8. AC 91-85, Authorization of Aircraft and Operators for Flight in Reduced Vertical Separation Minimum Airspace.
9. AC 120-42, Extended Operations (ETOPS and Polar Operations).
10. AC 120-70, Operational Authorization Process for Use of Data Link Communication System.
11. AC 120-100, Basics of Aviation Fatigue.
12. AC 120-103, Fatigue Risk Management Systems for Aviation Safety.
13. AC 135-42, Extended Operations (ETOPS) and Operations in the North Polar Area.
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CHAPTER 2. BACKGROUND INFORMATION FOR OPERATIONS IN OCEANIC
AND REMOTE CONTINENTAL AIRSPACE
2.1 The International Civil Aviation Organization (ICAO): Its Relationship to U.S. Aviation. As a charter member of ICAO, the United States has fully supported the organization’s goals from its inception in 1947. ICAO works to achieve the highest level of standards and procedures for aircraft, personnel, airways, and aviation services throughout the world. ICAO oversees the international standards ascribed to by its more than 190 Member States for navigation facilities, airports, weather, and radio services.
Through active support and participation in ICAO, the FAA strives to improve worldwide safety standards and procedures. ICAO’s strategic objectives are to continue to establish and maintain Standards and Recommended Practices (SARP) for the safe and orderly development of international aviation. You should be familiar with the 19 ICAO Annexes, which contain more than 10,000 adopted SARPs.
Note: ICAO Member States are obligated to comply with the international SARPs contained in the 19 Annexes and supporting ICAO documents such as the Procedures for Air Navigation Services—Air Traffic Management (PANS-ATM) (ICAO Document 4444) and Regional Supplementary Procedures (ICAO Document 7030).
2.2 ICAO Annexes.
2.2.1 Annex 1, Personnel Licensing. Provides information on licensing of flightcrews, air traffic controllers, and aircraft maintenance personnel, including medical standards for flightcrews and air traffic controllers.
2.2.2 Annex 2, Rules of the Air. Contains visual flight rules (VFR) and instrument flight rules (IFR) for all operators.
2.2.3 Annex 3, Meteorological Services for International Air Navigation. Provides for meteorological services for international air navigation and reporting of meteorological observations from aircraft.
2.2.4 Annex 4, Aeronautical Charts. Contains specifications for aeronautical charts used in international aviation.
2.2.5 Annex 5, Units of Measurement to be Used in Air and Ground Services. Lists dimensional systems used in air and ground operations.
2.2.6 Annex 6, Operation of Aircraft (3 parts). Specifies minimum standards for below-listed operations throughout the world:
1. Part I: International Commercial Air Transport—Aeroplanes.
2. Part II: International General Aviation—Aeroplanes.
3. Part III: International Operations—Helicopters.
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2.2.7 Annex 7, Aircraft Nationality and Registration Marks. Specifies requirements for registration and identification of aircraft.
2.2.8 Annex 8, Airworthiness of Aircraft. Specifies uniform procedures for certification and inspection of aircraft.
2.2.9 Annex 9, Facilitation. Provides for the standardization and simplification of border-crossing formalities.
2.2.10 Annex 10, Aeronautical Telecommunications:
1. Volume I, Radio Navigation Aids. Provides for standardizing communications equipment and systems.
2. Volume II, Communications Procedures. Standardizes communications procedures.
3. Volume III, Communications Systems. Standardizes communications systems.
4. Volume IV, Surveillance and Collision Avoidance Systems. Standardizes surveillance radar and collision avoidance.
5. Volume V, Aeronautical Radio Frequency Spectrum Utilization. Standardizes aeronautical radio spectrum utilization.
2.2.11 Annex 11, Air Traffic Services. Includes information on establishing and operating air traffic control (ATC), flight information, and alerting services.
2.2.12 Annex 12, Search and Rescue. Provides information on organization and operation of facilities and services necessary for Search and Rescue (SAR).
2.2.13 Annex 13, Aircraft Accident and Incident Investigation. Provides for uniformity in notifying, investigating, and reporting on aircraft accidents.
2.2.14 Annex 14, Aerodromes:
1. Volume I, Aerodrome Design and Operations. Contains specifications for the design and equipment of aerodromes.
2. Volume II, Heliports. Contains specifications for the design and equipment of heliports.
2.2.15 Annex 15, Aeronautical Information Services. Includes methods for collecting and disseminating aeronautical information required for flight operations.
2.2.16 Annex 16, Environmental Protection:
1. Volume I, Aircraft Noise. Contains specifications for aircraft noise certification, noise monitoring, and noise exposure units for land-use planning.
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2. Volume II, Aircraft Engine Emissions. Contains specifications for aircraft engine emissions.
2.2.17 Annex 17, Security. Specifies methods for safeguarding international civil aviation against unlawful acts of interference.
2.2.18 Annex 18, The Safe Transport of Dangerous Goods by Air. Contains specifications for labeling, packing, and shipping dangerous cargo.
2.2.19 Annex 19, Safety Management. Describes Safety Management System (SMS) development, regulatory framework, and supporting guidance.
2.3 Applicability of U.S. and International Regulations.
2.3.1 Regulatory Obligations. You must adhere to U.S. regulations, ICAO SARPs, and the “flight and maneuver” regulations of the countries you overfly or in which you land.
The Aeronautical Information Publication (AIP) from each country is an important source of information and reference. The U.S. AIP, for example, includes a detailed description of where U.S. aviation regulations differ from ICAO standards and recommended practices and procedures. You will see similar listings of “differences” in other State AIPs.
2.3.1.1 You should be especially familiar with ICAO Annex 2, Rules of the Air, and whichever part of ICAO Annex 6, Operation of Aircraft, that applies to your operation.
2.3.1.2 Title 14 CFR part 91, § 91.703 stipulates that you are bound by ICAO Annex 2 if you operate your U.S.-registered aircraft outside the United States.
2.3.1.3 In all cases, § 91.703 requires that you follow the rules of the countries that you overfly and those in which you intend to land. If the part of 14 CFR under which you operate conflicts with the rules of the country you are operating over/in, you must follow the rules of that country.
2.3.1.4 According to 14 CFR part 121, § 121.11 and part 135, § 135.3(a)(2), for operations under each respective part, when operating within a foreign country, you must comply with the air traffic rules of the country concerned and any local airport rules that may be in force. You must also follow all rules of that part that are more restrictive than the rules of the foreign country in which you are operating, as long as you can do so without violating the rules of that country.
2.3.2 Differing Airspace Requirements. It is quite possible to transit regions with significantly different procedures in one long-range flight. Therefore, you should familiarize yourself with the equipment and procedural requirements to file and fly in each segment of foreign airspace in which you intend to operate by referencing, for example, the appropriate State’s AIP.
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2.4 ICAO Guidance Documents and Reference Material.
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, Rules of the Air, 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, Regional Supplementary Procedures, 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 (PANS-ATM). 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 8168, Procedures for Air Navigation Services—Aircraft Operations (PANS-OPS), 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.
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2.4.3.3 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 PANS documents. The SUPPS complement the statement of requirements for facilities and services contained in the Air Navigation Plan (ANP) publications.
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, 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, Manual on Required Communication Performance (RCP). This guidance material explains the concept of RCP, identifies RCP requirements applicable to the provision and use of Air Traffic Services (ATS), and provides a basis for the application of RCP in a specified airspace.
Note: This document is being extensively revised. We expect the revision to be published late in 2016 under the title “Performance-Based Communication and Surveillance (PBCS) Manual.”
2.4.3.7 ICAO Document 10037, Global Operational Data Link Document (GOLD). GOLD 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 the PANS-ATM (ICAO Document 4444); and, when necessary the Regional Supplementary Procedures (ICAO Document 7030).
2.4.3.8 ICAO Document 10038, Satellite Voice Operations Manual (SVOM). This operations manual is intended to maximize the operational benefits of Satellite 2-5
Voice (SATVOICE) implementations by promoting seamless and interoperable SATVOICE operations throughout the world. The SVOM provides 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, PANS-ATM, and, when necessary, ICAO Document 7030, Regional Supplementary Procedures.
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 18 of this document.
Information in the NAT IGA Operations Manual 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 Notices to Airmen (NOTAM) Domestic/International.
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 Performance Based Flight Systems Branch Web page, found at http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/ afs400/afs470/oceanic_remote.
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2.5 Authorization to Operate in Special Areas of Operation (SAO). 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. 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 14 CFR parts 91 and 125 (A125 Letter of Deviation Authority (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. Regional SAO specialists will have the most up-to-date information regarding airspace or capabilities requirements requiring approval.
5. The NAT PDF; Western Atlantic, Caribbean, and Gulf of Mexico PDF; and PAC PDF 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. Your local FSDO 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 a field 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).
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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 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 Oklahoma City Training Center.
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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.
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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 equal time point (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).
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