land also applies. If the part of 14 CFR under which you operate conflicts with the rules of the country you are operating over or in, you must follow the rules of that country.
5.12.2 Offshore Helicopter Operations in the U.S. National Airspace. The current edition of AC 90-80 contains detailed information on offshore helicopter operations in the U.S. NAS, both instrument and radar. It also provides instruction on how you can gain authorization to conduct such operations.
5.12.3 Offshore Operators. If you are an offshore operator, you are required to obtain OpSpec/LOA H104, Helicopter En Route Descent Areas (HEDA), if conducting en route descent procedures under IFR operations. You will receive the OpSpec or LOA, as applicable, once you meet all certification requirements.
5.12.4 Navigation Requirements. You must meet the following navigation requirements in order to operate rotorcraft in oceanic and remote continental airspace.
5.12.4.1 You may develop proposed routes using NAVAIDs where you have adequate signal coverage available. In areas where signal coverage is not available, you must provide a suitable means of navigation. We may require a validation test in visual flight rules (VFR) conditions to ensure that you are able to demonstrate adequate navigational performance for the route(s) before granting approval for your use of the route(s).
5.12.4.2 For part 135 operators, all the navigation equipment that you use in extended over-water or IFR operations must meet § 135.165(b) requirements. If you obtain positive course guidance for any portion of the route through the use of long-range navigation equipment, such as GPS meeting FAA Technical Standard Order (TSO)-C145, TSO-C146, or TSO-C196, you will not receive approval for these operations until your aircraft has two independent receivers for navigation installed and operative (only one is required in the West Atlantic, Caribbean, and Gulf of Mexico).
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CHAPTER 6. FLIGHT EXECUTION GUIDANCE FOR OPERATIONS IN OCEANIC
AND REMOTE CONTINENTAL AIRSPACE
6.1 General Information.
6.1.1 Checklists. In Appendix D, Sample Oceanic Checklist, we have included a sample oceanic checklist tailored from the ICAO version, in both condensed and expanded forms. The checklist is designed to encourage an orderly task flow and reduce oceanic vertical, lateral, longitudinal, and timing navigation errors.
Note: You may tailor the expanded checklist to your specific needs and approvals. During actual operations, refer to that tailored expanded checklist to ensure you follow the procedures in their entirety.
6.1.2 Pilot Deviations—Common Causes.
6.1.2.1 Technological advances in communications, navigation, and surveillance equipment have enabled aircraft to operate with ever-improving precision and accuracy. However, despite this increased navigational capability, pilots continue to deviate from their current route clearances.
6.1.2.2 A Large Height Deviation (LHD) occurs when an aircraft is 300 feet or more off its assigned altitude. LHDs increase the risk of mid-air collision.
6.1.2.2.1 The most common causes of LHDs are:
1. Air traffic control (ATC) loop errors:
• Misunderstood clearances.
• Lack of proper ATC coordination procedures.
2. Pilot deviations from assigned altitude:
• Following the flight plan rather than a clearance or reclearance.
• Erroneous altitude programming in the flight management system (FMS), such as a mistake in the step-climb entry.
• Misinterpretation/misapplication of conditional clearances.
• Improper execution of pilot contingency procedures.
• Turbulence encounters.
6.1.2.2.2 Collected data indicates that a majority of crew-related errors involve misinterpretation or misapplication of “conditional clearances.” Conditional clearances improve the efficient utilization of airspace, allowing ATC to assign altitudes that enable lower fuel burn. Event reports from ATC and flightcrews indicate that pilots misapply terms in the clearance such as “BY” or “AT”—terms, which have completely different meanings. See Table 6-1 below for examples of incorrectly applied conditional clearances.
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Table 6-1. Examples of Incorrectly Applied Conditional Clearances
CLEARANCE CREW ACTION CORRECT ACTION Via CPDLC at 1714, crew conditionally cleared, “maintain F340, at 1725 climb to and maintain F360, climb to reach F360 by 1735, report level, due to traffic.”
Crew initiated climb early, reported (ADS-C) passing F354 at 1721.
Crew should have delayed commencing climb until 1725, and planned to reach F360 by 1735.
Via CPDLC, crew cleared 66/30 66/40 65/50 F380 M081, cleared F390 to cross 66/40 level.
Crew commenced climb to F390 at 40W (Mode C).
Crew should have initiated climb prior to 40W in order to cross 40W at F390.
Via CPDLC at 1945, crew cleared maintain F330, at 1952 climb to and maintain F350, climb to reach F350 by 1957, report level F350.
Reported (ADS-C) level at F350 at 1948.
Crew should have delayed commencing climb until 1952, and planned to reach F350 by 1957.
Crew cleared 68/40 64/50 IRBIM F360 M083 via HF voice, crew recleared to descend after passing 65N to be level F340 before 64N.
Crew commenced descent at 6529N/4650W.
Crew should have initiated descent after passing 65N and levelled at F340 prior to 64N.
Crew cleared 66/30 65/40 63/50 IRBIM LOMTA F400 M081. Via CPDLC, crew cleared climb F410 to cross 65/40 level.
Crew failed to climb as cleared and crossed 65/40 at F400 (ADS-C).
Crew should have initiated climb prior to 65N in order to cross 65N at F410.
6.1.2.2.3 Your training program should provide you and your crew with procedures that ensure all ATC clearances are complied with correctly, particularly clearances with en route restrictions such as changing flight levels (FL) based on a coordinated time or a specific geographic position.
Note: Per ICAO NAT Document 007, when flying in North Atlantic (NAT) airspace, you must immediately report to ATC when leaving and reaching a new FL. Doing so can enable the controller to identify and intervene when you have misunderstood or misapplied your conditional clearance.
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6.1.2.3 ICAO identifies gross navigation errors (GNE) as lateral deviations from course of 25 nautical miles (NM) or greater. In the North Atlantic, the threshold is 10 NM.
6.1.2.3.1 The majority of today’s GNEs arise from pilots flying a very precise track to the wrong position because they failed to properly update their FMS to reflect their currently effective route clearance. This can also result from a clearance or reclearance that was incorrectly entered, misread, or misunderstood. Procedures to follow in the event of a reclearance are included in paragraph 6.4.1.6. Examples of scenarios that have led to GNEs are:
1. Poor management of the master document, resulting in crews not knowing the currently effective route clearance.
2. Incorrect waypoint entry procedures, particularly if the waypoints are not named and flightcrews must enter the full latitude and longitude.
Note: Waypoints entered via full latitude and longitude can produce misleading display names, where minutes are truncated or rounded and/or generic names are generated.
6.1.2.3.2 GNEs also result when the aircraft navigation mode is actually different from that assumed by the crew. This scenario typically occurs when the crew fails to return to “LNAV” (lateral navigation) after utilizing “heading select” to maneuver the aircraft.
6.1.2.3.3 Although there are a number of causes of GNEs, pilot inattention has been the root cause of many navigational errors. ICAO NAT Document 007, in a chapter titled Guarding against Complacency, provides excellent lessons learned from evaluation of GNE incidents.
6.1.2.4 Longitudinal errors, in the form of failure to provide updated estimated times of arrival (ETA), are another common navigation error and one that is easily preventable.
6.1.2.4.1 Deviations around weather can affect ETAs. It is important to remember that even when ATC clears you to deviate, the onus is on the pilot to update the ETA as appropriate.
6.1.2.4.2 You must adhere to your assigned (true) Mach number. If you use Long Range Cruise or Economy (ECON) modes to travel in speed-controlled airspace, you are operating in a constantly changing speed mode. Flying in these modes may not be compatible with the strict tolerances required for ATC’s longitudinal separation of aircraft.
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6.1.2.4.3 When position reports are made by voice, ICAO requires you to report to ATS authorities any change to your ETA in excess of 2 minutes, both for your initial oceanic entry point as well as all required reporting points along your route of flight through oceanic and remote continental airspace.
6.1.2.4.4 Discrepant wind data can result in inaccurate ETA computations. This can be particularly problematic if you are not flying at the flight-planned altitude or have outdated winds loaded in your FMS. You must diligently monitor your ETA and maintain your assigned Mach number in order to minimize these errors.
6.1.2.4.5 FMS-computed ETAs, particularly for more distant waypoints, may be erroneous due to down track wind conditions, which the FMS is not presently using to compute the ETA. You should compare FMS estimates with the ETA calculated on the operational flight plan prior to reporting the ETA to ATC facilities.
6.1.2.4.6 Automatic position reports delivered via Automatic Dependent Surveillance-Contract (ADS-C) have greatly reduced the occurrence of longitudinal errors caused by inaccurate ETAs. ATC establishes an ADS-C periodic report interval appropriate for the longitudinal and lateral separation criteria being used. More frequent reports compensate for wind discrepancies and provide ATC with accurate ETAs.
6.2 Flight Plan.
6.2.1 ATC Flight Plan.
6.2.1.1 ICAO requires a flight plan for all flights that cross international borders.
Instrument flight rules (IFR) operations in oceanic airspace generally start at 6,000 feet. Visual flight rules (VFR) operations at or below 5,500 feet must comply with all applicable regulations and foreign airspace requirements.
6.2.1.1.1 Even though you may legally conduct flights in oceanic and remote continental airspace under VFR, there is generally a good likelihood of encountering instrument meteorological conditions at some point in your flight.
6.2.1.1.2 We highly recommend that you file an IFR flight plan on any oceanic flight, if you are instrument rated and your aircraft meets the equipment requirements for IFR flight.
6.2.1.2 Proper completion of an ATC flight plan requires that you have detailed knowledge of the airspace you intend to transit, the airspace equipment requirements, and the required FAA authorizations (operations specifications (OpSpecs)/management specifications (MSpecs)/letters of authorization (LOA)). You also need to be thoroughly familiar with the equipment your aircraft has on board as listed in your filed flight plan. When you file, your 6-4
flight plan is transmitted to ATS facilities along the route of flight. If you do not file correctly, you could possibly experience delays before takeoff for an issue with an ATS authority along your route of flight.
6.2.1.2.1 The Aeronautical Information Manual (AIM) has a step-by-step description in Chapter 5 detailing how to complete FAA Form 7233-4, Pre-Flight Checklist and International Flight Plan.
6.2.1.2.2 Additionally, ICAO NAT Document 007 provides an indepth discussion on completing the flight plan, with special attention given to operating in NAT airspace, in its attachment 4, ICAO FPL Completion for a NAT Flight.
6.2.1.2.3 Both documents take you step by step through each entry in the flight plan form, including the special descriptors that will identify to ATS authorities your equipment and authorizations.
6.2.1.3 As Performance-based Navigation (PBN) becomes more prevalent worldwide, ATS authorities will increasingly set aside certain airspace for PBN-compliant aircraft. You list your aircraft and crew capabilities using descriptors in items 10A, 10B, and 18 of the flight plan.
Note: Without the proper codes or remarks identifying the operational approvals of your crew and aircraft, controllers may deny you en route climbs to your most fuel-efficient FLs or access to the optimum routings or, in some cases, reject your flight plan entirely.
6.2.1.4 Title 14 CFR part 121 dispatch services are required to have staff knowledgeable in all filing requirements for both domestic and international operations. These services can support flight plan reroutes that may arise due to weather or congestion along your route of flight. If you are operating without the benefit of a dispatch service, you must have the knowledge and necessary tools available to react to unplanned reroutes, equipment failures, or emergencies that may impact your flight while en route.
6.2.2 Equipment Capability Codes—Flight Plan.
6.2.2.1 PBN is changing the way ATS providers apply separation criteria between aircraft. Without notifying the crew of either aircraft involved, ATS providers in “mixed mandate” airspace can reduce separation between aircraft based on your stated capability. In order to take advantage of opportunities for more efficient routings, your flight plan should reflect the lowest Required Navigation Performance (RNP) value for which you are capable and authorized.
6.2.2.2 Upon entering oceanic and remote continental airspace, the RNP setting in your flight management computer (FMC) must be equal to or less than that required for the route of flight, and it should reflect the RNP capability 6-5
indicated on your flight plan. If you indicate RNP 4 capability on the flight plan, for example, ATC could establish separation criteria for your flight based on RNP 4 capability, even though only RNP 10 is required for the route of flight. Likewise, if RNP 10 is required for the route, the FMC setting must be no higher than 10.0. A higher setting will prevent your navigation system’s RNP performance monitoring and alerting capability, as well as the lateral deviation scaling, from functioning according to the RNP requirements for your route of flight. In such a scenario, a loss of required aircraft separation could ensue. The RNAV/RNP capability indicated on your flight plan must not be less than that for which you have been approved via an OpSpec, MSpec, or LOA.
6.2.2.3 If you are no longer able to meet your RNP navigation specification while en route (i.e., your Actual Navigation Performance (ANP) exceeds your RNP or required equipment has failed), you are required to immediately notify your ATS provider so they can adjust separation standards between you and other nearby aircraft as required.
6.3 Aircraft Preflight Guidance.
6.3.1 Preflight—Necessary Documents. Effective oceanic and remote continental airspace flight planning and execution requires a number of important pieces of information.
You should ensure you have easy access to each of the following documents in the cockpit, as well as others that may be pertinent to your flight:
6.3.1.1 Master flight plan (“master document”).
Note: Use strict procedures to manage the master document. Maintain only one copy of the master document in the cockpit.
6.3.1.2 Notices to Airmen (NOTAM) for departure, destination, alternate(s), Extended Operations (ETOPS) alternates (as applicable), and oceanic Flight Information Regions (FIR).
6.3.1.3 Global Positioning System (GPS) NOTAMs (as applicable).
6.3.1.4 Weather for departure, destination, alternate airports along the route of flight, and ETOPS alternates (as applicable).
6.3.1.5 Significant weather (SIGWX) chart.
6.3.1.6 Wind charts for planned altitudes and altitudes after drift-down/emergency descent.
Note: Compute equal time points (ETP) for contingencies, such as medical divert, engine loss, rapid decompression (RD), and a simultaneous RD and engine loss. Note the location of the ETPs on your chart.
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