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5.5 Entry to Foreign Airspace—Flight Plan vs. Formal Advance Permission.
5.5.1 P ermission for Airspace Entry . When the foreign 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 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 S tate AIPs . During your pre-trip planning, as noted in paragraphs 5.1.2, 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 M anaging Risk in Oceanic and Remote Continental Airspace Operations. Operators should have a risk management process before conducting oceanic operations (per ICAO Annex 19, originally i ssued in 2013). Many of the topics included in earlier portions of this chapter should be included as elements of your risk assessment. Operators are strongly encouraged to research the information available on the FAA website, 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 good ideas from that information.
Note: T he Automated Mutual- assistance Vessel Rescue (AMVER) system, sponsored by the U.S. Coast Guard (USCG), is a computer-based voluntary global ship reporting system used worldwide by SAR authorities to arrange for assistance to persons in distress at sea. The web address is:
https://www.amver.com/. 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 NM of the aircraft’s predicted ditching position will be notified.
5.7 W eather Forecasts and Other Meteorological Planning.
5.7.1 N ational Weather Service (NWS). The NWS provides weather, hydrologic, and climate forecasts and warnings for the United States, its territories, adjacent waters, and ocean areas. Parts 91 subpart K (part 91K), 121, and 135 operators must use an approved weather source (i.e., NWS or FAA-approved).14
14 Regulatory references are §§ 91.1039, 121.101, and 135.213.
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5.7.2 Weather Sources. As representatives of the Administrator, Principal Operations Inspectors (POI) may approve, via OpSpec/MSpec A010, Aviation Weather Information (required for parts 91K, 121, and 135) the following weather sources:
• The NWS for the United States and its territories.
• U.S. and North Atlantic Treaty Organization (NATO) military observing sources.
• Meteorological offices or automated observations operated by ICAO Member States (as long as the States subscribe to ICAO meteorological standards and practices
(i.e., list no differences to ICAO Annex 3)).
• Members of the World Meteorological Organization (WMO).
5.7.3 Enhanced Weather Information Systems (EWINS). Many certificated 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 typically use a proprietary EWINS. Parts 91K, 121, and 135 operators require FAA approval via OpSpec/MSpec A010 to use EWINS.15
5.7.3.1 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.
5.7.3.2 For an explanation of EWINS, refer to FAA Order 8900.1, Volume 3, Chapter 26, Section 4, Enhanced Weather Information Systems. 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 (CH), 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 FAA International Notices Website. International Notices include Flight Prohibitions Notices and International Oceanic Airspace 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 notices can be very important.
To access FAA International Notices, refer to https://www.faa.gov/air_traffic/publication s/internationalnotices/.
5.9 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
15 Regulatory references are §§ 91.1039, 121.101, and 135.213.
5-9 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 (defined in § 121.7), if you are a 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 ETO PS Guidance . Guidance pertaining to ETOPS is provided in 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) a nd part 135 (§ 135.364 and appendix G).
5.10 Polar Operations. ACs 120-42 and 135-42 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 fly 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° N. The North Polar routes across Russia are shown in the Russian AIP or in commercial charts for Eastern Europe and Eurasia. The South Polar Area of Operations includes the area south of latitude 60° S. Operators should contact a specialist from the FAA’s Flight Technologies and Procedures Division, Flight Operations Group for advice on operational factors to consider when planning polar operations.
1. Relevant authorizations are:
a. OpSpec/MSpec B055, North Polar Operations.
b. OpSpec/MSpec B040, Operations in Areas of Magnetic Unreliability.
2. Operations in AMUs when using a Global Positioning System (GPS)-only navigation-sensor for the flight management system (FMS) require careful analysis to confirm that the FMS is receiving accurate and reliable heading information.
5.11 Areas With Limited or No ATS (Also Called “NO FIR” Areas). Two examples of such areas are the boundary between Bodo Oceanic and Murmansk, and the area southeast of Mazatlan's Oceanic FIR off the west coast of Central America.
5.11.1 P art 91 Operators. 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, you are required, as you are for all flights, to become familiar with all available information
5-10 concerning that flight.16 Good familiarity with applicable operating procedures allows for safe operations.
5.11.2 C ertificated Operators. To operate in uncontrolled information regions, certificated operators must be issued OpSpec/MSpec A014, Special En Route IFR Operations in Class G Airspace, in accordance with § 91.1015; § 121.93; § 121.113; part 125, § 125.31;
or § 135.215, as applicable. In uncontrolled airspace, you w ill not have access to ATC, air traffic advisory, flight information, and alerting services. In approving routes outside controlled airspace via OpSpec/MSpec A014, the Administrator makes a determination that traffic density is such that an adequate level of safety can be assured. FAA inspectors will also evaluate whether you have acceptable alternative means to ensure the following:
1. Y ou can notify the appropriate organization in a timely manner should you require SAR assistance.
2. You have a method to access changes in SIGWX 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 IFR aircraft operating near your route of flight (e.g., Traffic Alert and Collision Avoidance System (TCAS) and/or ADS-B In). This could also include “broadcast in the blind” procedures and other “expected” practices (see Appendix E, IATA In-F light Broadcast Procedure, as well as ICAO Annex 11’s description of traffic information broadcasts by aircraft (TIBA)).
5.12 R otorcraft Operations.
5.12.1 F AA and ICAO Requirements . The guidance on U.S. and International Regulations in Chapter 2, Background Information for Operations in Oceanic and Remote Continental Airspace, also applies to helicopter operations in oceanic and remote continental airspace.
5.12.2 O ffshore Helicopter Operations . AC 90-80, Approval of Offshore Standard Approach Procedures, Airborne Radar Approaches, and Helicopter En Route Descent Areas, contains detailed information on offshore helicopter operations, both instrument and ATS surveillance (ADS-B or radar). It also provides instruction on how you can gain authorization to conduct such operations.
5.12.3 Helicopter O ffshore Instrument Operations. OpSpec/MSpec/LOA H104, Helicopter Offshore Instrument Operations: Offshore Standard Approach Procedure (OSAP), Airborne Radar Approach (ARA), and Helicopter En Route Descent Area (HEDA) Operations, is available to authorize en route descent procedures under IFR.
16 Regulatory references are § 91.103, Preflight action, and ICAO Annex 2, Ch apter 2, Applicability of the Rules of the Air, Paragraph 2.3.2, Pre-Flight Action.
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5.12.4 Helicopter Part 135 Proving and Validation Tests. Section 135.145 is relevant for rotorcraft operations in oceanic and remote continental airspace. 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 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).
6-1 CHAPTER 6. FLIGHT EXECUTION GUIDANCE FOR OPERATIONS IN OCEANIC
AND REMOTE CONTINENTAL AIRSPACE
6.1 General Information. The main focus of this guidance is operations in oceanic airspace.
The guidance is also applicable to some operations in remote continental airspace, where LRCSs are used.
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. Similar to the ICAO version, the checklist in this AC represents lessons learned from many years of flight in oceanic airspace, along with internationally accepted best practices for such operations.
Note: Y ou may tailor the abbreviated and expanded checklists to your specific needs and operational circumstances. Until you are experienced and familiar with all items on your tailored checklist, we recommend you refer to your expanded checklist to ensure you follow the procedures in their entirety.
6.1.2 P ilot Deviations—Common Causes. Technological advances in communications, navigation, and surveillance equipment have enabled aircraft to operate with ever-improving precision and accuracy. However, despite these improvements in capability, pilots continue to deviate from their current route clearances.
Note: Th e NAT ICAO Region publishes the Oceanic Error Safety Bulletin (OESB), which is an excellent resource for understanding how to prevent common errors. The current OESB can be found in the “EUR and NAT Documents” area of the ICAO website, in the “NAT OPS Bulletins” folder:
https://www.icao.int/EURNAT/Pages/EUR-and-NAT-Document.aspx.
6.1.2.1 Large Height Deviation (LHD). An LHD occurs when an aircraft is 300 feet or more off its assigned altitude. LHDs increase the risk of mid-air collision.
6.1.2.1.1 The most common causes of LHDs are:
1. ATC loop errors:
• Misunderstood or miscommunicated clearances.
• Inadequate ATC coordination.
2. Pilot deviations from assigned altitude:
• Following the flight plan rather than a clearance or revised clearance.
• Erroneous altitude programming in the FMS, such as a mistake in the step-climb entry.
• Misinterpretation/misapplication of conditional clearances.
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• Improper execution of contingency procedures.
• Turbulence encounters.
6.1.2.1.2 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.
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 at F380, cleared F390 to cross 66N040W 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.
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6.1.2.1.3 Your training program should provide your flightcrew with procedures that ensure all ATC clearances are complied with correctly, particularly clearances with en route restrictions such as changing FLs based on a coordinated time or a specific geographic position.
Note: Per ICAO NAT Doc 007, North Atlantic Operations and Airspace Manual, when flying in NAT HLA, if your aircraft is not using CPDLC/ADS-C, you must immediately report to ATC both 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.
6.1.2.2 G ross Navigation Error (GNE). The FAA defines GNEs as lateral deviations from course of 10 NM or greater. (Previously, the threshold was 25 NM).
6.1.2.2.1 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 navigation system to reflect their currently effective route clearance. This can also result from a clearance or revised clearance that was incorrectly entered, misread, or misunderstood. Procedures to follow in the event of a revised clearance are included in paragraph 6.4.1.7. Examples of scenarios that have led to GNEs are:
1. P oor management of the M aster 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 1: We use the term “currently effective route clearance” to describe what ICAO Annex 2 refers to as the “current flight plan,” or the most recently issued ATC clearance.
Note 2: W aypoints entered via full latitu de and longitude can produce misleading display names, with truncated or rounded minutes of latitude/longitude or longitude. For example, the following two points could have identical display names:
Waypoint Coordinates Avionics Display ID 5530N020W (N55°30’/W020°) N55W020 55N020W (N55° /W020°) N55W020
6-4 Note 3: Pilots should therefore always confirm the expanded coordinates of undesignated significant points (i.e., unnamed waypoints defined by geographic coordinates).
6.1.2.2.2 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 the flight guidance system to an RNAV mode (e.g., “LNAV”) after using heading mode (e.g., “HDG”) to maneuver the aircraft.
6.1.2.2.3 Although there are a number of causes of GNEs, pilot inattention has been the root cause of many navigational errors. ICAO NAT Doc 007, Chapter 14, Guarding Against Common Errors, provides excellent lessons learned from evaluation of GNE incidents.
6.1.2.3 Longitudinal Errors. Longitudinal errors, in the form of failure to provide updated ETAs, are another common navigation error and one that is easily preventable.
6.1.2.3.1 Deviations around weather can affect ETAs. ICAO Annex 2 requires you to provide ATC with an updated ETA when weather deviations cause the originally notified ETA to be inaccurate.
6.1.2.3.2 Per ICAO Annex 2, you must adhere to any assigned Mach number or airspeed. If you use Long Range Cruise (LRC) or Economy (ECON) modes, you are operating in a constantly changing speed mode. Flying in these modes may not be compatible with maintaining a fixed ATC speed assignment.
6.1.2.3.3 When position reports are made by voice, ICAO Annex 2 requires you to report to ATS 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. (In the NAT region, the allowance for revised estimates is “3 minutes or more.”)
6.1.2.3.4 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 navigation system. You must diligently monitor your ETA and maintain your assigned Mach number in order to minimize these errors.
6.1.2.3.5 Navigation system-computed ETAs, particularly for more distant waypoints, may be erroneous due to down track wind conditions, which the navigation system is not presently using to compute the ETA. You should compare navigation system estimates with the ETA calculated using the OFP prior to reporting the ETA to ATC.
6.1.2.3.6 Automatic position reports delivered via 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
6-5 separation criteria being used. More frequent reports compensate for wind discrepancies and provide ATC with accurate ETAs.
6.2 Flight Plan.
6.2.1 A TC Flight Plan .
6.2.1.1 ICAO Annex 2 requires you to file a flight plan for any flight that crosses international borders. IFR operations in oceanic airspace generally start at 6,000 feet. 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, you will likely encounter instrument meteorological conditions (IMC) at some point in your flight.
6.2.1.1.2 We therefore recommend that you file and fly under IFR on all oceanic flights.
6.2.1.2 Proper completion of an ATC flight plan relies on detailed knowledge of the airspace you intend to transit, the airspace equipment requirements, and the required FAA authorizations (OpSpecs/MSpecs/LOAs). 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 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 AIM has a step-by-step description detailing how to complete FAA Form 7233-4, Pre-F light Pilot Checklist and International Flight Plan.
6.2.1.3 As Performance-based Navigation (PBN) and PBCS become more prevalent worldwide, ATS authorities will increasingly set aside certain airspace for 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 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 the route of flight. Regardless of whether you are operating with a dispatch service, you must comply with 14 CFR part 91, § 91.103, which requires pilots to “become familiar with all available information” concerning a flight. Pilots should have the knowledge and necessary tools available to
6-6 react to unplanned reroutes, equipment failures, or emergencies that may affect a flight while en route. Operators using commercial vendor flight planning services remain responsible for all aspects of the flight.
6.2.2 E quipment Capability Codes —Flight Plan.
6.2.2.1 PBN and PBCS are 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 (i.e., the best) RNP, RCP, and RSP values for which you are capable and authorized.
You must only use codes for equipment that is installed and operable.
Similarly, you must only use capability codes that reflect your actual authorizations, when authorization is required. You must have a specific approval (OpSpec/MSpec/LOA) to indicate RNP 2, 4, or 10 capability on your flight plan.17 Conversely, you do not require an LOA for RNAV 1 or 2.
6.2.2.2 The absence of equipment or capability codes in your flight plan (e.g. for RNP, RSP, RCP, ADS-C, ADS-B, CPDLC, RVSM, etc.) informs ATC that your aircraft is either not equipped with or authorized to use such capabilities.
The presence or absence of equipment and capability codes affects route and altitude assignments, as well as separation differences with other aircraft. You should ensure your flight plan reflects all the codes, as per flight plan guidance in the AIM, applicable to your aircraft equipment and authorizations.
6.2.2.3 The RNAV/RNP, RCP, or RSP capability indicated on your flight plan must not be better than that for which you have been approved via an OpSpec, MSpec, or LOA, as applicable. For example, if you have only been approved RNAV/RNP 10 (code A1), you must not indicate RNP 4 capability (code L1).
6.3 Aircraft Preflight Guidance.
6.3.1 P reflight— 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 the following documents/information in the cockpit, as well as others that may be pertinent to your flight:
6.3.1.1 M aster flight plan (“Master Document”).
Note: Use strict procedures to manage the Master Document. Maintain only one OFP labeled “master” in the cockpit.
17 Regulatory reference is § 91.169, which refers to § 91.153. This requires the flight plan to include “any other information the pilot in command or ATC believes is necessary for ATC purposes.” The U.S. AIP states that pilots must “advise ATC” if equipment failures render the filed capability indicators inaccurate.
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6.3.1.2 NOTAMs for departure, destination, alternate(s), ETOPS alternates (as applicable), and applicable FIRs.
6.3.1.3 G PS 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 SIGWX chart.
6.3.1.6 Wind charts for planned altitudes and altitudes after driftdown/emergency descent.
Note: Compute ETPs 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 plotting/orientation chart.
6.3.1.7 Space weather: solar flare information (see the National Oceanic and Atmospheric Administration’s (NOAA) website at https://www.swpc.noaa.gov/forecasts).
6.3.1.8 Volcanic ash information (as applicable).
6.3.1.9 Pilot Weather Reports (PIREP).
6.3.1.10 Receiver autonomous integrity monitoring (RAIM) and fault detection and exclusion (FDE) prediction tools (for GNSS and RNP operations), available at https://sapt.faa.gov/default.php.
6.3.1.11 Current track message (for any operations in airspace with a flexible organized track system (OTS)).
Note: If you have a track message or other separate route document associated with the flight, verify that the effective time of the message corresponds to your flight and that the designated route agrees with both your filed routing and the waypoint routing on your Master Document.
6.3.1.12 Plotting/orientation chart.
6.3.1.12.1 You should use an oceanic plotting/orientation chart, of appropriate scale, and with latitude and longitude depicted, to provide a visual presentation of your intended route, regardless of your type(s) of LRNS and method of cross-checking aircraft position. Plotting your route on a chart helps with situational awareness, and (together with the OFP) also helps with navigation contingencies such as DR, in the event of navigation system degradation/failure.