Doc 10153

Preparation of an Operations
Manual

First Edition (Advance unedited) — 2021

Disclaimer
This document is an unedited version of an ICAO publication and has not yet been approved in final form. As its content may still be
supplemented, removed, or otherwise modified during the editing process, ICAO shall not be responsible whatsoever for any costs or
liabilities incurred as a result of its use.

Approved by and published under the authority of the Secretary General

INTERNATIONAL CIVIL AVIATION ORGANIZATION

 FOREWORD
The original Preparation of an Operations Manual (Doc 9376) was published in 1997 and was not subsequently updated.
A task to review and update this document began in 2016, but it was then determined that a revision was not possible due
to the number of amendments required. Doc 9376 was therefore rendered obsolete and a complete redraft of the material
was undertaken.

This manual provides updated guidance material on those parts of the Operations Manual (OM) which are usually
developed by the operator. An essential element leading to the approval of an OM is the development and specification
of an appropriate approach to the supervision of operations; this manual has been prepared to provide guidance for
regulators on developing such supervisory capability. In addition, the OM serves a primary role in regulatory oversight and
the issuance of an air operator certificate.

This manual is not written as a checklist against which the contents of an OM should be compared, nor does it purport to
be totally comprehensive as to the possible contents of an OM. It is intended to identify the topics that should be considered
by the operator in developing an OM and in accordance with the specifications in Annex 6 — Operation of Aircraft, Part I
— International Commercial Air Transport — Aeroplanes (and specifically in its Appendix 2). The contents of a particular
OM depend on many factors, not the least of which are the number and different types of aircraft being operated. The
geographical extent of the operation is another significant factor in the determination of content. In selecting the contents
of an OM, the guiding principle should be to decide, in a pragmatic and common sense manner, what information and
guidance must be included to ensure a safe and efficient operation. The operator should be allowed the greatest possible
latitude in developing an OM specific to the operation and commensurate with the international obligations and
requirements of the State of the Operator.

In preparing this manual, the requirements of a number of States were examined, as were a selection of OMs. Throughout
this document when a Standard, recommended practice or guidance material being discussed is based on the provisions
of Annex 6, Part I, the term “aeroplane” is used.

This manual is also intended to be a companion document to the Manual of Procedures for Operations Inspection,
Certification and Continued Surveillance (Doc 8335).

Whilst this manual is directed towards operations with aeroplanes, it can be used as a guide to the requirements for an
OM in operations using other types of aircraft (e.g., helicopters).

Comments on this manual, particularly with respect to its application, usefulness and scope of coverage, would be
appreciated from States and operators. These will be taken into consideration in the preparation of subsequent editions.
Please address your comments to:

The Secretary General

International Civil Aviation Organization
999 Robert Bourassa Street
Montréal, Quebec
Canada H3C 5H7

______________________

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 TABLE OF CONTENTS

Page

Glossary .......................................................................................................................................................... (iii)

List of acronyms ......................................................................................................................................... (iii)
Definitions................................................................................................................................................... (v)
Reference Documents ................................................................................................................................ (xi)

Chapter 1. INTRODUCTION.......................................................................................................................... 1-1

Chapter 2. ADMINISTRATION AND CONTROL OF THE OPERATIONS MANUAL ................................... 2-1

2.1 Requirement for an operations manual ........................................................................................ 2-1
2.2 Volumes of an operations manual ................................................................................................ 2-2
2.3 Organization of the operations manual ........................................................................................ 2-6
2.4 Electronic flight bag (EFB) ........................................................................................................... 2-8

Chapter 3. OPERATIONS ADMINISTRATION AND SUPERVISION ........................................................... 3-1

3.1 General ........................................................................................................................................ 3-1
3.2 Flight operations manager ........................................................................................................... 3-2
3.3 Chief pilot ..................................................................................................................................... 3-2
3.4 Training manager ......................................................................................................................... 3-2
3.5 Safety manager ............................................................................................................................ 3-2

Chapter 4. TRAINING .................................................................................................................................... 4-1

4.1 General ........................................................................................................................................ 4-1
4.2 Training programme and syllabi for flight crew ............................................................................. 4-2
4.3 Pilot proficiency checks ................................................................................................................ 4-4
4.4 Alternative training and checking programmes ............................................................................ 4-5
4.5 Instrument ratings ........................................................................................................................ 4-6
4.6 Route and aerodrome qualifications............................................................................................. 4-6
4.7 Pilot-in-command (PIC) training ................................................................................................... 4-7
4.8 Emergency duties training (flight crew) ........................................................................................ 4-8
4.9 Flight engineer ............................................................................................................................. 4-8
4.10 Operational aspects of airborne (line flying under supervision or base) training .......................... 4-8
4.11 Approval of flight simulation training devices and approval of other
operators’ training facilities ................................................................................................. 4-9
4.12 Security training ........................................................................................................................... 4-10
4.13 Dangerous goods training programme ......................................................................................... 4-10
4.14 Cabin crew training ...................................................................................................................... 4-11
4.15 Flight operations officer/flight dispatcher ...................................................................................... 4-12
4.16 Human factors performance ......................................................................................................... 4-12
4.17 De/anti-icing operations training ................................................................................................... 4-14
4.18 Upset prevention and recovery .................................................................................................... 4-14
4.19 Fatigue management training ...................................................................................................... 4-14
4.20 Instructor training ......................................................................................................................... 4-15

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Chapter 5. FATIGUE MANAGEMENT AND FLIGHT AND DUTY TIME LIMITATIONS ............................... 5-1
5.1 Fatigue management ................................................................................................................... 5-1
5.2 Flight and duty time limitations and rest requirements ................................................................. 5-1
5.3 FRMS ........................................................................................................................................... 5-5

Chapter 6. OPERATIONS SUPERVISION – GENERAL .............................................................................. 6-1

6.1 General ........................................................................................................................................ 6-1
6.2 Pilot-in-command ......................................................................................................................... 6-1
6.3 Crew ........................................................................................................................................... 6-2
6.4 Operational staff responsibilities .................................................................................................. 6-3
6.5 Documents ................................................................................................................................... 6-3
6.6 Health requirements ..................................................................................................................... 6-4
6.7 Medical supplies........................................................................................................................... 6-5
6.8 Survival and emergency equipment ............................................................................................. 6-5
6.9 Company communications ........................................................................................................... 6-5

Chapter 7 OPERATIONS SUPERVISION - GROUND ................................................................................. 7-1

7.1 General ........................................................................................................................................ 7-1
7.2 Information required for briefings ................................................................................................. 7-1
7.3 Operator produced information .................................................................................................... 7-2
7.4 Operational reporting forms ......................................................................................................... 7-3
7.5 Operational flight plan (OFP) forms.............................................................................................. 7-4
7.6 ATS flight planning ....................................................................................................................... 7-5
7.7 Aeroplane loading ........................................................................................................................ 7-5
7.8 Administration and control of operational documents .................................................................. 7-6
7.9 Operations originating from outstations........................................................................................ 7-7
7.10 Pre-flight reporting and duties ...................................................................................................... 7-7
7.11 Post-flight retention of records ..................................................................................................... 7-8

Chapter 8. OPERATIONS SUPERVISION – FLIGHT ................................................................................... 8-1

8.1 Introduction .................................................................................................................................. 8-1
8.2 Fuelling ........................................................................................................................................ 8-1
8.3 Records to be left with ground personnel ..................................................................................... 8-2
8.4 Use of minimum equipment list (MEL) and configuration deviation list (CDL) .............................. 8-3
8.5 Passenger cabin briefings instructions and communications ....................................................... 8-4
8.6 In flight procedures....................................................................................................................... 8-4
8.7 Adverse weather operations ........................................................................................................ 8-7
8.8 Wake turbulence .......................................................................................................................... 8-10
8.9 Volcanic ash ................................................................................................................................. 8-11
8.10 Navigation .................................................................................................................................... 8-11
8.11 Flight tracking ............................................................................................................................... 8-13
8.12 Emergency Procedures................................................................................................................ 8-13
8.13 General operational policies ......................................................................................................... 8-16
8.14 Visual illusions ............................................................................................................................. 8-18
8.15 Reporting and classification of aircraft defects ............................................................................. 8-19

Chapter 9. FLIGHT PLANNING AND FUEL MANAGEMENT ...................................................................... 9-1

9.1 Introduction .................................................................................................................................. 9-1
9.2 Alternate aerodrome .................................................................................................................... 9-2
9.3 Meteorological requirements for flight planning and in-flight operation ........................................ 9-3
9.4 Fuel supply ................................................................................................................................... 9-5
9.5 In-flight re-planning procedures ................................................................................................... 9-6

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 9.6 In-flight fuel management ............................................................................................................. 9-7
9.7 Fuel consumption, conservation and the environment ................................................................. 9-8
9.8 Oxygen supply ............................................................................................................................. 9-9
9.9 Oil supply ..................................................................................................................................... 9-10
9.10 Record keeping ............................................................................................................................ 9-10

Chapter 10. MASS AND BALANCE AEROPLANE PERFORMANCE AND OPERATING LIMITATIONS .... 10-1
10.1 General ........................................................................................................................................ 10-1
10.2 The determination/calculation of the mass and balance of an aeroplane..................................... 10-1
10.3 Mass and center of gravity limitations .......................................................................................... 10-2
10.4 Definition and presentation of aeroplane operating limitations
(as related to performance calculations) ...................................................................................... 10-2
10.5 Definition, customization, production and presentation of aeroplane performance data .............. 10-2
10.6 Take-off/climb performance and limitations (mass, altitude, temperature) ................................... 10-3
10.7 Approach and landing performance and climb limits .................................................................... 10-4
10.8 The effects of an in-flight failure of a system or device on landing distance ................................. 10-6
10.9 Brake energy limits....................................................................................................................... 10-6
10.10 Holding and diversion................................................................................................................... 10-6
10.11 Supplementary data for flights in icing conditions and considering
the effects of de/anti-icing fluids ......................................................................................... 10-6

Chapter 11. CABIN CREW OPERATIONS MANUAL ..................................................................................... 11-1

11.1 General ........................................................................................................................................ 11-1
11.2 Distribution of the cabin crew operations manual ......................................................................... 11-1
11.3 Cabin crew operations manual content ........................................................................................ 11-2
11.4 Introduction and record of revision ............................................................................................... 11-2
11.5 Applicable regulations .................................................................................................................. 11-3
11.6 Operator procedures .................................................................................................................... 11-3
11.7 Normal operations procedures ..................................................................................................... 11-4
11.8 Abnormal and emergency procedures ......................................................................................... 11-5
11.9 Safety briefings and announcements ........................................................................................... 11-6
11.10 Aircraft systems ........................................................................................................................... 11-8
11.11 Safety and emergency equipment................................................................................................ 11-10
11.12 Procedures relating to aviation security ....................................................................................... 11-11
11.13 Dangerous goods ......................................................................................................................... 11-12
11.14 First aid ........................................................................................................................................ 11-13
11.15 Crew resource management ........................................................................................................ 11-15
11.16 Quick reference cards .................................................................................................................. 11-15
11.17 Appendices .................................................................................................................................. 11-16
11.18 Cabin crew training manual .......................................................................................................... 11-16
11.19 Cabin crew training manual content ............................................................................................. 11-16
11.20 Administration and control ............................................................................................................ 11-16
11.21 General training syllabi and checking programmes...................................................................... 11-17
11.22 Cabin crew training syllabi and checking ..................................................................................... 11-18
11.23 Procedures ................................................................................................................................... 11-21
11.24 Documentation and storage ......................................................................................................... 11-22

Attachment A. List of cabin safety and emergency equipment .......................................................................... A-11-1

Attachment B. Example of checklist for an anticipated emergency landing ....................................................... B-11-1
Attachment C. Medical supplies types, number, location and contents of medical supplies .............................. C-11-1
Attachment D. Provisions for the accessibility of infant flotation devices ........................................................... D-11-1

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Chapter 12. ROUTE GUIDES AND CHARTS ................................................................................................. 12-1
12.1 General ........................................................................................................................................ 12-1
12.2 Communication services and requirements ................................................................................. 12-2
12.3 Navigation services and requirements ......................................................................................... 12-2
12.4 Surveillance services and requirements....................................................................................... 12-3
12.5 Air traffic management (ATM) services and requirements ........................................................... 12-3
12.6 Aerodrome related services and requirements ............................................................................ 12-3
12.7 Additional information................................................................................................................... 12-4
12.8 Charts .......................................................................................................................................... 12-5

Chapter 13. MINIMUM FLIGHT ALTITUDES AND AERODROME OPERATING MINIMA ............................. 13-1
13.1 Minimum flight altitudes................................................................................................................ 13-1
13.2 Aerodrome operating minima ....................................................................................................... 13-2
13.3 Presentation of aerodrome operating minima .............................................................................. 13-5

Chapter 14. ACCIDENT/INCIDENT PREVENTION, SAFETY

MANAGEMENT AND POST-ACCIDENT ADMINISTRATION .......................................... 14-1
14.1 Definitions .................................................................................................................................... 14-1
14.2 Accident/incident prevention ........................................................................................................ 14-1
14.3 Safety management system ......................................................................................................... 14-2
14.4 Safety reporting ............................................................................................................................ 14-3
14.5 Safety data analysis and exchange.............................................................................................. 14-4
14.6 Safety management documents system ...................................................................................... 14-4
14.7 Emergency response and post-accident administration ............................................................... 14-4
14.8. Aircraft accident and incident investigation .................................................................................. 14-6

Chapter 15. SECURITY ................................................................................................................................... 15-1

15.1 Management systems and corporate commitment....................................................................... 15-1
15.2 Sensitivity and dissemination of security information ................................................................... 15-1
15.3 Operational control personnel security policy and procedure ....................................................... 15-2
15.4 Flight security policy and procedure ............................................................................................. 15-2
15.5 Flight deck security ...................................................................................................................... 15-3
15.6 Security training ........................................................................................................................... 15-4
15.7 Outsourcing security functions ..................................................................................................... 15-5
15.8 Operational security reporting and records .................................................................................. 15-5

______________________

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 GLOSSARY

LIST OF ACRONYMS

ADF Automatic direction finder

ADS-B Automatic dependent surveillance — broadcast
ADS-C Automatic dependent surveillance — contract
AED automated external defibrillator
AFM Airplane flight manual
AIC Aeronautical information circular
AIS Aeronautical information service
AIP Aeronautical information publication
AIREP Air report
AFM Airplane flight manual
AMMD Airport moving map display
AOM Aeroplane operations manual
AOSP Aircraft Operator Security Programme
AQP Advance Qualification Programme
ATC Air traffic control
ATIS Automatic terminal information service
ATM Air traffic management
ATQP Alternative Training and Qualification Programme
ATS Air traffic services
ATSU Air traffic services unit
AUPRTA Airplane upset prevention and recovery training aid
AWO All-weather operations
AWOM Manual of All-Weather Operations
CAA Civil aviation authority
CAT Clear air turbulence
CAT I Category I
CAT II Category II
CAT III Category III
CBT Computer-based training
CBTA Competency-based training and assessment
CCOM Cabin crew operations manual
CDL Configuration deviation list
CPDLC Controller-pilot data link communications
CRM Crew resource management
CRS Child restraint system
CVR Cockpit voice recorder
DA/H Decision altitude/height
D-ATIS Data link-automatic terminal information service
DME Distance measuring equipment
DP Decision point
D-VOLMET Data link-VOLMET
EASA European Union Aviation Safety Agency

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EBT Evidence-based training
EFB Electronic flight bag
EDTO Extended diversion time operations
ERP Emergency response plan
FAA Federal Aviation Administration
FCM Fuel consumption monitoring
FDP Flight duty period
FDR Flight data recorder
FL Flight level
FMS Flight management system
FRMS Fatigue risk management system
FSTD Flight simulation training device
FDTL Flight and duty time limitations
GNSS Global navigation satellite system
IAF Initial approach fix
IAP Instrument approach procedure
IATA International Air Transport Association
ICAO International Civil Aviation Organization
IFR Instrument flight rules
ILS Instrument landing system
INS Inertial navigation system
IOE Initial operating experience
LOFT Line-oriented flight training
LIFUS Line flying under supervision
HF High frequency
MAC Mean aerodynamic chord
MAPt Missed approach point
MCC Multi-crew cockpit
MDA/H Minimum descent altitude/height
MEL Minimum equipment list
MET Aerodrome meteorological office
METAR Aerodrome routine meteorological report
MMEL Master minimum equipment list
MNPS Minimum navigation performance specifications
NAVAID Navigation aid
OCA Obstacle crossing altitude
OCH Obstacle crossing height
OEM Original equipment manufacturer
OFP Operational flight plan
OM Operations manual
OpSpecs Operations specifications
OPT On-board performance tool
PA Public address system
PBN Performance-based navigation
PED Portable electronic device
PIC Pilot-in-command
PF Pilot flying
PM Pilot monitoring
PNR Point of no return
RF Radio frequency
RFF Rescue and fire fighting
RNAV Area navigation

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RNP Required navigation performance
RPL Repetitive flight plan
RTOT Reduced thrust take-off techniques
RVR Runway visual range
RVSM Reduced vertical separation minima
SARPs Standards and Recommended Practices (ICAO)
SAR Specific air range
SID Standard instrument departure
SIGMET Significant meteorological information
SMM Safety Management Manual (Doc 9859)
SMS Safety management system
SOP Standard operating procedure
SRM Safety risk management
SSP State safety programme
SSR Secondary surveillance radar
STAR Standard instrument arrival
TAF Aerodrome forecast
TCAS Traffic alert and collision avoidance system
TEM Threat and error management
TEMPO Temporary or temporarily
ULB Underwater locator beacon
UPRT Upset prevention and recovery training
VFR Visual flight rules
VHF Very high frequency
VMC Visual meteorological conditions
VOR VHF omnidirectional range
VPN Virtual private network
VTE Valid training envelope
WAT Weight, altitude and temperature
WX Weather conditions
ZFTT Zero flight-time training

DEFINITIONS

When the following terms are used in this manual, they have the following meanings:

Accident. An occurrence associated with the operation of an aircraft which, in the case of a manned aircraft, takes place
between the time any person boards the aircraft with the intention of flight until such time as all such persons have
disembarked, or in the case of an unmanned aircraft, takes place between the time the aircraft is ready to move with
the purpose of flight until such time as it comes to rest at the end of the flight and the primary propulsion system is
shut down, in which:

a) a person is fatally or seriously injured as a result of:

— being in the aircraft, or

— direct contact with any part of the aircraft, including parts which have become detached from the aircraft, or
— direct exposure to jet blast.

except when the injuries are from natural causes, self-inflicted or inflicted by other persons, or when the injuries
are to stowaways hiding outside the areas normally available to the passengers and crew; or

(viii)
 b) the aircraft sustains damage or structural failure which:

— adversely affects the structural strength, performance or flight characteristics of the aircraft, and
— would normally require major repair or replacement of the affected component,

except for engine failure or damage, when the damage is limited to a single engine, (including its cowlings or
accessories), to propellers, wing tips, antennas, probes, vanes, tires, brakes, wheels, fairings, panels, landing
gear doors, windscreens, the aircraft skin (such as small dents or puncture holes), or for minor damages to main
rotor blades, tail rotor blades, landing gear, and those resulting from hail or bird strike (including holes in the
radome); or

c) the aircraft is missing or is completely inaccessible.

Note 1.— For statistical uniformity only, an injury resulting in death within thirty days of the date of the accident is
classified, by ICAO, as a fatal injury.

Note 2.— An aircraft is considered to be missing when the official search has been terminated and the wreckage has
not been located.

Note 3.— The type of unmanned aircraft system to be investigated is addressed in Annex 13 — Aircraft Accident and
Incident Investigation, Chapter 5, 5.1.

Note 4.— Guidance for the determination of aircraft damage can be found in Annex 13, Attachment E.

Accountable executive. A single, identifiable person having responsibility for the effective and efficient performance of
the service provider’s SMS.

Aerodrome operating minima. The limits of usability of an aerodrome for:

a) take-off, expressed in terms of runway visual range and/or visibility and, if necessary, cloud conditions;

b) landing in 2D instrument approach operations, expressed in terms of visibility and/or runway visual range,
minimum descent altitude/height (MDA/H) and, if necessary, cloud conditions; and

c) landing in 3D instrument approach operations, expressed in terms of visibility and/or runway visual range and
decision altitude/height (DA/H) as appropriate to the type and/or category of the operation.

Alternate aerodrome. An aerodrome to which an aircraft may proceed when it becomes either impossible or inadvisable
to proceed to or to land at the aerodrome of intended landing where the necessary services and facilities are available,
where aircraft performance requirements can be met and which is operational at the expected time of use. Alternate
aerodromes include the following:

Take-off alternate. An alternate aerodrome at which an aircraft would be able to land should this become necessary
shortly after take-off and it is not possible to use the aerodrome of departure.

En-route alternate. An alternate aerodrome at which an aircraft would be able to land in the event that a diversion
becomes necessary while en-route.

Destination alternate. An alternate aerodrome at which an aircraft would be able to land should it become either
impossible or inadvisable to land at the aerodrome of intended landing.

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 Note.— The aerodrome from which a flight departs may also be an en-route or a destination alternate aerodrome for
that flight.

Configuration deviation list (CDL). A list established by the organization responsible for the type design with the approval
of the State of Design which identifies any external parts of an aircraft type which may be missing at the
commencement of a flight, and which contains, where necessary, any information on associated operating limitations
and performance correction.

Contingency fuel. An amount of fuel required to compensate for unforeseen factors, which is five per cent of the planned
trip fuel or of the fuel required from the point of in-flight re-planning based on the consumption rate used to plan the
trip fuel, but in any case shall not be lower than the amount required to fly for five minutes at holding speed at 450 m
(1 500 ft) above the destination aerodrome in standard conditions.

Note.— For the purposes of applying the provisions, the terms “point of in-flight re-planning”, “re-release point”,
“re dispatch point” and “decision point” are synonymous.

Decision altitude (DA) or decision height (DH). A specified altitude or height in a 3D instrument approach operation at
which a missed approach must be initiated if the required visual reference to continue the approach has not been
established.

Note 1.— Decision altitude (DA) is referenced to mean sea level and decision height (DH) is referenced to the
threshold elevation.

Note 2.— The required visual reference means that section of the visual aids or of the approach area which should
have been in view for sufficient time for the pilot to have made an assessment of the aircraft position and rate of change
of position, in relation to the desired flight path. In Category III operations with a decision height the required visual
reference is that specified for the particular procedure and operation.

Note 3.— For convenience where both expressions are used they may be written in the form “decision
altitude/height” and abbreviated “DA/H”.

Decision point. The nominated point, or points, en route beyond which a flight can proceed provided defined operational
requirements, including fuel, are met. If these requirements cannot be met, the flight will proceed to a nominated
alternate aerodrome.

Note 1.— The operational requirements to be met are specified by the operator and approved, if required, by the
State.

Note 2.— Once past the final decision point, the flight may not have the ability to divert and may be committed to
landing at the destination aerodrome.

Flight level (FL). A surface of constant atmospheric pressure which is related to a specific pressure datum,
1 013.2 hectopascals (hPa), and is separated from other such surfaces by specific pressure intervals.

Note 1.— A pressure type altimeter calibrated in accordance with the Standard Atmosphere:

a) when set to a QNH1 altimeter setting, will indicate altitude;

b) when set to a QFE2 altimeter setting, will indicate height above the QFE reference datum; and

1 Altimeter sub-scale setting to obtain elevation when on the ground (PANS-ABC, Doc 8400).
2 Atmospheric pressure at aerodrome elevation (PANS-ABC, Doc 8400).

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 c) when set to a pressure of 1 013.2 hPa, may be used to indicate flight levels.

Note 2.— The terms “height” and “altitude”, used in Note 1 above, indicate altimetric rather than geometric heights
and altitudes.

Hazard. A condition or an object with the potential to cause or contribute to an aircraft incident or accident.

Incident. An occurrence, other than an accident, associated with the operation of an aircraft which affects or could affect
the safety of operation.

Note.— The types of incidents which are of interest for safety-related studies include the incidents listed in
Annex 13, Attachment C.

Instrument approach procedure (IAP). A series of predetermined manoeuvres by reference to flight instruments with
specified protection from obstacles from the initial approach fix, or where applicable, from the beginning of a defined
arrival route to a point from which a landing can be completed and thereafter, if a landing is not completed, to a
position at which holding or en-route obstacle clearance criteria apply. Instrument approach procedures are classified
as follows:

Non-precision approach (NPA) procedure. An instrument approach procedure designed for 2D instrument approach
operations Type A.

Note.— Non-precision approach procedures may be flown using a continuous descent final approach (CDFA)
technique. CDFAs with advisory VNAV guidance calculated by on-board are considered 3D instrument approach
operations. CDFAs with manual calculation of the required rate of descent are considered 2D instrument approach
operations. For more information on CDFAs, refer to PANS-OPS (Doc 8168), Volume I, Part II, Section 5.

Approach procedure with vertical guidance (APV). A performance-based navigation (PBN) instrument approach
procedure designed for 3D instrument approach operations Type A.

Precision approach (PA) procedure. An instrument approach procedure based on navigation systems (ILS, MLS, GLS
and SBAS CAT I) designed for 3D instrument approach operations Type A or B.

Note.— Refer to Annex 6 for instrument approach operation types.

Master minimum equipment list (MMEL). A list established for a particular aircraft type by the organization responsible
for the type design with the approval of the State of Design containing items, one or more of which is permitted to be
unserviceable at the commencement of a flight. The MMEL may be associated with special operating conditions,
limitations or procedures.

Minimum descent altitude (MDA) or minimum descent height (MDH). A specified altitude or height in a 2D instrument
approach operation or circling approach operation below which descent must not be made without the required visual
reference.

Note 1.— Minimum descent altitude (MDA) is referenced to mean sea level and minimum descent height (MDH) is
referenced to the aerodrome elevation or to the threshold elevation if that is more than 2 m (7 ft) below the aerodrome
elevation. A minimum descent height for a circling approach is referenced to the aerodrome elevation.

Note 2.— The required visual reference means that section of the visual aids or of the approach area which should

(xi)
have been in view for sufficient time for the pilot to have made an assessment of the aircraft position and rate of change
of position, in relation to the desired flight path. In the case of a circling approach the required visual reference is the
runway environment.

Note 3.— For convenience when both expressions are used they may be written in the form “minimum descent
altitude/height” and abbreviated “MDA/H”.

Minimum equipment list (MEL). A list which provides for the operation of aircraft, subject to specified conditions, with
particular equipment inoperative, prepared by an operator in conformity with, or more restrictive than, the MMEL
established for the aircraft type.

NOTAM. A notice distributed by means of telecommunication containing information concerning the establishment,
condition or change in any aeronautical facility, service, procedure or hazard, the timely knowledge of which is
essential to personnel concerned with flight operations.

Obstacle clearance altitude (OCA) or obstacle clearance height (OCH). The lowest altitude or the lowest height above
the elevation of the relevant runway threshold or the aerodrome elevation as applicable, used in establishing
compliance with appropriate obstacle clearance criteria.

Note 1.— Obstacle clearance altitude is referenced to mean sea level and obstacle clearance height is referenced to
the threshold elevation or in the case of non-precision approach procedures to the aerodrome elevation or the threshold
elevation if that is more than 2 m (7 ft) below the aerodrome elevation. An obstacle clearance height for a circling approach
procedure is referenced to the aerodrome elevation.

Note 2.— For convenience when both expressions are used they may be written in the form “obstacle clearance
altitude/height” and abbreviated “OCA/H”.

Operational control. The exercise of authority over the initiation, continuation, diversion or termination of a flight in the
interest of the safety of the aircraft and the regularity and efficiency of the flight.

Operational flight plan. The operator’s plan for the safe conduct of the flight based on considerations of aeroplane
performance, other operating limitations and relevant expected conditions on the route to be followed and at the
aerodromes concerned.

Operation specifications (OpSpecs). The authorizations, including specific approvals, conditions and limitations
associated with the air operator certificate and subject to the conditions in the operations manual.

Operational variations. Deviations, alternative means of compliance (AMC), exemptions, concessions, special
authorizations or other instruments used by a State to approve performance-based alternatives to prescriptive
regulations.

Note 1.— Operational variations to the alternate aerodrome selection and fuel planning provisions are described in
Annex 6, Part I, 4.3.4.4 and 4.3.6.6.

Note 2.— For the purposes of this manual the terms “variation”, “operational variation” and “performance-based
variation” are synonymous and can be used interchangeably.

Point of in-flight re-planning. A geographic point at which an aeroplane can continue to the aerodrome of intended
landing (planned destination) or divert to an intermediate (alternate) aerodrome if the flight arrives at the point with
inadequate fuel to complete the flight to the planned destination while maintaining the required fuel including reserve.

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Runway visual range (RVR). The range over which the pilot of an aircraft on the centre line of a runway can see the
runway surface markings or the lights delineating the runway or identifying its centre line.

Safety. The state in which risks associated with aviation activities, related to, or in direct support of the operation of aircraft,
are reduced and controlled to an acceptable level.

Safety management system (SMS). A systematic approach to managing safety, including the necessary organizational
structures, accountabilities, policies and procedures.

Safety risk. The predicted probability and severity of the consequences or outcomes of a hazard.

Serious injury. An injury which is sustained by a person in an accident and which:

a) requires hospitalization for more than 48 hours, commencing within seven days from the date the injury was
received; or

b) results in a fracture of any bone (except simple fractures of fingers, toes or nose); or

c) involves lacerations which cause severe haemorrhage, nerve, muscle or tendon damage; or

d) involves injury to any internal organ; or

e) involves second or third degree burns, or any burns affecting more than 5 per cent of the body surface; or

f) involves verified exposure to infectious substances or injurious radiation.

SIGMET information. Information issued by a meteorological watch office concerning the occurrence or expected
occurrence of specified en-route weather and other phenomena in the atmosphere that may affect the safety of aircraft
operations.

————————

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 REFERENCE DOCUMENTS

Annexes to the Convention on International Civil Aviation

Annex 1 — Personnel Licensing

Annex 2 — Rules of the Air

Annex 3 — Meteorological Service for International Air Navigation

Annex 4 — Aeronautical Charts

Annex 6 — Operation of Aircraft, Part I - International Commercial Air Transport — Aeroplanes

Annex 8 —Airworthiness of Aircraft

Annex 9 — Facilitation

Annex 10 — Aeronautical Telecommunications, Volume II — Communication Procedures including those with

PANS Status

Annex 11 — Air Traffic Services

Annex 12 — Search and Rescue

Annex 13 — Aircraft Accident and Incident Investigation

Annex 14 — Aerodromes, Volume I — Aerodrome Design and Operations

Annex 15 — Aeronautical Information Services

Annex 17 — Security

Annex 18 — The Safe Transport of Dangerous Goods by Air

Annex 19 – Safety Management

Procedures for Air Navigation Services

Air Traffic Management (PANS-ATM, Doc 4444)

Aircraft Operations (PANS-OPS, Doc 8168)

Training (PANS-TRG, Doc 9868)

Documents

Manual of Procedures for Operations Inspection, Certification and Continued Surveillance (Doc 8335)

Manual of Aeronautical Meteorological Practice (Doc 8896)

Aviation Security Manual (restricted) (Doc 8973)

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Manual of Civil Aviation Medicine (Doc 8984)

Airport Services Manual (Doc 9137)

Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284)

Manual of All-Weather Operations (Doc 9365)

Manual Concerning Interception of Civil Aircraft ((Consolidation of Current ICAO Provisions and Special
Recommendations)) (Doc 9433)

Emergency Response Guidance for Aircraft Incidents Involving Dangerous Goods (Doc 9481)

Performance-based Navigation (PBN) Manual (Doc 9613)

Manual of Criteria for the Qualification of Flight Simulation Training Devices (Doc 9625)

Manual of Aircraft Ground De-icing/Anti-icing Operations (Doc 9640)

Manual on Prevention of Problematic Use of Substances in the Aviation Workplace (Doc 9654)

Human Factors Training Manual (Doc 9683)

Manual of Aircraft Accident and Incident Investigation (Doc 9756)

Manual on the Implementation of the Security Provisions of Annex 6 (Restricted) (Doc 9811)

Safety Management Manual (SMM) (Doc 9859)

Manual for the Oversight of Fatigue Management Approaches (Doc 9966)

Flight Planning and Fuel Management (FPFM) Manual (Doc 9976)

Manual of Evidence-based Training (Doc 9995)

Cabin Crew Safety Training Manual (Doc 10002)

Manual on Aeroplane Upset Prevention and Recovery Training (Doc 10011)

Manual on Electronic Flight Bags (EFBs) (Doc 10020)

Manual on the Establishment of Minimum Cabin Crew Requirements (Doc 10072)

Extended Diversion Time Operations Manual (EDTOM) (Doc 10085)

Manual on Information and Instructions for Passenger Safety (Doc 10086)

Guidance on a Competency-based Approach to Dangerous Goods Training and Assessment (Doc 10147)

Human Performance Manual for Regulators (Doc 10151)

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Circulars

Circular 186 – Wind Shear

Other

Airplane Upset Prevention and Recovery Training Aid (AUPRTA) Rev 3

https://www.icao.int/safety/loci/auprta/index.html

______________________

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 Chapter 1

INTRODUCTION

1.1 This manual provides guidance to operators and to State authorities on the preparation and contents of
operations manuals (OMs) in line with Standard and Recommended Practices (SARPs) in Annex 6 — Operation of Aircraft,
Part I — International Commercial Air Transport —. In several instances, specific SARPs from the Annex are referenced
to indicate the scope and detail necessary to support implementation. Please note that Annex 6 SARPs change regularly
to keep up with changes in the global aviation sector. The current version of Annex 6 should always be used as a reference
for preparing an OM.

1.2 OMs normally address a far greater range of topics than those specified by Annex 6, Part I; many other
SARPs in ICAO Annexes are for information or guidance and are complimented by including the most relevant material in
an OM. The State of the Operator may require that the OM include specified “mandatory” material. Much of the material
that completes the OM is not produced by the operator, but is typically supplied by a third party (e.g., approved aeroplane
operating manuals (AOM) from manufacturers), or purchased from commercial agencies (e.g., route guides). In these
cases, the operator should ensure that information used in preparation of the OM is specific to its operational environment.

___________________

1-1
 Chapter 2

ADMINISTRATION AND CONTROL OF

THE OPERATIONS MANUAL

2.1 REQUIREMENT FOR AN OPERATIONS MANUAL

2.1.1 Annex 6, Part I specifies that an operator provide an operations manual (OM) for the use and guidance of
operations personnel. The manual should be revised and amended to keep it current and operations personnel are to be
made aware of any amendments or revisions. Providing an OM is an integral part of the operator’s method of control and
supervision of flight operations which is approved by the State of the Operator. Annex 6, Part I also specifies that the
operator be required to provide the State with a copy of the OM including all revisions and amendments. The operator
would also include in the OM any additional material as the State of the Operator may require.

2.1.2 Annex 6, Part I, 4.2.3.1 sets the Standard for material that shall be included in the OM. The following is an
excerpt from Annex 6:

“The operator shall provide, for the use and guidance of operations personnel concerned, an
operations manual in accordance with Appendix 2. The operations manual shall be amended or
revised as is necessary to ensure that the information contained therein is kept up to date. All
such amendments or revisions shall be issued to all personnel that are required to use this
manual.”

2.1.3 In order to organize the content of the OM, Annex 6, Part I, Appendix 2 specifies that OM material be
subdivided under four broad headings as follows:

a) general;

b) aircraft operating information;

c) areas, routes and aerodromes; and

d) training.

2.1.4 Annex 6, Appendix 2 provides additional detail regarding the elements to be addressed under the
aforementioned headings. This manual follows the guidance in Annex 6, Appendix 2 to the best possible extent. However,
additional information derived from other Annexes and manuals relating to a variety of operational considerations is
provided to address SARPs, which contain specifications applicable to flight operations personnel.

2.1.5 OMs also contain information related to the operator’s specific requirements. Its organizational structure, for
example may include key personnel and their responsibilities which are required for the supervision and control of flight
operations. These organizational elements would offer a level of detail about supervision and control that is satisfactory
to the State of the Operator and sufficient for its personnel to use as a reference to support normal and abnormal operations.
Operators should guard against including irrelevant material in the OM, as it should be used easily by personnel as a field
guide in the operational environment. Determining the structure of an OM is therefore the key to preparing a logical and
user friendly OM.

2-1
2.1.6 The following subchapters provide an overview and additional guidance material for the arrangement and
organization of an OM. It is provided with the understanding that required OM elements would be included in the
appropriate volume (i.e. part) as defined by Annex 6, Part I, Appendix 2 and customized by the operator.

Note.— For a comprehensive list of ICAO documents suitable for use as reference in the preparation of an
OM, refer to the list of publications in the glossary.

2.2 VOLUMES OF AN OPERATIONS MANUAL

2.2.1 The OM is usually composed of a number of volumes. Typically, these would include:

a) a policy and administration volume that outlines who is responsible for the maintenance and update of
the manuals while also listing the key personnel in flight operations and their roles and responsibilities;

b) an aircraft operating volume that provides flight and cabin crew with specific information about:

1) how to operate the aircraft (i.e. normal procedures);

2) abnormal and emergency procedures;

3) aircraft performance; and

4) cabin crew operations;

Note.— Refer to Chapter 11 for complete guidance on the preparation of a cabin crew operations
manual (CCOM) which would be applicable to cabin crew and complement operational guidance provided to flight crew in
the aircraft operating volume.

c) a minimum equipment list (MEL) and configuration deviation list (CDL) volume;

d) a training volume;

e) a route guide volume;

f) a dangerous goods volume;

g) a safety management volume;

h) a security volume; and

i) an accident/incident procedures volume.

2.2.2 The content of these volumes will vary from operator to operator, but a representative break-down of contents
would be as detailed in the ensuing subsections (2.2.3 - 2.2.11).

Note.— This volume structure is provided for illustrative purposes only. An operator may combine these
volumes into one or two volumes. On the other hand, due to the size and complexity of the operation, more volumes with
additional information may be necessary or required. An operator may also choose to include, possibly as a requirement
of the State, other manuals in the OM. In all cases, a description of the constituent volumes and manuals of the complete
OM should be included, possibly in the policy and administration part of the OM.

2-2
2.2.3 The policy and administration volume of the OM should contain information about the operator’s organization,
management structure, departmental responsibilities and authority with particular reference to flight operations. The policy
and administration volume of the OM should also as a minimum:

a) include information on the policies, operational philosophy, and objectives of the operator;

b) include information on the regulations of the State of the Operator and on the applicable regulations and
requirements of other States over which operations are conducted;

c) address the responsibilities of operational personnel including the executive responsible for the contents
of the OM and for approving revisions and amendments. For the purposes of this manual, it is assumed
that an operator would designate a flight operations executive as the executive with overall responsibility
for the OM. If this authority can be delegated, however (e.g., if the training manager is made responsible
for the training manual), this delegation of authority should be accurately described;

d) include a statement that the OM is accepted/approved by the appropriate State authority and contains
any material specified by that authority;

e) include a statement regarding the responsibility of all operations staff to be familiar with the contents of
the OM, at least as these pertain to their duties, and to adhere at all times to the procedures and policies
described in the OM; and

f) address the responsibility for holders of the manual to enter and record any amendments to the manual,
as applicable.

2.2.4 The aircraft operating volume of the OM conforms to the Annex 6, Part I requirement that specifies an
operator provide operations staff and flight crew with an AOM. This volume should contain information and guidance on
the technical, procedural and performance aspects of the operation of the aircraft. The AOM is often further subdivided:

a) the first volume presents in-flight information, i.e., basic procedures, limitations, normal and emergency
checklists, normal, abnormal and emergency procedures including amplification of these procedures,
and in-flight aircraft performance data calculations and requirements;

b) the second volume usually presents aircraft system descriptions and aircraft performance data for use
in flight planning. All data and information in the manual must comply with the manufacturer’s airplane
flight manual (AFM), where applicable. In general, the responsibility for developing and issuing
amendments and revisions to the AFM and related performance data rests with the aircraft manufacturer.
Operators may develop additional instructions, procedures, or guidance material for operations staff and
flight crew use. Such operator-developed additions should be provided for clarification or expansion of
the manufacturer’s information where necessary and based upon operational needs and requirements;

c) the third volume provides aircraft performance data primarily derived from the AFM. Normally, an
expanded version of such AFM data is published in this volume. Based on AFM data, operators often
produce their own aircraft performance volume which presents performance information tailored to the
operator’s own route network. Where an operator has a very extensive route network, the information
could be presented in separate volumes for different geographical areas. In all cases the aircraft
performance volume(s) typically:

1) contain take-off and landing data for each usable runway at each destination and alternate
aerodrome;

2-3
 2) include cruise control information;

3) contain information on the method of derivation of the data presented, which must be in agreement
with the data presented in the AFM; and

4) provide guidance on how to use the data presented and a number of examples of use of data are
normally included;

Note.— See Chapter 10 for further information pertaining to the development of the aircraft performance
volume of the OM.

d) the emergency evacuation procedures volume is another subset of the aircraft operating volume or AOM
described in 2.2.3. This volume should contain information on the emergency evacuation procedures
for each aircraft type for the flight crew and specify appropriate coordination with the cabin crew. In
addition to specific aircraft procedures, this part of the manual should contain general safety and survival
information appropriate to the areas in which operations take place.

Note.— See Chapters 8, 9, 10 and 11 for further information pertaining to the development of the aircraft
operating volume of the OM.

2.2.5 The MEL and CDL volume of the OM conforms to Annex 6, Part I requirements that specify an operator
include in the OM, the minimum equipment lists for aircraft types operated and the specific operations authorized. Taken
together, these lists provide definitive guidance to operations and maintenance personnel as to which equipment or related
part may be inoperative for a particular operation. The master minimum equipment list (MMEL), which is provided by the
aircraft manufacturer and approved by the State of Design, serves as a guide for the development of these lists. The MEL
is not intended to provide for operation of an aircraft for an indefinite period with inoperative systems or equipment. The
basic purpose of the MEL is to permit the safe operation of an aircraft with inoperative systems or equipment within the
framework of a controlled and sound safety management system (SMS) and robust programme of repair and parts
replacement. The MEL may be more restrictive than the MMEL and may include additional restrictions for the operator’s
own operational requirements.

2.2.6 The CDL is a list established by the organization responsible for the type design with the approval of the
State of Design. This list identifies any external parts of an aircraft type which may be missing at the commencement of a
flight and, where applicable, contains any information on associated operating limitations and performance corrections.
The CDL is part of the AFM. For ease of use, many operators extract the lists from the flight manual or aircraft operating
manual and present them as a separate volume. The OM should contain guidance and information on the use and
interpretation of the MEL and CDL.

2.2.7 The training volume of the OM should contain the operator training policy and how the operator complies
with applicable training requirements. The manual may be divided into a number of sections, one on general policy and
guidance, with other sections dealing with the training of different operational personnel such as flight crew, cabin crew
and flight dispatchers. As a minimum it should also:

a) provide guidance on the final competency standard of training that will apply;

b) contain information on the syllabi of training courses, both ground and flight;

c) when appropriate, specify minimum standards of experience for appointment or promotion;

d) contain information on required training, assessment and checking, both initial and recurrent; and

e) provide guidance on the selection, role and duties of staff for training, assessing and checking.

2-4
 Note.— See Chapter 4 for further information pertaining to the development of the training volume of the
OM.

2.2.8 The route guide volume of the OM should contain information relating to communication facilities, navigation
aids, air traffic services, aerodromes, etc. Normally the route guide also contains the required en-route charts and charts
for aerodromes along the route. The charts contained in the route guide should be those for destination and alternate
aerodromes, as well as for any aerodrome along the route at which the aircraft might land in the event of an emergency.
Route guides are also often produced in separate volumes for different geographical areas.

Note.— See Chapter 12 for further information pertaining to the development of the route guide volume of
the OM.

2.2.9 The dangerous goods volume of the OM addresses Annex 6 and Annex 18 — The Safe Transport of
Dangerous Goods by Air requirements that specify the operator provide information in the OM to enable the flight crew to
carry out its responsibilities with regard to the transport of dangerous goods and provide instructions as to the action to be
taken in the event of emergencies. This is normally accomplished by the inclusion of the appropriate ICAO guidance
material in the OM. The ICAO references available for the development of OM content relevant to day to day operations
and personnel training include:

a) the Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284); and

b) Emergency Response Guidance for Aircraft Incidents Involving Dangerous Goods are used in training
and day-to-day operations (Doc 9481).

Note.— The operator must ensure that appropriate information is immediately available at all times for use
in emergencies involving dangerous goods in air transport. This information can be provided by the Emergency Response
Guidance for Aircraft Incidents involving Dangerous Goods (Doc 9481) and the operator may wish to develop separate
material based on this document or to include all or part of it in the OM.

2.2.10 The SMS volume of the OM provides details of how an operator addresses the ICAO SMS framework and
associated elements. Such details include service provider (i.e., operator) appointment of safety manager(s) who are
responsible for the implementation and maintenance of an effective SMS. This volume of the manual should also include
information with respect to the role of the safety manager and the activities administered by the safety manager’s office,
to include for example: hazard identification, risk assessment, safety reporting systems, safety-related investigations and
corrective actions, and coordination of emergency/contingency response planning. The safety manager is also responsible
for ensuring there is a suitable safety training programme in place.

Note.— See Chapter 14 for further information on the development of the SMS volume of the OM.

2.2.11 The security volume of the OM should contain information on procedures and legal requirements pertaining
to security matters as required by Annex 17 — Security — Safeguarding International Civil Aviation against Acts of
Unlawful Interference, 3.3. The volume should also contain:

a) information and guidance on crew member response and authority in relation to the management of
acts of unlawful interference in the most appropriate manner to minimize the consequences of such acts;

b) material on the carriage of persons under escort, and operator and State regulations on the carriage of
weapons on board, including in-flight security guards;

c) the aircraft search procedure checklist required by Annex 6, Part I and information on the least risk
bomb location specific to the aeroplane;

2-5
 Note.— It may be necessary to publish a separate volume for each aeroplane type.

d) security training information, including policy and the syllabi of security training courses, both ground
and flight, for crew members and other appropriate employees, as required by Annex 6, Part I,
Chapter 13; and

Note.— This could be included in this security part or in a general training part that covers all training
subjects throughout the manual.

e) instructions for conforming with Annex 6, Part I, Chapter 13 SARPs regarding the reporting (by the
pilot-in-command (PIC)) of acts of unlawful interference.

Note 1.— the format of the report is the responsibility of the local aviation security authority and guidance on
when and how to fill out and return it is usually supplied with the report form.

Note 2.— Further information on security matters is given in Chapter 15 and in the Aviation Security Manual
(restricted) (Doc 8973).

2.3 ORGANIZATION OF THE OPERATIONS MANUAL

Note.— Annex 6, Part I, Attachment F provides information about the organization, validation, design,
deployment and amendment of the flight safety document system, which comprises, as a minimum, the OM and the
operator’s maintenance control manual.

2.3.1 When selecting a format for the OM, the primary criterion is that the manual be easily used and understood.
When in paper form, the volume size should make the manual easy to use on the flight deck, at least for those volumes
that are part of the aircraft library. The quality of the paper (as applicable) and of the printing or reproduction of the text
and illustrations should be such that the material is readable under all operational conditions. The manuals should be in a
format which is easily amendable, e.g., loose-leaf in a ring binder (or electronic). Many operators are now using electronic
formatted manuals that can be accessed through the use of an electronic flight bag (EFB). This option provides a wide
variety of presentation formats and ease in the ability for flight crews to access specific information depending on formatting
and design features while adding operational value in the use of electronic navigation data products by flight crews.

Note..— Some EFBs can also be used to aid crews in the completion of aircraft performance calculations.
Their use in this arena is covered in the section of this document relating to aircraft performance.

2.3.2 In selecting the number of volumes that make up the OM, the aim should be to limit the number while not
allowing any one volume to become so large that it would be unwieldy in actual use. The volumes should be designed so
that, if possible, each is complete in itself. For example, all the performance information should be available in one volume.
If this is not possible, when for example the aircraft performance volume is further divided into volumes for different regions
of the world, the individual performance volumes must be logically numbered. Thus, if the aircraft performance volume
comprised Volume 4 of the OM, then in the case of there being separate volumes they would be numbered Volume 4-1,
Volume 4-2, and so on.

2.3.3 If the operator has a number of different aircraft types, it is common practice to differentiate the volumes of
the OM that are specific to a particular aircraft type and to identify those volumes that are general in their application.
Some operators achieve this by colour-coding the volumes. For example, all general volumes of the OM, such as the
policy and administration manual, would have red covers, while volumes specific to a particular aircraft type, such as the
ATR 42, for example, would have yellow covers. Within each fleet the volume numbering will be similar, so that Volume 4

2-6
on all aircraft types will be the performance volume. In any aircraft library there would then only be two cover colours (in
the ATR 42 example, red and yellow) and, if possible, the numbering of all the volumes in an aircraft library should be
sequentially complete.

2.3.4 The OM should have a master subject index, preferably placed in the policy and administration volume. In
addition, each volume should have its own subject index. There should be a table of contents at the beginning of each
volume and for each section or chapter. Each page should be numbered and have a date of issue. Each volume should
have a checklist of pages identifying page numbers and dates of issue to ensure the validity of the contents. The entry of
each amendment and/or additional page should be recorded on a page specially provided in each volume for that purpose
and signed for by the person making the amendment or addition, if a physical volume is used (this does not apply to EFB
versions).

2.3.5 The executive assigned the responsibility for the control of the contents of the OM should also be responsible
for the issuance of individual volumes and for ensuring that appropriate amendments are dispatched to the holders of the
volumes. This task may be delegated to another individual or unit reporting to the executive. To ensure the adequate
control of the volumes and their amendments, it is necessary to number each volume individually. Complete records must
be kept of the disposition of each volume of the OM in aircraft libraries, in operations offices, etc. Records must also be
kept of individuals who are holders of all or part of the OM. Certain parts of the OM, such as the emergency evacuation
procedures manual, are usually issued to all crew members. Other parts of the OM should be available in sufficient
quantities to allow copies to be issued to individuals for study and reference purposes.

2.3.6 Amendments, revisions and additions to the OM are approved by the executive responsible for the manual.
In some cases, this will consist of ensuring that such changes issued by the originator of a particular volume are correct
and appropriate to the OM. This would be the case with amendments issued by the aircraft manufacturer for the aircraft
operating manuals, or with amendments issued for the route guide when the route guide is purchased from a commercial
agency. However, in the case of amendments or additions which originate within the organization, the executive
responsible would ascertain that the proposed change is necessary and determine how it is to be promulgated. In most
cases, the amendment will be issued through normal channels to all holders of the OM. In other cases, because of the
urgency of the information contained in the amendment, as is the case with time-critical or time-sensitive information (see
Annex 6, Part I, Attachment F, 2.2 to 2.4), it will be necessary to issue a notice to the flight crew and to other concerned
operational personnel. This notice should be replaced by an amendment to the manual as soon as possible.

2.3.7 In revising or altering the contents of the OM, operators must bear in mind that all amendments and/or
revisions are to be provided to the State of the Operator for review and acceptance and, where required, approval; and
that certain parts of the manual include material which is considered mandatory. In practice, it is often appropriate to agree
with the authority which parts of the OM need the approval of that authority before they are amended and which parts only
require notification of changes made (see Annex 6, Part I, 4.2.3.2 and Attachment D, Section 3; Authorizations).

2.3.8 Amendments to the OM are produced as new or replacement pages. Handwritten amendments to an OM
are generally not acceptable. The new or replacement pages would include a page identification number and a date of
issue. A letter or covering sheet is used to identify the reason for the amendment and provide a checklist of the amendment
to be made. This is particularly necessary when an amendment is made to any safety-related information. Instructions
should be included for inserting the amendment in the appropriate volume and for recording insertion of the amendment.
The signature of the executive approving the amendment is also included. A revision to the list of effective pages must be
included with any amendment to the OM.

2.3.9 Users of the OM should be encouraged to make comments on their contents. In particular, when errors in
operational information are discovered, reports should be made immediately to the executive charged with control of the
OM. Users also should be encouraged to comment on the general presentation of information in the manual and to suggest
other subjects that should be addressed.

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 2.4 ELECTRONIC FLIGHT BAG (EFB)

2.4.1 An EFB is an information system for flight deck crew members to allow storing, updating, delivering,
displaying, and/or computing digital data to support flight operations or duties. The operator employs electronic navigation
data products that have been processed for application in the air and on the ground only if the State of the Operator has
approved the operator’s procedures for ensuring that the process applied and the products delivered have met acceptable
standards of integrity and that the products are compatible with the intended function of the existing equipment. The State
of the Operator ensures that the operator continues to monitor both the process and products. The Manual on Electronic
Flight Bags (EFBs) (Doc 10020) , is available as a resource for EFBs and EFB programs, providing more detailed guidance
relating to EFBs and the requirements of an approved operator EFB program.

2.4.2 The OM should specify information about the EFB program and provide details about EFB use by crews and
coordination of its use and availability through other departments to ensure accurate information and proper use. This
information should include pertinent details about internal processes for maintenance, distribution of information, and
methods used to maintain currency of EFB data and pertinent documents provided for crew use with the EFB. Additionally,
this manual should account for approved policies and procedures established by the operator, the purpose of which is/are
to mitigate loss or malfunction of EFB function(s).

2.4.3 The following elements of the organization’s EFB program should be provided:

— EFB administrator. The person appointed by the operator and responsible for administration of the EFB
program. This person is usually the primary link between the operator, the EFB system, the software
suppliers, and the operator’s safety manager(s).

— EFB host platform. The equipment (i.e., hardware) in which the computing capabilities and basic
software (i.e., operating system, input/output software) reside.

Note.— This may be a dedicated EFB device, or an installed system.

— EFB risk assessment and mitigation. A process that considers an EFB system, its software applications,
and its integration inside a specific aircraft, to identify the potential malfunctions and failure scenarios,
analysis of any operational repercussions, and, if necessary, proposed means of mitigation, human
factors assessments relating to human-machine interface; all of which are linked to the operator’s SMS.

— EFB software application(s). Software installed on an EFB system that allows specific operational
functionality.

— EFB system. The system that comprises the hardware (including any battery, connectivity provision, I/O
devices) and software (including databases) needed to support the intended EFB functions(s).

— EFB system supplier. the company responsible for developing, or for having developed, the EFB system
or part of it (the EFB system supplier is not necessarily a host platform or aircraft manufacturer);

— EFB policy and procedures for crews.

— Minor failure conditions. Failure conditions which would not significantly reduce operational safety and
which involve crew actions that are well within their capabilities. Minor failure conditions may include,
for example, a slight reduction in safety margins or functional capabilities, a slight increase in crew
workload, such as routine flight plan changes.

— Dispatch procedures. Established dispatch criteria for the EFB system.

2-8
 — Dispatching with an inoperative EFB. Alternative dispatch procedures to be followed in case of partial
or complete failure of the EFB system. This information should be included in the OM or the MEL as
appropriate and in accordance with the MMEL supplement for the aircraft type.

— Contingency and abnormal procedures.

— Securing the device for critical and non-critical stages of as appropriate to support all approved
functions/operations.

— Information and considerations for aircraft mass, balance, and performance calculations, if applicable,
and the responsibilities of the flight crew relating to the calculations.

— Mounting device. A mounting device is an aircraft certified part which secures portable or installed EFBs
or EFB system components.

— No safety effect failure. Failure conditions that would have no effect on safety. For example, failure
conditions that would not affect the operational capability of the aircraft or increase workload.

— Minor safety effect failures. Failure conditions that would have a minor impact on safety. For example,
failure conditions that would only have a negligible effect on workload.

— Portable electronic device (PED). Any typical consumer electronic devices which have functionality
capability for communications, entertainment, data processing, and/or utility. There are two basic
categories of PEDs – those with and those without intentional transmitting capability. This should include
any PEDs that have intended radio frequency (RF) transmission capabilities. PEDs providing EFB
functions also referred-to as “EFBs”.

— Software application developer. The company responsible for developing, or for having developed a
particular software application to be used.

— Viewable stowage. A device that is secured on the flight crew (e.g., kneeboard or suction-cup device),
or in/to an aircraft part (installed mount) with the intended function to hold acceptable light mass portable
devices (for example an EFB of no more than 1 kg) viewable to the pilot at her/his required duty station.
The device may or may not be a part of the certified aircraft configuration.

— EFB system security to include firewalls, data encryption, virus scans, VPNs, access rights, and other
essential elements of system security.

— Electronic signatures. Where and when applicable as related to official signing of documents to signify
acceptance or to establish official authority (i.e., load sheet or technical logbook).

— Airport moving map display (AMMD) with own-ship position, as applicable, to include training of flight
crews for use of AMMD.

— Power and data supply considerations.

2.4.4 Internal EFB program documents should specify processes and needs relating to updates, change
management, training, and SMS. These include, but are not limited to the following, as regulators may have additional
specific requirements:

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a) updating manuals and checklists; all manuals and checklists that address procedures in the cockpit for
use of the EFB;

b) specific training programs and their implementation relating to the EFB system, to include initial training
and checking, recurrent training and checking, and differences training as applicable;

c) implementing safety management measures, to include anomaly reporting through the operator’s SMS
and overall integration of the EFB program into the SMS;

d) database currency and updates, to include methods of updating and the tracking and recording of
updates with a description of how crewmembers will know when a new database is available and when
an existing database is no longer current;

e) software update processes, to include methods of tracking and recording updates;

f) change management and configuration control procedures which include how crewmembers can
determine the EFB’s authorized configuration and criteria for major and minor hardware or software
changes; and

g) instructions for battery care and continued airworthiness, to include specific instructions about the use
of lithium-ion batteries.

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 Chapter 3

OPERATIONS ADMINISTRATION AND SUPERVISION

3.1 GENERAL

3.1.1 Annex 6, Part I states that an operator shall establish and maintain a method of control and supervision of
flight operations, one of the prerequisites for the issue and continued validity of an air operator certificate. Circumstances
will dictate the number of managers or supervisors required. For example, in a small airline, the position of flight operations
manager and chief pilot might be combined. In a large airline, several supervisors are usually required to ensure proper
administration of flight operations. In any case, the overriding concern in establishing a management/supervisory structure
is to ensure that proper control is exercised over the operation and that management decisions on operator procedures
and operational instructions are swiftly conveyed to the personnel affected. The existence of a properly defined structure
will mean that necessary operational information is conveyed back along the reporting lines to the appropriate
administrative level. This is particularly necessary, as the nature of flight operations is such that in many instances flight
crew are the only people aware of operational deficiencies or hazards. A structure which clearly delineates duties, areas
of responsibilities and reporting lines will ensure a swift transmission of information to the appropriate point in the
management structure for further necessary action. The absence of such a structure, or the failure to adequately respond
to reports, will result in flight crew not making reports.

Note.— Additional guidance is provided in the Manual of Procedures for Operations Inspection, Certification
and Continued Surveillance (Doc 8335), Part II, 2.3 and 5.2.

3.1.2 Supervision of flight operations is the responsibility of the executive in charge of the control and
administration of flight operations. The executive in charge is normally assisted by other managers and/or supervisory
pilots. The number of management or supervisory personnel required depends on the size and complexity of the operation.
Regardless of the size of the operation, it is necessary to establish the responsibilities and functions of the different
individuals involved and their relationship to each other, both within the flight operations area and within the organization
as a whole.

3.1.3 Maintenance of the safety and efficiency of flight operations requires that all personnel be fully aware of the
areas of responsibility of the different supervisory pilots and managers. The operations manual (OM) must carry a
description of the administrative structure of the flight operations department. This description should contain information
on the functions of the supervisory personnel responsible for the establishment, administration and maintenance of
operational standards. The manual should contain information on the areas of responsibility of the following
management/supervisory personnel, at a minimum:

a) senior manager responsible to the chief executive officer for flight operations, e.g., flight operations
manager, vice president flight operations;

b) chief pilot;

c) training manager or chief instructor; and

d) safety manager (see Annex 19, Appendix 2, 1.3).

Note.— Additional possible key management positions are provided in Doc 8335, Part II, Section 2.2.

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 3.2 FLIGHT OPERATIONS MANAGER

The flight operations manager is responsible to the accountable executive (Annex 19 refers) for the development and
implementation of flight operations policy. In particular, it should be the responsibility of the flight operations manager to
ensure that in developing a company plan, full recognition is given to the need for safe and efficient operations. Other
responsibilities of this position include ensuring that operations are in compliance with all relevant regulations, both in the
State of the Operator and when operating into or over the territory of other States. In this respect, the flight operations
manager must liaise with the local civil aviation authority and with the appropriate authorities of other States. The flight
operations manager is responsible for liaison and coordination with other departments within the company, for approving
the contents of the OM and, ultimately, for authorizing all flight operations.

3.3 CHIEF PILOT

The chief pilot is the executive responsible for the day-to-day implementation of the operator’s policies and for direct
supervision of the operation. They are responsible for the establishment of standards, the maintenance of discipline within
the flight crew group, the establishment and supervision of methods of record-keeping for flight crew licences, type ratings,
endorsements, appropriate renewal dates, and flight time/duty time records. The chief pilot assists the flight operations
manager in establishing new policies and procedures for aircraft operations, flight crew duties, cabin crew duties and
operational administration.

3.4 TRAINING MANAGER

Annex 6, Part I specifies that the operator shall ensure that all personnel assigned to, or directly involved in, ground and
flight operations are properly instructed, have demonstrated their abilities in their particular duties and are aware of their
responsibilities and the relationship of such duties to the operation as a whole. The training manager is the person
nominated by the operator who is responsible for the management and the supervision of the crew training. They are
responsible for the design, the coordination and the implementation of the operator training with the goal to ensure that
final crew competency standard is achieved. The training manager ensures that training programs comply with applicable
regulatory requirements, integrate operator training policy and take into account the applicable inputs from the safety
management system operator.

3.5 SAFETY MANAGER

3.5.1 Annex 19 specifies that an operator establish and maintain an SMS as detailed in the Safety Management
Manual (Doc 9859). The safety manager is the person responsible for the implementation and maintenance of an effective
SMS. Their functions include, but are not limited to:

a) performing/facilitating hazard identification and safety risk analysis;

b) monitoring corrective actions and evaluating their results

c) providing periodic reports on the organization’s safety performance;

d) maintaining records and safety documentation;

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 e) coordination of emergency response planning; and

f) ensuring that a suitable safety training programme is in place.

3.5.2 To be fully effective, the safety manager must be given full and visible support by all management and
supervisory personnel. Further information on the role of the Safety Manager is provided in the SMM.

Note.— Refer to Chapter 14 for additional guidance regarding the implementation of an effective SMS.

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 Chapter 4

TRAINING

4.1 GENERAL

4.1.1 The Standards for a flight crew training and qualification programme are detailed in Annex 6, Part I (9.3).
The Annex also addresses the training of flight operations officers and flight dispatchers and describes the training
requirement for cabin crew. Many aspects of the training programme require the approval of the State of the Operator.
Describing the training programme in some detail in the training volume of the OM has obvious administrative advantages
as it makes it easier for the State authority to approve and oversee the programme. It also acquaints the operational
personnel with the contents of the programme, with the training philosophy of the operator, and with the final competency
standard that flight crew and other operational personnel will be expected to meet.

4.1.2 The training volume of the OM is the place where the operator provides details of the training programme,
including syllabi and use of individual flight simulation training devices (FSTDs). Additional information concerning the
flight crew and cabin crew qualifications are often mentioned in the general volume of the OM in order to provide an easy
access to operational information such as: flight crew and cabin crew composition for each type of operation, flight crew
recent experience requirements, etc.

4.1.3 The scope of the training volume of the OM should cover the main following areas:

— An introduction. The introduction chapter describes the organization of the training volume, its content
and the process for amendment. The operator then describes the method used for complying with the
rules, the process for getting training programme (including the use of a FSTD) approval from the State
of the Operator and the method for communicating training programme changes. The introduction
chapter is also where the operator describes its training policy for operational personnel and emphasizes
the duties and responsibilities of the training manager, training staff and instructors.

— The training programmes and associated procedures. This chapter explains the training and checking
programme content for all the categories of operational personnel such as flight crew members, cabin
crew members and flight operations officers and flight dispatchers, training staff, instructors, evaluators,
tutors, etc. The content should cover the entire spectrum of the operator’s training programme, from
initial training to continuous qualification and upgrade courses. The training related to the operator’s
specific approvals such as dangerous goods, reduced vertical separation minimum (RVSM), all-weather
operations (AWO), extended diversion time operations (EDTO), etc., should also be detailed.

4.1.4 The programme states both theoretical and practical training objectives, indicates the prerequisites for the
applicant, specifies the expected quantity of training, the qualification of the instructor and the media to be used from
classroom up to familiarization on aeroplane.

4.1.5 The procedures for training, assessing and checking describe how the operator implements the training
syllabi and checking programmes. In particular, the procedures should describe the final competency standards and the
associated assessment methodology. As competency-based training is becoming the reference to describe and measure
pilot performance, operators are encouraged to use the ICAO Adapted Competency Model. This model is a competency
framework that an organization uses to develop competency-based training and assessment for a given role (flight crew,
cabin crew, dispatchers, etc.). The procedures should also describe the process to be applied in the event that personnel
do not achieve or maintain the required standards.

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 Note.— See PANS-TRG (Doc 9868) and the Manual of competency-based training and assessment for
pilots (Doc 10011)1 for additional information regarding competency based training for pilots.

4.1.6 The procedures also give details on the conditions under which the training, the assessment and the
checking are conducted. The procedures should describe what is expected from the trainees and the instructor or assessor
during ground, flight simulator or flight training. In particular, the procedures should specify operational limitations for flight
training. In the documentation chapter, the operator describes:

a) the system for tracking expiry dates for qualifications, checks, tests, recent experience and licenses;
and

b) the procedures for the documentation to be stored and the storage period.

4.2 TRAINING PROGRAMME AND SYLLABI FOR FLIGHT CREW

4.2.1 The programmes and syllabi for aircraft type specific training, operator training and differences training
should take into account the crew member's previous experience and previous training as documented in their training
records. The training volume of the OM should give as much guidance as is feasible in this regard.

4.2.2 Information on the syllabi for specific requirements should be given in the training programme, although it is
not feasible to address all eventualities. However, comprehensive information on syllabi will make it easier to select the
appropriate training programme combinations which are relevant to the qualifications of the trainee and the facilities
available.

4.2.3 The syllabus associated to the training programme should indicate the key training elements such as its
objectives, media used, duration and instructor qualification. The programme should also specify the time allocated to
theoretical knowledge training, FSTD training and, if not approved for zero flight-time training (ZFTT), the aeroplane
training.

4.2.4 The time and resources allocated to each part of the training programme will vary, but the training manual
should specify the optimum, which should be designed to produce a flight crew member with the appropriate competencies.

4.2.5 The training manual should also specify which performance criteria must be achieved at each stage of the
training programme, and if a student fails to achieve these standards, what procedures, e.g., decisions on extra training,
review by the training manager, etc., are to be followed.

4.2.6 A syllabus is generally composed of one or more of the following:

a) ground training;

b) flight training (aircraft and/or FSTD); and

c) line flying under supervision or initial operating experience.

4.2.7 Ground training should comprise a properly organized programme of ground instruction supervised by
training staff with adequate facilities, including any necessary audio, mechanical and visual aids. Self-study using

1 Not yet available at the time of this publication

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appropriate electronic learning aids, computer-based training (CBT), etc., may be used with adequate supervision of the
standards achieved.

4.2.8 The OM should clearly state that the training objectives of the theoretical knowledge instruction are to give
the flight crew:

a) a thorough knowledge of the aircraft structure, power plant and systems, and their associated
limitations, including mass and balance, aircraft performance and flight planning considerations;

b) a knowledge of the positioning and operation of the cockpit controls and indicators for the aircraft
and its systems;

c) an understanding of system malfunctions, their effect on aircraft operations and interaction with
other systems; and

d) the understanding of normal, abnormal and emergency procedures.

4.2.9 Theoretical knowledge is not restricted to aircraft system and its associated limitations; it also includes all
the necessary knowledge that the flight crew must acquire to safely operate the aircraft. This includes, and is not limited
to, any extra equipment such as electronic flight bag (EFB), operator procedures, performance and flight planning,
emergency and survival training, etc.

4.2.10 Training aids should enable flight crew to gain practical experience of the operation of systems covered by
the theoretical knowledge syllabus and, in the case of multi-pilot aeroplanes, enable such practical application of the
knowledge to be carried out in a multi-crew environment. Facilities should be made available for flight crew self-study
outside the formal training programme.

4.2.11 Details of the syllabus should be given in the training volume of the OM and information should also be given
on what portions of the theoretical knowledge training can be accomplished using self-study, e.g., computer-based training
(CBT) and distance learning, and what portions will be accomplished with an instructor. When CBT is used as part of the
theoretical knowledge instruction phase, the flight crew should also have access to a suitably qualified instructor able to
assist with areas of difficulty for the flight crew. If self-study or distance learning is included in the theoretical knowledge
training, the course should also provide for an adequate period of supervised consolidation and knowledge testing.

4.2.12 The syllabus should indicate that a competency assessment will take place and specify the required final
competency standards.

4.2.13 The OM should state that the flight training objective is, among others, to familiarize the flight crew member
thoroughly with all aspects of limitations, and normal, abnormal and emergency procedures associated with the aircraft
and should be carried out by suitably qualified instructors or examiners. Additional considerations include:

— When planning flight training with a flight crew of two or more, the practice of line-oriented flight training
(LOFT) should be underlined with an emphasis on crew resource management (CRM), and the use of
crew coordination procedures, including coping with incapacitation. For specific operations, such as
steep approaches, EDTO, etc.

— Flight training consists of using a combination of various levels of simulation and aircraft. The availability
of advanced technology has permitted greater use of FSTDs for training and assessment of flight crew
members. The complexity, costs and operating environment of modern aircraft have also encouraged a
broader use of advanced simulation. FSTDs can provide more in-depth training than what can be
accomplished in an aircraft, and provide a safe and suitable learning environment. Fidelity of modern
FSTDs is sufficient to permit pilot assessment with assurance that the observed behaviour will transfer

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 to the aircraft. The operator should refer to the Manual of Criteria for the Qualification of Flight Simulation
Training Devices (Doc 9625), to ensure which level of FSTD can support the training requirements.

— As the State of the Operator is required to approve the training programme established by the operator,
the training volume of the OM should explain the exercises and the scenario sets to be practiced at each
stage and with which level of FSTD. In addition, instructions should be given on the operational
environment (weather, aircraft weight, etc.) that is to be simulated.

4.2.14 Availability of FSTD: When an FSTD is not available, the OM should describe the mitigating measures that
the operator puts in place to ensure that the level of safety is maintained when conducting the training or checking in an
aircraft. If one or more of the major failures cannot be practiced in the aircraft because of their associated safety risks or
due to environmental considerations, the failure(s) may be partially replicated for crew training purposes using pre-briefed,
safety risk-assessed measures that avoid degrading the aircraft’s performance below a pre-determined level, and which
permit immediate reversion to normal operating conditions. Additional considerations include:

a) flight training conducted solely in an aeroplane without the use of FSTDs cannot cover the CRM and
multi-crew cockpit (MCC) aspects of multi-pilot aircraft flight training and, for safety reasons, cannot
cover all emergency and abnormal aircraft operations required for the training. In such cases, the
operator should demonstrate that adequate training in these aspects can be achieved by other means.
The training manual should give guidance on the particular sections of a training programme which must
be accomplished in an aircraft; and

b) a provision of Annex 6, Part I, states that in-flight simulation of emergency or abnormal situations when
passengers or cargo are being carried is forbidden.

4.2.15 Line flying under supervision (LIFUS)/initial operating experience (IOE): Following completion of flight
training and checking as part of the operator’s conversion course, each flight crew member should operate a minimum
number of sectors and/or flight hours under the supervision of a suitably qualified flight crew member nominated by the
operator. Additional considerations include:

a) the OM should state that the LIFUS / IOE training main objective is to familiarize the flight crew member
with the operator’s specific network by operating the aircraft in every day operations from flight
preparation to the end of the flight at the parking stand;

b) LIFUS/IOE permits to develop competencies, in particular situation awareness, problem solving and
decision making; and

c) the minimum flight sectors and/or flight hours should be specified in accordance with the standards of
qualification and experience specified in the OM and should be determined by:

1) previous experience of the flight crew member;

2) complexity of the aircraft; and

3) the type and area of operation.

4.3 PILOT PROFICIENCY CHECKS

4.3.1 The standard for pilot proficiency checks and their frequency and period of validity is given in Annex 6, Part I
(9.4.4). Many of the considerations affecting these checks are the same as for any training detail. Information on the

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content and form of these checks should be given in the training volume of the OM. Where checks are conducted in an
aircraft, the operator should establish mitigating measures to ensure that the level of safety is maintained when conducting
the training or checking in an aircraft. See 4.2.14 for details.

4.3.2 It is necessary to specify which exercises and/or emergency drills should be satisfactorily accomplished on
every proficiency check (engine failure between V1 and V2 is an example for a multi-engine aeroplane), and which
exercises (such as manual extension of the landing gear) are optional. The training volume of the OM should be specific
where different requirements apply to pilots-in-command and co-pilots. If a technical knowledge examination forms part of
the recurrent check, the form and possible content of this examination should be described. It is necessary to describe
how records of these checks are to be kept and how they are to be annotated both for a satisfactory and an unsatisfactory
check. Instructions should be given on the procedures to be followed in the event of the pilot failing to satisfactorily
complete a proficiency check.

4.3.3 In addition to the Annex 6, Part I requirement for pilot proficiency checks, many States require that each
flight crew member complete a line check on the aircraft to demonstrate competence in carrying out normal line operations.
The line checks may be conducted by a suitably qualified commander nominated by the operator, trained in CRM concepts
and the assessment of competencies and CRM skills. The validity period of the line check is generally twelve months.
Operators having to comply with this requirement should give details in the training volume of the OM on how to assess
competencies and CRM skills and the training of the nominated commander performing the line check.

4.4 ALTERNATIVE TRAINING AND CHECKING PROGRAMMES

4.4.1 The Federal Aviation Administration (FAA) introduced the AQP in 1990 as an alternative framework for the
conduct of initial and recurrent training. The European equivalent was introduced in 2006 under the name of Alternative
Training and Qualification Programme (ATQP).

4.4.2 Those programmes allow operators to provide a more effective and more operator-specific recurrent training
and checking package for its crews. They ensure a higher level of civil aviation safety by utilizing improved training and
evaluation over the current system. These programmes are operator- and type-specific alternatives to traditional training.
Ongoing data collection can be developed into a responsive programme which can be adapted to the operator’s changing
requirements, such as new equipment, new technology or a different route structure. Focusing on specific needs of fleets
and group of pilots, targeted training can enhance performance while reducing costs in the long term.

4.4.3 The evidence-based training (EBT) programme and philosophy is intended to be applied as a means to
assessing and training key areas of flight crew performance in a recurrent training system, according to Annex 6, Part I,
9.3, Flight crew member training programmes, and 9.4.4, Pilot proficiency checks. The EBT programme considers the
differences between aeroplane generations by tailoring the recurrent training programme to the particular aeroplane
generation.

4.4.4 Additional guidance on EBT is available in PANS-TRG (Doc 9868), Part II, Chapter 2, as well as the Manual
of Evidence-based Training (Doc 9995). This is intended to provide guidance to States, operators and approved training
organizations in the recurrent assessment and training of pilots referred to in Annex 6, Part I (9.3 and 9.4.4).

4.4.5 EBT is optional. When choosing to implement EBT in their regulatory framework, States ensure that
operators and training organizations apply the principles of Doc 9995 when developing and implementing such recurrent
training programmes.

4.4.6 Those alternative training programmes are optional and contain training that establishes and maintains at
least an equivalent level of proficiency achieved by complying with the provisions of traditional training programmes. The

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operator applying for an alternative training programme approval provides the State of the Operator with an implementation
plan, including a description of the level of flight crew training and qualification proficiency to be achieved.

4.4.7 The training volume of the OM should describe the method by which the operator answers to the specific
requirements related to the implementation of those alternative programmes. Among these specific requirements:

a) selection and training of staff;

b) training programme development, application for approval, validation, and continued review;
development and maintenance of training courseware;

c) administrative staff duties in support of the training programme and of the instructor-evaluators;

d) delivery of training;

e) record-keeping; and

f) assessment and processes; and operator’s feedback to the CAA.

4.5 INSTRUMENT RATINGS

The majority of pilots engaged in commercial air transport operations will require an instrument rating. The training volume
of the OM should give instructions on how instrument rating tests are to be conducted, who is qualified to carry out these
tests and the period of validity of the rating. The instrument rating check may be accomplished as part of the recurrent
proficiency check. Detailed records of each check should be kept to ensure that over a period, the full range of instrument
flight conditions and instrument approach procedures are either simulated or actually experienced. The training volume of
the OM should also indicate the process that the operator will put in place when the instrument rating has not been
revalidated during the validity period and the instrument rating needs to be renewed.

4.6 ROUTE AND AERODROME QUALIFICATIONS

4.6.1 The requirement for route and aerodrome qualifications are detailed in Annex 6, Part I (9.4.3). Although the
requirements are only addressed to the PIC, it is common practice for operators to apply similar requirements to all pilots.
The training volume of the OM must specify how these qualifications are to be gained and how they are to be kept valid.

4.6.2 Depending on the complexity of the area or route and aerodrome, as assessed by the operator and in
accordance with the published national requirements referenced in the Aeronautical Information Publication (AIP), the
following methods of familiarization are commonly used:

a) for the less complex areas or routes and aerodrome, familiarization by self-briefing with route
documentation, or by means of programmed instruction (briefing, computer-based training, video, etc.);
and

b) in addition, for the more complex areas or routes and aerodrome, in-flight familiarization as a PIC or co-
pilot under supervision, observer, or familiarization in an FSTD using a database appropriate to the route
concerned.

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4.6.3 The ground training content (briefing, computer-based training, video, etc.) and flight training content should
be described in the training volume of the OM, as should the period of validity.

4.6.4 The ground and flight training programmes should be designed to promote the threat and error management
(TEM) principle and should take into account the following elements:

a) terrain;

b) weather, aerology and climatology;

c) infrastructure;

d) flight path management;

e) ATC environment; and

f) operator’s feedback through the safety management system (air safety report, pilot report, etc.).

4.6.5 It is normal practice to give each pilot a “general” route or line check at least every twelve months. This check
will qualify pilots into those aerodromes that form part of the normal operation.

4.7 PILOT-IN-COMMAND (PIC) TRAINING

4.7.1 The general volume of the OM gives details on the operator’s policy concerning the licences, ratings, flying
hours and experience required prior to appointment as PIC.

4.7.2 The PIC training programme should be described and may include details of an initial assessment to
determine suitability for command. This programme will vary from operator to operator, but should cover the following:

a) training in an FSTD, which includes LOFT and/or flight training;

b) the operator proficiency check, operating as commander;

c) command responsibilities training;

d) line training as PIC under supervision, for a minimum number of sectors and/or flight hours determined
in accordance with the standards of qualification and experience specified in the OM, taking into account
the previous experience of the applicant;

e) completion of a line check as commander and demonstration of adequate knowledge of the route or
area to be flown and of the aerodromes, including alternate aerodromes, facilities and procedures to be
used; and

f) crew resource management training.

4.7.3 A detailed description in the form of a command check should be included in the training manual. It should
specify the number of sectors that must be flown and the different types of approaches and/or areas into which the trainee
must operate to demonstrate their competence as PIC.

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 4.8 EMERGENCY DUTIES TRAINING (FLIGHT CREW)

4.8.1 An operator is required to assign to each flight crew member the necessary functions to be performed in an
emergency or in a situation requiring emergency evacuation. Annex 6, Part I (9.2), specifies that the training, which
includes instruction in the use of all emergency and life-saving equipment and drills in the emergency evacuation of the
aircraft, be performed on a yearly basis.

4.8.2 Specific aspects of the training should form part of the normal recurrent training programme; for example,
the procedures to prepare a cockpit for ditching will be best practised in the simulator. However, other aspects of the
required training, for example, how to launch life rafts or evacuate passengers after a ditching, can only be accomplished
on the aeroplane or in a cabin mock-up. The training manual must give guidance on these aspects of the training. It is
considered that The most effective flight crew training in this regard would be accomplished in conjunction with the cabin
crews’ training.

4.9 FLIGHT ENGINEER

4.9.1 Flight engineers, where required as part of the crew complement, meet the same basic training requirements
as other flight crew members, with the exception of those requirements which relate solely to manipulating the flight
controls of the aeroplane.

4.9.2 The syllabus for flight engineer training programmes should be detailed in the training volume of the OM.
The ground training should not differ significantly from that detailed for pilots, and the flight engineer should complete their
training programme as part of a total crew under training. However, the training volume of the OM should require that a
trainee flight engineer always be accompanied by an instructor flight engineer.

4.9.3 Flight engineers will require route training and an annual route check. They also require a biannual check to
assess their ability to carry out their duties while performing emergency drills. The training volume of the OM should specify
that these checks be performed while the flight engineer is operating as part of a crew in a “crew training” concept. Pilots
and flight engineers should not be checked independently of each other. The flight engineer’s biannual check must be
performed by a check flight engineer; however, the annual route (line) check may be carried out on an entire crew by a
check pilot.

4.10 OPERATIONAL ASPECTS OF AIRBORNE

(LINE FLYING UNDER SUPERVISION OR BASE) TRAINING

4.10.1 It is possible that the entire flight training syllabus can be conducted in a FSTD under ZFTT. Nevertheless,
some States may still require that for less experienced pilots, flight training conducted in a FSTD be supplemented by a
number of take-offs and landings in real time with the same type of aircraft. This training, known as “base training”, is
performed under general aviation rules (non-commercial operations) with an aircraft belonging to the operator fleet list or
an aircraft of the same type. The training manual should specify operational limitations and specific conditions for the base
training programme.

4.10.2 Taking into account the aircraft type, the training manual should describe:

a) suitable aerodromes (performance, traffic, terrain, noise avoidance, RFF, etc.);

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 b) minimum weather conditions and forecast;

c) specific fuel policies;

d) safety briefing contents (ATC, real failure, touch and go, minimum height, etc.);

e) approach stabilization criteria;

f) crew composition (safety pilot if any); and

g) possible specific flight time limitations.

4.10.3 The training manual should also specify that the goal of base training is to train and assess the pilot
competencies, in particular for flight path manual control, application of procedures and situation awareness.

4.11 APPROVAL OF FLIGHT SIMULATION TRAINING DEVICES AND APPROVAL OF

OTHER OPERATORS’ TRAINING FACILITIES

4.11.1 Guidance material on the performance and documentation requirements for the evaluation of aeroplane flight
simulators used for training and checking of flight crew members is contained in the Manual of Criteria for the Qualification
of Flight Simulation Training Devices (Doc 9625). This manual provides the means for a State civil aviation authority to
qualify a flight simulator, subsequent to a request by an applicant, through initial and recurrent evaluations. The manual
provides the means for the civil aviation authorities of other States to accept the qualifications granted by the State that
conducted the initial and recurrent evaluation of a flight simulator, without repetitive evaluations, when considering
approval of the use of that flight simulator by applicants from their own State.

4.11.2 Additionally, the FSTD replicate the aircraft used by the operator, as far as practicable. Differences between
the FSTD and the aircraft are to be described and addressed through a briefing or training. Details of the approved FSTDs
should be provided in the OM. The OM should also describe the process to adequately monitor changes to the FSTD and
to ensure that those changes do not affect the adequacy of the training programmes.

4.11.3 In the event that training is accomplished using some other operator’s facilities, it will be necessary to specify
a system of checking that the training, both ground and airborne, is compatible with the operator’s own requirements, and
to the standard required. That the training given at other facilities must meet the requirements of the State of the Operator.
A physical check should ensure that any differences between the flight simulator and an operator’s own aeroplane are not
operationally significant. In the event that the other operator’s training personnel is utilized, it is essential to get the approval
of the operator’s own State authority for this and the training manuals should list, by name, the training personnel approved.
In the event that all initial, recurrent, and proficiency training is done at some other operator’s training facility, the training
manual should specify any additional route training and checking considered necessary to ensure that there is an adequate
exposure of flight crew to the operator’s own operational philosophy and training procedures.

4.11.4. The operator may decide to contract certain activities to external organizations but the responsibility remains
its own, as specified in Annex 6 Part I (4.2.1.3.1). As a consequence, a written agreement should exist between the
operator and the contracted organisation clearly defining the contracted activities and the applicable requirements. The
contracted safety-related activities relevant to the agreement should be included in the operator's safety management and
compliance monitoring programmes.

4.11.5 The operator should ensure that the contracted organization has the necessary authorization or approval
when required, and commands the resources and competence to undertake the task.

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 4.12 SECURITY TRAINING

4.12.1 Annex 6, Part I (13.4), requires that an operator establish and maintain a training programme which enables
crew members to act in the most appropriate manner to minimize the consequences of acts of unlawful interference.
Annex 17 — Security specifies that States shall require operators to establish security programmes and to apply them in
proportion to the threat.

4.12.2 The Manual On The Implementation Of The Security Provisions Of Annex 6 (Doc 9811) (restricted access)
and the Manual of Aviation Security (Doc 8973), contain guidance on the development of training programmes. The
training volume of the OM should describe the security training programme for crew members, including theoretical and
practical elements. This training should be provided at the time of operator conversion training and thereafter at regular
intervals for recurrent training. The content and duration of the training should be adapted to the security threats of the
individual operator and should ensure that crew members act in the most appropriate manner to minimize the
consequences of acts of unlawful interference.

4.12.3 It is advisable, when establishing a programme, to seek the advice and guidance of the national civil aviation
security committee or the authority responsible for the national civil aviation security programme.

4.12.4 Annex 6 also recommends that States require operators to include measures and procedures in their security
programmes to ensure safety on board an aeroplane when persons are being carried in the custody of law enforcement
officers or other authorized persons.

Note.— For additional guidance with respect to security training for flight deck and cabin crew refer to
Chapters 2, 11 and 15.

4.13 DANGEROUS GOODS TRAINING PROGRAMME

4.13.1 The successful application of regulations concerning the transport of dangerous goods and the achievement
of their objectives depend on the appreciation of the safety risks involved and on a detailed understanding of the
regulations by all individuals concerned. This can only be achieved with planned and maintained initial and recurrent
training programmes for all persons concerned in the transport of dangerous goods.

Note.— Annex 6, Part I (Chapter 14) requires that even where an operator does not have a specific approval
for the carriage of dangerous goods, a training program is required to ensure that such items can be correctly identified
and rejected for carriage.

4.13.2 Annex 18 — The Safe Transport of Dangerous Goods by Air requires that dangerous goods training
programmes be established. Part 6 of the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air
(Doc 9284) gives further details. Information regarding the establishment of a competency-based approach to dangerous
goods training can be found in –the manual on Guidance on a Competency-based Approach to Dangerous Goods Training
and Assessment (Doc 10147).

4.13.3 The training volume of the OM should provide details on the course objectives, training programme
syllabus/curricula and examples of the written examination to be undertaken.

4.13.4 The following should be considered in the design of the training programme:

b) instructors should have knowledge of training techniques as well as in the field of transport of dangerous

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 goods by air so that the subject is covered fully and questions can be adequately answered;

c) training intended to give general information and guidance may be by any means including handouts,
leaflets, circulars, slide presentations, videos, computer-based training, etc., and may take place on-the-
job or off-the-job. The person being trained should receive an overall awareness of the subject. This
training should include a written, oral or computer-based examination covering all areas of the training
programme, showing that a required minimum level of knowledge has been acquired; and

d) training intended to give an in-depth and detailed appreciation of the whole subject or particular aspects
of it should be by formal training courses, which should include a written examination, the successful
passing of which will result in the issue of the proof of qualification. The course may be by means of
tuition, as a self-study programme, or a mixture of both. The trainee should gain sufficient knowledge to
be able to apply the detailed rules of the Technical Instructions.

4.13.4 Training in emergency procedures should include as a minimum:

a) for personnel other than crew members:

1) dealing with damaged or leaking packages; and
2) other actions in the event of ground emergencies arising from dangerous goods;

b) for flight crew members:

1) actions in the event of emergencies in flight occurring in the passenger compartment or in the cargo
compartments; and
2) the notification to ATS should an in-flight emergency occur;

c) for crew members other than flight crew members:

1) dealing with incidents arising from dangerous goods carried by passengers; or
2) dealing with damaged or leaking packages in flight.

Note.— For additional guidance with respect to dangerous goods training for flight deck and cabin crew
refer to Chapters 2 and 11.

4.14 CABIN CREW TRAINING

4.14.1 The training manual should detail the functions performed by cabin crew in an emergency or in a situation
requiring emergency evacuation. These functions are to be assigned for each aircraft type and should form the basis of
the cabin crew’s initial and recurrent training. The basic subjects to be addressed in the training programme are detailed
in Annex 6, Part I (12.4). An essential aspect of this training programme is that the crew be aware of other crew members’
assignments and functions in the event of an emergency. In this regard, the training programme should specify that cabin
crew and flight crew take part in joint training exercises to practise the drills and procedures used in emergency
evacuations and to highlight how essential flight crew/cabin crew co-operation is in an emergency.

4.14.2 The training programme should also require that records be kept of the aircraft types on which a cabin crew
is trained and on the period of validity of recurrent training for each aircraft type. It may be considered practical for each
cabin crew member to carry a document with these details, and if such is decided, instructions should be given on the
form of such documentation.

4.14.3 As part of their training, it should be specified, especially on aircraft with two-pilot crews, that cabin crew be
trained to assist the flight crew in the event of flight crew incapacitation. Such training should be detailed in the training
manual and should at least require that cabin crew members be familiar with the operation of the pilot’s seat controls and
with methods of restraining an incapacitated pilot. For required content on aircraft type training for cabin crew, refer to the

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Cabin Crew Safety Training Manual (Doc 10002), Chapter 1, 1.7.

4.15 FLIGHT OPERATIONS OFFICER/FLIGHT DISPATCHER

4.15.1 Some States require that operational personnel be licensed when employed in conjunction with an approved
method of flight supervision. Many other States do not require that operational staff be licensed, but their functions, duties
and training necessarily form part of the approval by the State of the method of operating supervision. The requirements
for age, skill, knowledge and experience for licensed flight operations officers/flight dispatchers are in Annex 1 —
Personnel Licensing. Details on the requirements for initial appointment and maintenance of competency are in Annex 6,
Part I, as are the details of the duties of flight operations officers/flight dispatchers.

4.15.2 Where a licence is granted, the State of the Operator will detail the training and maintenance of competency
requirements in the training manual. Where operational personnel are not licensed, but are employed as part of the
approved method of operating supervision, the training will be appropriate to the duties that the operator has assigned to
these officers. In either case, the functions and duties of flight operations officers/flight dispatchers are broadly similar and
should be specified in the training manual, as should information regarding on-the-job training, maintenance of competency
and route familiarization flights.

4.15.3 As competency-based training is becoming the reference to describe and measure performance, operators
are encouraged to use the ICAO Adapted Competency Model; a competency framework that an organization uses to
develop competency-based training and assessment for a given role. The procedures in the training manual should also
describe the steps to be taken when personnel do not achieve or maintain the required standards.

Note.— See the Procedures for Air Navigation Services — Training (PANS-TRG, Doc 9868) and the Manual
on Flight Operations Officers/Flight Dispatchers Competency-based Training and Assessment (Doc 10106) for additional
information.

4.16 HUMAN FACTORS PERFORMANCE

4.16.1 Human factors training focuses on key aspects of human performance that are commonly referred to as
“non-technical skills”. These include:

a) workload management;

b) situation awareness;

c) problem-solving and decision making;

d) communication; and

e) leadership and teamwork.

4.16.2 In competency-based training and assessment (CBTA) programmes, these areas of human performance
are competencies necessary to perform the functions of a job. CBTA typically supports the development of these
competencies by embedding related training elements throughout their training programme for all tasks. However, more
traditionally, it is common to talk about “human factors training” when referring to specific training topics such as threat
and error management (TEM) and crew resource management (CRM).

4.16.3 For licensing or otherwise authorizing pilots, Annex 1 specifies “human performance” training requirements

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in the form of “knowledge about” TEM principles and the demonstrated ability of pilots to manage threats and errors when
performing their operational functions. The TEM framework helps understand from an operational perspective the inter-
relationship between safety and human performance in dynamic and challenging operational contexts. TEM focuses on
recognising and preventing or mitigating threats and errors that can result in an “undesired state”. It incorporates the use
of skills that are sometimes trained as part of CRM, which centres on preventing and mitigating threats through effective
crew coordination and use of all available resources: human, hardware and information. In essence, CRM skills are used
to proactively mitigate threats and manage errors. CRM training programmes incorporate topics that aim to broaden a
student’s understanding of threats to their own performance and mitigations used to address such threats, as well as
approaches to optimize crew performance and their interactions with other people.

4.16.4 All human factors training builds on human performance principles. These principles recognize the influence
of various factors on how people perform their work (see Manual on Human Performance for Regulators, Doc 10151), and
highlight the importance of including elements in flight crew training, such as:

a) a systems perspective for managing risks;

b) effective communication and coordination of tasks and functions between flight crew, cabin crew,
technical crew, air traffic control officers, ground crew, etc.;

c) recognizing and mitigating cognitive, sensory and physiological limitations;

d) mitigating any negative impacts of cultural differences (national, ethnic, organisational, professional) on
individual and crew performance;

e) system and human limitations associated with the use of automation, giving special attention to issues
of monitoring, mode awareness, automation surprises and over-reliance;

f) management of unique or emergency situations and the associated human responses;

g) the rationale for procedures and when non-adherence is permitted;

h) organizational and individual responsibilities for safety, including the reporting of accidents, incidents
and hazards, and non-fitness for duty, as well as issues such as confidentiality and opportunities for
sharing safety information; and

i) human adaptability and supporting crew members through change.

4.16.5 Human factors training for flight crew is greatly enhanced with scenarios and simulations, such as those
used in line-oriented flight training (LOFT), since it provides an opportunity to apply human factor concepts in practice, in
operational settings and in real time. LOFT consists of carefully structured scenarios developed in flight simulators where
flight crew are confronted with operational situations where the application of sound human performance principles is the
key for a successful outcome.

4.16.6 However, human factors training should not be limited to flight crew. It is relevant to all personnel including
aircraft dispatchers, cabin crew, maintenance personnel, supervisory and managerial personnel. Human factors training
should enhance the interactions between all of these team members and optimize operational performance. The
operations manual should outline how human factors training is addressed by the operator for all personnel with training
responsibilities, not just flight crew.

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 4.17 DE/ANTI-ICING OPERATIONS TRAINING

To ensure a thorough understanding of all aspects of winter operations, flight and ground crews must be trained and
qualified in procedures for safe de/anti-icing operations during ground icing conditions. Guidance material on aeroplane
icing on the ground, de/anti-icing fluids, holdover times, de/anti-icing check procedures, facilities and training is contained
in the Manual of Aircraft Ground De-icing/Anti-icing Operations (Doc 9640).

4.18 UPSET PREVENTION AND RECOVERY (UPRT)

4.18.1 The requirement for a flight crew training programme to include upset prevention and recovery training is
mentioned in Annex 6, Part I (9.3.1), detailed in PANS-TRG (Doc 9868), and supported by the Manual on Aeroplane Upset
Prevention and Recovery Training (Doc 10011) and the Airplane Upset Prevention and Recovery Training Aid (AUPRTA)
Rev 3. The operations manual should provide details of the UPRT programme, consistent with the guidance provided in
Doc 9868.

4.18.2 UPRT instructors require specific training: the Manual on Aeroplane Upset Prevention and Recovery Training
(Doc 10011), Chapter 5, 5.2, states that:

Regardless of an individual’s background, all instructors assigned to provide training in a UPRT

programme should successfully complete a UPRT instructor qualification training course
approved by the Licensing Authority.

The training volume of the OM should put special emphasis on instructor training. In UPRT the safety implications and the
consequences of applying poor instructional technique or providing misleading information are arguably more significant
than in some other areas of pilot training.

4.19 FATIGUE MANAGEMENT TRAINING

4.19.1 All operators should provide initial and recurrent fatigue management training to crew members, personnel
responsible for preparation and maintenance of crew rosters and management personnel. However, an operator with an
approved FRMS will likely have a more extensive fatigue management training program than one that complies with flight
time limitation regulations and manages their fatigue-related risks through their SMS processes.

4.19.2 Regardless of the fatigue management approach used by an operator, fatigue management training should,
at a minimum, address:

a) performance effects of fatigue;

b) the scientific principles underlying fatigue management;

c) the operator’s scheduling practices (including flight and duty periods) that are designed to mitigate
fatigue;

d) operator policies for shift swapping, assignment of unscheduled duties and standby;

e) the operational mitigations and associated processes which are used (e.g. the use of pilot-in-command
discretion, in-flight sleep accommodations and controlled napping in the cockpit);

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 f) personal fatigue mitigation strategies;

g) the crew member responsibility for ensuring adequate rest and fitness for flight duty;

h) sleep disorders and other medical conditions affecting sleep: individual and organizational
responsibilities;

i) the mechanisms used to report fatigue hazards; and

j) when and how to report “fatigued” or “unfit for duty” and the organizational response to such reports.

4.19.3 Relevant training topics are described further in the Manual for the Oversight of Fatigue Management
Approaches (Doc 9966), and cover both the prescriptive and the FRMS approaches to fatigue management.

4.20 INSTRUCTOR TRAINING

4.20.1 In accordance with Annex 6, Part I (9.3.1) the training programmes should be delivered by qualified
instructors as determined by the State of the Operator. PANS-TRG (Doc 9868), contains the framework of qualification
and competencies for instructors.

4.20.2 Emphasis on instructor training is needed. As in any training programme, the safety implications and the
consequences of applying poor instructional techniques or providing misleading information are arguably significant.
Moreover, the instructor is part of the operator training programme evaluation and improvement process, through reporting
and feedback to the training department.

4.20.3 The training volume of the OM should also describe the instructor selection process, initial training, possible
additional training (for UPRT, competency-based training, AQP, ATQP, EBT, etc.), recurrent training and continuous
qualification, possible recent training requirements, etc.

___________________

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 Chapter 5
FATIGUE MANAGEMENT AND FLIGHT AND
DUTY TIME LIMITATIONS

Note.— The Manual for the Oversight of Fatigue Management Approaches (Doc 9966), and the associated
Fatigue Management Guides Chapters 5 and 6, provide detailed information on implementing prescriptive and FRMS
approaches to fatigue management and should be used to support the information provided in this section. These
documents are available on the ICAO eLibrary (https://elibrary.icao.int/home).

5.1 FATIGUE MANAGEMENT

5.1.1 Annex 6, Part I (4.10) specifies that the State of the Operator establish regulations based on scientific
principles and knowledge, with the aim of ensuring that flight and cabin crew members are performing at an adequate
level of alertness to not endanger flight safety. The State must establish regulations for flight and duty limitations and
adequate rest periods. The State may choose to establish regulations to support Fatigue Risk Management Systems
(FRMS).

5.1.2 Where a State does not establish FRMS regulations, operators must manage their fatigue-related risks as
part of their existing safety management processes, within the constraints of their State’s prescribed flight and duty time
limitations. The operator must comply with prescriptive limitation regulations throughout all its operations.

5.1.3 Where a State has established FRM regulations, the operator has three options to implement the two
different approaches to fatigue management:

a) they may comply with prescriptive limitation regulations throughout all its operations;

b) they may implement an FRMS that has been approved for use throughout its operations; or

c) they may employ a combination of the two approaches, implementing an FRMS in part of its operations
and comply with the prescriptive flight and duty time limitations (FTL) in other operations.

5.1.4 An operator should clearly indicate in the operations manual whether it complies with prescriptive flight and
duty limitations and rest regulations throughout its operations or whether it operates under an approved FRMS in part of
its operations. The specific operations to which an approved FRMS applies should be identified.

5.2 FLIGHT AND DUTY TIME LIMITATIONS AND REST REQUIREMENTS

5.2.1 In a prescriptive approach to fatigue management, operators must manage their fatigue-related risks as
part of their existing safety management processes, within the constraints of their State’s prescribed flight and duty time
limitations (FDTLs). This means that while prescribed FDTLs identify the outer limits, an operator needs to establish its

5-1
own limits and scheduling rules while in compliance with those regulations to mitigate fatigue risks posed by its unique
operational context.

5.2.2 On the basis of FRMS regulations, the operator would formulate flight time, flight duty period, duty period
limitations and provisions for adequate rest periods for all crew members. These limitations and provisions are published
in the operations manual (OM) and are approved by the State of the Operator. Hence, the OM should provide all relevant
information and guidance for operational personnel (crew members, rostering personnel, operation control centre staff,
etc.) to be aware and to enforce the operator’s approved duty and rest period schemes and associated procedures.

5.2.2 OM content related to flight and duty time limitations (FTL) and rest requirements address:

— Generalities. This paragraph presents the composition of the FTL chapter and refers to the national
rules that the operator and the operational personnel comply with. The operator may also indicate the
applicable corporate agreements related to FTL.

— Definitions. This section includes all relevant definitions as they relate to the operator’s operations and
provisions.

— Responsibilities. This paragraph should give details on the operator’s responsibilities and the crew
member’s responsibilities:

a) operator’s responsibilities: this section should mention the material resources, the human resources
and the procedures that the operator puts in place in order to comply with the regulations and
manage crew fatigue. Annex 6, Part I, also states that an operator shall maintain current records of
the flight times of each of its flight crew members. The OM should state the content and timeframe
for the record keeping.

b) the OM should mention the individual obligation of the crew members to respect the applicable
regulations and to manage their own fatigue. It should be stressed that the regulations address the
maximum limits, and if crew members become fatigued and believe that the safe performance of
their duties may be adversely affected, they have an obligation to remove themselves from duty.

— Flight and duty time limitations.

a) FDTL regulations may well identify different limits for different types of operations, e.g. there may
be different prescribed FDTLs for pilots on single sector intercontinental operations than for pilots
on a multi-sector short-haul operations. Regardless, because the operator must ensure that the
safety of the flight is not jeopardized by fatigue caused by the length or demands of a particular
duty, or by an accumulation of fatigue from a series of duties, the scheduling rules and associated
limits that an operator establishes will depend on the type of operations it has. Relevant factors that
could result in different operator-identified FDTLs include:

1) the type of aeroplane (pressurized as against unpressurized);

2) the number of crew members (whether the minimum numbers specified in the flight manual or
other documents associated with the certificate of airworthiness, in accordance with Annex 6,
Part I, 9.1.1, or increased to allow longer flight duty times);

3) the availability of on-board crew rest facilities;

4) the number of time zones crossed during a particular operation;

5) the time of day that the operation commences and the time at which it finishes;

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 6) the type of duty and rest that preceded a particular operation;

7) the state of acclimation of the crew etc.

b) Examples of scheduling rules include the identification of:

1) maximum flight duty periods that differ according to duty start time and number of sectors;

2) maximum number of segments to be flown in a flight duty period;

3) when and how many additional flight segments may be assigned;

4) maximum number of consecutive early departures which may be assigned;

5) number of augmented crew to be scheduled for specific routes;

6) maximum number of flight duty hours to be scheduled within a two month scheduling period.

— Rest requirements. The OM should present in a comprehensive manner the rest period and should
cover, as applicable, the following (but not limited to):

a) the pre-duty minimum rest periods prior to report (these may differ according to whether the crew
is acclimated to the time zone or not);

b) reduced rest provisions (if allowed);

c) recurrent extended recovery rest periods to compensate for cumulative fatigue; and

d) specific additional rest periods to compensate for: the effects of time zone differences and
extensions of the FDP, additional cumulative fatigue due to disruptive schedules, and a change of
home base.

— Exemptions. Operators may occasionally apply for temporary and limited exemptions from the
regulations. Such requests normally arise because of particular operational circumstances that would
preclude an operation from taking place unless an exemption were granted. Exemptions are granted by
the regulator under specific conditions and are based on an assessment of a safety case provided by
the operator. The specific conditions of the exemption must include the mitigations to be used, such as
extra rest periods, augmented crews, altered departure times, to address the increased fatigue-related
risks.

Note.— Generally, the exemption process is not part of the OM as it falls under the responsibility of the
operator’s compliance department. Nevertheless, the operator that gets an exemption from the national authority in charge
of its oversight must bring to the knowledge of the operational personnel the content of the exemption temporarily
amending the OM.

— Policies for use of related operational mitigations.

a) use of captain’s discretion:

Where pilots-in-command (PICs) are allowed discretionary powers in extending flight duty periods
and reducing rest periods for use in unforeseen circumstances, instructions and guidance on the
use of this power should be given in the OM. When developing a PIC discretion policy, the operator
should take into consideration the shared responsibility of management, flight and cabin crew in the

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 case of unforeseen circumstances. The operator’s policy on the use of PIC discretion should also
state the safety objectives, especially in the case of an extended flight duty period or reduced rest
and take due consideration of additional factors that might decrease a crew member’s alertness
levels and increase operational safety risks.

The exercise of PIC discretion should be considered exceptional and should be avoided at home
base and/or operator hubs where standby or reserve crew members should be available. PICs are
typically required to file reports when use is made of their discretionary power and guidance on this
point should be given. Those reports should serve as performance indicators for operational
robustness of the roster and can feed the FRMS data collection if associated to fatigue report.
Operators should assess on a regular basis the series of pairings where PIC discretion has been
exercised in order to be aware of possible inconsistencies in their rostering.

b) on-board crew rest accommodations:

Where operations necessitate the provision of in-flight rest periods to extend flight duty periods, the
OM should outline:

1) On-board rest facilities standards:

The aircraft used for such extended operations must provide adequate in-flight rest facilities.
Adequate in-flight rest facilities allow flight crew to obtain enough sleep to safely perform their
assigned duties during the flight duty period. Depending on the type and length of the extended
operations, different standards of on-board crew rest facilities may be required by the authority
ranging from “flat bed” bunks in separate temperature-controlled compartments to designated
crew rest seats with recline features and privacy curtains. While on-board crew rest facilities
must comply with any regulatory requirements, the OM should also identify the operators’
policy regarding the sleeping facilities provided in the aircraft types that are used for various
routes and types of operations.

2) Use of crew rest:

The OM should also clarify who can use the facilities and the procedures in place to ensure
that the on-board crew rest facilities are used as intended. This includes the protocol for
deciding how in-flight rest breaks will be scheduled within the extended flight duty period and
interrupting crew rest in the event of specifically identified types of events, e.g. a medical or
security emergency, a loss of equipment that will affect navigation, a significant mechanical
irregularity, or change in weather that may require a diversion of change in ETOPS plan. These
protocols may differ according to the number of augmented crew.

3) Pre-flight checks and preparation:

Functionality of crew rest facilities should be included in pre-flight checks on flights where they
are to be used. This includes seat functionality, temperature control, and ventilation. As part
of preparation for a flight, air vents may be opened prior to departure to provide maximum
ventilation and cooling in sleeping compartments.

c) controlled rest on the flight deck policy:

Use of controlled rest on the flight deck is an effective fatigue mitigation to manage sudden fatigue
experienced by a pilot during a flight. It is not a tool to extend flight and duty periods. If the use of
controlled rest on the flight deck is allowed by the authority, the specific procedures supporting its
use should be included in the OM and included as part of company training programmes.
Procedures for controlled rest on the flight deck are described in the ICAO/IATA/IFALPA Fatigue
Management Guide for Airline Operators (https://www.unitingaviation.com/publications/FM-Guide-

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 Airline-Operators/#page=1).

— Operational Integrity. In order to support operational integrity, the OM should outline the pilot’s
responsibilities and procedures for informing dispatch or maintenance personnel about issues which
may affect the timing of the flight or the aircraft’s ability to be turned around in a timely manner. Such
procedures, to be addressed in the OM, include:

a) estimated takeoff reporting; and

b) reporting of maintenance issues, including those associated with crew rest facilities.

— Fatigue/not-fit-for-duty reporting. The OM should also outline the operator’s expectations with regards
to flight and cabin crew reporting “not fit for duty” if they feel they are unable to carry out their duties
safely because of fatigue. The process described in the OM should identify when and how to report, as
well as how the operator will act on such reports. The operator policy for the management of flight crew
with sleep disorders, including the process for their return-to-work once treated, should also be included
in the OM.

— Fatigue management training. The operator should outline the fatigue-related topics that are included in
its training programme, the target audience, and the training schedule in the OM (see Chapter 4.)

5.3 FRMS

Whether an FRMS sub-section is required in the OM, depends on whether or not the operator has an approved FRMS
that is implemented in part or all of its operations. Where an approved FRMS is in use, the OM should identify those
operations that are covered by an FRMS and the flight and duty time limits for particular operations in accordance with
their FRMS approval. It is not expected that the OM contain the entire set of FRMS documentation, but rather provides a
high level description and references the necessary FRMS documentation. Full FRMS documentation includes a specific
FRMS policy signed by the accountable executive, outlines processes, outputs and training records; fatigue report
procedures and documentation in accordance with Annex 6, Part I, Appendix 7.

______________________________

5-5
 Chapter 6
OPERATIONS SUPERVISION — GENERAL

6.1 GENERAL

6.1.1 Annex 6, Part I (4.2.1), states that an operator shall establish and maintain a method of control and
supervision of flight operations, as one of the prerequisites for the issue and continued validity of an air operator certificate.

6.1.2 To conform to this standard, the operator should specify in the operations manual (OM) the rules and
regulations pertinent to flight operations. Basic information should be drawn from the applicable national and/or
international regulations, but an operator will typically include some of their own regulations, which they consider necessary
to ensure a safe and efficient operation. The OM is therefore the basic reference document for describing the authority
and function of operational personnel and their relationship to each other. Information is normally given in this section of
the manual on other related, but non-regulatory subjects.

6.2 PILOT-IN-COMMAND (PIC)

6.2.1 The PIC is responsible for operating an aircraft in accordance with the rules of the air and has final authority
as to the disposition of the aircraft while in command. It is therefore essential that the manual have a statement on the
authority of the PIC. The regulations of the State should be quoted, as should the ICAO annexes dealing with the authority
of the PIC. Reference should be made to the relevant parts of The Hague, Tokyo, and Montreal Conventions. In particular,
details of the Tokyo Convention should be included in the manual as this convention contains provisions on the powers of
the PIC.

6.2.2 Annex 6, Part I, details a number of responsibilities of the PIC, and that these responsibilities shall be
described in the OM. The subjects mentioned in the annex are:

a) the need to report violations of local regulations in an emergency;

b) the PIC’s responsibility for ensuring that the flight preparation is satisfactory; for approval of the
operational flight plan (OFP); for the operation and safety of the aircraft and for the safety of all persons
on board; for ensuring that the checklists provided are complied with in detail; for reporting an accident;
for reporting aircraft technical defects; for the general declaration/ journey log book; and

c) reporting acts of unlawful interference.

6.2.3 There are a number of other areas in Annex 6, Part I, that fall within the area of the PIC’s responsibility, such
as in-flight procedures. There is also the requirement in Annex 18 on the provision of information by the PIC to aerodrome
authorities concerning the presence of dangerous goods on board in the event of an in-flight emergency. In Annex 12 —
Search and Rescue, there are procedures to be followed by pilots-in-command at the scene of an accident or when
intercepting a distress transmission. In Annex 2 — Rules of the Air, there is information on interception of civil aircraft.
Throughout the annexes there are many Standards and Recommended Practices that are, or can be, the responsibility of
the PIC. A typical example is the requirement in Annex 9 — Facilitation on the responsibilities of the PIC following a landing
elsewhere than at international aerodromes. Annex 9 also specifies the responsibility of the PIC to notify to air traffic
control any cases of suspected communicable disease. An operator must give appropriate guidance on all these aspects
in the operations manual and on any additional requirements that may be prescribed in the regulations of the State of the

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Operator.

6.2.4 The operations manual should also give information on the duties and responsibilities of the PIC, whether
they are a requirement in the regulations or are just assigned by the operator. The duties or responsibilities assigned by
the operator will be a policy decision of the operator and will reflect its particular requirements.

6.2.5 The OM also details the chain of command during a flight. This will depend on the number of crew and their
functions and a typical example would be:

a) PIC;

b) co-pilot (second-in-command);

c) flight navigator;

d) flight engineer;

e) in-charge cabin crew member; and

f) other cabin crew.

Note.— It should also be indicated who will be PIC in situations where the standard ranking system does not
apply. For example, when two senior pilots, both qualified as aircraft commanders, are flying together, it is typically
specified that airline seniority will determine command. It is normal, to specify who is PIC when an instructor is in the
cockpit. Instructions on this need to be quite specific, as for example when it is specified that the instructor pilot is PIC
when occupying a handling pilot’s seat and conducting a training or checking assignment.

6.3 CREW

6.3.1 The OM should give details on the number of flight crew required and on the applicable licence and rating
requirements for each flight crew position. While the minimum crew will normally be that specified in the flight manual, it
is possible that for certain operations, extra crew members will be required. For example, an extra or “relief” crew member
for very long flight duties, or it could be specified that for certain flights, a navigator will be carried. Instructions should be
given on which flights, if any, require extra or specialist crew and on the qualifications of such crew. When a navigator is
required the selection of the crew member is obvious, but it is not so obvious that a relief pilot required for a two-pilot crew
should be qualified to occupy both seats, and guidance on the qualifications of the extra crew member would be given
where necessary.

6.3.2 Annex 6, Part I (12.1), also requires the operator to establish, to the satisfaction of the State, the number of
cabin crew required for each type of aircraft. In the case of aeroplanes, most States use the 1:50 model (i.e. a ratio of 1
cabin crew member to 50 passenger seats installed). However, the number of cabin crew must be adequate to ensure a
safe and expeditious evacuation of the aeroplane. Detailed instructions and guidance to this effect should be given in the
OM. Further information on these requirements are provided in the Manual on the Establishment of Minimum Cabin Crew
Requirements (Doc 10072).

6.3.3 Some operators, rather than detailing in one list all the different duties of each crew member, make a general
statement as to areas of responsibility and assign the different functions in the specifically related section of the manuals.

6.3.4 Guidance should also be given on areas of responsibility of crew members as they affect other members of
the operator’s staff. Specific guidance and direction should be given on the responsibilities and authority of the PIC and

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other crew members when at an aerodrome where the operator has no representative. It is quite common to specify the
PIC’s authority to incur necessary expenses in this type of situation. However, since the operator will have nominated
representatives at most aerodromes, it will normally only be necessary to specify the areas of responsibilities of the
different parties and their need to consult and advise each other.

6.4 OPERATIONAL STAFF RESPONSIBILITIES

6.4.1 The OM should specify the responsibilities and functions of flight operations officers/flight dispatchers, in
accordance with the operator’s approved method of control and supervision of flight operations. Annex 6, Part I (10.2)
states that whether the State of the Operator required the flight operations officer/flight dispatchers be licensed or not,
such persons shall be qualified in accordance with Annex 1. The OM should give clear details of the respective
responsibilities of pilots-in-command and flight operations officers/flight dispatchers, including procedures for the event of
an emergency that may be initiated by the flight operations officer/flight dispatcher (while avoiding taking any action that
would conflict with ATC procedures) and procedures for the pilot to convey information to the flight operations officer/flight
dispatcher during the flight. The ultimate authority of the PIC should be made clear, yet the requirement that he consult
and seek the advice of the flight operations officers/flight dispatchers, as appropriate, should be included.

6.4.2 The OM should give information on the functions and responsibilities of other operational personnel, such
as the responsibility for assigning crew duties, supervision of flight time/duty time limits and associated record-keeping
and flight preparation forms record-keeping.

6.5 DOCUMENTS

6.5.1 The OM should list the documents to be carried on each aircraft, in its library. The list should include, as
appropriate, the documents listed in Article 29 to the Convention on International Civil Aviation (Doc 7300) and those
required according to Annex 6, Part I, but should also detail the extra documents necessary for operational reasons. The
appropriate volumes of the OM, and the necessary forms should be listed. If more than one copy is required, the OM
should mention it explicitly. The operations manual should also specify who is responsible for ensuring that all the required
documents, in usable condition and amended as required, are aboard the aircraft.

6.5.2 Flight crews are required to have their licences in their possession while operating. In addition, it may be
necessary to specify that they have valid passports and visas and, for operations in some regions of the world, valid health
certificates. In addition, crew members’ certificates may be issued to non-licensed crew members in accordance with the
provisions of Annex 9. Guidance on necessary personal documentation should be given in the operations manual.

6.5.3 Copies of certain documents, such as the OFP, the aircraft technical log, the mass and balance sheet, etc.,
must be filed with the operator or his agent before a flight. In addition, certain documents used during the flight should be
returned after a flight and held for a specified period. Specifically, Annex 6, Part I (4.3.2), specifies that completed flight
preparation forms and fuel and oil records shall be kept by the operator for a period of three months. Instructions should
be given on copies of which documents shall be filed before flight, which documents shall be available on the flight, and
which documents shall be returned after the flight.

6.5.4 If the State of the Operator has approved the operational use of EFB functions, the OM should specify which
information can be carried on the EFB, and which are to be carried in paper format (as primary source or as a backup).

Note.— Refer to Chapter 2 and its related attachment for additional guidance on the carriage and use of an
EFB.

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 6.6 HEALTH REQUIREMENTS

6.6.1 Detailed guidance on aviation medicine is contained in the Manual of Civil Aviation Medicine (Doc 8984).
The OM should include guidance and regulation on preventive measures to safeguard health.

6.6.2 Many of the subjects addressed will be common to all operators, while the area of the world in which
operations take place, or might take place, will, because of particular medical problems associated with those areas,
decide the information that other operators include.

6.6.3 The only vaccination presently required is for yellow fever and, where necessary, the operating crew must
carry a current health certificate. An operator may require crew members to have other vaccinations (immunizations)
depending on the possible exposure of the crew member to disease. Throughout large areas of the world, it will be
necessary to take anti-malarial drugs and an operator should give guidance on where crew members may be exposed to
being bitten by the anopheles mosquito. The advice given should specify the appropriate prophylactic, as in certain areas
the mosquito has acquired immunity to some of the traditional anti-malarial drugs. The manual should not only contain
information on where certain immunizations are required, but should give some basic guidance on precautionary measures.

6.6.4 Guidance is necessary on health precautions during flight. The operating crew has a responsibility to be fit,
yet the nature of airline operations can make it difficult for a crew to comply with the advice given. An example is
hypoglycemia, or low blood sugar levels, which has been a factor in a number of accidents. The dangers of this condition
should be explained and, if necessary, suitable measures to prevent its occurrence should be adopted.

6.6.5 Information should also be given on a number of activities which are incompatible with being part of an
operating crew unless appropriate precautions are taken. For example, blood donations must be separated from flying by
a number of days and, in the case of scuba-diving, at least one day must elapse before flying.

6.6.6 The dangers of food poisoning in airline operations are known and the manual must have regulations and
guidance on crew meals. The advice given normally extends to the type of meals that should be eaten before a flight.

6.6.7 Certain commonly available drugs can affect a crew member’s ability to properly perform his duties. Crew
members must be aware of this fact and of the dangers of self-medication, and the manual should contain appropriate
guidance. As a minimum, crew members should seek information as to the possible deleterious effects of a drug before
use. In seeking such information or advice, the crew member should be conscious of the need to consult someone with
the appropriate knowledge of aviation medicine, as certain drugs generally considered harmless may be inappropriate to
aviation.

6.6.8 It is necessary for the manual to contain company regulations on the abuse of certain substances, such as
alcohol, illegal drugs, etc. The abuse of these sub-stances is completely incompatible with flight operations. In the case of
alcohol, the regulations must specify an absolute minimum time between consumption and flight duty. Information should
also be given on the dangers of smoking, both in the long term and also in the short term where, for example, a smoker in
the cockpit has the effect of lowering the crew’s resistance to hypoxia. In all these cases ongoing education, and where
necessary, organized mutual support groups are of considerably more benefit than the mere presence of regulations in
the manual.

6.6.9 In the Manual of Civil Aviation Medicine (Doc 8984), aviation medical examiners have been provided with
specific guidance regarding drug and alcohol use and the potential disqualifying conditions. Guidance may also be found
in the Manual on Prevention of Problematic Use of Substances in the Aviation Workplace (Doc 9654).

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 6.7 MEDICAL SUPPLIES

6.7.1 Annex 6, Part I (6.2.2), requires that an aeroplane be equipped with accessible and adequate medical
supplies. Annex 6, Part I, Attachment A gives guidance as to the types, number, location and contents of these medical
supplies.

6.7.2 The manual should specify who is responsible for ensuring that the kits are maintained and serviced regularly.
When any medical or first aid kit is opened on a flight, a report should be submitted so that the kit can be replenished and
re-sealed.

6.7.3 If it is decided to place a “physician’s use only” kit on board, it must be securely stowed and the key placed
in the possession of a designated crew member, normally the PIC.

6.8 SURVIVAL AND EMERGENCY EQUIPMENT

6.8.1 The OM describes the survival and emergency equipment requirements for each aircraft and each route or
area of operation in accordance with Annex 6, Part I (6.5). This equipment includes life jackets or equivalent flotation
devices, life-saving rafts, equipment for making the pyrotechnical distress signals and other signaling devices, ELT,
underwater locator beacon (ULB), means of sustaining life and any other required by State of the Operator regulations.
The OM would include the visual signal code for use by survivors, as contained in Annex 12.

6.8.2 The OM would also have procedures to verify the normal functioning of emergency and survival equipment
before takeoff, including procedures to determine the required amount of oxygen and the quantity available. Further
information on the calculation of oxygen supply is provided in Chapter 9.

6.8.3 Annex 6, Part I, also specifies that the operator have available information on the emergency and survival
equipment carried on board, for immediate communication to rescue coordination centres.

6.9 COMPANY COMMUNICATIONS

6.9.1 The nature of flight operations is such that an essential part of effective operational supervision is a reliable
company communications network. The communications network needs to support providing the most up-to-date
information to the flight crew in all phases of the operation. The operations manual should list the operational offices with
which it may be necessary to establish contact during operations, and the functions of these offices. The phone number
(internal, external, long-distance codes, etc.), telex number, facsimile number, SITA code, email and other contact
information of each office should be listed, as should information on hours of work so as it can be seen who to contact
outside normal hours.

6.9.2 Many operators use commercial communications agencies to provide telephone patch facilities on satellite,
on HF and on VHF to maintain contact between “operational control” and the aircraft. When this type of service is used,
guidance should be given on frequencies and best time of use, selective calling (SELCAL) procedures and form of
messages. Information on this type of facility, on the company’s own radio facilities and on the frequencies and use of
commercial agencies’ radio facilities at other aerodromes, should also be included in the route guide.

6.9.3 In establishing and describing a company communications network, the operator should specify, as a matter
of operational policy, that “company” calls from an operating aircraft be kept to a minimum and should never be allowed
to interfere with the primary task of operating the aircraft safely and efficiently.

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___________________

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 Chapter 7
OPERATIONS SUPERVISION — GROUND

7.1 GENERAL

7.1.1 In accordance with Annex 6, Part I (4.1), an operator shall ensure that a flight will not commence unless it
has been ascertained by every reasonable means available that the ground and/or water facilities available and directly
required on such flight, for the safe operation of the aircraft and the protection of the passengers, are adequate for the
type of operation under which the flight is to be conducted and are adequately operated for this purpose. Annex 6, Part I
(4.3), requires that before a flight commences the PIC certify that certain necessary preparations and checks have been
completed. Among these is the need to complete an OFP. To do this, the pilot will need meteorological information,
information on the status of facilities along the route to be flown and such other information as is required to ensure a safe
and efficient operation.

7.1.2 The aerodrome meteorological office (MET) will supply the required weather information and the aeronautical
information service (AIS) will provide NOTAM and aeronautical information circulars (AIC). The provision of these services
is the responsibility of the State. The operator will provide information, normally through notices to flight crew, regarding
temporary operational information, internal company operational matters, amendments to the OM prior to their
incorporation in the manual, matters affecting airworthiness of aircraft, etc.

7.2 INFORMATION REQUIRED FOR BREIFINGS

7.2.1 Requirements for the provision of pre-flight briefing information to flight operations personnel are provided in
Annex 15, Chapter 5 and PANS-AIM, Chapter 5.

7.2.2 The information, for pre-flight planning, listed in Annex 3 — Meteorological Service for International Air
Navigation, Chapter 9, which includes any or all of the following information:

a) current and forecast upper winds and upper-air temperatures, upper-air humidity, geopotentital altitude
of flight levels, flight level and temperature of tropopause, direction, speed, and flight level of and
maximum wind, SIGWX phenomena, and cumulonimbus clouds, icing and turbulence;

b) METAR or SPECI (including trend forecasts as issued in accordance with regional air navigation
agreement) for the aerodromes of departure and intended landing, and for take-off, en-route and
destination alternate aerodromes;

c) TAF or amended TAF for the aerodromes of departure and intended landing, and for take-off, en-route
and destination alternate aerodromes;

d) forecasts for takeoff;

e) SIGMET information and appropriate special air-reports relevant to the whole route;

Note.— Appropriate special air-reports will be those not already used in the preparation of SIGMET.

f) volcanic ash and tropical cyclone advisory information relevant to the whole route;

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 g) as determined by regional air navigation agreement, GAMET area forecasts and/or area forecasts for
low-level flights in chart form prepared in support of the issuance of AIRMET information, and AIRMET
information for low-level flights relevant to the whole route;

h) aerodrome warnings for the local aerodrome;

i) meteorological satellite images; and

j) ground-based weather radar information.

Note.— Annex 3 establishes that all the information above shall be supplied to operators and flight crew
members, although only part of this information shall be included in the flight documentation. For flights of two hours’
duration or less, after a shortstop or turnaround, there are special requirements.

7.2.3 Where an operator is supplying AIS and MET services documentation to flight crew, there must be a
description in the OM of the administrative functions necessary to ensure that the service provided is adequate. In
particular, it is essential to establish a method of ensuring that the latest information is being supplied.

7.2.4 The information that will be supplied by the AIS and MET offices to the operator must be described in the
OM. This guidance should include the contents of such information, means of ensuring that the latest information is
supplied, means of notifying the operator of any significant change, method of collection of the information and
responsibility for administering and overseeing these functions.

7.3 OPERATOR-PRODUCED INFORMATION

7.3.1 The operator should ensure that operationally significant information is available to flight crew and other
operational staff. Operationally significant information is information on the adequacy of the facilities available and directly
required for a flight (see Annex 6, Part I).

7.3.2 Copies of these notices must be carried on the aircraft until the information is withdrawn or incorporated in
the OM. These notices must be numbered, have effective dates, and be signed by a senior operations official. Depending
upon the size of the operation, it might be desirable to issue different notices for different aircraft types or fleets, or to
divide the notices into “specific aircraft technical” and “general administrative/ operational” categories. The purpose is to
limit the amount of information that must be read prior to the flight to that which is actually required. However, such a
system requires a proper indexing method as well as regular notification of which notices are still in force. Examples of
classes of information that might be promulgated by an operator are as follows:

a) technical notices:

1) general technical or engineering notices, such as information on the type and qualities of the anti-
icing and de-icing fluids being used;

2) specific technical notices, such as information on a modification being progressively carried out on
an aircraft type;

3) airworthiness notices, notices usually originating with the manufacturer or an airworthiness authority
concerning matters affecting the airworthiness of aircraft;

b) administrative and operational notices:

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 1) administrative notices, such as a change in the terms of reference of the chief pilot, or a change in
telephone number for an operations office;

2) operational notices, such as:

i. notice giving information on the aeroplane performance that will be available on a particular
runway which has temporarily shortened declared distances because of maintenance work;

ii. notice giving information on the level of protection for fire-fighting purposes provided at
aerodromes used by an operator, when such level has changed and may affect the
commencement of a flight.

7.3.2 The operator should also display information which the flight crew (and flight operations officer/flight
dispatcher, if applicable) need while preparing OFPs. An example would be notices giving aeroplane basic mass and
centre of gravity index. A system of notifying flight crew of defects which are operationally significant, but allowable for
flight, must be organized so that such defects can be taken into consideration by the pilot (and flight operations officer/flight
dispatcher, if applicable) during the flight planning stage. Safety information should be prominently displayed. Information
of interest from other departments of the company should also be displayed. Typical examples would be operational
notices for cabin crew members or relevant engineering notices for aircraft mechanics.

7.4 OPERATIONAL REPORTING FORMS

7.4.1 The operator should make available a supply of forms and documents that might be required by the flight
crew. Many of these forms are produced by the State and are used to notify or to make a report of specific occurrences.
Examples of such forms would be:

a) accident notification form;

b) incident reporting form (especially where the State has established a mandatory incident reporting
system);

c) confidential safety report form (where the State has established a confidential safety reporting system);

d) air traffic incident report form;

e) bird strike reporting form; and

f) significant navigational errors such as loss of performance-based navigation capability

Note 1.— The format of these forms is the responsibility of the appropriate authority and guidance on when
and how to fill out and return them is usually supplied with the forms. The operator would only be required to ensure that
the forms are available, although in certain circumstances the operator may also collect completed forms for onward
transmission to the appropriate authority.

Note 2.—Some States may permit some or all of these forms to be produced, completed and submitted
electronically.

7.4.2 The operator may also develop some reporting forms for their own use. These forms could include the
following:

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 — Incident notification form. This form should be modelled on the accident notification form. (The format
of an accident notification form is described in Annex 13 — Aircraft Accident and Incident Investigation).

— Operator’s confidential safety report form. Where the operator has established his own confidential
reporting system.

— Ground proximity warning report form. This may be defined as requiring reporting under the mandatory
incident report system in some States.

— Voyage or trip report forms. These forms are normally used to report any unusual occurrence during a
particular flight, or to report any deficiency observed in the facilities used. Some operators have special
forms for some of these occurrences, such as airfield/air traffic services (ATS)/operational deficiency
report forms, or pilot-in-command’s (PIC’s) discretion report for when flight time/duty time regulations
have been exceeded. However, operators should be conscious of the need to ensure that in producing
their own forms they are not merely duplicating information already available from the State forms.
Requiring flight crews to repetitively fill in forms will not encourage reporting of occurrences, and an
effort should be made to arrange a system whereby filling in one easily comprehensive form will suffice
in supplying the information required to all the interested parties. For example, in a situation where
mandatory reporting of incidents is a State requirement, the report to the operator by the pilot should be
a carbon copy or photocopy of the State form.

7.4.3 The available forms, instructions for their completion and the administrative responsibility for maintaining an
adequate supply, should be described in the OM.

7.5 OPERATIONAL FLIGHT PLAN (OFP) FORMS

7.5.1 Annex 6, Part I (4.3.3), requires that an (OFP) be completed for every intended flight; it also establishes that
the OM must describe the content and use of the OFP. The content should include information on:

a) aircraft;

b) crew;

c) aerodromes (take-off, destination and required alternates);

d) route;

e) altitudes and flight levels;

f) fuel supplies; and

g) meteorological information.

7.5.2 The operator will provide OFP forms or a flight planning system (see 7.5.4), for the use of flight crew or, if
applicable, flight operations officer/flight dispatcher. These forms should be completed with all the necessary details
regarding the specific flight, but some information may be pre-prepared for specific aircraft types and/or for specific routings.
When a pre-prepared OFP contains operational information, it is necessary to ensure that only current forms are available.
This requirement also means that an operations staff member must be charged with the responsibility of monitoring
operational information and amending and altering pre-prepared OFP forms when required. It will be necessary to have

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an effective date on such forms and a notice in the operations office should detail the current effective dates of all pre-
prepared OFPs.

7.5.3 The operator must provide the necessary information and facilities for flight crew (and, if applicable, flight
operations officer/flight dispatcher) preparing OFPs. This would include a display of the current aerodrome weather, a
copy, or a means of listening to, the current aerodrome terminal information service broadcast, where applicable, and a
copy of the current upper-winds chart. If the operator uses pre-prepared runway performance information, that information
should be available at the place where OFPs are prepared. Appropriate aeronautical charts, the operator’s route guide,
NOTAM and copies of the AIP(s) must also be available for flight planning purposes. Annex 6, Part I specifies that the PIC
and, where applicable, the flight operations officer/flight dispatcher shall sign the OFP.

7.5.4 When computer-generated flight planning is used the OM should include the necessary information on the
make-up of such a plan and the factors considered. The requirements as to what must be considered in determining the
required fuel are exactly the same as for a manually prepared OFP. However, the OM must give guidance on the sources
of data used in the OFP. For example, information should be given on the make-up and source of the navigation data, the
performance data and the weather data. It will be necessary to explain, in detail, how these data are used in the generation
of the OFP. Normally, certain parts of the data can be overridden, while certain other parts of the data must be entered by
the flight operations officer/ flight dispatcher or the pilot who is preparing the plan. Detailed guidance must be given on
these procedures in the OM. The normal requirements for OFPs, such as who is responsible for producing the plan and
how records are kept, etc., are all equally applicable to computer-generated flight plans.

Note.— See Chapter 9 for detailed information on flight planning.

7.6 ATS FLIGHT PLANNING

7.6.1 A supply of ATS flight planning forms must be available in the operations office. Where required, a means
of submitting the filed flight plan with the ATS must be established. In many regions, repetitive flight plans (RPL) are used
for frequently recurring pre-planned flight operations. When this is the case, it will be necessary for the operator to provide
information detailing which flights have repetitive flight plans stored and the details of the actual plan stored should be
given. The Procedures for Air Navigation Services — Air Traffic Management (PANS-ATM, Doc 4444) establishes the
ICAO model flight plan form, and gives instructions on how to fill out an ATS flight plan.

7.6.2 When, because of local requirements, an ATS non-repetitive flight plan must be submitted earlier than normal
and the flight crew are not available to do this, either because they have not yet reported for duty or have not completed
a previous flight, a flight operations officer/flight dispatcher may be nominated as being responsible for filing the plan.

7.7 AEROPLANE LOADING

7.7.1 The OM should include guidance and instructions on the calculation of aeroplane mass and balance, on the
use of standard figures for passenger mass and baggage, and on any special loading instructions.

7.7.2 In some operations the flight crew will be responsible for the preparation, calculation and completion of the
mass and balance documentation. In other cases, there will be an office responsible for this task. These documents are
generally produced using computers. Whichever method is used, the OM must give instructions on the method of
calculating aeroplane mass and balance. When a special office produces the mass and balance documentation, the OM
must define its responsibility and the responsibility of the PIC in checking and accepting these calculations.

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7.7.3 In calculation of aeroplane mass and balance, certain standard masses may be used. Initially, the actual
aeroplane empty mass and centre of gravity index must be known. For many operations, standard masses are given for
the equipment and catering that will be carried. Standard figures are typically used for fuel used in taxiing. Standard
passenger mass is normally used as well. The figure used may apply to all passengers, or may differ for male and female
passengers, children, infants, etc. Many operators use different standard mass figures for passengers in the winter and
summer months, because of the extra mass of clothing in some of the harsher winter environments. Some operators also
include hand baggage in the passenger mass, whereas other operators separate it and calculate, using a standard mass
for each piece, the mass of hand baggage. Details of the standard mass permitted and when they may be used should be
given in the OM. The standard figure used should be conservative and it must be recognized that on occasion it will be
unrealistic to use standard masses, and actual figures must be used.

7.7.4 The OM should give information and instructions on any special loading requirements. The most obvious
requirements are those related to the carriage of dangerous goods. The Technical Instructions for the Safe Transport of
Dangerous Goods by Air (Doc 9284) will be known to flight crew through the dangerous goods training programme. If an
operator has more restrictive requirements or differences to the Technical Instructions, these should be clearly identified
in the OM. Appropriate information and instructions must be given on the carriage of other special loads. Examples include
guidance on the carriage of livestock, valuable cargo, perishable cargo, diplomatic mail, etc. While the guidance given will
not be as detailed as that given to the personnel engaged in the loading and handling of cargo, baggage, etc., it should
be sufficiently detailed to allow crew to check that the regulations and company requirements have been complied with.
In this respect, many of the messages or details about special cargo will be given in code. The code normally used for this
purpose is the handling/load code developed by the International Air Transport Association (IATA). The required codes
should be explained in the OM.

Note..— Additional information regarding passenger and baggage standard weights can be found in the Tenth
Session of the Statistics Division (Doc 9932).

7.8 ADMINISTRATION AND CONTROL OF OPERATIONAL DOCUMENTS

7.8.1 The documents and manuals used in pre-flight planning and on the aircraft must be administered and
controlled to ensure that current information is always available. In many instances, technical manuals (e.g., the aircraft
operating manual) and documents (e.g., the route guide) are distributed to each crew member. The upkeep and
amendment of these documents then becomes the responsibility of the holder. However, it is necessary to organize a
system of distribution of any amendments, and a system of numbering the amendments and of recording their
incorporation in the manuals must be established. A notice giving the latest revision date or status of each document must
be displayed in the operations office. Copies of each document will be available in the operations office for reference
purposes and the task of amending these particular documents would be assigned to an operations staff member.

7.8.2 The operations staff member charged with over-all control of documents and manuals should retain a master
copy of each. In situations where the required documents are issued to the flight crew at the beginning of each flight duty,
a method of ensuring that the documents are current must be established, and the amendment status of any manual or
document must be readily identifiable. Some operators leave many of these documents, such as the route guides or the
aeronautical charts, on board the aircraft as part of the ship’s library. This again requires that a member of the operations
staff be charged with the responsibility of ensuring that the documents on board the aircraft are complete, amended and
current.

7.8.3 It is probable that the system established by an operator will be a combination of the above methods, so that
some documents are issued to the flight crew individually while some are held in the operations office (either permanently
or taken to the aircraft by the operating crew), and others are left on the aircraft permanently. In any case, what is essential
is that a system of control, numbering and recording the incorporation of amendments be established to easily determine

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the status of any document. The responsibility for, and method of operation of such a system, must be detailed in the OM.

7.8.4 As well as the documents mentioned above, many other documents and manuals must be retained in the
operations office for reference purposes. Examples would be the training manual, flight manual, and company general
staff manuals. These manuals must be amended and kept current and the responsibility for this must be indicated in the
OM.

7.9 OPERATIONS ORIGINATING FROM OUTSTATIONS

7.9.1 When the aircraft and/or crew are based at outstations, the documents and manuals on the aircraft must be
current and that the latest operational information is supplied to crews. When the number of operations and crews based
either permanently or temporarily at an outstation becomes large enough to warrant it, it may be practicable to establish
a crew briefing/planning office at the outstation. A crew briefing/planning office at an outstation can be responsible for the
normal functions of the main office for the aircraft and crews based at the outstation. If this is done, however, a clear
reporting line between the outstation(s) and the crew briefing/planning office at the main base must be established.

7.9.2 When the aircraft and/or crews are based at an outstation on an irregular basis or for very short periods,
such as for a single overnight stop, it would not be reasonable to require that a crew briefing/planning office be established
at that outstation. In these circumstances it is necessary for the crew briefing/planning office at the main base to retain
control of this type of operation and to ensure that any relevant operational information or essential amendments to any
operational document is made known to the operating crew prior to their completing their pre-flight preparations.

7.10 PRE-FLIGHT REPORTING AND DUTIES

7.10.1 The OM should specify the pre-flight reporting time (see also Chapter 5) and duties of flight crew. If an
operator requires crew members to phone in ahead of reporting for duty, instructions on this must be given; or, if the
operator has a system of standby or “on-call” flight crew, the method of operation of that system must be described. The
OM will normally specify the procedure to follow in the event that a crew member is unable to report for duty.

7.10.2 For operations originating at outstations, the OM will normally give details of the reporting time for flight crew.
The manual might also list the appropriate telephone numbers at outstations so that flight crew can contact local
operational personnel when required.

7.10.3 The OM should specify the flight planning/briefing duties of flight crew members. These duties will vary from
operator to operator. For example, the duties of a flight crew member where an operator uses computer-generated flight
plans and keeps all the necessary documents and manuals on the flight deck of the aircraft will be different from the
situation where the flight crew member completes his own flight plans and is also responsible for amending his own route
guides, etc.

7.10.4 Many operators use flight operations officers/flight dispatchers to complete or to assist the flight crew in
completing the pre-flight planning. The extent of the duties of the flight operations officer/flight dispatcher in pre-flight
planning will vary, depending on the method of work or of control and supervision of flight operations. Typical duties of
flight operations officers/flight dispatchers would include the provision of assistance to the flight crew to complete the flight
planning. An example would be where the flight operations officer gathers the necessary documentation for the flight crew
and, when required, completes the OFP or submits the ATS filed flight plan. Another example would be where the
preparation of all the necessary pre-flight documentation is the responsibility of the flight operations officer/flight dispatcher,
who also briefs the flight crew, and in the light of the pilot’s operational decisions, completes the documentation. The OM
will need to give instruction on the division of duties where flight operations officers are employed.

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 7.11 POST-FLIGHT RETENTION OF RECORDS

7.11.1 Annex 6, Part I (4.3.2), specifies that completed flight preparation forms shall be kept by an operator for a
period of three months. The State of the Operator may require that additional records be kept and/or that records be kept
for longer periods. In addition, the operator may decide to keep other records for his own purposes. The OM should
describe which records are to be kept, how and where they are to be stored, who may have access to them, and how long
they are to be retained. The role of the flight crew in returning various documents to the main operations office should be
emphasized. It will be necessary to detail which records the crew must return. Further information on retention of
documents is provided in Chapter 6, 6.5.

___________________

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 Chapter 8
OPERATIONS SUPERVISION — FLIGHT

8.1 INTRODUCTION

An operator should specify the policies, processes and procedures applicable to flight crew during flight operations in order
to define the practical “method of control and supervision” of flight operations specified by Annex 6, Part I (4.2.1.3). The
normal, abnormal, emergency and other procedures regarding the technical aspects of operating a specific aircraft are
normally provided in the aircraft operating manuals (AOM), checklists and other documentation are supplied by the
manufacturer. These manufacturer documents typically form a large part of the operations manual (OM). An operator
should, however, provide additional guidance in the OM on those policies, processes and procedures, which are of a more
general nature and not necessarily aircraft specific. Such general guidance would address, for example, the policy on the
division of pilot flying (PF) and pilot monitoring (PM) duties or on the contents of passenger safety briefings.

Note 1.— This chapter identifies the policies, processes, procedures and related information, guidance
material and data which would typically be addressed by the operator in the OM. The emphasis herein is on content other
than that which would be typically provided by the manufacturer in the AOM.

Note 2.— The overarching relationship between AOM and non-AOM content is also typically addressed by
the operator in the OM.

8.2 FUELLING

8.2.1 The OM should include details of the pre-flight policies and procedures to be followed while refuelling aircraft.
Such policies and procedures typically address:

a) general precautions to be observed during aircraft fueling operations (e.g., HF radio and weather radar
operation, ground transfer of fuel);

b) normal fuel system operating and refuelling procedures (e.g., panel setup, pump usage, fuel load
distribution, fuel pressure, etc.);

c) non-normal re-fuelling procedures (e.g., refueling with battery power only or with no AC/DC power
source available), as applicable;

d) the steps to be followed by the flight crew to ensure the planned fuel load is on board which should
include cross checks between aircraft gauges and volume uploaded. The additional steps to be taken
in the event of any gauge unserviceability should also be specified;

e) the acceptable limits for discrepancies between different measurements;

f) the acceptable limits for fuel imbalance and procedures for the ground transfer of fuel/de-fuelling;

g) water contamination checks, including when and where they are required;

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 h) definition of permissible fuel types, confirmation of the correct types of fuel uplifted, specific gravity and
freeze point, if applicable;

i) the additional precautions when refuelling with fuels other than aviation kerosene, or when refuelling
results in a mixture of aviation kerosene with other aviation turbine fuels or when an open line is used;

j) the precautions when refuelling takes place with passengers on board. In particular, the OM must clearly
identify the “qualified personnel” required to man the aircraft during these operations; and

k) action to take in the event of a significant fuel spillage.

Note.— Provisions concerning aircraft refuelling are contained in Annex 6, Part I and Annex 14, Volume I.
Guidance on safe refuelling practices is contained in the Airport Services Manual, (Doc 9137), Parts 1 and 8.

8.3 RECORDS TO BE LEFT WITH GROUND PERSONNEL

8.3.1 The OM should specify which copies of records are to be left with ground personnel, how they are to be
retained, who should retain them and for how long. To accomplish this aim, the operator should have a means for the
management and control of operational records to ensure the retention of records is in accordance with the requirements
of the State. Such means should be documented in the OM and address the collection and retention of records associated
with a particular flight which, depending on State requirements, may include:

a) a record of the acceptance, by the PIC, of the OFP or equivalent document;

b) maintenance records regarding the technical serviceability of the aircraft;

c) records of the amount of fuel on board;

d) oil records to enable the operator to ascertain trends for oil consumption;

e) records of emergency and survival equipment carried on board available for immediate communication
to rescue coordination centers;

f) dangerous goods notification; and

g) final load and trim sheet.

Note 1.— It has become common practice to dispense with paper copies and to maintain an electronic record.
In all cases, the OM should state how such data are to be collected and stored. If the operator utilizes an electronic system
for the retention of operational records it is also typical to have a means for the generation of scheduled back-ups of record
files.

Note 2.— Provisions concerning record collection and retention are contained in Annex 6, Part I.

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 8.4 USE OF MINIMUM EQUIPMENT LIST (MEL) AND
CONFIGURATION DEVIATION LIST (CDL)

8.4.1 The master minimum equipment list (MMEL), minimum equipment list (MEL) and configuration deviation list
(CDL) are documents that require the approval of the State of aircraft design. The MEL is a list which provides for the
operation of aircraft, subject to specified operating conditions, with particular equipment inoperative, prepared by an
operator in conformity with, or more restrictive than, the MMEL established for the aircraft type. In other words, the MEL
is established for a particular aircraft type containing items, one or more of which is permitted to be unserviceable at the
commencement of a flight. The CDL on the other hand, identifies any external parts of an aircraft type which may be
missing at the commencement of a flight, and which contains, where necessary, any information on associated operating
limitations and performance correction.

8.4.2 The operator should provide sufficient MEL processing guidance in the OM to ensure the PIC can determine
whether a flight may be commenced or continued from any intermediate stop should any instrument, equipment or systems
become inoperative. Additionally, the OM should contain CDL processing guidance to ensure operating limitations and
performance corrections associated with missing components are appropriately observed and applied. Taken together,
the MEL and CDL define the conditions that allow for aircraft operation in accordance with the specifications of its type
design.

8.4.3 To ensure adequate and appropriate MEL/CDL processing occurs prior to flight commencement the operator
typically ensures that the OM:

a) is available for use by the applicable operational personnel prior to flight commencement;

b) contains the MEL and CDL as integral parts;

c) defines the MEL and the CDL and contains instructions for their use;

d) defines the responsibilities of the PIC with respect to processing items in accordance with the MEL/CDL;

e) specifies the actual status of the MEL/CDL with respect to the MMEL and so the MEL/CDL do not affect
compliance with the airworthiness requirements applicable in the State of Registry (i.e. whether they are
approved by the airworthiness authorities, whether they have extra items added by the operator, etc.);

f) describes any differences between the MEL and MMEL as well differences between variants within
aircraft type that may affect MEL processing;

g) defines the point in time when the MEL/CDL are applicable (e.g., prior to flight commencement);

h) contains the procedures for dispatch with items or equipment unserviceable including appropriate
placarding of unserviceable equipment and including guidance on different combinations of failures.

i) contains guidance for dealing with failures in-flight that will require MEL/CDL processing after landing
and prior to the next flight (e.g., a list of those preferred aerodromes to which aircraft should divert in
the event of a failure in flight, so that the defect can be rectified before another flight is undertaken).

Note 1.— Refer to the glossary for the definitions of MMEL, ME) and CDL.

Note 2.— The responsibilities of the PIC in accepting an aeroplane for operation with deficiencies in
accordance with a minimum equipment list are specified in Annex 6, Part I, Chapter 4, 4.3.1.

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 Note 3.— Annex 6, Part I, Attachment E contains additional guidance on the MEL and associated OM
guidance.

8.5 PASSENGER CABIN BRIEFINGS,

INSTRUCTIONS AND COMMUNICATIONS

8.5.1 Annex 6, Part I (4.2.12) specifies that certain information and instructions be given to passengers. Additional
information is also provided in PANS-OPS, Volume III, Section 6. The OM should describe:

a) a requirement for briefing and demonstration of the safety equipment, features and procedures of the
aircraft;

b) the timing of such briefings (e.g., before takeoff and a reminder pre descent);

c) the contents of the passenger briefing and demonstration to be given by the cabin crew. Typically, this
will include information on emergency exits, emergency equipment, use of seat belts (including advice
on keeping seat belts fastened at all times), no-smoking restrictions, observing ordinance signs and,
when appropriate, information on and a demonstration of, passenger oxygen masks and for flights where
required, location of and instruction in use of life jackets; and

d) consideration of communication in languages appropriate to the passengers carried on the flight.

8.5.2 In addition, the OM should give guidance to the PIC on:

a) the use of the seat belt sign;

b) when the cabin crew should be advised also take their seats and wear their safety belts or harnesses,
and when to resume duties;

c) standard signals between the cockpit and cabin, such as a signal prior to commencing take-off, or prior
to landing;

d) standardized report for the cabin crew to inform the PIC that the passenger cabin is prepared for take-off
or landing; and

e) the use of portable electronic devices in the passenger cabin and on the need to include instructions in
the passenger briefing.

Note.— Detailed guidance on passenger safety briefings and the content of the pre-flight safety
demonstration is contained in the Manual on Information and Instructions for Passenger Safety (Doc 10086).

8.6 IN-FLIGHT PROCEDURES

8.6.1 The OM should describe the policies and procedures of which the flight crew should follow and be aware of
during flight operations. The list of topics that the operator should address will be related to the type of operation and its
complexity, but typically would include at least those described in a) to m) below.

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 a) Standard operating procedures (SOPs) consisting of:

1) procedures described in the OM (in-flight procedures);

2) flight profiles and patterns described in the AOM;

3) standard call-outs;

4) standardized use of checklists (normal, abnormal and emergency); and

5) allocation and division of duties among flight crew members;

Note 1.— The OM must state that SOPs are mandatory. Any deviation must be challenged immediately by
other flight crew members. If the deviation is not rectified or if there is no reaction, subtle incapacitation must be assumed
and the appropriate action taken to restore the flight to correct operation. Nothing, however, should prevent the PIC from
taking appropriate action in emergency.

Note 2.— PANS-OPS, Volume III, Section 6 contains additional information regarding the objectives and
design of SOPs.

b) cockpit discipline during critical periods of flight when the following activities are banned:

1) non-essential conversation; and

2) non-essential activities, such as keeping log books, technical logs, etc.

c) instructions on the standard use of checklists to include:

1) the actual method of using checklists which, depending on aircraft type, may be read only as a
check or back-up when the actual required actions are complete, or used as requiring an action in
response to the item called out;

2) who will read the checklist and who will carry out the required actions, or confirm that the required
actions have been carried out and make the required response;

3) that each item on the checklist must be responded to before the check can continue;

4) Whether certain checks must be read by a specific crew member. For example, it might be specified
that the pre-start check must be read by the co-pilot and answered by the PIC; and

5) the need to check that the memory items of an emergency checklist have been accomplished before
continuing with non-memory items, or considering the checklist complete;

Note .— PANS-OPS, Volume III, Section 6 contains additional information regarding the objectives and
design of checklists.

d) Flight crew procedures to use the company’s communications networks to contact “operational control”
and get the most up-to-date information in all phases of the operation.

e) aircraft ground-handling communications detailing standard methods of communication between the

ground crew and the flight crew to include:

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 1) both ground-to-cockpit intercom and hand signals;

2) a set of standardized phrases for use on intercom during engine-starting, push-back, towing and
parking;

3) for engine-starting, the phraseology should address both normal engine starts and non-normal
starts, such as the use of external batteries or high-pressure bottles; and

4) a description of the signals to be used when intercom is not available.

Note.— Marshalling signals are described in Annex 2 — Rules of the Air, Appendix 1. A copy of these signals
should be available in the OM, or be prominently displayed where both ground personnel and flight crew can see them.

f) taxiing guidance, typically contained in the AOM, which provides information on turning radii, propeller
clearances, jet efflux, ingestion dangers and the effect of long taxiing distances and braking on brake
and tire temperatures. The OM should give general instructions on the need to exercise due care while
taxiing an aircraft;

g) take-off and landing data calculation including the method of calculating and checking of:

1) take-off speeds V1, Vr, V2;

2) landing reference speed Vref; and

3) engine power settings, etc.

Note.— The OM would also specify who should perform the calculations and who should cross-check them.
If take-off and landing data cards are used, the manual should indicate what information is to be shown on the card, who
should derive the data, and how it is to be cross-checked.

h) guidance on standard briefings to include:

1) the pre-flight briefing;

2) the departure briefing; and

3) the arrival brief.

Note. — PANS-OPS Volume III, Section 6 includes more information on the content and purpose of crew
briefings.

i) guidance on standard call-outs to include:

1) the particular speeds to be called during take-off;

2) standard calls after take-off;

3) standard calls en route;

4) standard calls changing altitude or flight level;

5) standard instrument cross-check call after take-off and at top of descent;

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 6) speed deviations during approach;

7) deviations from the glide slope/localizer;

8) standard height calls such as 300 m (1 000 ft)/outer marker, 150 m (500 ft), 30 m (100 ft) to
“decision”,

9) standard calls for the transition to landing phase, such as runway in sight, airspeed, and rate of
descent;

10) standard calls during the landing roll such as speeds and reverse power settings; and

11) standard calls during the missed approach, the go-around call and configuration and power-setting
calls, instrument cross-checks and height checks should also be established.

j) standard noise abatement procedures. This may include information on noise-sensitive aerodromes, on
the use of preferential runways for take-off and landing, on the use of preferential routes during the
take-off and approach phase, and the use of specific procedures during take-off and landing. Information
on noise abatement procedures is given in PANS-OPS, Volume III, Section 9 and should be consulted
when specifying particular procedures for the OM;

k) altimeter procedures that specify:

1) accuracy checks to be carried out, both altimeter-to-altimeter and altimeter-to-true altitude, on the
ground and during the flight (precise values may differ according to aircraft type);

2) procedures and cross-checks to use when changing from standard pressure to local pressure (QNH)
and, where appropriate, from QNH to QFE and vice versa;

3) a system of cockpit cross-checking should be detailed for each of these changes and guidance
given on the procedures to follow in the event of a difference between the altimeter readings;

4) reasonableness checks on approach when crossing appropriate fixes; and

5) use of radio altimeters when fitted;

Note .— Useful information and guidance on altimeter setting procedures are provided in PANS-OPS,
Volume III, Section 2.

l) fuel remaining — shortage of fuel including complete guidance on the management of fuel in flight, to
address:

1) regular fuel checks en route;

2) action to be taken before fuel on board approaches the approach plus divert fuel;

3) circumstances in which the crew may be permitted to ‘divert to destination’; and

4) meaning and use of calls to ATC of ‘minimum fuel and ‘mayday (fuel)’ See Annex 6, Part I (4.3.7).

m) stabilized approach guidance which should explain:

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 1) the definition and application of stabilized approach criteria;

2) the distinction between targets and requirements; and

3) the need to continue to apply stabilized approach criteria below the target height to landing.

8.7 ADVERSE WEATHER OPERATIONS

8.7.1 The OM must contain information and guidance on flight operations in adverse weather conditions. This
should consist of a statement of the operational policies related to flight in these conditions, and provide information on
the weather phenomena involved. A typical list of topics addressed would be:

a) operations from contaminated runways;

b) ground operations in adverse weather;

c) aircraft ground icing;

d) thunderstorm avoidance, turbulence;

e) in-flight icing conditions; and

f) wind shear.

8.7.2 Information on the effect of runway contamination (snow, slush, ice, standing water, etc.) on aircraft
performance is included in the performance information. This section of the OM should include information on:

a) methods of measuring runway coefficient of friction;

b) aquaplaning;

c) definitions of wet snow, slush, etc. and;

d) any operational instructions, e.g., delaying the deployment of flaps and slats when taxying before take-
off on some types of contamination, or delaying retraction after landing and the problems caused by ice-
and snow-covered aprons and taxiways for aeroplane taxiing, push-backs and parking.

8.7.3 OM information on ground operations in adverse weather should:

a) define icing conditions, i.e. those conditions during which it is necessary to begin taking precautions
against the possible occurrence of ice on the aircraft’s surfaces;

b) contain information and guidance on the different types of ice that may be experienced, on how icing
conditions may be recognized and on the means of guarding against and removing the ice;

c) contain information on types of anti-icing and de-icing fluid approved, and different methods of removing
ice from the aircraft’s surfaces, including the holdover times of the different fluids, of the different
mixtures and of combinations of fluid; and

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 d) provide the wind speed limits for operation of integral aeroplane airstairs, passenger and cargo doors,
etc.

Note.— In addition to information on anti-icing and de-icing, the OM should include guidance on aircraft icing
on the ground, de/anti-icing fluids, holdover times and de/anti-icing procedures and training is given in the Manual of
Aircraft Ground De-icing/Anti-icing Operations (Doc 9640).

8.7.4 The OM should contain information on the different causes and forms of thunderstorms, including:

a) thunderstorms associated with frontal passage, air masses, squall lines, etc.;

b) the phenomena experienced during thunderstorm passage across an aerodrome or inadvertent

penetration;

c) the effects of hail, severe turbulence, extreme levels of precipitation, lightning, gusts, wind shear and
icing;

d) recommended minimum separation from thunderstorms;

e) the authority of the captain to divert, delay, re-route or to cancel flights to avoid encounters with
thunderstorms;

f) precautions to be taken when flying in areas of thunderstorms, including the need for passengers and
crew to be seated and wearing safety belts, securing loose objects on the flight deck, switching on
cockpit lights to minimize the blinding effects of lightning, etc.;

g) recommended turbulence airspeeds and power settings;

h) correct aircraft handling techniques; and

i) buffet margins (especially for large turbine-powered aeroplanes).

8.7.5 The OM should provide information on the use and the limitations of weather radar. The AOM may contain
system description information and operating instructions for the radar system fitted. However, it is appropriate for the OM
to expand on this material. Topics include:

a) radar return strength from different forms of precipitation (rain, ice, hail, etc.);

b) interpretation of radar returns, and effect of radar controls (gain, antenna tilt, contour, etc.); and

c) the characteristics of the different types of radar that an operator might have on different aircraft in his
fleet should be discussed, e.g., C band and X band radars including information on the different
attenuation characteristics of these radars, and where necessary.

8.7.6 The OM should contain information on clear air turbulence (CAT), including:

a) turbulence associated with the jet stream and caused by mountain waves;

b) avoiding turbulence and actions taken if an inadvertent encounter occurs;

c) appropriate flying technique; and

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 d) advice on the quickest method of exiting from an area of clear air turbulence (e.g., the jet stream should
be crossed at right angles when turbulence is known or suspected to be present).

8.7.7 The OM should discuss the problems associated with flight in icing conditions. The OM should provide
guidance appropriate to the aircraft being operated and to the environment in which it operates in:

a) effects on pitot static systems;

b) correct operation of de- and anti-icing systems; and

c) effect of icing on power output.

8.7.8 The OM should contain information on wind shear including:

a) conditions in which shear can be experienced, such as thunderstorms, gust fronts, frontal shears, and
mountain waves, etc.;

b) the effect of shear on aeroplanes, emphasizing that some shears (microbursts) can be of such intensity
that aeroplanes cannot successfully fly through them;

c) ground-based detection systems, such as the low-level wind shear alert system (LLWAS), and of their
limitations;

d) airborne detection systems; and

e) recommended flight procedures.

Note.— Circular 186 — Wind Shear contains detailed information on this topic.

8.7.9 The above weather phenomena, if encountered when not forecast, should form the basis of a pilot report.
The OM should explain how these reports should take form and describe the terms used. Except where regional
supplementary procedures dictate otherwise, aircraft are required to make routine meteorological observations, or air
report (AIREP). The operator must provide AIREP forms based on instructions contained in the Procedures for Air
Navigation Services —Air Traffic Management (PANS-ATM, Doc 4444), Appendix 1, when the aircraft operates in areas
or on routes where such reports are required. The OM should instruct how to complete this form.

8.8 WAKE TURBULENCE

8.8.1 The OM should describe details relating to wake turbulence, including:

a) correctly applying ATC separation Standards does not guarantee the absence of a wake turbulence
encounter;

b) ATC separation Standards between aircraft categories and wake turbulence categories are not uniform
globally;

c) how operating in tail- or light- winds may increase encounters; and

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 d) the need to avoid flight paths that pass below those of heavier aircraft.

8.9 VOLCANIC ASH

8.9.1 The OM should describe, where appropriate, details relating to flight through volcanic ash cloud, including:

a) the specific hazards of volcanic dust;

b) recognize an inadvertent encounter, (difficult to do at night or in a cloud);

c) avoid flying in these areas;

d) recommended recovery actions to restart engines; and

e) how to interpret volcanic ash charts.

8.10 NAVIGATION

8.10.1 Specific navigation procedures depend on the aircraft equipment, the route being flown and ATS
requirements. Although much of the guidance on navigation procedures will be in the AOM or in the route training guidance,
over-all policy on navigation procedures should be contained in the OM. For example, recording all clearances, and
keeping a complete and accurate log of the navigation of the flight should be detailed in the OM. The aim should be to
keep a log such that the navigation of the flight could be accurately reconstructed.

8.10.2 If it is required to maintain a navigation or flight log, it would be described in the OM and typically contain:

a) estimated arrival time at each reporting position;

b) revised estimates;

c) actual arrival time and altitude or flight level; and

d) fuel on board, both as total quantity at a given time or position and as a measurement against planned
usage or against fuel required at destination.

8.10.3 Airways navigation

a) When en-route, SID, and STAR navigation is by means of a flight management system or equivalent,
the OM should:

1) show how the flight plan is entered and verified by the crew;

2) if a stored route is not available, define how the crew enters the flight plan into the FMS; and

3) how the entries are cross checked by other crew member(s).

b) When en-route navigation is by following radio aids, the OM should explain:

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 1) proper identification of aids;

2) use of all available aids to cross-check the primary aid being used for navigation; and

3) monitor aids continuously for the presence of warning flags, etc.

8.10.4 Approach Navigation. The OM should state that:

a) all available radio aids should be used, irrespective of the type of approach being flown, visual or
instrument; and

b) all crew members should identify required approach aids.

8.10.5 Departure navigation without FMS. The OM could also require that during departures, the radio aids be set
up in a standard manner. For example, primary aids are set to show the initial track to the pilot flying and other aids are
set to confirm this or to show necessary cross-tracks, etc. If there is an extra radio aid available, such as a standby VOR
set or a second ADF, these could be set to give immediate return guidance to the take-off aerodrome.

8.10.6 Long-range navigation (if applicable to the operations of the operator). Where the authority requires a plotting
chart to be completed for specific long-range flights (e.g., NAT HLA), instructions for its completion and on the correct use
of long-range navigation systems other than GNSS should be detailed in the OM.

— Appropriate guidance is needed where long-range flights, requiring the presence of a navigator or the
use of long-range navigation systems such as INS and GNSS, are undertaken. When a navigator is part
of the crew, the OM must detail their responsibilities and duties. This could include ensuring that the
appropriate charts, navigation logs, manuals and serviceable navigation equipment are on board the
aircraft. Details will depend on the equipment used and the route flown. The OM should detail the
primary responsibility of the PIC for the safe navigation of the aircraft and guide the pilot and the
navigator to work together.

— When long-range flights are undertaken but a flight navigator is not part of the crew, instructions for pilot
navigation techniques and the associated procedures must be detailed in the OM. It must clearly outline
who is responsible for navigation, how to set up the navigation systems (both pre-flight and during flight),
how to check them, and what record (log) to keep during flight. Continuously cross-checking navigation
systems against each other and against other sources of position information (such as off-track VORs,
ADFs, etc.) must be emphasized. Information on, including the limitations associated with, using
weather radar in the mapping mode to cross-check aircraft positions should be included in the OM.
Typically, for long-range flights a chart is carried with the planned route plotted pre-flight. During the
flight at each reporting point, or way-point, the pilots must check the navigation system present positions
against the flight plan position, log the system position and verify that the track and distance for the next
track are correct. In addition, the OM might specify that between way-points a system position check
must be made at sector midpoint. The setup of different systems could also be explained. For example,
the pilot flying monitor cross-track, and the pilot not-flying monitor along track could be specified. The
manufacturers of navigation systems normally supply pilots’ operating handbooks and it may be possible
to incorporate these handbooks in the OM with very little alteration. However, it may be necessary to
develop additional procedures, reflecting the operator’s own methods of operation.

— In addition to the above, when flights are conducted in areas with specific navigational requirements,
such as the NAT HLA, the OM must explain the procedures to be followed. NAT HLA procedures should

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 be based on North Atlantic Operations and Airspace Manual (Nat Doc 007)1 published by the European
and North Atlantic Regional Office of ICAO.

— For the North Pacific Region, the NOPAC manual published by the Federal Aviation Administration in
the United States should be consulted. The procedures described in both the North Atlantic and North
Pacific publications must be adhered to and the importance of such adherence in maintaining a safe
and workable system must be emphasized, particularly as the great majority of track-keeping errors in
these regions are attributable to errors in inserting and checking way-points.

8.11 FLIGHT TRACKING

8.11.1 The OM should specify the responsibilities and functions of the operations control personnel related to
aircraft tracking and location of an aircraft in distress.

8.11.2 Details regarding the monitoring of 15-minute reporting, in compliance with Annex 6, Part I, 3.5, shoud be
specified along with the actions to be taken in the event of a missed position report.

Note.— Requirements for operators regarding monitoring aircraft position are provided in PANS-OPS,
Volume III, Section 10. Additional information on the establishment of a monitoring process is provided in - Aircraft Tracking
Implementation Guidelines (Cir 347).

8.11.3 Where the operator’s aircraft are fitted with a device to transmit information from which the location of an
aircraft in distress can be determined (see Annex 6, Part I, 6.18) additional procedures for the monitoring of notifications
and follow-up actions should be clearly specified in the OM.

Note.—The Manual on Location of Aircraft in Distress and Flight Recorder Data Recovery (Doc 10054)
provides additional information regarding the operator processes.

8.12 EMERGENCY PROCEDURES

8.12.1 General. Although the actual drills and procedures to be followed in the event of an emergency are included
in the AOM and in the associated checklists, some general guidance on the subject must be provided in the OM. This
includes policy decisions, considerations and guidance not forming part of the standard emergency drill, but still must be
addressed. The following topics, as a minimum, should be addressed:

— Rejected take-off decision guidance. While the PIC is always responsible for this decision, there are
complicating factors. Primary among these is the decision process when the co-pilot is flying the aircraft.
In any event, the nature of the technical problem encountered, the speed of the aircraft and the length
of runway remaining are all factors that must be considered in an extremely short period of time. The
OM must detail company policy on the subject. After reaching the take-off decision speed (V1),the take-
off must be continued, but the policy on abandoning take-off at speeds below V1 must be detailed. Many
operators specify that at high speed, for example, above 100 knots in a large transport aircraft, take-off
shall only be abandoned for major failures, such as engine fire or failure, or the failure of a major system
when continued flight would be hazardous. Some operators state that the “abandon” decision must
always be made by the PIC. Other operators, at the PIC’s discretion, allow the decision to be delegated
to experienced co-pilots. The responsibility for, and the method of initiating, a rejected take-off should

1
ICAO / European and North Atlantic (EUR/NAT) Office / EUR and NAT Documents

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 be part of the briefing before a take-off. Because confusion may arise when a problem cannot be simply
analysed during take-off, many operators specify that the PIC clearly call out what their intentions are,
so they will call “abandon take-off”, or, if a decision to continue is made, they will call out “continue”. The
applicable policy of an operator will depend on a number of factors, such as aircraft type, number of
flight crew, relative experience of flight crew members, etc. The operational policy must be clear in the
OM and:

a) state the responsibilities of both crew members for the decision to abandon take-off;

b) distinguish between rejections at low and high speed;

c) state the conditions required to abandon take-off at high speed;

d) define the actions required by each crew member throughout the deceleration, including any
handover necessary if nose wheel steering is not available to both crew members;

e) the importance of wind direction on final alignment of the aircraft in the event of fire; and

f) emphasize that rejection, when above the decision speed, should only be considered in extreme
situations, failure of more than one engine, or extreme control difficulty.

— In-flight engine shut-down guidance. The OM should explain the procedures following in-flight engine
shut-down:

a) normally, for a twin-engined aircraft, to land as soon as possible at the nearest suitable aerodrome;

b) for three- or four-engined aircraft, it need not land at the nearest suitable aerodrome, but clear
instructions should be given on the calculation of drift down altitude, and on fuel consumption at
drift down altitudes; and

c) specific instructions for EDTO flights should be given. A number of factors could be considered
before a deciding to continue to destination or land at some other suitable aerodrome. When safety
considerations allow choosing from a number of suitable aerodromes, technical and passenger
facility considerations can be a factor. Some operators give information on preferred technical
alternates, where spare engines may be held or suitable technical facilities for repairs are available.

— Overweight landings and fuel dumping. The OM should provide guidance on:

a) when an overweight landing may be carried out (e.g., single engine failure on a twin engine aircraft,
fire on board);

b) when and where to jettison fuel if available; and

c) runway selection for overweight landings. Many smaller aircraft have the same maximum mass
limitation for both take-off and landing. Larger aircraft can have a considerable difference of mass
between these two operational limits. On occasion, for emergency reasons, an aircraft may have
to land immediately after take-off at a mass well in excess of the maximum permissible landing
mass. Three- and four-engined aircraft normally have the facility to dump fuel and the procedures
for this are given in the AOM and in the appropriate checklists. However, many twin-engined aircraft
do not have this facility and there will be occasions when they must land overweight. Even for three-
and four-engined aircraft it may sometimes be prudent to land immediately, although overweight,

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 than to attempt to dump fuel. The OM must advise on the factors to be considered before a PIC
decides whether to burn off fuel, to dump fuel, or to land overweight. Such factors are the length of
runway available, the runway condition (wet or dry, etc.) and the malfunction or failure that is the
reason for the emergency landing, as for example, a hydraulic failure might mean that the braking
capability of the aircraft is adversely affected.

— Dangerous goods incidents. Training for dealing with dangerous goods incidents will be given to both
flight crew and cabin crew as part of the dangerous goods training programme. The Manual on
Emergency Response Guidance for Aircraft Incidents involving Dangerous Goods (Doc 9481) gives
guidelines to assist in developing emergency response procedures for dangerous goods incidents on
board aircraft. This document may be incorporated in the OM or an operator may choose to develop
procedures based on the material. In either case, the alphabetical and numerical list of dangerous goods
and the associated emergency response drill chart should form part of the OM. An operator may specify
the appropriate drill number for each dangerous goods item carried on the dangerous goods notification
form.

— Incapacitation. The OM should give guidance on recognizing pilot incapacitation. Complete and sudden
incapacitation is easily recognized, and other flight crew members taking immediate and positive action
to maintain a safe flight profile is obvious. The more insidious case is when the incapacitation is subtle
or partial, and guidance should be given on recognizing these events at an early stage. This advice
includes the type of deviation from normal, or standard, operating procedure that should alert other crew
members to the possibility of incapacitation. Such incidents normally require assistance by the cabin
crew in handling the incapacitated pilot. The procedures involved normally form part of the recurrent
training programme.

— Distress and urgency radiotelephony communications procedures. These procedures are fully detailed
in Annex 10 — Aeronautical Telecommunications, Volume II — Communication Procedures including
those with PANS Status and Additional guidance is given in the Manual of Radiotelephony (Doc 9432).
The OM should give guidance on these procedures based on the Standards, Recommended Practices
and guidance in these documents and should, as a minimum, specify the elements that should be
contained in a distress or urgency message.

— Unlawful interference. The OM should contain:

a) the procedures to be followed by a crew in the event of an act of unlawful interference;

b) flight deck door operating procedures;

c) response to specific bomb threats in flight, including:

1) information on procedures to follow during such an event, particularly on any procedures

specific to a State or region over which flights may be conducted;

2) actions to follow after receipt of a bomb threat such as:

i) details on the method of classification of threats used by the operator; and

ii) a description of how such a system will operate and what action will be taken on the ground
to support the crew in the event of any act of unlawful interference;

3) guidance to assist the PIC in the assessment of a threat when he is unable to communicate
with ground services; and

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 4) provision of an aircraft search procedure checklist ( Annex 6, Part I), with information on the
procedures to follow if an explosive device or suspicious object is found on an aeroplane,
including advice on the suggested methods for minimizing the damage that such a device could
cause.

5) least risk bomb location specific to aircraft type,

— Interception procedures. The OM must contain information on the signals used by intercepting and
intercepted aircraft. Annex 2 contains information on the procedures to follow and on the signals used
by the aircraft involved. Typically, operators provide a graphical chart of these signals to the flight crew.
Information is usually given on any differences to the standard procedures or signals, notified by any
State over which operations may be conducted. Guidance is also provided in the Manual Concerning
Interception of Civil Aircraft (Doc 9433).

— Emergency signal for cabin crew members. A system of alerting the in-charge cabin crew member to
report immediately to the flight deck for briefing on a possible emergency situation must be described in
the OM. This could be by pre-arranged standard signal, or by a suitably worded request on the PA
system. The signal used should be appropriate to the aircraft type and should be clearly understood by
all crew members.

— Passenger cabin emergency procedures. The OM should contain content in line with Chapter 11, 11.8.

— Ground Proximity Warning Systems (GPWS).

a) procedures to avoid warnings generated by GPWS systems, such as reduced rates of descent
when close to terrain; and

b) policy on the use of GPWS systems.

— Airborne Collision avoidance system (ACAS).

a) procedures to avoid warnings generated by ACAS systems, such as reduced vertical rate of climb
and descent; and

b) clear policy on the application of procedures to ACAS warnings.

— Location of an aircraft in distress. Where the operator’s aircraft are fitted with a system in compliance
with Annex 6 Part I, 6.18:

a) the policy for manual activation of this system during distress events should be specified.

8.13 GENERAL OPERATIONAL POLICIES

8.13.1 General. As well as the specific policy and guidance on matters relating to the actual operation of the aircraft,
the OM should state policy and give guidance on a number of related issues. The items addressed would include use of
cockpit jump seats, flight inspectors, cockpit visitors, co-pilots flying the aircraft, weather minima for newly-promoted
pilots-in-command, ferry flights, test flights, etc.

8.13.2 Cockpit jump seats. The OM should describe the use of cockpit jump (supplementary) seats. Normally this
would include:

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 a) crew members and other technical staff;

b) authorized flight inspectors;

c) other company personnel; and

d) the procedures to authorize appropriate non-company personnel.

Note.— The PIC’s authority to grant or refuse admission to the cockpit should be emphasized.

8.13.3 Flight inspectors. Civil aviation authority flight inspectors are normally entitled to occupy the cockpit jump
seat. A system of identifying such inspectors, whether by issuing government identification cards or airline identification
cards, must be established and described. The authority of the flight inspector should be described as detailed in the
relevant legislation or regulations. It is normal practice to specify that the greatest possible co-operation be extended to
these inspectors. Annex 9 — Facilitation recommends that Contracting States ensure that flight operations and cabin
safety inspectors of another Contracting State, when engaged in inspection duties, are treated in the same manner as
crew members. It also recommends that flight operations and cabin safety inspectors be provided with a certificate similar
to those granted to crew members and that similar privileges of temporary admission also be extended to them.

8.13.4 Cockpit visitors. Flight deck entry to people other than those specifically authorized above should not be
allowed. The OM should specify the company policy on visits to the cockpit. The manual should also specify the company
policy on the security of the flight deck and the locking of the cockpit door, should this be a requirement during normal
operations, and the action to be taken in this respect when an increased level of security risk has been notified to the
company.

8.13.5 Co-pilot flying. It is standard industry practice to divide the flying equally between pilots as far as possible.
Exceptions may include:

a) Category 2 and 3 operations, where it is common practice to define tasks for each pilot and thus reduce
the required training time;

b) operations to ‘prior visit required’ aerodromes;

c) operations in strong winds; it is common practice to impose lower cross- and total-wind limits on co-
pilots, and/or on pilots with limited time on type;

d) commander’s discretion. The overall objective should be to divide piloting time equally between PICs
and co-pilots. This ensures an integrated and effective crew operation since both pilots will be familiar
and practised in the duties of the pilot flying (PF) and the pilot monitoring (PM)). This policy also ensures
that when a pilot is promoted to PIC they have the greatest possible experience, including aircraft
handling experience, to enable them to best carry out their new function. This policy of equally sharing
the duties must be modified in some circumstances. Many operators specify that a newly-promoted PIC
must fly the aircraft themself and not hand over sectors to the co-pilot, until they have achieved at least
100 hours as PIC. Some operators also specify that the PIC should fly the aircraft when in their opinion
the conditions may be outside the experience of the co-pilot. The PIC’s authority must be recognized
and whilst the aim should be to share the duties equally, the PIC must be encouraged to exercise their
judgement and ensure that co-pilots do not fly the aircraft in conditions beyond their experience.

8.13.6 Minima for use by newly promoted pilots-in-command. Until a PIC has gained a certain amount of experience,
many operators specify that an increment be added to all aerodrome operating minima for take-off and landing. For
example, the OM might specify that until the pilot has 100 hours experience on type as PIC, an increment of 300 m (984 ft)

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must be added to all landing visibility minima, 30 m (98 ft) must be added to all minimum approach heights or altitudes,
and 100 m (328 ft) must be added to all take-off visibility minima. The increment used by an operator will depend on the
type of aircraft being flown and the normal aerodrome operating minima being used. The OM should give the appropriate
guidance.

8.13.7 Ferry flights. Operation of an aircraft beyond the limits of the minimum equipment list for the purposes of
ferrying the aircraft to a place where essential repairs can be made, is normally beyond the scope of the OM. If specific
authorization for such operations is received, the terms of such permission must be observed in full, including the
authorization to the crew. Such flights required the specific approval of the States over which the flight is conducted. On
occasion, it will be necessary to operate an aeroplane with unserviceable equipment or systems to a maintenance base,
e.g., operating an aeroplane unpressurized, or with the gear extended, or in the case of three- or four-engined aeroplanes
with one engine inoperative. These flights normally require approval by a senior company official. For approval of such
flights, factors which must be considered and for which special data may need to be produced are take-off performance,
en-route performance, fuel required, landing and take-off weather minima, alternate minima, routing restrictions, effects
on other aeroplane systems of failed system or engine, etc. Some ferry operations, most notably those where an aeroplane
is being ferried with an engine inoperative, will require that the flight crew is trained and authorized for such an operation.
Flights with one engine inoperative must only carry the required flight crew. Some States require that specific approval be
granted for such operations, and in the case where different States are being overflown, it may be necessary to seek their
approval as well. All these considerations should be addressed in the OM. It should be borne in mind that when permission
to conduct such an operation is being sought, the aeroplane may well be at a remote aerodrome from where
communication is difficult. The guidance given must be as clear and detailed as possible and, where appropriate, contain
contact phone and telex/SITA addresses. When certain types of ferry flights must be operated by specifically approved
flight crew members, the names or required qualifications of those crew members should be listed in the OM.

8.13.8 Test flights. Test flights are required after certain maintenance procedures to test certain components or to
investigate reported defects which cannot be reproduced on the ground. The OM must specify who is authorized to require
or approve such flights. Certain test flights may only be operated by suitably qualified pilots, e.g., certain manoeuvres may
only be flown by instructor pilots. For certain tests, it may be specified that daytime VFR conditions must exist or other
special limits will apply. An essential feature of such flights is that the flight crew is properly briefed on what tests are
required and what readings or data are to be recorded.

8.13.9 Aerodrome rescue and fire fighting facilities. Annex 14 — Aerodromes, Volume I — Radio Navigation Aids,
requires that rescue and fire fighting services be provided at aerodromes serving commercial air transport operations. It
is also requires that significant changes in the level of protection normally available at an aerodrome be notified to the
appropriate ATS and AIS units for their provision of the necessary information to arriving and departing aircraft.
Aerodromes provide these services on a scale related to the size of aircraft using the aerodrome and the number of
movements in the busiest three months of the year. The OM must give guidance on the rescue and fire fighting category
appropriate to the aircraft operated and the operator’s policy on operating into aerodromes with less than that category.
Annex 6, Part I (4.1.4), states that in determining that adequate facilities exist for a flight, an operator needs to consider
the adequacy of emergency facilities such as those for fire fighting and search and rescue. The majority of operators do
establish policy on the minimum categories acceptable for each aircraft type. In deciding what category is acceptable, an
operator might wish to give some guidance on the acceptability of lower categories in certain circumstances, such as when
the aircraft is carrying some technical defects or when there is a special passenger load, such as special categories of
passengers.

8.14 VISUAL ILLUSIONS

8.14.1 Pilots should understand the causes and effects of the visual illusions that may be encountered during flight
operations. Understanding these illusions will enable the pilot to recognize and compensate for them, thus reducing the
likelihood of their causing an accident. Common factors in illusions which should be discussed in the OM include sloping

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approach terrain, runway slope, non-standard runway width, featureless approach terrain, rain showers, rain on the
windscreen, white-out in snow, shallow fog, fascination, auto-kinesis and empty visual field myopia. The standard
textbooks provide information suitable for inclusion in the OM.

8.15 REPORTING AND CLASSIFICATION OF AIRCRAFT DEFECTS

8.15.1 According to Annex 6, Part I (4.5.4), the PIC is responsible for reporting all known or suspected aircraft
defects. The method of reporting and, where appropriate, classifying defects should be explained and the necessary
guidance given. This depends on the method used for recording defects. For example, on some aircraft, a coded system
developed by the aircraft manufacturer to record defects is used, while some operators have developed their own coded
systems. Use of these coded systems normally means that instructions for deriving and recording codes must be included
in the OM. In many cases, defects are still recorded in plain language. Many code systems also allow for plain language
explanations to be added to the text when judged necessary by the reporting pilot. Some systems also require the pilot to
classify the defect; for example, according to its effect on aircraft airworthiness. Where this is the case, guidance should
be given in the OM.

8.15.2 Defects that are not airworthiness items may be deferred to a later date for rectification. In this case, there
must be a method of recording such a deferral; normally the aircraft technical log has a section for this purpose. Some
operators have a system of classifying deferred defects to allow different lengths of time, either in hours flown, number of
sectors, or on return to a maintenance base, until a defect must be rectified before further flight. Again, such a system
must be explained and the required guidance given.

8.15.3 The final authority of the PIC to accept or refuse to operate an aircraft carrying deferred defects must be
emphasized. To allow for proper assessments, an awareness of the aircraft’s recent technical history is needed. To
achieve this, many operators specify that a number of sheets or entries covering the aircraft’s most recent history be
retained in the technical log.

8.15.4 Some operators keep a separate technical log for aircraft passenger cabin defects, and the in-charge cabin
crew member is responsible for making entries in this log. However, it is necessary to ensure that defects in the passenger
cabin of an “airworthiness” nature are brought to the attention of the PIC. Typically, this is achieved by requiring the flight
engineer or the PIC to countersign the cabin technical log. Where this exists, details must be given in the OM.

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 Chapter 9
FLIGHT PLANNING AND FUEL MANAGEMENT

9.1 INTRODUCTION

9.1.1 As part of the pre-flight preparation process, Annex 6, Part I, 4.3.3 specifies that an OFP be completed for
every intended flight. The plan must be approved and signed by the pilot-in-command (PIC), and where applicable, signed
by the flight operations officer/flight dispatcher. A copy of the OFP must be filed with the operator or a designated agent,
or, if these procedures are not possible, it shall be left with the aerodrome authority or on record in a suitable place at the
point of departure.

9.1.2 In preparing the OFP, there are a number of factors to be addressed which are detailed in Annex 6, Part I;
Standards relating to alternate aerodromes, weather conditions, fuel and oil supply and, where applicable, oxygen supply.

9.1.3 The performance operating limitations provisions of Annex 6, Part I, Chapter 5 must also be considered.
These provisions contain specifications that are applicable to aeroplanes of over 5 700 kg maximum certificated take-off
mass type certificated since 1960 in accordance with the provisions of Annex 8 — Airworthiness of Aircraft. These
operating limitations specify that, following one power-unit becoming inoperative in the case of a twin-engine aeroplane,
or, in the case of three- or four-engine aeroplanes, two power-units becoming inoperative, the aeroplane must be able to
continue the flight to an aerodrome and make a landing thereat.

9.1.4 In addition what is specified in Annex 6, Part I, Chapter 5, there are other considerations for operations by
aeroplanes with turbine engines beyond 60 minutes to an en-route alternate aerodrome including extended diversion time
operations (EDTO). These operating limitations address applicable engine failure procedures and the nomination and
utilization of diversion aerodromes. In the case of EDTO, the aerodrome availability to which the aeroplane can divert
following the failure of a power-unit, and/or of failure of essential aeroplane systems, must be considered. Standards
related to operations beyond 60 minutes including EDTO are given in Annex 6, Part I.

Note.— Guidance on extended range operations is given in the Extended Diversion Time Operations (EDTO)
Manual (Doc 10085).

9.1.5 Operational flight planning can be considered under two broad headings for the purposes of developing OM
guidance:

— Destination and alternate (diversion) aerodrome(s) identification and their operational suitability. This
refers specifically to the criteria and responsibilities for determining whether or not an approach and
landing can be safely carried out at each aerodrome to be nominated (on the OFP) or used in operations;

— The required fuel and oil supply (and where applicable, required oxygen supply), which may be directly
affected by the availability of alternates.

9.1.6 With these in mind, this chapter addresses operational flight planning requirements in the following order:

a) the selection of alternate aerodromes;

b) isolated aerodrome operations;

c) meteorological requirements for flight planning;

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 d) the determination of the quantities of fuel to be carried and the methods used to make such
determinations;

e) in-flight re-planning;

f) in-flight fuel monitoring and management;

g) fuel conservation;

h) oil and as applicable, oxygen supply; and

i) operational record keeping.

Note.— Procedures and responsibilities for the preparation/generation and acceptance of the OFP are
provided in Chapter 7 of this manual.

9.1.7 Extensive guidance on operational flight planning to aid in the development of OM material can be found in
the Flight Planning and Fuel Management Manual (FPFMM) (Doc 9976). The FPFMM provides operational guidance
material that specifically addresses alternate selection, fuel planning and in-flight fuel management in accordance with the
standards of Annex 6, Part I. As such, it contains the expanded guidance material necessary to support the implementation
of national regulations based on each applicable standard and recommended practice in Annex 6, Part I.

9.2 ALTERNATE AERODROMES

9.2.1 The basic (prescriptive) requirements for alternate aerodromes are stated in Annex 6, Part I. The Standards
address takeoff, en-route (as required for operations beyond 60 minutes including EDTO), and destination alternate(s)
selection. The Standards also specifically address the circumstances when a destination aerodrome is isolated. Finally,
the annex details how operational variations from prescriptive alternate selection criteria can be approved by the State
based on specific risk assessment activities.

9.2.2 Operator policy would reflect the requirements to specify alternate aerodrome(s) under the conditions
specified in the Annex. In all cases, the performance requirements of Annex 6, Part I, Chapter 5 must also be considered.
As applicable, the alternate aerodrome provisions related to operations beyond 60 minutes including EDTO, as given in
Annex 6, Part I with related guidance in Doc 10085, should also be considered and reflected in operator policy.

9.2.3 The operations manual (OM) should also include guidance on which aerodromes are usable as destination
alternate aerodromes. Any aerodrome which is a destination aerodrome can typically be used as a destination alternate
for any other aerodrome. Other aerodromes must be examined as to their usability and a list of any such aerodromes must
be available for consultation by flight crew and as applicable, the flight operations officer/flight dispatcher. Operators often
list for each destination the “preferred” alternate. This alternate may be the most preferable in terms of passenger handling,
or may be the closest so that the minimum fuel for diversion may be carried. The actual destination alternate used for a
flight must be related to the conditions on a given day, and operators often specify that the closest alternate can only be
used when the weather forecast at the destination aerodrome makes the possibility of an actual diversion occurring
extremely unlikely.

9.2.4 A further consideration is the availability of an en-route alternate aerodrome in the event of failure of the
aeroplane pressurization system or the realization of the critical fuel scenario (EDTO and non-EDTO). This is usually only
applicable on longer-range flights over oceanic or remote areas and EDTO where the fuel required to cruise for long
periods at lower altitudes may be limiting.

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9.2.5 All the above alternates may have to be considered for some operations, whereas for shorter flights or for
flights in areas where a large number of suitable en-route alternates are available the requirements may not be limiting.
The appropriate guidance must be included in the OM.

9.2.6 There may be cases where operational variations from alternate selection and isolated aerodrome criteria
are available for use by an operator. Any such variations, based on safety risk assessment, would be clearly defined in
the OM including a description of the mitigations necessary to use the variation(s).

9.2.7 In summary, the OM would address the following, as applicable to the operations of the operator:

a) take-off alternate aerodrome selection criteria and guidance when conditions at the aerodrome of
departure preclude an immediate return to land;

b) en-route alternate aerodrome selection criteria and guidance when required in accordance for flights
beyond 60 minutes to an en-route alternate aerodrome including EDTO;

c) destination alternate aerodrome(s) selection criteria and guidance to address:

1) no destination alternate operations;

2) single destination alternate operations; and

3) two destination alternate operations.

d) isolated aerodrome operations and related flight-planning considerations; and

e) operational variations from alternate selection and isolated aerodrome criteria based on safety risk
assessment.

Note.— Additional and expanded guidance related to alternate airport selection and planning, to be
considered in developing operator policy, is contained in the ensuing sections and the FPFMM (Doc 9976), Chapters 4
and 5.

9.3 METEOROLOGICAL REQUIREMENTS FOR FLIGHT PLANNING AND IN-FLIGHT OPERATION

9.3.1 In the preceding paragraphs, destination, alternate and isolated aerodromes are discussed without fully
considering the effects of the meteorological conditions present at the estimated time of use of the aerodrome(s). In fact,
the selection of aerodromes and factors related to meteorological conditions are inextricably intertwined, as no matter
what the basis of the selection requirement, (e.g., destination, takeoff alternate, en-route alternate, destination alternate,
isolated) an aerodrome specified on the OFP is of no operational value if the aeroplane cannot land there because of
insufficient cloud base height or visibility.

9.3.2 To fully consider meteorological conditions and ensure the availability of an aerodrome for use at the
appropriate time, the following is typically addressed during the flight planning stage:

— In order to properly apply meteorological requirements, flight crew and as applicable, flight operations
officer/flight dispatchers should be able to interpret meteorological information received from approved
sources. As such the OM would contain explanatory material on the decoding of meteorological (MET)
forecasts and MET reports relevant to the area of operations, including the interpretation of conditional
expressions.

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 — Annex 6, Part I (4.3.5) defines the meteorological conditions necessary to support the commencement
(and/or continuation, as applicable) of a flight under visual flight rules (VFR) as well as instrument flight
rules (IFR). The Standards are based on the notion that at the appropriate time, the meteorological
conditions present will be sufficient to enable compliance with the applicable flight rules. In the case of
IFR operations, the standards also ensure an adequate margin of safety is observed in determining
whether or not an approach and landing can be safely carried out at the destination and each alternate
aerodrome at the estimated time of use.

— According to Annex 6, Part I (4.3.4.3.1), an operator need not select and specify a destination alternate
if the conditions at the destination aerodrome are forecast to be such that a landing can be made in
visual meteorological conditions (VMC) and separate runways are usable at the estimated time of use
with at least one runway having an operational instrument approach procedure.

— Although the requirement to specify an alternate is linked to the expected meteorological conditions,
operators typically specify additional conditions related to the aerodrome facilities to ensure an adequate
margin of safety is maintained in operations. These considerations include but are not limited to the
number of runways, length of runways, runway condition, available instrument approaches, etc.

— Annex 6, Part I (4.3.5.3) contains Standards formulated to address the meteorological conditions
required at the estimated time of use of an alternate aerodrome. They establish, for flight planning
purposes, higher minima for an aerodrome when nominated as an alternate than for the same
aerodrome when planned as the aerodrome of intended landing. This takes the form of appropriate
incremental values for height of cloud base and visibility, acceptable to the State of the Operator, to be
added to the operator’s established aerodrome operating minima. The OM should clarify, however, that
the normal aerodrome operating minima apply if it is necessary to divert to that alternate. Guidance on
the selection of incremental values for height of cloud base and visibility to be applied in alternate
aerodrome selection planning is contained in the FPFMM (Doc 9976), Chapter 4.

— For a safe landing at the destination or alternate aerodrome, the Annex also contains Standards to
establish a margin of time for the estimated time of use of such aerodrome(s). This guidance on the
topic is also contained in the FPFMM (Doc 9976), Chapter 4;

— When an aerodrome is isolated, an aerodrome point of no return (PNR) is determined for each flight into
an isolated aerodrome. Additionally, Annex 6, Part I (4.3.4.3.1), specifies that such flights shall not be
continued past the PNR unless a current assessment of meteorological conditions, traffic and other
operational conditions indicate that a safe landing can be made at the estimated time of use. In these
cases, determining a PNR assures that a landing can be made at an aerodrome at the estimated time
of use by specifying the point at which the aeroplane can turn back to the point of origin or divert to
another alternate. Appropriate guidance must be given in the OM to cover these circumstances and
such guidance on planning operations to isolated aerodromes, including a PNR calculation example, is
contained in the FPFMM (Doc 9976), Chapter 4.

9.3.3 With the aforementioned in mind and in summary, the OM would address the following with respect to the
meteorological requirements to be considered during flight planning and in-flight replanning, as applicable to the operations
of the operator:

a) guidance on the interpretation of meteorological information from approved sources;

b) meteorological conditions necessary for a flight or portion of a flight to be conducted under VFR;

9-4
 c) meteorological conditions necessary for a flight, to be conducted under IFR, to take-off from the
departure aerodrome and/or continue beyond the point of in-flight re-planning;

d) appropriate incremental values for height of cloud base and visibility to be added to the operator’s
established aerodrome operating minima to ensure that an adequate margin of safety is observed in
determining whether or not an approach and landing can be safely carried out at each alternate
aerodrome;

e) a margin of time established by the operator for the estimated time of use of an aerodrome; and

f) meteorological conditions necessary to continue beyond the PNR to an isolated aerodrome.

9.4 FUEL SUPPLY

9.4.1 Fuel supply SARPs are contained in Annex 6, Part I (4.3.6). The overarching premise underlying the Annex
is that, taking the aeroplane fuel consumption data and operating conditions for the planned flight into account and allowing
for possible deviations from the planned operation, sufficient fuel must be carried to safely complete the planned flight.

9.4.2 The Annex further describes fuel supply requirements both for reciprocating engine aeroplanes and for
aeroplanes equipped with turbine engines. In each case, fuel supply requirements are described in detail for flights where
a destination alternate is required, where a destination alternate is not required, and where no suitable alternate aerodrome
is available (isolated aerodrome). Other elements of the total usable fuel on board calculation are also described in detail
(e.g., taxi fuel, trip fuel, contingency fuel, final reserve fuel, additional fuel and discretionary fuel). Finally, the annex details
how operational variations to the pre-flight fuel calculation of taxi fuel, trip fuel, contingency fuel, destination alternate fuel,
and additional fuel can be approved by the State based on specific safety risk assessment activities.

9.4.3 The typical international commercial air transport operator will have a fuel policy supported by underlying
systems, processes, and procedures for all flights to operate with sufficient total usable fuel onboard to complete each
planned flight safely. For the benefit of flight crew and as applicable, flight operations officer/flight dispatchers, the OM
must describe how this required total usable fuel figure is determined. Information and instructions would be given on how
trip fuel is calculated. The OM may present the information as the operator’s general policy followed by specific guidance
on the systems, processes, and procedures used for different aircraft types.

9.4.4 The Annex 6, Part I fuel supply SARPs are supplemented by extensive guidance contained in the EDTOM
Manual (Doc 10085) and the FPFMM (Doc 9976). Chapters 4 and 5 (and related appendices) of the FPFMM, contain
guidance related to the calculation of required fuel supply during flight planning and re-planning. Additionally, the FPFMM
contains examples of fuel calculations that conform to the prescriptive Standards of the Annex as well as the many
performance-based variations already in wide spread use.

9.4.5 It is beyond the scope of this manual to provide the level of detail with respect to fuel supply that would be
present in an OM. To summarize, however, and for the purposes of adequately addressing fuel policy in the OM, an
operator would address the following in as much detail as deemed necessary to ensure effective implementation:

a) the systems, processes and/or procedures of the operator’s fuel policy that ensures an aircraft carries
a sufficient amount of usable fuel to complete each planned flight safely and allow for deviations from
the planned operation;

b) a description of the components of usable fuel including guidance for their computation and use, to
include:

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 1) taxi fuel;

2) trip fuel;

3) contingency fuel;

4) destination alternate fuel including as applicable; first destination alternate, second destination
alternate, no alternate required, and/or isolated airport fuel;

5) final reserve fuel;

6) additional fuel including fuel required for EDTO as applicable; and

7) discretionary fuel;

c) the systems, process and/or procedures for the amount of usable fuel to be carried on an aircraft in
accordance with the operator’s fuel policy is, as a minimum, based on the following data and operating
conditions for each planned flight:

1) current aircraft-specific data derived from a fuel consumption monitoring (FCM) program, if
available, or if current aircraft-specific data is not available, data provided by the aircraft
manufacturer;

2) the anticipated aircraft mass;

3) NOTAM;

4) current meteorological reports, or a combination of current reports and forecasts;

5) applicable air traffic services procedures, restrictions and anticipated delays;

6) the effects of deferred maintenance items and/or configuration deviations; and

7) any other conditions that might cause increased fuel consumption; and

d) a description of the operational variations to the pre-flight fuel calculation of taxi fuel, trip fuel,
contingency fuel, destination alternate fuel, and additional fuel approved by the State based on a specific
safety risk assessment.

9.5 IN-FLIGHT RE-PLANNING PROCEDURES

9.5.1 Since, Annex 6, Part I, specifies that a flight may not be continued beyond the point of in-flight re-planning
unless at the aerodrome of intended landing or at each alternate aerodrome, current meteorological reports or a
combination of current reports and forecasts indicate that the meteorological conditions will be, at the estimated time of
use, at or above the operator’s established aerodrome operating minima for that operation. The OM must provide practical
guidance to flight crew and as applicable, flight operations officer/flight dispatchers, in order to ensure conformance with
this standard.

9.5.2 In general, the specified requirements for in-flight re-planning are similar to those of the planning stage. In a
re-planning situation, however, the weather at destination and destination alternate and the possibility that in-flight

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diversion could occur is re-evaluated en-route. This is essential at the point of in-flight re-planning so the safety completion
of the flight is in no way jeopardized.

9.5.3 In-flight re-planning procedures are also used when a flight is deliberately planned with an intention to re-plan
en-route from the planned destination to the final destination. This is usually done when it is not possible to carry enough
fuel to plan the flight to the final destination. The advantage of nominating an intermediate destination is that if, at the time
of arriving at a predetermined point en-route, the contingency fuel has not been used, it is then available for onward flight
planning purposes. A relatively lower quantity of fuel, including contingency fuel, will be required for the flight to the final
destination so that a portion of the contingency fuel carried for the initial flight plan can now be utilized as trip fuel while
still meeting all the normal fuel requirements.

9.5.4 Detailed examples of in-flight re-planning to be considered in developing OM guidance is contained in the
FPFMM (Doc 9976), Chapters 4 and 5 (and related appendices).

9.6 IN-FLIGHT FUEL MANAGEMENT

9.6.1 Annex 6, Part I requires an operator to establish policies and procedures applicable to both flight crew and
as applicable, flight operations officer/flight dispatchers, to ensure usable fuel remaining in-flight is monitored and
appropriately managed. This will foster an operational culture that ensures:

a) the continual validation or invalidation of assumptions made during the planning stage (pre-flight and/
or in-flight re-planning);

b) flight management, re-analysis and adjustment occurs when necessary; and

c) the protection of final reserve fuel and safe flight completion.

9.6.2 To ensure the operator’s fuel policy culminates as intended (safe flight completion), the OM should outline
the fuel management activities to be taken by flight crew and applicable, the flight operations officer/flight dispatcher, after
a flight has departed. Such activities should be sufficiently robust to ensure that fuel is used as allocated during pre-flight
planning, in-flight re-planning or as otherwise necessary to ensure the safe completion of a flight. In-fight fuel management
is not intended to replace pre-flight planning or in-flight re-planning activities but to act as controls to ensure planning
assumptions are continually validated.

9.6.3 The last line of defense in ensuring safe flight completion from an in-flight fuel planning perspective, is the
protection of final reserve fuel. For such protection, Annex 6, Part I (4.3.7.2) contains Standards that require the
preservation of final reserve fuel after landing at an aerodrome. Additionally, and to further achieve this aim, the Annex
contains Standards for the flight crew declarations of low fuel states (MINIMUM FUEL and MAYDAY MAYDAY MAYDAY
FUEL).

9.6.4 Although guidance on in-flight fuel management and declaring “minimum” or “MAYDAY” fuel is contained in
the FPFMM (Doc 9976), Chapter 6, the OM should address the following with respect to in-flight fuel management activities:

a) deviations from the OFP or other actions that could invalidate flight planning assumptions (e.g.,
acceptance of direct routings, altitude changes, speed changes, etc.);

b) actions related to the acquisition of timely and accurate information that may affect in-flight fuel
management (e.g., Meteorology, NOTAM, aerodrome condition);

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 c) the practical means for the in-flight validation (or invalidation) of assumptions made during alternate
selection or fuel planning including instructions for recording and evaluating remaining usable fuel at
regular intervals;

d) the factors to be considered and actions to be taken by the PIC if flight planning assumptions are
invalidated (re-analysis and adjustment) including guidance on the addition of discretionary fuel at the
flight planning stage if necessary to ensure adequate safety margins are maintained throughout the
flight;

e) actions to be taken by the PIC to protect final reserve fuel including instructions for requesting delay
information from ATC;

f) instructions for the declaration of MINIMUM FUEL;

g) instructions for the declaration of a fuel emergency (MAYDAY MAYDAY MAYDAY FUEL).

9.7 FUEL CONSUMPTION, CONSERVATION AND THE ENVIRONMENT

9.7.1 Operators typically have access to large amounts of historical data unique to their operations. Such data is
used to support specific fuel calculations in accordance with Annex 6, Part I to ensure an aeroplane can complete each
planned flight safely and to allow for deviations from the planned operation. The same data can also be used to support
fuel planning in a manner consistent with an operator’s fuel conservation objectives.

9.7.2 Examples of operator-derived data used in the determination of total usable fuel to be carried that can also
be leveraged for the purpose of fuel conservation include:

a) Hull-specific fuel burn data derived from the process of comparing an aeroplane’s achieved in-flight
performance to that of the aeroplane’s predicted performance. Variations between the achieved
performance and the predicted performance will result in a variation of the rate of fuel consumption
which is accounted for by the operator during flight planning and in flight.

1) Poor airframe condition that can result in an increase in overall drag. Poorly fitting hatches, surface
imperfections such as dents and scratches and deterioration of fairings and other airflow control
devices can all contribute to this increase in drag. Additionally, engine wear, including fan blade
erosion and damage, fan rub-strip wear and accumulation of dirt can increase an engine’s specific
fuel consumption.

2) These factors, in turn, typically contribute to a decrease in an aeroplane’s specific air range (SAR).
Conversely, in service aeroplane and engine modifications can improve an aeroplane’s SAR and
reduce fuel consumption. A hull-specific fuel burn program accounts for all such variations from
baseline performance.

b) Flight planning fuel and operating statistics (i.e. route specific planned vs. actual fuel burn data).

c) Aeroplane operations monitoring data (e.g., taxi times, holding times, diversion rates, etc.).

9.7.3 The environmental impact of aviation emissions and growing financial competition have encouraged many
airlines to implement fuel conservation and operational efficiency programs. The use of such programs continues to
increase and they may often form the cornerstones of an airline’s emission reduction efforts. These programs seek to
reduce overall fuel consumption without compromising, and often improving, the safety of flight operations. Operators

9-8
must therefore continue to ensure safety as the primary outcome of any fuel conservation and economy programme;
typically accomplished by the structured application of standard operating procedures and safety risk management
principles.

9.7.4 Fuel conservation, or the carriage and use of as little fuel as operationally necessary, is a matter of policy
with most operators. Such policies typically require that each aircraft be operated and each flight be managed to minimizes
fuel use. The OM must require that safety not be compromised and flights always depart with the required fuel on board.

9.7.5 Fuel conservation is normally discussed in relation to aeroplane operating techniques. These techniques
relate to the particular aeroplane types being operated and the OM should provide the appropriate guidance and
instructions. Typical fuel conservation techniques or opportunities to conserve fuel include but are not limited to:

a) reduction in thrust take-offs;

b) optimum runway selection for take-off and landing;

c) using minimum flap settings to meet all operational requirements;

d) using best climb speeds and efficient climb profiles;

e) efficient descent profiles;

f) selecting optimum cruising level;

g) selecting optimum cruising speed;

h) selecting the most favourable routing; and

i) taxiing with one engine shut down.

9.7.6 Fuel conservation is also an operational consideration during pre-flight planning and flight preparation; the
method of determining the most economical fuel usage will affect the selection of flight planning methods (e.g., planned
re-dispatch) and planned fuel loads. Therefore, the OM must also contain appropriate information and guidance on these
policies and procedures.

9.8 OXYGEN SUPPLY

9.8.1 During flight planning and preparation, the availability of an adequate oxygen supply must be considered.
Guidance in the OM typically:

a) addresses providing oxygen for flight and cabin crew;

b) addresses providing supplemental oxygen for passengers;

c) explains of the conditions under which oxygen should be provided and used (altitude, exposure times,
night, etc.);

d) contains a procedure for determining the amount of oxygen required and the quantity that is available
considering the flight profile, number of occupants and a possible cabin decompression.

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 9.9 OIL SUPPLY

9.9.1 Annex 6 requires the operator to maintain oil records for the State of the Operator to ascertain that trends
for oil consumption ensure that an aeroplane has sufficient oil to complete each flight. Additionally, the Annex specifies
that the OM contain instructions for the computation of oil to be carried. For modern day aircraft, however, oil consumption
monitoring is typically satisfied as part of an overall engine monitoring programme based on manufacturer’s
recommendations.

9.10 RECORD KEEPING

9.10.1 Flight planning record keeping (and retention) SARPs are contained in Annex 6, Part I. The Annex address
the following information, which may be directly and/or indirectly related to operational flight planning, to be
recorded/retained:

a) fuel and oil records to enable the State of the Operator to ascertain that, for each flight, the applicable
requirements of the state have been complied with;

b) records of the cumulative cosmic radiation dose received by each crew member, as applicable;

c) flight and cabin crew members flight time;

d) PIC route and airport qualification records;

e) completed flight preparation forms;

f) copy of the OFP; and

g) records of emergency and survival equipment carried.

___________________

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 Chapter 10
MASS AND BALANCE, AEROPLANE PERFORMANCE
AND OPERATING LIMITATIONS

10.1 GENERAL

10.1.1 Annex 8, Part I states that “Limiting conditions shall be established for the aeroplane, its powerplant and its
equipment” and “sufficient data on the performance of the aeroplane shall be determined and scheduled in the flight
manual to provide operators with the necessary information for the purpose of determining the total mass of the
aeroplane … with reasonable assurance that a safe minimum performance for that flight will be achieved.” The operating
limitations within which compliance with the Standards of Annex 8 is determined, together with any other information
necessary to the safe operation of the aeroplane shall be made available by means of the Airplane Flight Manual (AFM),
markings and placards, and such other means as may effectively accomplish the purpose. The AFM shall include at least
the limitations, information and procedures specified (in Annex 8).

Note.— Annex 8, Part III contains the detailed provisions for large aeroplanes.

10.1.2 Annex 6, Part I (5.1) states that aeroplanes shall be operated in accordance with a comprehensive and
detailed code of performance established by the State of Registry. The performance information required is presented in
the Aircraft Operating Manual (AOM) however, the presentation used in the AOM often makes it unsuitable for day-to-day
use. Operators should therefore provide simplified information from which flight crew and other operational personnel can
easily extract the needed performance information. Annex 6, Part I (5.2), also specifies that the State of Registry ensure
that the general level of safety assumed in the performance standards is maintained. To conform to Annex 6, Part I
presentation of performance data must be approved by the appropriate State authority.

10.1.3 The use of an EFB for the purposes of aeroplane performance calculations through on on-board performance
tool (OPT) has become a widely accepted process and procedure. The computing capabilities of installed or portable
devices provide opportunities for quick and precise calculations based on appropriate algorithms and are applicable to a
wide variety of operational needs and circumstances. The OM should contain specific guidance to flight crew members
on the use of OPT capabilities as applicable to aeroplane performance calculation requirements.

Note.— For additional guidance and information on the use of EFBs see Chapter 2 of this manual and the
Manual of Electronic Flight Bags (EFBs) (Doc 10020).

10.2 THE DETERMINATION/CALCULATION

OF THE MASS AND BALANCE OF AN AEROPLANE

10.2.1 Aircraft performance in given environmental conditions depends on the total mass and its longitudinal
distribution. The mass is determined from weighing the “empty” aircraft with all normal equipment for its operation installed
and then adding fuel, traffic load (passengers, baggage, cargo, etc.) and crew weights. The position of the aircraft’s centre
of gravity is determined in reference to the mean aerodynamic chord (MAC) and usually expressed in a percentage of the
total length of the MAC. An “index” system is usually used for the calculation. Based on the position of certain add-ons
(e.g., baggage in a cargo hold) a positive or negative number is added to the aircraft’s basic index. The final index is then
converted into the percent MAC that represents the actual centre of gravity. A forward centre of gravity requires more
downforce on the stabilizer in flight. This virtually increases the aircraft weight and more lift needs to be generated, resulting
in a loss of performance. A rear centre of gravity reduces the performance loss, but also reduced aerodynamic stability.

10-1
 10.3 MASS AND CENTER OF GRAVITY LIMITATIONS

10.3.1 The maximum structural mass of an aeroplane is restricted by its design and the physical strength of its
components (e.g., landing gear; or wing-to-fuselage connection). The maximum useable mass can be limited by the engine
power available, noise restrictions or financial considerations. Some of these factors are determined during the aircraft
certification, some can be chosen by the operator within the certified limits.

10.3.2 The centre of gravity limits are determined by aerodynamic stability and controllability, which must remain in
acceptable limits over the whole range of flight operations.

10.3.3 The OM should contain the applicable limits and instructions on how to load and operate the aircraft so that
the limits are always respected.

10.4 DEFINITION AND PRESENTATION OF AEROPLANE OPERATING LIMITATIONS

(as related to performance calculation)

10.4.1 The “simplified” data, as presented, should always produce results at least as limiting as would be obtained
by using the equivalent flight manual performance data; should be comprehensive enough to provide all the necessary
information; and should be capable of being easily used and interpreted in the aeroplane cockpit. Performance data may
be presented in a separate volume or volumes of the operations manual, but should always be accompanied by an
explanation of the certification criteria used in determining the performance presented and of the terms and symbols used,
and examples should be given of the proper use of the charts, tables, etc. Appropriate guidance to crews for calculations,
whether they be through manual computations or with the aid of a computerized device such as with OPT use in an EFB,
should be specified in the OM to be approved by the State authority.

10.4.2 General limitations should be tabulated at the front of the volume, such as the maximum certificated mass
for taxi, takeoff and landing, etc., maximum tail winds, runway slope, maximum cross-winds (wet and dry), pavement
bearing strength limits, etc.

10.5 DEFINITION, CUSTOMIZATION, PRODUCTION AND

PRESENTATION OF AEROPLANE PERFORMANCE DATA

10.5.1 The presentation of performance data will vary depending on the particular requirement, but a common
practice among operators is to present the take-off, enroute, landing, and other performance data in a separate volume.
The use of an EFB to present this information through an OPT can provide significantly enhanced capabilities. The data
are usually specific to the operator’s own particular route structure, covering the aerodromes used in normal operation
and the approved alternates. Cruise performance is usually provided in a simplified form and quick reference tables or
charts for take-off and landing speeds are also often provided.

10.5.2 Specific runway data are derived by the operator from the flight manual data and are presented for each
runway normally used. In general, the aim should be to present the runway data in easily used and understandable form,
with particular emphasis on the need to make the charts, tables, or electronic presentation used in the cockpit during flight
as simple and intuitive as possible.

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 10.6 TAKE-OFF/CLIMB PERFORMANCE AND LIMITATIONS
(MASS, ALTITUDE, TEMPERATURE)

10.6.1 Runway performance information should be given for each runway permitted for use at normal and alternate
aerodromes. Runways from which take-off is forbidden should be clearly identified. For each runway from which take-off
is allowed, a table, graph, or electronic presentation giving the maximum permitted mass as a function of wind and
temperature, and the associated take-off speeds should be provided. A reference pressure altitude should be specified
and a method of correction for low pressure given. Where appropriate, the data should be presented for a range of
allowable take-off flap settings. The individual runway performance sheets or electronic pages should also include details
of the runway’s declared distances [accelerate/stop distance available , take-off distance available , take-off run available ],
the runway slope and the presence of any obstacles.

10.6.2 Information on obstacles is normally found on ICAO Type A charts. When these are not available, the
operator is still responsible to check for limiting obstacles, not only within the area of the ICAO Type A chart coverage, but
also distant obstacles which might be limiting throughout the climb (Annex 6, Part I). Where obstacles reduce the allowable
take-off mass, the position and height of the critical obstacles should be stated, particularly in those cases where a higher-
than-standard acceleration segment height results. When the presence of obstacles would limit the allowable take-off
mass because of one-engine-inoperative net take-off flight path considerations, an operator may, in order to obtain a
higher take-off mass, specify a contingency procedure. Details of the procedure, normally a turn, should be given, e.g.,
the acceleration segment height (especially when non-standard) and how to identify the turning point (timing/DME
distance/GNSS/VOR radial, etc.). Turns should not be specified below 120 m (400 ft) and the appropriate ATS unit should
be notified in advance of the details of the specific flight procedure.

10.6.3 The departure route for each runway should also be considered to ensure that the all-engines operating net
flight path meets the minimum climb gradient, where one is specified, or clears all obstacles along the route. If the
aeroplane cannot meet the required performance level, then the operator should specify an alternative routing, in
conjunction with ATS, or limit the aeroplane mass to ensure the minimum specified clearance.

10.6.4 Other factors influencing appropriate performance corrections include the use of engine bleeds for air
conditioning or for engine anti-icing, the effects of snow, slush, ice and water on the runway, and poor braking action. If
certain runway contamination conditions prohibit take-off altogether or cause performance restrictions, precise details of
these conditions should be given. Information should also be provided to flight crews on the adverse effects that snow and
ice on the aeroplane’s wings and other surfaces can have on aerodynamic performance, and to ensure that engine thrust
output is not affected by these phenomena either. Details on the necessary preventative actions should be given.

10.6.5 A marked temperature inversion may also affect the performance of certain aeroplane types , resulting in a
rise in temperature along the take-off flight path. Operators should explain the effect that deviations from the standard
temperature lapse rate and/or temperature inversions can have on aeroplane performance. Guidance on this problem and
details of the performance penalty should be given when the aeroplanes being operated are weight, altitude and
temperature (WAT) and obstacle limited and/or when operations take place in those areas where marked temperature
deviations are liable to occur, as in arctic or desert areas.

10.6.6 MEL considerations can also impact aeroplane performance. Certain aeroplane types have allowable system
and structural unserviceabilities that have performance penalties, e.g., anti-skid system unserviceable. Where this is the
case, details of the performance penalty should be given and the operational effect of these unserviceabilities be
understood by the different personnel involved, e.g., maintenance, so the details of such unserviceabilities can be passed
to the operations section before the flight and load planning calculations are completed for a flight.

10.6.7 The maximum aeroplane mass for the ambient conditions given on a runway performance chart or electronic
page is normally accompanied by the associated take-off speeds (V1, Vr, V2). When the actual aeroplane mass is less
than the maximum allowed, an alternative method of determining take-off speeds should be provided. This is typically
done by the use of quick reference tables, charts, or electronic calculations with the speeds shown as a function of

10-3
aeroplane mass, flap setting, temperature and pressure altitude. However, the limitations on the use of these speeds,
which are normally based on the use of the balanced field length concept, should be detailed.

10.6.8 When this method of determining take-off speeds is used, the assumption is that the take-off distance and
accelerate-stop distance required are equal and are only sufficient for the take-off mass being used, i.e. equal to or less
than the distance actually available. While this method has advantages, particularly in its simplicity, it cannot be used in
all circumstances. In cases where stopway or clearway has been used in deriving the maximum take-off mass, or where
maximum tire speed or brake-energy are limiting (in the event of a high speed abandoned take-off), means of deriving the
appropriate speeds should be provided. When the use of a wet V1 is required or permitted, the method of calculating this
speed should be detailed. If a reduction from the 10.7 m (35 ft) clearance specified for the first segment of the net take-off
flight path is associated with the use of the wet V1 procedure, details of the reduction and its effect on the other segments
should be provided.

10.6.9 On some aeroplanes, when the maximum take-off mass is limited by climb gradient limitations and therefore
excess runway length beyond that required for that mass exists, an increase in the maximum take-off mass can be
achieved by using the extra runway length to accelerate the aeroplane to a higher V2 speed, resulting in an improved
climb performance. For certain aeroplane types, a maximum increase in speeds may be specified while using the
technique. If this “improved climb performance” technique is available, appropriate instructions and limits should be given.

10.6.10 When reduced thrust take-off techniques (RTOT) are permitted, their instructions and limitations, should be
specified. Normally, the use of RTOT on contaminated or slippery runways is prohibited.

10.6.11 An operator may wish to include a simplified method of deriving take-off and landing data for runways other
than those where operations normally take place and for which specific charts are provided. While such a practice is
acceptable, it places a great onus on the user, usually the operating crew, to check that the information used on runway
distances, presence of obstacles, etc., is correct.

10.6.12 Annex 6, Part I recommends that the operator provide information on the all-engines-operating performance
of the aeroplane. This information is necessary, as a number of departure procedures specify a minimum climb gradient.
The PIC needs to know, in these circumstances, if the specified climb gradient can be achieved for the existing conditions.
Further examination of this requirement for a particular published departure may show that for any foreseeable
combination of aeroplane mass and take-off and climb conditions, the required all-engine climb gradient will be achieved.
In this case, a simple statement to that effect attached to the performance data for that aerodrome or included in the route
guide will suffice. If the aeroplane cannot always achieve the required gradient, information and guidance on determining
what gradient can be achieved or on an appropriate alternative procedure, such as selecting a different routing, should be
included in the operations manual, preferably with the runway performance data.

Note.— Detailed information on the calculation of take-off, en-route and landing performance is provided in
the Manual of Aeroplane Performance (Doc 10064).

10.7 APPROACH AND LANDING PERFORMANCE AND CLIMB LIMITS

10.7.1 Information on landing performance should be published for each runway, both for destination and alternate
aerodromes. When determining whether a runway is suitable for landing, and the maximum mass at which an aeroplane
can land on a specific runway are governed by the State certification requirements, but in general include the following:

a) landing distance available (LDA);

b) obstacles (both on the approach and in the missed approach);

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 c) landing climb gradient requirements (WAT limits);

d) ambient conditions (head wind/tail wind, temperature, pressure altitude);

e) aeroplane mass (structural limits);

f) different flap settings available for landing; and

g) runway surface condition (wet, dry, contaminated with snow/slush/ice, braking action, coefficient of
friction).

10.7.2 The OM should describe how landing data are to be used and specifically what factors have been considered.
Landing data information must be presented in an easily usable format, as this material should be used in the cockpit
during flight. Electronic means of calculating and displaying this information for flight crews can be advantageous to
accuracy and workload. It is common practice for operators to present information on each runway authorized by the
company for landing. Runways can be described as:

a) unrestricted: for a specified range of wind, temperature and pressure altitude conditions the aeroplane
can land at maximum structural landing mass;

b) restricted: the allowable landing mass should be calculated in the light of the prevailing conditions; and

c) forbidden: runways on which landings are not authorized.

10.7.3 Although landing data are presented for wet and dry runway surface conditions, guidance should also be
given on corrections to the allowable landing mass to account for the runways being slippery when wet, or covered with
snow, ice, or slush. These corrections are often applied through the use of the coefficient of friction of the runway or the
description of the braking action, good/medium/poor, etc. The presence of these conditions normally requires that the
maximum permitted cross-wind be reduced to take account of the difficulty associated with maintaining directional control
on the runway.

10.7.4 Landing data should also be presented for landings with technical malfunctions, such as flap malfunctions,
when these malfunctions can cause an increase in the required landing distance. Equally, engine failure can mean that
the aeroplane needs to land with a lower than normal flap setting, requiring a longer landing run.

10.7.5 When determining the maximum landing mass, the presence of obstacles in the missed-approach phase
should be considered. The aerodrome authority declares an OCH or OCA for each instrument runway and one of the
criteria, according to the PANS-OPS (Doc 8168), is that a 2.5 per cent missed-approach gradient be established which
will clear all obstacles in the missed-approach path. While normally all aeroplanes can achieve this gradient, it is possible
that some, particularly twin-engined aeroplane types may not be capable of achieving it following an engine failure. This
problem can be overcome by raising the OCA/H to allow the aeroplane to clear the obstacle, using a missed-approach
gradient that reflects the performance capabilities of the aeroplane, as is permitted in the PANS-OPS. Some operators
examine the missed-approach flight path and, where necessary, either restrict the landing mass or specify a higher OCA/H
so as to ensure obstacle clearance.

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 10.8 THE EFFECTS OF AN IN-FLIGHT FAILURE
OF A SYSTEM OR DEVICE ON LANDING DISTANCE

Information supporting non-normal configurations and in-flight failures of systems that affect the landing performance of
the aircraft should be provided in the OM.

10.9 BRAKE ENERGY LIMITS

Advisory information should be provided in the OM to avoid problems associated with hot brakes. Applying the cooling
procedures shown will avoid brake overheat and fuse plug problems that could result from a rejected take-off. The advisory
information should be based on maximum braking. Consideration is required for all rejected takeoffs and for all landings
for which the maximum quick turn weight has been exceeded.

10.10 HOLDING AND DIVERSION

10.10.1 Data on holding, preferably in a simple form, should be provided in the OM. These data normally present
fuel flow and airspeed as a function of mass, altitude and temperature.

10.10.2 Many operators present charts or graphs showing the amount of fuel required to divert to an alternate airfield.
These data are normally presented as a function of aeroplane mass and distance to the alternate with corrections for wind
and temperature. Allowances for holding and approach at the alternate may be included in the diversion fuel or presented
separately.

10.11 SUPPLEMENTARY DATA FOR FLIGHTS

IN ICING CONDITIONS AND CONSIDERING THE EFFECTS OF DE/ANTI-ICING FLUIDS

Additional information should be provided to flight crews in the OM on the effects of de/anti-icing fluids on aircraft
performance for take-off.

___________________

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 Chapter 11
CABIN CREW OPERATIONS MANUAL

11.1 GENERAL

11.1.1 As part of the OM, the operator must develop procedures, instructions and guidance for use by cabin crew
members in the execution of their duties and responsibilities. This information may be issued as a standalone document,
referred to as a CCOM. If the CCOM is issued as a standalone document, the operator should reference it in its OM.

Note.— For the purposes of this chapter the acronym CCOM is used to refer to a standalone document or
the part of the OM containing procedures, instructions and guidance for use by cabin crew members.

11.1.2 In accordance with Annex 6 — Operation of Aircraft, Part I — International Commercial Air Transport —
Aeroplanes, Appendix 2 — Organization and Contents of an Operations Manual, the operator must provide a CCOM to
its cabin crew members. The CCOM must be amended or revised as needed to keep the information contained therein
current. The operator is responsible for issuing all amendments or revisions to all cabin crew members and other personnel
(e.g., cabin crew training manager and support staff) required to use this manual.

11.1.3 The operator needs to incorporate all mandatory material required by the State of the Operator in the CCOM.
As part of its national regulations, the State of the Operator must establish a requirement for the operator to provide a
copy of the CCOM together with all amendments and/or revisions, for review and acceptance and, where required,
approval by the State of the Operator. The operator should ensure that the CCOM is a controlled document.

11.1.4 Specific cabin-related items in the CCOM that require the approval of the State of the Operator, in
accordance with the Standards in Annex 6, Part I, include:

a) the cabin crew safety training programme,

b) the cabin crew security training programme (which may be issued in a separate training manual); and

c) the MEL.

11.2 DISTRIBUTION OF THE CABIN CREW OPERATIONS MANUAL

11.2.1 The operator must provide the CCOM to all its cabin crew members. The manual can be in a paper (hardcopy)
or digital format, such as an electronic flight bag. The operator shall have a process to ensure that the holders of the
CCOM are updating the manual with the most current revision and where applicable, operating system software.

11.2.2 As per Annex 6 requirements, each aircraft in the operator’s fleet must carry the CCOM, or those parts of
the OM that pertain to flight operations.

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 11.3 CABIN CREW OPERATIONS MANUAL CONTENT

11.3.1 The operator must develop a CCOM in accordance with national regulations. The design of the manual must
observe human factors principles. The following sections should be included in the CCOM, as a minimum:

a) table of contents;

b) introduction and record of revision;

c) applicable regulations;

d) operator procedures;

e) normal operations procedures;

f) abnormal and emergency procedures;

g) safety briefings and announcements;

h) aircraft systems relevant to cabin crew duties and related checklists;

i) safety and emergency equipment;

j) procedures relating to aviation security;

k) dangerous goods;

l) first aid;

m) crew resource management (may be addressed in a standalone section and/or embedded across the
CCOM);

n) quick reference cards (checklists); and

o) appendices.

11.3.2 Sections 11.4 to 11.17 present the detailed guidance on the content of each section of the CCOM.

11.4 INTRODUCTION AND RECORD OF REVISION

11.4.1 The introduction (or preface) to the CCOM should explain the purpose of the document and note the person
authorized to do the revision. It should state that the CCOM is the property of the operator and should only be used by
authorized personnel. If the manual is broken down into different parts, this should be explained in the introduction. An
overview of each of the parts should be provided. The introduction should also outline the individual responsibilities of
each cabin crew member, including:

a) maintaining the manual up-to-date (whether it is a paper-based document or an electronic version that
requires downloading updates), including a description of the procedure for conducting the update
(receipt of transmittals and inserts, recording of updates, removal of outdated/expired pages);

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 b) carrying a copy of the manual at all times while on duty, if required by operator policy or national
regulations;

c) taking reasonable steps to safeguard the manual;

d) carrying the required documentation (e.g., licence, attestation or employee identification card); and

e) maintaining current qualification and complying with all operator procedures defined in the manual.

11.4.2 For paper manuals, the introduction should also include the list of effective pages in the CCOM, a series of
tables depicting the record of revisions to the CCOM, including the date of insertion and the person or entity responsible
for the inserted revision. For digital manuals, other means may be used to ensure that the manual is kept current.

11.5 APLLICABLE REGULATIONS

This section should include specific international and State regulations applicable to all crew members in general and
those relating to cabin operations and cabin crew members in particular. Applicable regulatory requirements related to
cabin crew and aircraft type qualification and regulations applicable to transport and management of special categories of
passengers (including refusal policies, stowage of assist devices and wheelchair operation) should be included in this
section.

11.6 OPERATOR PROCEDURES

11.6.1 This section should include safety and security procedures specific to the operator, other than those covered
in normal, abnormal and emergency procedures. These include topics such as: occurrence handling and reporting
procedures, inspections by the State of the Operator, operator documentation, as well as information and policy relating
to fatigue management.

11.6.2 Occurrence handling and reporting procedures should encompass:

a) overview of the operator’s SMS;

b) the operator’s reporting policy;

c) steps to follow when handling an occurrence;

d) occurrence categories (e.g., incident, serious incident, accident);

e) mandatory occurrence reporting, including cabin crew member responsibilities;

f) documentation to be completed (paper-based or electronic), including sample forms;

g) how to deal with relevant authorities, passengers and the media in the event on an occurrence (e.g.,
statements);

h) release from duty;

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 i) medical examinations following an occurrence; and

j) reinstatement of flying duties.

11.6.3 Inspections by the State of the Operator should address:

a) an overview of inspections conducted on board the operator’s aircraft;

b) areas covered by inspections (cabin crew training, safety and emergency equipment and systems,
application of procedures, and cabin operations);

c) actions in the event of non-compliance with operator procedures or national regulations;

d) authority of State civil aviation safety inspectors (e.g., cabin safety, dangerous goods, flight operations
etc.) and what they can and cannot do while on board the operator’s aircraft;

e) procedures for on board inspections, including cooperation by cabin crew, seat occupancy by inspectors,
identification of inspectors, and notification to the pilot-in-command; and

f) procedures for foreign civil aviation inspections (e.g., ramp inspections while at outstations).

11.6.4 Operator documentation should address the publications relevant to cabin operations, transmittals, record
of revisions and list of effective pages, cabin crew member responsibilities regarding operator’s documentation and
inspections related to documentation, as well as actions if documents are out of date.

11.6.5 Information and policy relating to fatigue management should include:

a) rules pertaining to flight time, flight duty period, duty period limitations and rest requirements for cabin
crew members (in accordance with Annex 6, Part I, Chapter 4, 4.10.2 a); and

b) policy and documentation pertaining to the operator’s FRMS, if applicable (in accordance with Annex 6,
Part I, Appendix 7).

11.6.6 Description and order of chain of command should also be included in this section of the manual.

11.7 NORMAL OPERATIONS PROCEDURES

11.7.1 The CCOM must include the operator’s safety procedures established for normal operations, including a
statement related to the necessary procedures for the coordination and responsibilities between flight and cabin crew. The
section of the manual on normal operations procedures addresses the operator’s procedures related to cabin crew
members’ safety-related duties and responsibilities during normal, day-to-day operations.

11.7.2 Normal operations procedures enable cabin crew members to carry out relevant safety-related tasks
assigned to them during normal operations and actively contribute to the safe operation of the aircraft. They include
managing the cabin environment, operating equipment and aircraft systems relevant to cabin crew duties, managing and
assisting passengers including special categories of passengers, and coordination with flight crew, ground crew, and other
cabin crew members.

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11.7.3 Security procedures related to normal operations (e.g., pre-flight security checks) are included as part of
normal operations procedures. However, these may be placed in the aviation security portion of the CCOM, along with
procedures for managing acts of unlawful interference (e.g., hijacking).

11.7.4 Procedures related to the operation of aircraft systems, relevant to cabin crew duties, and equipment are
typically addressed in separate sections; they do not need to be repeated as part of normal operations procedures.

11.7.5 Normal operations procedures should address cabin crew members’ safety-related duties and
responsibilities, as applicable to the following:

a) ground and pre-flight operations;

b) pushback and taxi;

c) take-off;

d) climb;

e) cruise;

f) descent and approach;

g) landing; and

h) post-landing and post-flight operations (including transit stops with passengers on board).

Note.— Detailed guidance on normal operations procedures can be found in the Cabin Crew Safety Training
Manual (Doc 10002).

11.8 ABNORMAL AND EMERGENCY PROCEDURES

11.8.1 The CCOM must include the operator’s abnormal and emergency procedures, including a statement related
to the necessary procedures for the coordination and responsibilities between flight and cabin crew, as well as between
cabin crew, ground crew and passengers when flight crew members are not on board. The following sections focus on the
cabin crew members’ roles and responsibilities during these types of situations.

11.8.2 “Emergency procedures” means all procedures established by the operator in the CCOM for abnormal and
emergency situations. For this purpose, “abnormal” refers to a situation that is not typical or usual, deviates from normal
operation and may result in an emergency.

11.8.3 Abnormal and emergency procedures should be designed to enable cabin crew members to immediately
recognize an abnormal or emergency situation, rapidly gain awareness of situational dynamics, if necessary initiate
communication with the flight crew and/or take necessary measures to deal with the situation. These procedures should
also enable cabin crew members to anticipate additional safety risks that may result from the actions they choose to take
and mitigate them, if required.

11.8.4 Abnormal and emergency procedures should address cabin crew members’ duties and responsibilities, as
applicable to the following situations:

a) firefighting;

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 b) cabin pressurization problems and decompression;

c) anticipated and unanticipated emergency landing/ditching;

d) evacuation;

e) flight and cabin crew member incapacitation; and

f) rapid disembarkation.

11.8.5 Procedures related to the transport of dangerous goods by air, aviation security and the management of on
board medical events are addressed separately in the CCOM. However, these subjects can also be part of the abnormal
and emergency procedures.

Note.— Detailed guidance on abnormal and emergency procedures can be found in the Cabin Crew Safety
Training Manual (Doc 10002).

11.9 SAFETY BRIEFINGS AND ANNOUNCEMENTS

11.9.1 General

The CCOM must contain detailed information on the various safety briefings required during operations. These include:

a) flight crew briefings;

b) cabin crew briefings; and

c) passenger safety briefings and announcements.

11.9.2 Flight crew briefings

11.9.2.1 Prior to each flight, cabin crew members should obtain a flight crew briefing. Joint briefings between the flight
crew and cabin crew are recommended when time and operations permit. A briefing can be conducted between the flight
crew members and the in-charge cabin crew member who then passes the information to the rest of the cabin crew. The
briefing from the flight crew members should include, but is not limited to:

a) expected flight times and altitudes;

b) meteorological information and flight conditions; and

c) any other items deemed necessary for the safe operation of the flight (e.g., short taxi time).

11.9.2.2 Prior to each flight, the in-charge cabin crew member should brief the flight crew members on the following
items, as a minimum:

a) completion of the briefing;

b) verification of safety and emergency equipment on board, including completion of required checklist(s);

11-6
 c) number of cabin crew members and the assignment of cabin crew stations, including completion of
required checklist(s);

d) cabin defects or unserviceability which may affect the safety of flight;

e) number of passengers on board including special categories of passengers and any associated medical
documentation, as required; and

f) any additional information necessary for the flight, such as additional medical equipment for special
categories of passengers, receipt of flight documents, etc.

11.9.3 Cabin crew briefings

11.9.3.1 A cabin crew briefing should be conducted prior to each flight, on any flight involving a change in aircraft
type (i.e., aircraft make, model and series) and/or flight and/or cabin crew member(s), and on any flight involving a
stop-over of a certain duration, as determined by the operator. This task is typically accomplished by the in-charge cabin
crew member. The cabin crew briefing should include, but is not limited to, the following items, as applicable:

a) the assignment of duties to individual cabin crew members, such as public address announcements,
cabin crew stations, and special categories of passengers;

b) review of safety, emergency, security, first aid and communication procedures and information (this
could be conducted through a series of questions to verify cabin crew members’ knowledge);

c) customized briefing for the aircraft type;

d) destination-specific information;

e) meteorological information; and

f) cabin defects.

Note.— Some of these items are obtained from the flight crew as part of a joint flight crew/cabin crew briefing
or should be disseminated by the in-charge cabin crew member.

11.9.3.2 This section of the CCOM should include procedures that explain how the operator will address a situation
where cabin crew members display inadequate knowledge during the review of safety, emergency, security, first aid and
communication procedures and information.

11.9.3.3 This section should also include procedures to address insufficient briefing time, for example in the event
operational circumstances result in very little time for cabin crew to conduct their pre-flight briefing.

11.9.4 Passenger safety briefings and announcements

11.9.4.1 Annex 6, Part I contains requirements for safety-related information that the operator must provide to
passengers on board commercial flights. This information is relayed to passengers via different means including videos
and verbal briefings provided by cabin crew members.

11.9.4.2 Cabin crew members should conduct verbal and/or visual safety briefings, to convey the following:

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 a) pre-departure briefing;

b) unstaffed exit row briefing;

c) briefings for special categories of passengers;

d) briefing conducted before take-off, commonly referred to as a safety demonstration;

e) after take-off briefing;

f) briefing in the event of turbulence;

g) pre-landing briefing;

h) after landing briefing;

i) transit stop briefing;

j) refuelling briefing;

k) information and instructions to passengers during abnormal and emergency situations; and

l) other briefing(s), as required by the State.

Note.— Detailed guidance for such briefings can be found in the Manual on Information and Instructions for
Passenger Safety (Doc 10086).

11.9.4.3 The operator should list the content of each briefing described in section 11.9.4.2 and include it in the CCOM.
The CCOM should specify when each of these briefings must be conducted (e.g., prior to departure from the gate or
parking stand). The operator’s procedures, contained in this section of the manual, should require cabin crew members to
conduct a safety demonstration, before every flight (including stop-overs). The safety demonstration may be conducted
by cabin crew on board the aircraft or via a video developed by the operator and presented to the passengers prior to
take-off. It should be specific to the aircraft make, model and series operated for the flight.

11.9.4.4 Certain briefings (e.g., in the event of turbulence) are commonly conducted by an announcement made over
the public address system. The CCOM should include the content of required announcements, including language
requirements. Alternatively, this content may be issued in a separate manual (referenced in the CCOM), such as a pocket
sized booklet for ease of reference.

11.9.4.5 This section should also include procedures to address insufficient briefing time, for example in the event
that operational circumstances (such as short taxiway to the holding point) result in very little time for cabin crew to
complete the safety demonstration prior to take-off.

11.10 AIRCRAFT SYSTEMS

11.10.1 The CCOM must include information relevant to cabin crew duties for the different aircraft types, requiring
cabin crew members on board. The following should be indicated, specific to each aircraft make, model, series and cabin
configuration in the operator’s fleet:

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 a) aircraft description;

b) minimum cabin crew requirements, positions and responsibilities;

c) cabin configuration (number and distribution of cabin crew seats and number of passenger seats);

d) cabin layout (interior design, stowage compartments such as overhead bins, and closets, etc.);

e) galleys;

f) lavatories;

g) flight deck seats and entry/egress;

h) crew rest areas and other remote areas;

i) exits (type, number, location and operation);

j) assisting evacuation means (slide, slide-raft, life raft, rope, etc.);

k) safety and emergency equipment, including location and operation if specific to the aircraft type (refer
to section 11.11);

l) aircraft systems relevant to cabin crew duties;

m) installed emergency locator transmitter;

n) normal operations procedures specific to the aircraft type, if applicable;

o) abnormal and emergency procedures specific to the aircraft type, if applicable;

p) checklists; and

q) design-related elements that may impact on normal operations and/or emergency procedures (e.g.,
stairs, smoke curtain, private suites, showers, social areas, non-forward facing passenger seats, cargo
areas if accessible from the passenger compartment during flight, etc.).

Note.— Detailed guidance for minimum cabin crew requirements can be found in the Manual on the
Establishment of Minimum Cabin Crew Requirements (Doc 10072).

11.10.2 “System” means a set of interacting or interdependent component parts forming a complex or intricate whole.
For the purposes of this document, aircraft systems are viewed as fixed components of the aircraft, which, unlike
equipment, cannot be physically removed from it by passengers or crew members during operations (e.g., circuit breaker
panels, emergency lights, smoke detection system).

11.10.3 Aircraft systems relevant to cabin crew duties that should be covered in the CCOM include:

a) air conditioning, ventilation, and pressurization systems;

b) communication systems and associated signalling panels;

c) control panels;

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 d) electrical system (galley, lavatory, in-flight entertainment system, in-seat electrical system, circuit
breaker panels, etc.);

e) evacuation alarm system;

f) fire prevention system;

g) lighting system (interior, exterior and emergency lights);

h) oxygen system (cabin and flight deck);

i) smoke detection system and smoke removal; and

j) water and waste systems.

Note.— Detailed guidance on aircraft systems relevant to cabin crew duties can be found in the Cabin Crew
Safety training Manual (Doc 10002).

11.11 SAFETY AND EMERGENCY EQUIPMENT

11.11.1 Annex 6, Part I requires the carriage of safety and emergency equipment on board aircraft. For the purposes
of this document, the following definitions apply:

a) the term safety equipment means equipment carried to be used during day-to-day normal operations
for the safe conduct of the flight and protection of occupants (e.g., seat belt extension); and

b) the term emergency equipment means equipment carried to be used in case of abnormal or emergency
situations that demand immediate action for the safe conduct of the flight and protection of occupants,
including life preservation (e.g., fire extinguisher). Some of this equipment may also be referred to as
survival equipment.

11.11.2 The CCOM must contain detailed information on the safety and emergency equipment required for operation
by cabin crew and passengers. The manual may contain a section solely dedicated to safety and emergency equipment,
particularly if the same pieces of equipment are used across the operator’s fleet. If a piece of equipment is only fitted on
board a particular aircraft make, model, series and/or cabin configuration, its operation may be addressed in the section
of the manual dedicated to that aircraft type. The location of each piece of safety and emergency equipment should also
be addressed in the sections dedicated to each aircraft type.

11.11.3 The manual should cover the following points, for each piece of equipment, if applicable:

a) general description;

b) use;

c) location(s);

d) pre-flight serviceability check(s);

e) removal from stowage;

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 f) operation;

g) conditions for operation;

h) operational limitations and duration of use;

i) operation under adverse conditions;

j) precautions for use; and

k) post-use procedures (including relocation of equipment, if applicable).

11.11.4 Attachment A to this chapter provides guidance on cabin safety and emergency equipment that should be
carried on board an aircraft, inside the cabin or in a location accessible to cabin occupants during flight. Although several
pieces of equipment are required by specific SARPs found throughout Annex 6, Part I, the table included in Attachment A
presents them in a comprehensive list for ease of reference. Certain pieces of equipment are only required for specific
types of operations (e.g., on flights over water); these requirements are highlighted in the table. Attachment A focuses on
safety and emergency equipment and excludes aircraft systems relevant to cabin crew duties (refer to section 11.10).

11.11.5 Annex 6, Part I requires that aircraft be equipped with accessible and adequate medical supplies.
Attachment C to this chapter provides guidance on the different types of medical supplies for carriage on board aircraft,
as a supplement to Annex 6, Part I, Chapter 6, 6.2.2 a).

11.11.6 Annex 6, Part I also requires that aircraft operating in specific conditions (as stipulated in Annex 6, Part I,
Chapter 6, 6.5.2.1) comprise one life jacket or equivalent individual flotation device for each person on board, stowed in a
position easily accessible from the seat or berth of the person for whose use it is provided. Attachment D to this chapter
provides guidance on provisions for the accessibility of infant flotation devices.

11.12 PROCEDURES RELATING TO AVIATION SECURITY

11.12.1 The CCOM must include the operator’s procedures related to cabin crew members’ security-related duties
and responsibilities. The section of the manual on aviation security addresses the operator’s procedures for cabin crew
members to apply preventive measures during normal operations and response to security threat events. Security
procedures related to normal operations (e.g., pre-flight security checks) may be included in this section of the manual or
as part of normal operations procedures.

11.12.2 Security-related procedures enable cabin crew members to identify and respond appropriately to various
security threats so as to prevent and/or minimize the consequences of acts of unlawful interference.

11.12.3 The section of the manual on aviation security should cover the following:

a) cabin crew responsibilities;

b) preventive measures;

c) security of the flight deck;

d) security equipment, where carried; and

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 e) security threat situations.

11.12.4 An introductory part of the security section should state that cabin crew members must ensure that no
information about security-related procedures is released to unauthorized persons. Other responsibilities include, but are
not limited to:

a) possession and use of crew member identification card , access to restricted areas, and procedures in
the event of loss, theft and termination of employment;

b) travel documentation required;

c) procedures related to crew baggage and personal belongings to prevent interference;

d) crew uniforms, including procedures in the event of loss, theft, disposal and termination of employment;

e) restrictions on acceptance and carriage of mail or packages on board without security screening; and

f) identifying, challenging and reporting of security breaches and security-related occurrences (refer to
section 11.6.2).

11.12.5 The preventive measures address actions and techniques in relation to passengers, baggage, cargo, mail,
equipment, stores and supplies intended for carriage on an aircraft so that cabin crew can contribute to the prevention of
acts of sabotage or other forms of unlawful interference. Examples include performance of pre-flight security checks of
the cabin or galley equipment and monitoring of passengers during the boarding process. The CCOM should contain
procedures for cabin crew members to carry out preventive measures. This section should also include information
regarding security screening of operator personnel, passengers, baggage, cargo, mail, equipment, stores and supplies
intended for carriage on aircraft.

11.12.6 The CCOM must include procedures to ensure that flight deck access is coordinated between the cabin crew
and the flight crew. Procedures should state that cabin crew compliance with the access/egress procedures is an integral
part of preventing unlawful interference.

11.12.7 The CCOM must also contain detailed information on security equipment, if carried, such as non-lethal
protective devices assigned to crew members whose use is authorized by the State of the Operator.

11.12.8 Security-related procedures should address cabin crew members’ duties and responsibilities on unlawful
interference, as applicable to the following security threat situations:

a) unruly passengers (also referred to as disruptive passengers);

b) bomb threat or bomb on board in flight and on the ground;

c) hijacking; and

d) chemical/biological/radiological weapons.

Note.— Detailed guidance on aviation security can be found in the Cabin Crew Safety Training Manual
(Doc 10002), the Aviation Security Manual — Restricted (Doc 8973) and the Manual on the Implementation of the Security
Provisions of Annex 6 — Restricted (Doc 9811).

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 11.13 DANGEROUS GOODS

11.13.1 The CCOM must include a section on dangerous goods. Dangerous goods are defined as articles or
substances which are capable of posing a risk to health, safety, property or the environment and which are shown in the
list of dangerous goods in the Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284) or
which are classified according to those Instructions.

11.13.2 This section of the CCOM should address the following:

a) definition of dangerous goods;

b) classes;

c) limitations;

d) labelling and marking;

e) procedures for undeclared dangerous goods found in the cabin;

f) provisions for passengers and crew; and

g) emergency procedures.

11.13.3 Cabin crew procedures related to dangerous goods should encompass the following situations:

a) permitted dangerous goods by passengers and crew;

b) forbidden dangerous goods found on board on the ground;

c) forbidden dangerous goods found on board during flight;

d) fire involving dangerous goods;

e) fire involving a portable electronic device (PED) or stand-alone lithium batteries; and

f) spillage or leakage involving dangerous goods.

Note.— Detailed guidance on emergency procedures related to dangerous, including PEDs can be found in
the Emergency Response Guidance for Aircraft Incidents Involving Dangerous Goods (Doc 9481) and in the Cabin Crew
Safety Training Manual (Doc 10002).

11.14 FIRST AID

11.14.1 A section of the CCOM must address first aid and procedures for cabin crew members to manage on-board
medical events. This section of the manual addresses how cabin crew members manage medical events and administer
first aid to passengers, or to other crew members. Cabin crew members may be exposed to travellers with a communicable
disease and should be able to protect themselves through the application of universal precautions and to manage a
suspected or actual case. The CCOM should contain procedures to address such scenarios.

11.14.2 The first-aid section of the CCOM should address, but is not limited to, the following:

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 a) cabin crew responsibilities;

b) administering medication and oxygen, including restrictions;

c) administering first aid;

d) equipment and medical supplies;

e) altitude physiology; and

f) management of on-board medical events, including possible exposure to communicable diseases.

11.14.3 A part of the first aid section should state that cabin crew members have a responsibility to act as first
responders in the event of illness or injury of occupants on board. Procedures contained in this section of the manual
should contain information regarding safety of all occupants on board the aircraft while first aid is provided, including use
of protective equipment by cabin crew members.

11.14.4 Procedures concerning the administration of oxygen should be detailed in this section. The administration of
medication should also be covered, including any restrictions or prohibitions for cabin crew members to recommend or
provide medication without consent from an on-board volunteer health professional or a ground based medical support
provider.

11.14.5 The administration of first aid should include decision flow charts and symptoms charts to assist cabin crew
members to recognize and respond to the situation using the appropriate first-aid techniques to the specific illness or injury.
This may include, but is not limited to:

a) assessing airway/breathing;

b) performing cardiopulmonary resuscitation (CPR);

c) performing abdominal thrusts;

d) controlling bleeding;

e) administering oxygen;

f) immobilizing a fracture; and

g) applying burn dressing.

11.14.6 Equipment and medical supplies include the first-aid kit , emergency medical kit , universal precautions kit ,
automated external defibrillator (AED), and telemedicine device. Information regarding the equipment and supplies carried
may be included in the section of the CCOM on safety and emergency equipment and should address the same items as
all other pieces of equipment carried on board (refer to section 11.11).

11.14.7 Information related to altitude physiology should address the signs and symptoms of hypoxia and means of
treating it.

11.14.8 The first aid section should also include procedures for the management of on-board medical events. These
include, but are not limited to:

a) communicating with flight crew members;

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 b) seeking ground-based medical and/or on-board volunteer health professional assistance;

c) managing assistance from an on-board volunteer health professional, if available

d) applying operator policy on “Do Not Resuscitate” (DNR), if appropriate; and

e) managing a death or presumed death on board.

Note.— Detailed guidance on cabin health and first aid can be found in the Cabin Crew Safety Training
Manual (Doc 10002).

11.15 CREW RESOURCE MANAGEMENT

11.15.1 The CCOM should address crew resource management (CRM) which includes:

a) an overview of CRM concepts and general principles; and

b) the description and application of competencies that foster CRM.

11.15.2 The overview should include a description of CRM concepts, general principles and processes during
operations including, but is not limited to: definition, purpose and benefits. The description and application of competencies
that foster CRM, may include the cabin crew competencies outlined in Doc 10002 (e.g., communication).

Note.— Detailed guidance on cabin crew competencies and CRM can be found in the Cabin Crew Safety
Training Manual (Doc 10002).

11.16 QUICK REFERENCE CARDS

11.16.1 The CCOM may include quick reference cards and checklists, for use by cabin crew members during normal
operations and in the event of abnormal or emergency situations, should time permit. These include, but are not limited
to:

a) checklist(s) for use during an anticipated emergency landing or ditching, which provide a sequence to
ensure that priority items are identified and accomplished first;

b) quick reference card on how to proceed in during medical situations on board or medical emergencies;

c) checklist for cabin crew tasks after a cabin decompression;

d) checklist for suspected bomb or explosives, and least risk bomb locations (specific to each aircraft type);

e) checklist to build a bomb stack; and

f) cabin search.

11.16.2 Different checklists for use during an anticipated emergency landing or ditching may be produced for single
cabin crew member operations and those with multiple cabin crew members. The operator should also produce a checklist
for time critical preparation of an anticipated emergency landing or ditching, in the event of insufficient time for cabin crew

11-15
members to carry out a full cabin preparation. Attachment B of this chapter presents an example of a checklist for an
anticipated emergency landing.

11.17 APPENDICES

Appendices in the CCOM may include relevant national regulations, acronyms, etc.

11.18 CABIN CREW TRAINING MANUAL

11.18.1 Training manuals are required for flight crew, cabin crew, operations personnel, ground personnel and
maintenance personnel. These should cover all aspects of initial and recurrent training, and conversion and upgrading
training. As per Annex 6, Part I, Appendix 2, the OM must contain details of the cabin crew training programme, in line
with the training requirements set out in Chapter 12, 12.4 of the Annex.

11.18.2 The training programme should be described in detail either in the OM or in a training manual, which may
be issued as a separate manual, but is considered to be part of the OM. The choice generally depends upon the extent of
the operations and the number and types of aircraft in the operator's fleet. Most operators find it convenient to set forth
their training programmes in a training manual of one or more volumes to facilitate easy application and updating.

11.19 CABIN CREW TRAINING MANUAL CONTENT

The following sections should be included in the cabin crew training manual, as a minimum:

a) table of contents;

b) administration and control of training manual;

c) general training syllabi and checking programmes;

d) cabin crew training syllabi and checking;

e) procedures; and

f) documentation and storage.

11.20 ADMINISTRATION AND CONTROL

11.20.1 The administration and control section of the cabin crew training manual should include the following:

a) introduction;

b) system of amendment and revision;

c) log of effective pages;

11-16
 d) abbreviations; and

e) terms and definitions.

11.20.2 The introduction should contain an explanation that national regulations require operational personnel to be
trained to attain the expected level of competency. It should also describe that the training manual comprises all training
instructions for personnel required for a safe operation of aircraft and forms a part of the operator’s OM. In this section, all
the sources used as the basis for the cabin crew training manual should be cited (e.g., national regulations, operator
policies and procedures, other relevant requirements for cabin crew training). It should state that the cabin crew training
manual is the property of the operator and should only be used by authorized personnel. As part of the introduction, the
structure and contents of the cabin crew training manual should be outlined, as well as a reference which states that the
manual (and its structure and content) was developed in accordance with national regulations. Sections of the cabin crew
training manual should contain, as a minimum, the items listed in section 11.19.1. Editorial conventions should be
explained in the introduction (e.g., the meaning of words such as “shall” vs “should”) to clarify the content of the manual.

11.20.3 This section should list the titles of those individuals employed by the operator who are responsible for
compiling, authorizing and distributing the cabin crew training manual as well as the means by which the document is
distributed (e.g., electronically or hard copies). A part of this section should address amendments to the cabin crew training
manual, including: how they are distributed; how to log effective pages, any conventions used for the amendments
(strikeouts, coloured pages, etc.); temporary instructions; and actions required as a response to amendments. This section
should also describe the contents and indexing system (numbering of chapters, sub-sections, paragraphs, and symbols
used).

11.21 GENERAL TRAINING SYLLABI AND CHECKING PROGRAMMES

11.21.1 The section on the general aspects of the training syllabi and checking programmes should encompass the
following;

a) training courses approval;

b) digital learning and checking, if applicable; and

c) quality assurance processes (e.g., auditing of the training programme).

11.21.2 A description should state that the cabin crew training manual is approved by the State, along with a list of
training courses that require regulatory approval (e.g., cabin crew initial training). The procedure to obtain approval of
training courses should be described in this section. All required documents should be listed. Administration aspects,
including responsibility for keeping a file of all approvals and related documentation from the State, should be detailed in
this section.

11.21.3 An overview of approved cabin crew courses should be presented in this section, as follows:

a) the different types of training for cabin crew:

1) initial training;

2) aircraft type training;

3) differences’ training;

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 4) aircraft visit;

5) familiarization flight; and

6) recurrent training;

b) requalification programmes;

c) cabin crew instructor and evaluator training; and

d) in-charge cabin crew member training.

11.21.4 Initial training includes:

a) aviation indoctrination;

b) cabin crew tasks, including duties and responsibilities;

c) normal operations procedures;

d) abnormal and emergency procedures;

e) aircraft type training;

f) dangerous goods;

g) human performance (including CRM and fatigue management);

h) cabin health and first aid; and

i) duties and responsibilities relating to aviation security.

Note.— Detailed guidance on the content of cabin crew training programmes can be found in the Cabin Crew
Safety Training Manual (Doc 10002).

11.21.5 If the operator provides digital learning to its cabin crew members, the cabin crew training manual should
provide a general description of digital learning (e.g., onsite or distance learning, with or without instructor present,
examples of subjects covered). This section should also describe the procedures used for: obtaining approval of the digital
learning portions of the training programme; checking and recording of trainee results, particularly if a pass is mandatory
for items covered through digital learning; and archiving of records within the Learning Management System .

11.22 CABIN CREW TRAINING SYLLABI AND CHECKING

11.22.1 This section on the cabin crew training syllabi and checking provides a detailed description of the cabin crew
training programme. The training courses are generally described in detail in the instructor guide, published under the
authority of the cabin crew safety training manager. Each of the approved cabin crew courses (refer to section 11.21.3)
should be presented in this section of the training manual, and include the following subsections, as a minimum:

a) general aspects;

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 b) authority;

c) objectives;

d) prerequisites;

e) course content;

f) training facilities and devices;

g) cabin crew instructors;

h) cabin crew evaluators;

i) assessment methods;

j) administration aspects;

k) validity; and

l) revalidation and renewal.

11.22.2 General aspects

This subsection should address subjects which may not be covered in other sub-sections and explanatory notes relevant
to the course.

11.22.3 Authority

This subsection should describe responsibilities for different tasks such as: meeting regulatory requirements for the course,
scheduling cabin crew members for training, delivering training, issuing of licence, attestation or other document to record
completion of the course.

11.22.4 Objectives

This subsection should present the objectives of the training or the portion of the training being addressed. Specific
objectives can be broken down into high-level descriptions of the knowledge, skills and attitudes which cabin crew
members must develop as a result of training.

11.22.5 Prerequisites

This subsection should state the requirements that each cabin crew member must comply with prior to the training, if any.
For example, differences training is required to gain competence before the cabin crew member is assigned to duty on an
aircraft that has differences from the model or series that the crew member is previously qualified on. Therefore, the cabin
crew member should hold a valid qualification on the base aircraft model or series before undertaking differences training.

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 11.22.6 Course content

This subsection should present requirements concerning content of the course (e.g., content of dangerous goods training)
and an overview (typically in bullet point form) of the subjects covered. This includes a brief description of relevant operator
procedures, knowledge, skills and attitudes that cabin crew members must demonstrate, as well as hands-on and
simulated exercises to be successfully completed. For recurrent training, the content may cover a certain period, as defined
by the State (e.g., over a 36-month cycle). In such cases, the subsection on recurrent training content should clearly state
which subjects will be covered annually and which will be addressed as part of the rotation, with a breakdown of subjects
during each year of the cycle, until it is completed.

11.22.7 Training facilities and devices

This subsection should list the training facilities, aircraft, representative training devices, and training aids required to
conduct the course or the portion of the course being addressed. Representative training devices include:

a) safety and emergency equipment;

b) cabin training devices;

c) emergency exit trainers; and

d) facilities used for firefighting and water survival training.

Note.— Detailed guidance on training facilities and devices can be found in the Cabin Crew Safety Training
Manual (Doc 10002).

11.22.8 Cabin crew instructors and evaluators

This subsection should address the requirements for cabin crew instructors and evaluators, respectively. This includes
applicable regulatory requirements, required qualifications and competencies, authorizations, duties and responsibilities
and refresher training requirements to maintain instructor or evaluator competency. These items may be covered under
the subsections that address syllabi for cabin crew instructors and evaluators and cross-referenced in this subsection for
ease of reference.

Note.— Detailed guidance on cabin crew instructors and examiners can be found in the Cabin Crew Safety
Training Manual (Doc 10002).

11.22.9 Assessment methods

This subsection should describe what has to be assessed and how. It should specify, for the course or a specific part of
it, the method used for assessing cabin crew members (e.g., a written test, a hands-on exercise on the use of a piece of
equipment, an assessment of competencies in a simulated exercise). Details regarding the assessment tools used by
instructors and examiners, such as rating scales, may be issued separately as part of instructor/examiner guides. Steps
to take when a cabin crew member’s performance is deemed unsatisfactory are to be found in detail under the subsection
related to “procedures when not proficient” (refer to section 11.23).

11.22.10 Administration

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This subsection should describe any administrative requirements, such as the filing system used for recording and storing
cabin crew member assessments, certificates or attestations issued as a result of successful completion of the course.

11.22.11 Validity

This subsection should state the validity of the training or the licence, attestation or authorization obtained by successful
completion of the training, if applicable. For example, under recurrent training, text may describe that the validity of the
training is 12 months and that the national regulations provide an additional month in which cabin crew members can
maintain these annual qualifications. On the first day of the calendar month after the cabin crew member’s additional
month, if she/he has not attended annual recurrent training, the training will no longer be considered valid and the cabin
crew member will not be qualified to fly.

11.22.12 Revalidation and renewal

This subsection should describe the requirements to be complied with in order to revalidate or renew the training or the
licence, attestation or authorisation obtained by the successful completion of the training, if applicable (e.g., dangerous
goods training, instructor/evaluator qualification).

11.23 PROCEDURES

11.23.1 The methodology and process used to develop the course material should be outlined in this section. This
includes the instructional systems design models used to design competency-based training and assessment
programmes. The analysis, design, develop, implement and evaluate framework is one example. The process may be
depicted using a flow chart.

11.23.2 This section should also describe procedures for cabin crew training and assessment. The cabin crew
competencies defined by the operator should be outlined, as well an explanation of the observable behaviours that are
assessed during scenario-based training.

11.23.3 The assessment methods, specific to the operator, should be outlined. This includes the established rating
scale and the success criteria. The performance criteria, used to assess whether the required levels of performance have
been achieved for a competency, should be defined. Assessment tools available to evaluators should be listed.

Note.— Detailed guidance on assessment methods can be found in the Cabin Crew Safety Training Manual
(Doc 10002).

11.23.4 Reporting procedures as a result of assessments should be included in this section of the cabin crew training
manual. This includes means to record satisfactory and unsatisfactory results and recommended or required training as a
result of the assessment. This section should also describe the procedures to apply when a cabin crew member is not
deemed proficient. This includes cases possibly resulting in a cabin crew member not being deemed proficient during
training (e.g., as a result of unsatisfactory performance during recurrent), or on the line (e.g., unsatisfactory knowledge
displayed during the crew pre-flight briefing), as well responsibilities for reporting this issue, interruption of training and
assessment, process for corrective actions and means to re-establish the cabin crew member’s desired competency level.

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 11.24 DOCUMENTATION AND STORAGE

This section should describe the system that the operator implemented and maintains for the management and control of
all training records to ensure the content and retention of such records is in accordance with national regulations. This
includes records of cabin crew members, instructors and evaluators. The section should provide an overview of the system
used, its objectives, responsible parties within the operator for its operation and maintenance, any subsystems and their
features, storage and cybersecurity aspects, standardization and reporting (including standard reporting forms,
responsibilities of instructors/evaluators to complete forms, and recording of assessments), procedures for record checks
at regular intervals, management of incomplete training records, and internal feedback processes.

___________________

11-22
 Attachment A to Chapter 11
LIST OF CABIN SAFETY AND EMERGENCY EQUIPMENT

Specific type of
Situation Equipment Reference
operation (if any)

Oxygen equipment
(bottles, passenger mask, All aeroplanes on high
Decompression An 6, Pt I, 4.3.9 and 6.7
full face mask, flight deck altitude flights
oxygen mask)

– An 6, Pt I, 6.5.1(a)
All aeroplanes on
Life jacket or equivalent (Seaplanes)
flights over water
individual flotation device – An 6, Pt I, 6.5.2.2
(see SARPs for details)
(Landplanes)

Life jacket or equivalent All aeroplanes on

individual flotation device
equipped with a means of
electric illumination
Ditching
Equipment for making the
pyrotechnical distress
signals
long-range over-water
An 6, Pt I, 6.5.3.2
flights (see SARPs for
details)
All aeroplanes on
An 6, Pt I, 6.5.3.1(b) long-range over-water
flights

All aeroplanes on
Life-raft with life-saving
An 6, Pt I, 6.5.3.1(a) long-range over-water
equipment
flights

Lifeline N/A

Axe or crowbar Doc 10002

Portable fire extinguisher An 6, Pt I, 6.2.2 (b)(2)

Protective breathing
Doc 10002 All operations
equipment
Fire/smoke/fumes

Protective gloves Doc 10002

Smoke goggles Doc 10002

Fire containment device N/A

Incident involving
Emergency response kit Doc 9481 All operations
dangerous goods

11-A-1
 Specific type of
Situation Equipment Reference
operation (if any)

An 6, Pt I, 6.2.2 (a)(3) Aeroplanes authorized

Medical kit Attachment A, 1.1 and to carry more than 100
4.1.3 passengers

An 6, Pt I, 6.2.2 (a)(1)
First-aid kit Attachment A, 1.1, 2.1 and
4.1.1

Automated external An 6, Pt I, Attachment A,

defibrillator (AED) 1.2

Medical situation All operations

– An 6, Pt I, Attachment
A, 4.1.1
AED associated
(mouth-to-mouth
equipment (CPR masks,
resuscitation mask
shields, resuscitator bags,
with one-way valve)
etc.)
– Doc 10002 (other
items)

An 6, Pt I, 6.2.2 (a)(2) Aeroplanes required to

Universal precautions kit Attachment A, 1.1, 2.2 and carry cabin crew as part
4.1.2 of the operating crew

Child restraint systems Doc 10002

Extension seat belt Doc 10002

Passenger safety briefing

An 6, Pt I, 4.2.12.1(e)
card
Occupant safety All operations

Safety demonstration kit N/A

Safety harness An 6, Pt I, 6.16

Seat belt An 6, Pt I, 6.2.2 (c)(2)

Emergency flashlight
All aeroplanes when
(independent portable An 6, Pt I, 6.10(f)
Passenger operated at night
light)
management

Megaphone Doc 10002 All operations

Non-lethal protective
Security devices (restraining device Doc 10002 All operations
such as plastic flex cuff)

11-A-2
 Specific type of
Situation Equipment Reference
operation (if any)

Emergency locator
transmitter (ELT) All aeroplanes
An 6, Pt I, 6.17
(Automatic portable ELT (see SARPs for details)
and/or Survival ELT)

Life-saving equipment
All aeroplanes on
Survival (including
An 6, Pt I, 6.6 flights over designated
means of sustaining
land areas
life/survival kit)

All aeroplanes on
Signalling devices
An 6, Pt I, 6.6 flights over designated
(e.g., mirrors)
land areas

___________________

11-A-3
 Attachment B to Chapter 11
Example of checklist for an anticipated emergency landing

1. GENERAL

The following is an example of a checklist for use by operators. It may not be appropriate for all types of operators (e.g.,
for single cabin crew member operations). Commands and timings in the checklist are presented only as examples and
may be modified based on operator procedures. Depending on the time available in an actual emergency, cabin crew
members may only cover critical items in the checklist rather than all of them. Therefore, they should accomplish the items
in order as time permits. The operator may also develop a quick preparation checklist for situations where time is very
limited.

2. EXAMPLE FOR LAND EVACUATION PREPARATION

11-B-1
 Attachment C to Chapter 11
MEDICAL SUPPLIES
TYPES, NUMBER, LOCATION AND CONTENTS OF MEDICAL SUPPLIES

1. TYPES

1.1 The different types of medical supplies should be provided as follows: first-aid kit(s) for carriage on all
aeroplanes, universal precaution kit(s) for carriage on all aeroplanes that require a cabin crew member, and a medical kit
for carriage where the aeroplane is authorized to carry more than 100 passengers on a sector length of more than two
hours. Where national regulations allow, operators may elect to carry the recommended medication in the first-aid kit.

1.2 Based on the limited available evidence, only a very small number of passengers are likely to benefit from
the carriage of AEDs on aeroplanes. However, many operators carry them because they offer the only effective treatment
for cardiac fibrillation. The likelihood of use, and therefore of potential benefit to a passenger, is greatest in aircraft carrying
a large number of passengers, over long duration sector lengths. The carriage of AEDs should be determined by operators
on the basis of a risk assessment considering the needs of the operation.

2. NUMBER OF FIRST-AID AND UNIVERSAL PRECAUTION KITS

2.1 First-aid kits

The number of first-aid kits should be appropriate to the number of passengers that the aeroplane is authorized to carry:

Passenger First-aid kits

0 –100 1
101 – 200 2
201 – 300 3
301 – 400 4
401 – 500 5
More than 500 6

2.2 Universal precaution kits

For routine operations, one or two universal precaution kits should be carried on aircraft that are required to operate with
at least one cabin crew member. Additional kit(s) should be made available at times of increased public health risk, such
as during an outbreak of a serious communicable disease having pandemic potential. Such kits may be used to clean up
any potentially infectious body contents such as blood, urine, vomit and faeces and to protect the cabin crew members
who are assisting potentially infectious cases of suspected communicable disease.

3. LOCATION

3.1 First-aid and universal precaution kits should be distributed as evenly as practicable throughout the
passenger cabins. They should be readily accessible to cabin crew members.

3.2 The medical kit, when carried, should be stored in an appropriate secure location.

11-C-1
 4. CONTENTS

4.1 The following provides guidance on typical contents of first-aid, universal precaution and medical kits.

4.1.1 First-aid kit

— List of contents
— Antiseptic swabs (ten pack)
— Bandage: adhesive strips
— Bandage: gauze 7.5 cm × 4.5 m
— Bandage: triangular; safety pins
— Dressing: burn 10 cm × 10 cm
— Dressing: compress, sterile 7.5 cm × 12 cm
— Dressing: gauze, sterile 10.4 cm × 10.4 cm
— Tape: adhesive 2.5 cm (roll)
— Steri-strips (or equivalent adhesive strip)
— Hand cleanser or cleansing towelettes
— Pad with shield, or tape, for eye
— Scissors: 10 cm (if allowed by national regulations)
— Tape: adhesive, surgical 1.2 cm × 4.6 m
— Tweezers: splinter
— Disposable gloves (multiple pairs)
— Thermometers (non-mercury)
— Mouth-to-mouth resuscitation mask with one-way valve
— First-aid manual, current edition
— Incident record form

The following suggested medications can be included in the first-aid kits where permitted by national regulations:

— Mild to moderate analgesic

— Antiemetic
— Nasal decongestant
— Antacid
— Antihistamine

4.1.2 Universal precaution kit

— Dry powder that can convert small liquid spill into a sterile granulated gel
— Germicidal disinfectant for surface cleaning
— Skin wipes
— Face/eye mask (separate or combined)
— Gloves (disposable)
— Protective apron
— Large absorbent towel
— Pick-up scoop with scraper
— Bio-hazard disposal waste bag
— Instructions

4.1.3 Medical kit

11-C-2
Equipment

— List of contents
— Stethoscope
— Sphygmomanometer (electronic preferred)
— Airways, oropharyngeal (three sizes)
— Syringes (appropriate range of sizes)
— Needles (appropriate range of sizes)
— Intravenous catheters (appropriate range of sizes)
— Antiseptic wipes
— Gloves (disposable)
— Needle disposal box
— Urinary catheter
— System for delivering intravenous fluids
— Venous tourniquet
— Sponge gauze
— Tape, adhesive
— Surgical mask
— Emergency tracheal catheter (or large gauge intravenous cannula)
— Umbilical cord clamp
— Thermometers (non-mercury)
— Basic life support cards
— Bag-valve mask
— Flashlight and batteries

Medication

— Epinephrine 1:1 000

— Antihistamine, injectable
— Dextrose 50 per cent (or equivalent) – injectable: 50 ml
— Nitroglycerin tablets, or spray
— Major analgesic
— Sedative anticonvulsant, injectable
— Antiemetic, injectable
— Bronchial dilator, inhaler
— Atropine, injectable
— Adrenocortical steroid, injectable
— Diuretic, injectable
— Medication for postpartum bleeding
— Sodium chloride 0.9 per cent (minimum 250 ml)
— Acetyl salicylic acid (aspirin) for oral use
— Oral beta blocker

If a cardiac monitor is available (with or without an AED) add to the above list:

— Epinephrine 1:10 000 (can be a dilution of epinephrine 1:1 000)

Note.— The United Nations Conference for Adoption of a Single Convention on Narcotic Drugs in
March 1961 adopted such a Convention, Article 32 of which contains special provisions concerning the carriage of drugs
in medical kits of aircraft engaged in international flight.
______________________

11-C-3
 Attachment D to Chapter 11
PROVISIONS FOR THE ACCESSIBILITY OF
INFANT FLOTATION DEVICES

1. GENERAL

This attachment provides guidance on provisions in Annex 6 — Operation of Aircraft, Part I — International Commercial
Air Transport — Aeroplanes related to the accessibility of infant flotation devices on board commercial passenger flights.
It is also applicable as guidance to meet ICAO requirements found in Annex 6, Part II — International General Aviation —
Aeroplanes and Annex 6, Part III — International Operations — Helicopters.

2. ICAO ANNEX 6 PROVISIONS

Annex 6, Part I states the following:

“6.5.2.1 Landplanes shall carry the equipment prescribed in 6.5.2.2:

a) when flying over water and at a distance of more than 93 km (50 NM) away from the shore, in the case of
landplanes operated in accordance with 5.2.9 or 5.2.10;

b) when flying en route over water beyond gliding distance from the shore, in the case of all other landplanes;
and

c) when taking off or landing at an aerodrome where, in the opinion of the State of the Operator, the take-off or
approach path is so disposed over water that in the event of a mishap there would be a likelihood of a ditching.

6.5.2.2 The equipment referred to in 6.5.2.1 shall comprise one life jacket or equivalent individual flotation
device for each person on board, stowed in a position easily accessible from the seat or berth of the person for
whose use it is provided.”

Note.— For the purpose of this attachment, the following terms are used throughout:

a) infant flotation device means an infant life jactket or equivalent individual flotation device; and

b) responsible person means a parent, guardian, or other person who is responsible for the safety of an
infant.

11-D-1
 3. TYPES OF OCCURRENCES INVOLVING WATER CONTACT

3.1 Types of occurrences

There are three types of occurrences that involve water contact:

a) anticipated ditching;

b) unanticipated ditching; and

c) inadvertent water contact.

3.2 Anticipated ditching

3.2.1 A ditching is defined as “the forced landing of an aircraft on water.” A ditching is a planned event in which
flight crew knowingly make an emergency landing on water. There are two types of ditching occurrences for which cabin
crew members are typically trained: anticipated and unanticipated.

3.2.2 In an anticipated ditching, cabin crew members receive information from the flight crew on the type and the
nature of emergency, time remaining, special instructions, etc. Based on the time remaining prior to landing, the cabin
crew apply the appropriate procedures and checklist to prepare the cabin and passengers, in a sequence to ensure that
priority items are identified and accomplished first. The preparation for an evacuation on water may include, but is not
limited to:

a) cabin crew duties and responsibilities;

b) review of the brace position(s);

c) appropriate commands;

d) precautions and adaptations for passenger management;

e) time element and time management;

f) donning life jackets; and

g) various possible aircraft attitudes, and associated evacuation procedures.

3.2.3 In an anticipated ditching, the operator’s procedures may require the cabin crew members to distribute and/or
assist in donning flotation devices.

3.3 Unanticipated ditching

3.3.1 In an unanticipated ditching, cabin crew members may receive a last minute notification from the flight crew
that they will execute a landing on water. Occurrences involving an unanticipated ditching are characterized by insufficient
time for cabin crew members to apply any appropriate procedures or checklist to prepare the cabin and passengers for an
evacuation on water. Operator procedures for an unanticipated ditching are limited to cabin crew members:

a) recognizing emergency signal from the flight crew, which advises them that a ditching is imminent;

11-D-2
 b) taking their assigned station/seat;

c) checking door status (e.g. door is in appropriate mode; ditching configuration);

d) performing the silent review;

e) complying with flight crew emergency communication;

f) taking the brace position for impact; and

g) shouting the brace commands for a ditching.

3.3.2 If the operator’s procedures call for cabin crew members to distribute infant flotation devices only in
preparation for an anticipated ditching, in an unanticipated ditching, they may not have time to distribute these devices.
As a result, responsible persons may not have immediate access to infant flotation devices. The operator’s procedures
should include means for the cabin crew members to distribute infant flotation devices during an unanticipated ditching.

3.4 Inadvertent water contact

3.4.1 An inadvertent water contact occurrence, or unintentional landing on a body of water, does not allow
sufficient time to prepare the cabin for an evacuation on water. An inadvertent water contact occurrence is the most
common water-related accident type. Therefore, most water landings are generally unplanned events. They generally
occur during the flight phases within close proximity to the airport, specifically take-off, initial climb, final approach, and
landing. Accidents that occur at or near the shore are within the range of airport or other emergency services. Proximity
to an airport and rescue services increases the survivability of occupants. The majority of survivable water-related
accidents are inadvertent and occur near airports.

3.4.2 An inadvertent water contact occurrence differs from a ditching because it is an unplanned event in which
flight crew do not intentionally make an emergency landing on water. An inadvertent water contact occurrence is usually
the result of a runway excursion (a veer off or overrun off the runway surface), a runway undershoot, or an overshoot. It
is characterized by an unexpected situation for which cabin crew members have no previous notification or time to prepare.
As with an unanticipated ditching, cabin crew members may not have time to distribute infant flotation devices. As a result,
responsible persons may not have immediate access to infant flotation devices. The operator’s procedures to manage
such occurrences may be similar to those for an unanticipated ditching.

Note.— For all three types of occurrences that involve water contact, listed in this section, the operator
should establish practicable procedures and consider the sum of tasks expected of cabin crew members during a ditching.
The operator should assess cabin crew members’ ability to apply the procedures and associated crew responsibilities for
dealing with this situation in in a representative training device capable of reproducing the appropriate
environment/equipment, or on an actual aircraft (refer to section 7.1).

4. EXPLANATION OF ICAO PROVISIONS

4.1 An Infant is defined as “a passenger who has not reached their second birthday”.

4.2 The purpose of Annex 6, Part I, paragraph 6.5.2.2 is to ensure that a means of flotation is provided for each
person on board an aircraft. An infant is considered a person and therefore, an infant life jacket or equivalent individual
flotation device must be provided for each infant on board.

11-D-3
4.3 ICAO does not recommend double-seat occupancy (e.g. lap-held transport of infants). The safest way to
secure an infant or child on board an aircraft is in a State-approved child restraint system (CRS), in a dedicated seat,
appropriate for that infant or child. However, many States allow lap-held infants with or without supplemental restraint.
Regardless of the methods of restraining infants and children on board aircraft defined by the State, all cabin occupants,
including lap-held infants, must have an individual flotation device available for use. ICAO provisions do not differentiate
between infants, children and adult passengers when it comes to the equipage and accessibility of life jackets or equivalent
individual flotation devices.

4.4 ICAO provisions do not define the types of flotation devices to be carried for infants, children and adult
passengers. A flotation device intended for use by an adult may cause difficulties in insulation, flotation and positioning in
the water when used by an infant. Operators should consider providing specially-designed flotation devices for infants.
Section 5 of this attachment provides examples of flotation devices.

4.5 Annex 6, Part I, paragraph 6.5.2.2 calls for the life jacket or equivalent individual flotation device to be
“stowed in a position easily accessible from the seat or berth of the person for whose use it is provided”. In this context, a
responsible person is required to facilitate the use of the flotation device for the infant. The notion of “easily accessible”
means that the responsible person is able to reach and obtain it without difficulty. Refer to section 6 of this attachment for
guidance on stowage.

5. EXAMPLES OF FLOTATION DEVICES

An individual flotation device is a piece of equipment, which when used by a person, provides an additional buoyant force
to assist in supporting the body in water. Examples of flotation devices are presented in Table 5-1.

Table 5-1. Examples of flotation devices

Flotation device Suitability

Designed for an infant or child weighing less than 35 lbs.

(15.88 kg), this inflatable mini life-raft provides a self-contained
Survival cot
survival environment for an infant aimed at preventing the
occupant’s contact with water.

Designed for an infant or child weighing less than 35 lbs.

Infant life jacket
(15.88 kg).

Child life jacket Designed for a child weighing 35 to 90 lbs. (15.88 to 40.91 kg).

Designed for an adult or child weighing more than 35 lbs.

Child/adult life jacket
(15.88 kg).

Adult life jacket Designed for an adult weighing more than 90 lbs. (40.91 kg).

Designed for an infant or child weighing less than 35 lbs.

Universal (infant/child/adult) life jacket (15.88 kg) and an adult or child weighing more than 35 lbs.
(15.88 kg).

A removable seat cushion designed to provide buoyancy in the

Floating seat cushion
water.

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 6. STOWAGE CONSIDERATIONS

6.1 Permanent installation of infant flotation devices

Infant flotation devices may be permanently installed in a position easily accessible to the seated occupant, (e.g. under
the passenger seat). A permanent installation of infant flotation devices, similar to that of adult life jackets, allows the
device to be located within reach of the responsible person who would fit it to the infant. It also results in all infant flotation
devices being found in a standardized location across the operator’s fleet. However, there may be a significant variation
in cabin interior designs, in-seat class characteristics, seat pitch and direction of travel, which might impact the operator’s
ability to designate a single, standardized location for infant flotation devices across its fleet.

6.2 Location(s) in the cabin for bulk stowage

6.2.1 Infant flotation devices may be stowed in one or more specific locations in the cabin (i.e. bulk stowage).
When determining the location(s) in the cabin for bulk stowage, the operator should consider the following points:

— Usable exits in a ditching/inadvertent water contact. Based on the aircraft make/model/series, some
exits may be designated as unusable by the OEM. Unusable exits include those under the water line
when the aircraft rests on water, or those not fitted with slide-rafts. The operator should not assign a
stowage location for infant flotation devices in the vicinity of exits designated as unusable in a ditching
or water contact by the OEM, as logically crew members and passengers would not egress via these
exits. Infant flotation devices should be stowed near usable exits or along the egress path that
passengers and crew members would use to evacuate the aircraft make/model/series in question,
during an evacuation on water, to facilitate the cabin crew members’ distribution of the devices.

— Size of the cabin. Based on the aircraft make/model/series, distances between two parts of the cabin
may be significant. Aircraft configurations have a varying number of aisles (narrow/wide-body) and of
passenger decks. Therefore, a single centralized location for bulk stowage of infant flotation devices
may not be appropriate. The operator should consider multiple stowage locations, distributed throughout
the cabin and on different decks, if applicable, to facilitate the cabin crew members’ access to the
devices.

— Number of flotation devices stowed together. If the operator assigns multiple locations for bulk stowage,
it should ensure that sufficient infant flotation devices are available in each stowage location, or that the
quantity of devices is commensurate to the number of passenger seats in the vicinity.

— Accessibility. Stowage should allow for unobstructed access to infant flotation devices, to facilitate
distribution by the cabin crew members, at the required time. The designated stowage location(s) should
be indicated by way of a clearly visible placard.

6.2.2 The operator should define the distribution method for infant flotation devices which are stowed in bulk. The
operator’s procedures may require cabin crew members to distribute the infant flotation devices to responsible persons:

a) prior to departure on every flight and then to collect the devices after landing: challenges may include
stowage considerations during flight (e.g. if there is no dedicated stowage location for the responsible
person to stow the flotation device during the flight); damage to the flotation device; or removal of the
flotation device from the aircraft (unintentionally or by theft); and

b) as part of the preparation of the cabin in the event of an anticipated ditching: this method does not
address the immediate availability of infant flotation devices in the event of an unanticipated ditching or

11-D-5
 inadvertent water contact occurrence, therefore the operator should establish procedures to manage
each type of occurrence (section 3.4, Note refers).

7. ADDITIONAL CONSIDERATIONS

7.1 Procedures and training

7.1.1 Regardless of the location of infant flotation devices, or the method of distribution, the operator should
develop and implement procedures that address the use of this equipment in the three types of occurrences that involve
water contact, as described in section 3. Procedures should also address the number of units installed, including spares,
and any limitations on the numbers of infants that may be transported, in relation to the number of infant flotation devices
equipped on each aircraft make/model/series. The operator’s CCOM should be amended to reflect these procedures.
Procedures should be practicable and consider the sum of tasks expected of cabin crew members during a ditching. As a
part of the initial approval of the CCOM, and of its continued surveillance activities of the operator, the State should verify
that procedures related to infant flotation devices are present and effective (i.e. there is evidence that the procedures are
documented within the operator’s CCOM; there is evidence that the procedures achieve the desired outcome).

Note.— Refer to section 8 for examples of acceptable means of compliance with Annex 6 provisions related
to the accessibility of infant flotation devices on board commercial passenger flights.

7.1.2 Cabin crew training should be revised to encompass the tasks cabin crew members must carry out in relation
to infant flotation devices equipped in the operator’s fleet (e.g. pre-flight checks, distribution, operation specific to each
type of flotation device, etc.), for the different types of occurrences that involve water contact. Training should include
simulated exercises in a representative training device capable of reproducing the appropriate environment/equipment, or
on an actual aircraft, where cabin crew apply the operator’s procedures and associated crew responsibilities for dealing
with these occurrences.

Note.— Detailed guidance on the content of cabin crew training for different types of occurrences that involve
water contact is found in the Cabin Crew Safety Training Manual (Doc 10002).

7.2 Passenger briefing on the location and operation of flotation devices

7.2.1 Annex 6, Part I, 4.2.12.3 contains a requirement that passengers be instructed on actions to take in the event
of an emergency. The operator must provide instructions to passengers in the event of an emergency situation, including
the three types of occurrences that involve water contact. This includes instructions to passengers travelling with infants.

7.2.2 Specific briefings to responsible persons should address the use of infant flotation devices, including their
location; how to remove and prepare them for use; and when to inflate them.

8. EXAMPLE MEANS OF COMPLIANCE WITH ANNEX 6 PROVISIONS

8.1 General

8.1.1 This section provides examples of acceptable means of compliance with Annex 6 provisions related to the
accessibility of infant flotation devices on board commercial passenger flights. Three means are considered acceptable:

a) permanent installation of flotation devices within reach of the person responsible for the infant;

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 b) distribution of flotation devices before departure on over water flights, or when carriage of the equipment
is required in accordance with Annex 6, Part I, paragraph 6.5.2.1; or

c) distribution of flotation devices during preparation for an anticipated ditching.

8.2 Permanent installation

One means of compliance is to permanently install infant flotation devices at seats (e.g. under the passenger seat). This
method ensures the availability of at least one infant flotation device to each row of seats in all water evacuation scenarios.
Table 8-1 presents aspects that the operator should consider when implementing this method of distribution.

Table 8-1. Considerations for permanent installation

Aspect Description
Additional infant flotation devices might be installed, for example, in:

– a pouch under each row of seats;

Procedures and device
operation – other seat stowage location(s); or

– in passenger service unit stowage, separately from heat-generating oxygen

systems.

Passenger safety briefing cards should include instructions on the location, operation
Passenger briefing
and use of infant flotation devices.

Operator procedures should ensure that the maximum number of infants permitted per
Other considerations row of seats does not exceed the number of infant flotation devices and other required
safety and emergency equipment available for their use.

8.3 Distribution of flotation devices before departure

Another means of compliance is to distribute infant flotation devices before departure on over water flights, or when
carriage of the equipment is required in accordance with Annex 6, Part I, 6.5.2.1. The distribution of infant flotation devices
by cabin crew members prior to departure from the gate or parking stand on every flight maintains their availability to
responsible persons in all water evacuation scenarios. Table 8-2 presents aspects that the operator should consider when
implementing this method of distribution.

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Table 8-2. Considerations for the distribution before departure

Aspect Description
Cabin crew should:

– distribute infant flotation devices to responsible persons before departure;

– brief responsible persons on device operation and use;

Procedures and device
operation – check that devices are stowed in an easily accessible manner;

– check that devices are returned at the end of the flight, if not used; and

– check the condition of the device for damage before returning to its stowage.

– Passenger safety briefing cards should include instructions on:

– where to stow the device;

– how to fit the device on the infant;

– when to inflate the device; and

Passenger briefing
– when and how to return the device, if not used.

– Where full instructions on the use of infant flotation devices are not depicted on the
passenger safety briefing card, instructions may be provided separately, marked on
the infant flotation device package, or visibly inserted inside it.

The operator should consider easily accessible stowage:

– seat stowage locations include seat pockets and any other storage areas within
the seat design. These may be used if the maximum weight and capacity
limitations are not exceeded and the device remains easily accessible to the
Other considerations
responsible person;

– the device should be adequately secured to prevent movement; and

– retrieval of the device during an unanticipated ditching should not hinder egress.

8.4 Distribution in an anticipated ditching

Another means of compliance is to distribute infant flotation devices during the preparation of the cabin and passengers
for an anticipated ditching. Table 8-3 presents aspects that the operator should consider when implementing this method
of distribution.

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Table 8-3. Considerations for the distribution in an anticipated ditching

Aspect Description
– Cabin crew should distribute infant flotation devices to responsible persons, as part of
the preparation of the cabin and passengers for an anticipated ditching.

– Cabin crew should brief each responsible person and assist with device operation
and use.

– Life jackets. These can be fitted as part of the preparation for ditching, with briefing
Procedures and device
and assistance from the cabin crew. The responsible person should be instructed to
operation
inflate the infant life jacket as per operator procedures.

– Survival cots. Cabin crew can get these devices ready for use as part of the
preparation of the cabin and passengers for an anticipated ditching, and brief
responsible persons on device operation. Once provided to the responsible person,
the cot should be stowed in accordance with operator procedures to secure the cabin
for an emergency landing on water.

During the preparation for an anticipated ditching, there is likely to be sufficient time for
Passenger briefing cabin crew to brief each responsible person individually and to assist in the preparation
of the infant flotation device for use.
– Operator procedures should consider and include the most appropriate time for
inflation of the infant flotation device.

– Life jackets. Inflation before ditching should not impede:

– evacuation of the responsible person and infant; and

– use of a CRS.
Other considerations
– Survival cots. Stowage should not hinder egress, but it should allow for easy access
after landing so that the responsible person can position and secure the infant inside
the cot.

– This method does not address the immediate availability of infant flotation devices in
the event of an unanticipated ditching or inadvertent water contact occurrence,
therefore the operator should establish procedures to manage each type of
occurrence (refer to 6.2.1).

______________________

11-D-9
 Chapter 12
ROUTE GUIDES AND CHARTS

12.1 GENERAL

12.1.1 Annex 6, Part I, Appendix 2 states that the OM shall contain a route guide to ensure that the flight crew will
have, for each flight, information relating to communication facilities, navigation aids, aerodromes, instrument approaches,
instrument arrivals and instrument departures as applicable for the operation, and such other information as the operator
may deem necessary for the proper conduct of flight operations. This guide should also include details about PBN
navigation specifications and Communication/Navigation/Surveillance (CNS) and Air Traffic Management requirements at
aerodromes or in airspace to be used or planned to be used in the case of flight contingencies.

Note.— For more information on PBN see the Performance-based Navigation (PBN) Manual (Doc 9613) .

12.1.2 While most procedures and considerations about dealing with the requirements of aerodromes and
airspaces will typically be placed in the general part of the OM, those which are closely related to a specific or series of
flight operation(s) might also be placed into the route guide. The operator must ensure that the OM covers all applicable
requirements and that the structure of its OM is logical, easy to use by its personnel and follows Human Factors principles
(e.g., layout, accessibility) in a manner that enables the users to find information quickly and reliably.

Note.— Guidance material on the application of human factors principles can be found in the Human Factors
Training Manual (Doc 9683).

12.1.3 Ideally, the flight crew would have the complete set of valid route information for a given flight or series of
flights accessible in a single location, e.g., on a chart or contained in an EFB available for use in flight. For practical reasons
current route guides typically contain: a general part (mainly SARPS and PANS), regional/national/local procedures
sections and various applicable charts. A standardized structure is of paramount importance to enable easy use. Within
this structure, there should be references to other sections as applicable (e.g., the letter “R” in a National COM Section
would indicate that there is a regional procedure).

12.1.4 Most of the information that makes up the contents of a route guide is obtained from ICAO Annexes, PANS,
manuals and from Aeronautical Information Publications (AIPs) provided by States. State AIPs are regularly updated
according to the requirements in Annex 15 for aeronautical information services and the move toward electronically based
updates through aeronautical information management. The information provided to crews must be kept current and ICAO
documents, AIPs, NOTAMs, aeronautical information circulars, etc., must be monitored to ensure that the route guide is
amended and kept current at all times.

12.1.5 If an operation is conducted within a relatively small geographical area or within the borders of one or two
States, it is possible to produce a route guide using only ICAO documents and the relevant AIP(s). However, when an
operation covers a wider area, possibly crossing a number of international boundaries, the large number of applicable
information sources need to be continuously monitored by appropriate means. In these cases, the production of a route
guide becomes an increasingly difficult task. Making the route guide usable in the cockpit can make it necessary to extract
and present the information in a more condensed form than any AIP-type presentation will allow. These considerations
have led to a great number of operators purchasing route guides from commercial third party service providers that can
be tailored to an operator’s particular requirements. Another option is for a number of operators to produce a route guide
as a joint venture. Whichever method is chosen and approved by the State of the Operator, the information presented
must reflect the true “operational status” of facilities, aerodromes, navigational aids, etc. To achieve this, the single most
important factor will be the regularity, reliability and quality of the amendment service.

12-1
12.1.6 Handwritten amendments to a route guide must be actively discouraged, as there can be no control over
such a method. Equally, a system whereby the flight crew needs to consult a large number of NOTAMs and operational
notices while using the route guide is undesirable as there is a great potential for error. Amendments should be published
on a regular basis, should be simple to incorporate, and should be numbered and recorded in the front of a paper-based
route guide or electronically to permit the user of a guide to immediately determine the currency of a particular volume.
Electronic versions of a route guide should be published as a complete revision, so that no record of the validity of individual
pages is necessary. There should be easy ways for crews to review the latest changes to the information provided.

12.1.7 It is not possible within the constraints of this manual to give examples of the complete contents of a typical
route guide and of the different methods of presentation used. There is such a wide range of items addressed in route
guides that to give a limited range of examples could be misleading or inappropriately convey a measure of importance to
the elements cited in the example. When selecting the contents and format of a route guide, an operator would be advised
to examine the route guides available from the commercial agencies and/or those used by other operators. This exercise
will enable an operator to decide, in consultation with the appropriate State authority, what is required for a specific
operation and suitable for distribution as part of their OM.

12.2 COMMUNICATION SERVICES AND REQUIREMENTS

12.2.1 The following should be included in the OM in reference to communications services and requirements:

a) ATS:

i. necessary equipment;

ii. normal and contingency communication facilities and procedures;

iii. performance-based communication requirements; and

iv. loss of Communication procedures;

b) air operations centre: information about the operator’s own organization, e.g., company communication
frequencies, ground handling agents at aerodromes, etc.

12.3 NAVIGATION SERVICES AND REQUIREMENTS

12.3.1 The following should be included in the OM in reference to Navigation services and requirements:

a) available navaids;

b) navigation performance requirements;

Note.— Navigation specifications are contained in Doc 9613.

c) terrain and obstacle data;

i. minimum flight altitudes for each area/route to be flown;

ii. procedures in case of an engine failure; and

12-2
 iii. procedures in case of loss of pressurization;

d) instrument departure procedures;

e) instrument arrival procedures;

f) holding procedures;

g) instrument approach procedures; and

h) EDTO considerations, where applicable.

Note.— Information about EDTO operations is contained in the Extended Diversion Time Operations Manual
(Doc 10085).

12.4 SURVEILLANCE SERVICES AND REQUIREMENTS

12.4.1 The following should be included in the OM in reference to surveillance services and requirements.

a) minimum requirements for surveillance; and

b) performance-based surveillance requirements.

Note.— Information regarding performance based surveillance is contained in the Performance-Based

Communication and Surveillance (PBCS) Manual (Doc 9869).

12.5 AIR TRAFFIC MANAGEMENT (ATM) SERVICES AND REQUIREMENTS

12.5.1 The following should be included in the OM in reference to ATM services and requirements.

a) ATS filed flight plan;

b) SAR;

c) MET;

i. information on how MET data is processed and accessed; and

ii. Information on meteorological facilities and services, requirements on aircraft observations and
air-reports (reference Annex 3).

12.6 AERODROME RELATED SERVICES AND REQUIREMENTS

12.6.1 The OM should also include information about services and requirements relating to Aerodromes, such:

12-3
 a) basic aerodrome information (layout, facilities, and services available);

b) aerodrome operating minima for each aerodrome likely to be used as an aerodrome of intended landing
or as an alternate aerodrome;

c) instructions for determining aerodrome operating minima for instrument approaches using HUD, EVS
or other technical means;

d) the increase of aerodrome operating minima in case of degradation of approach or aerodrome facilities;

e) the necessary information for compliance with all flight profiles required by regulations, including but not
limited to, the determination of:

i. take-off runway length requirements for dry, wet and contaminated conditions, including those
dictated by system failures which affect the take-off distance;

ii. take-off climb limitations; departure and contingency procedures; noise abatement procedures;

iii. en-route climb limitations;

iv. approach climb limitations and landing climb limitations; instrument approach and contingency
procedures; noise abatement procedures;

v. landing runway length requirements for dry, wet and contaminated conditions, including systems
failures which affect the landing distance;

f) aerodrome/operating site categorization for flight crew competence qualification; and

g) special aerodrome/operating site limitations (performance limitations and operating procedures, etc.):

i. rescue and fire fighting services; and

ii. de-/anti-Icing facilities.

12.7 ADDITIONAL INFORMATION

12.7.1 Route guides typically contain other information either falling naturally within the contents of a route guide or
placed there for ease of access and use by flight crews and other operational staff. Subjects which normally form part of
a route guide and for which requirements exist in ICAO documentation include:

a) procedures for pilots observing an accident or intercepting a distress communication (reference

Annex 12 — Search and Rescue); and

b) interception procedures (reference Annex 2 — Rules of the Air and Annex 6, Part I, and applicable
regional or national requirements and differences).

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 12.8 CHARTS

12.8.1 Annex 6, Part I (6.2) states that an aircraft shall carry current and suitable charts to cover the route of the
proposed flight and any route along which it is reasonable to expect that the flight may be diverted. The required charts
are normally carried as part of the route guide. The actual charts carried on a particular flight will depend on the type and
extent of the operation. Typically, this would include, for flight under instrument flight rules, the necessary en-route charts
and all the charts published for the aerodromes of departure and arrival; for the destination alternate and the take-off
alternate; and for any necessary en-route alternate. For flight under visual flight rules the charts that would be carried
would include the topographical charts for the area of operation and the required visual approach charts. Some States
require that all flights carry topographical charts, but even where this is not the case, operators should carry topographical
charts for operations over land areas where radio navigation facilities are not well developed.

12.8.2 Detailed specifications for aeronautical charts are contained in Annex 4 — Aeronautical Charts.

Note.— Further guidance on charts is available in the Aeronautical Chart Manual (Doc 8697).

12.8.3 The OM should describe what charts should be carried on board and how their validity is checked. Charts
are subject to frequent amendment and a system of ensuring that current charts are available is necessary. To achieve
this, either an operations staff member is appointed to keep the charts in the route guide current, or a list of current charts
is displayed so that the flight crew members can determine whether they have the appropriate charts. Normally such lists
also serve as a checklist to ensure that all the required charts are carried in the route guide. Electronic charts for display
on EFB provide equivalent information to paper charts and provide opportunities for updating that can be advantageous
to operational needs and requirements.

Note.— For additional information on EFBs refer to the Manual of Electronic Flight Bags (EFBs) (Doc 10020).

___________________

12-5
 Chapter 13
MINIMUM FLIGHT ALTITUDES AND
AERODROME OPERATING MINIMA

13.1 MINIMUM FLIGHT ALTITUDES

13.1.1 Annex 6, Part I (4.2.7), states that an operator may establish minimum flight altitudes for those routes flown
for which minimum flight altitudes have been established by the State flown over, provided that they are not less than
those established by that State, unless specifically approved by that State.

13.1.2 Annex 11 — Air Traffic Services, specifies that minimum flight altitudes be determined by each State for
each ATS route over its territory. The minimum flight altitude shall be at least 300 m (1 000 ft) above the highest obstacle
within the area concerned.

13.1.3 Where a State does not establish minimum flight altitudes, Annex 6, Part I specifies that the operator do so.
In all cases, the approval of the State of the Operator is required.

13.1.4 An operator should also specify the method intended to determine minimum flight altitudes for operations
conducted over routes for which minimum flight altitudes have not been established by the State flown over, and would
include this method in the operations manual (OM). The resultant minimum flight altitudes shall not be at a level lower than
the minimum level for IFR flights as specified in Annex 2. The minimum levels according to Annex 2 are:

a) over high terrain or in mountainous areas, at a level which is at least 600 m (2 000 ft) above the highest
obstacle located within 8 km of the estimated position of the aircraft; and

b) elsewhere than as specified in a), at a level which is at least 300 m (1 000 ft) above the highest obstacle
located within 8 km of the estimated position of the aircraft.

Note.— Annex 2 also states that the estimated position of the aircraft will take account of the navigational
accuracy which can be achieved on the relevant route segment, having regard to the navigational facilities available on
the ground and in the aircraft.

13.1.5 Where the State has established minimum flight altitudes, an OM will contain information on how these
minimum flight altitudes are established. Where the State has not established minimum flight altitudes, the OM will give
the method used to determine minimum flight altitudes. Minimum flight altitudes should be shown on the OFP.

13.1.6 Annex 6, Part I, recommends further that all such minimum flight altitudes and the method of establishing
such altitudes be approved by the State of the Operator. It also recommends that in considering such approval, certain
factors must be considered. Specifically, the State of the Operator should approve such minimum flight altitudes only after
careful consideration of the probable effects of the following factors on the safety of the operation in question:

a) the accuracy and reliability with which the position of the aircraft can be determined;

b) the inaccuracies in the indications of the altimeters used;

c) the characteristics of the terrain along the route (e.g., sudden changes in elevations);

13-1
 d) the probability of encountering unfavourable meteorological conditions (e.g., severe turbulence and
descending air currents);

e) possible inaccuracies in aeronautical charts; and

f) airspace restrictions.

13.1.7 The specifications listed above represent the minimum requirements and in practice, operators normally
provide even more comprehensive information to their flight crews. For example, although there is no applicable ICAO
requirement, many operators provide information on the minimum flight altitude at which both obstacle clearance and radio
navigation and communication reception are guaranteed. In fact, a number of States require this, and the charts used by
operators normally show both the minimum flight altitude and the minimum en-route altitude, which ensures acceptable
navigational signal coverage and meets obstacle clearance requirements between radio fixes.

13.1.8 Operators often show the minimum flight altitude on the OFP for each sector (meaning the intended track
from one reporting or turning point to the next). For each minimum flight altitude, whether shown on the aeronautical charts
or on the OFP, the OM must explain how they are derived and exactly what terrain clearance they assure. In the case of
altitudes determined by the State this is simple, but where the operator is “establishing” and “specifying a method” of
determining the minimum flight altitude, it is possible that a considerably more detailed explanation will be required. In
many cases, the minimum flight altitude for operations off airways or where the State has not determined minimum flight
altitudes will be the “grid” or area minimum altitude. The specification for the “En-route Chart — ICAO” requires that this
altitude be shown.

13.1.9 In addition to the description of the method of derivation of minimum flight altitudes used, many operators
include additional guidance in the OM. Points normally addressed include the effect of lower-than-standard atmospheric
pressure, the effect of wind, especially in mountainous terrain (this subject is also addressed in the State requirements
shown at Attachment A to this chapter), and the effect of non-standard temperatures. All of these factors can significantly
affect the minimum flight altitude. This is especially true when the aircraft altimeter is set to standard pressure.

13.2 AERODROME OPERATING MINIMA

13.2.1 Annex 6, Part I (4.2.8), specifies that operators establish aerodrome operating minima for each aerodrome
used by the operator and that the State of the Operator approve the method of determination of such minima. These
minima may not be lower than any minima established for an aerodrome by the State of that aerodrome, unless specific
approval is granted. There is no ICAO requirement for the State of Aerodrome to establish aerodrome operating minima.
In making use of the lowest operating minima, an operator will not only need the approval of his own State authority, but
will often need the approval of the appropriate authority in other States. As the experience and operational background of
an operator would need to be considered in the granting of any permission to operate to “lower” minima (i.e. to minima
lower than the published State minima), the relevant State authorities will need to consult each other.

13.2.2 Annex 6, Part I, also lists a number of criteria which the State of the Operator needs to consider before
approving the aerodrome operating minima established by an operator.

Note.— Additional guidance on establishing aerodrome operating minima is provided in the Manual of
All-Weather Operations (Doc 9365).

13.2.3 Practically all the required information and guidance on the development and operational use of aerodrome
operating minima can be found in Annex 6 and the associated guidance in Doc 9365. It is not necessary to reproduce the
documents in an OM, however any guidance given will necessarily be based upon their contents. Reference should be
made to the two documents in the OM as being the basic source material.

13-2
13.2.4 The OM should contain guidance and information on those terms and expressions used in describing
aerodrome operating minima. This would include at least the following:

a) aerodrome operating minima;

b) alternate aerodrome;

i. take-off alternate;

ii. en-route alternate; and

iii. destination alternate;

c) categories of aircraft;

d) circling approach;

e) ceiling;

f) decision altitude/height (DA/H);

g) instrument approach and landing operations:

i. non-precision approach and landing operations;

ii. precision approach and landing operations;

iii. approach procedure with vertical guidance (APV); and

iv. categories of precision approach and landing operations;

h) instrument approach procedure;

i) minimum descent altitude/height (MDA/H);

j) minimum sector altitude (MSA);

k) missed approach point (MAPt);

l) obstacle clearance altitude/height (OCA/H);

m) runway visual range (RVR);

n) straight-in approach; and

o) visibility.

13.2.5 In addition, the OM must include guidance where regulations exist on the authority of the PIC to commence
or continue an approach depending on existing visibility conditions at that time. Such regulations may be imposed by the
State of the Operator, or may be “operator regulations” approved by the State. In addition, a number of States establishing
operating minima for their own aerodromes also ban approaches to, or take-offs from, a runway when the reported

13-3
conditions are worse than the minima specified. Other States approve operators, both their own and foreign, to operate to
particular minima. The different regulations of the States in which operations are conducted must be detailed, and clear
instructions must be given for the PIC.

13.2.6 Information and guidance must be given on aerodrome ground facilities and services which can have an
effect on the aerodrome operating minima, or which are necessary for a particular type of approach or take-off. Included
in these would be information on the use of multiple transmissometer RVR reports. While the touchdown RVR is always
the limiting RVR when landing, minima for the other RVR positions, when provided, are normally specified. Some operators
specify that the midpoint and roll-out RVR must be higher than the applicable take-off RVR for that runway. Other operators
specify a standard minimum RVR for transmissometer positions other than the touchdown zone.

13.2.7 Annex 6, Part I (4.2.8.5), recommends that aerodrome operating minima below 800 m visibility not be
authorized unless RVR information is provided. When visibility is reported as meteorological visibility only, and the
approved aerodrome operating minima are expressed in terms of RVR, it is common practice to provide guidance on the
factoring of visibility to achieve equivalent RVR. This is necessary, as RVR and meteorological visibility are not the same.
The appropriate conversion factors are published in the Doc 9365.

13.2.8 OMs also normally provide guidance on the visual segment that a pilot should expect to see upon reaching
minima and on the use of the established minima in actual operations. In addition, the effect of unserviceability of different
components of the ground aids, such as approach lights, touchdown zone lights, and runway lights, should be considered.
Some operators advise their flight crews of corrections to be made to the published minima to account for these outages.
However, for Category I and non-precision approaches, whenever decision altitudes or heights are raised, it is necessary
to increase the RVR to allow the flight crew to assess their ability to land at the higher decision altitude/height. The State’s
approved DH/RVR minima table determines the increase in RVR required.

13.2.9 The OM should emphasize that a flight should never continue below the applicable operating minima or
take-off with less than the required visual reference. In particular, the OM should state clearly that a go-around must be
flown if visual reference is lost below DH or MDH. The OM should also state that the PIC is entitled to raise the operating
minima any time considered necessary to do so. It may be helpful for the OM to explain that while it is conventional to
refer to operating minima as e.g., height AND visibility, it may be helpful to regard these to criteria linked by an OR condition;
Thus, if either one of the two conditions, cloud base OR visibility are on their limits, the approach will probably be successful,
if BOTH are on limits, the probability of success is rather lower.

Note. —Annex 6, Part I, states that an aeroplane may not infringe aerodrome operating minima.

13.2.10 The PIC decides whether to commence an approach, unless an approach ban applies. The OM should
define any increase in the minima for engine-out or emergency conditions. There is no ICAO requirement to do this, but
operators often advise that the operating minima be increased in these conditions when it is reasonable and practicable
to do so. Clear guidance should be given on the effect of cross-winds on minima, both for take-off and landing, and the
appropriate guidance relating to aircraft type must be given. It should also be pointed out in the OM that it may be
necessary to carry out a go-around after descending below decision altitude/height, because of some unforeseen problem,
such as the runway being occupied, or unexpected loss of visual reference, etc. While aircraft are quite capable of going
around from any point in the approach, there are occasions on which the operating minima are determined by the presence
of obstacles in the missed approach path. Appropriate emergency procedures would be specified for approaches where
such obstacles exist, typically these are based on the ‘emergency turn’ procedures for take-off with engine failure from the
same runway. Equally, for non-precision approaches, the OM must state the requirement to commence a go-around at
the MAPt in order to obtain suitable protection from obstacles.

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 13.3 PRESENTATION OF AERODROME OPERATING MINIMA

13.3.1 When a State establishes aerodrome operating minima, those minima must be promulgated on the
“Instrument Approach Chart — ICAO” produced by that State in accordance with the requirements of Annex 4. If the
operator produces their own charts, they should show their own operating minima which may be the same or higher than
any State minima. Lower minima must not be shown unless specific approval by the State has been obtained. Most of the
commercial chart-producing agencies also show aerodrome operating minima on the instrument approach chart. When
an operator is using commercially produced charts, the method used to determine the minima shown must form part of
the guidance in the OM.

13.3.2 If an operator produces their own operating minima while using charts produced by other agencies, the
method of presentation of the aerodrome operating minima must be explained in the OM. This could be in a small
amendable volume of the manual, or an insert in the route guide. The minima could also be shown on the OFP. There
may be occasions when the operator is determining their own operating minima, where it will be necessary for a flight to
carry out an instrument approach procedure to a runway for which the operator (or State) has declared no minima. In
these circumstances, some operators have determined, for each aircraft type and type of approach, a figure that must be
added to the obstacle clearance altitude/height to determine the applicable operating minima. (A State must determine
the obstacle clearance altitude/height as appropriate, and if not published on the instrument approach chart, the
information should be readily available from the ATS at the aerodrome.) If an operator should determine such figures for
the aircraft types operated, the guidance in the OM should make it clear that the resulting aerodrome operating minima
are based on all the normal ground facilities being available. If necessary, the aerodrome operating minima derived by
this method should be adjusted, as is the case with pre-determined aerodrome operating minima, by reference to
components-out tables, etc.

___________________

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 Chapter 14
ACCIDENT/INCIDENT PREVENTION,
SAFETY MANAGEMENT AND POST-ACCIDENT ADMINISTRATION

14.1 DEFINITIONS

14.1.1 The following terms are used in this chapter and should be defined in the OM in accordance with Annex 13
— Aircraft Accident and Incident Investigation and Annex 19 – Safety Management:

a) accident;

b) accountable executive;

c) hazard;

d) incident;

e) safety risk;

f) safety risk management system (SMS); and

g) serious injury.

Note.— Refer to the glossary for the definitions of these terms.

14.2 ACCIDENT/INCIDENT PREVENTION

14.2.1 Accident prevention requires an awareness of flight safety and safety risk management principles among all
of the operator’s personnel and particularly among flight crew. The methods used to promote safety risk management as,
among other things, an accident/incident prevention activity should be included in the OM. In developing such awareness,
reference should be made to the Safety Management Manual (SMM) (Doc 9859). This manual provides guidance material
for the development and implementation of SMS by operators. It addresses safety risk management as an
accident/incident prevention activity which complements existing regulatory and operator policy, process and procedures.

14.2.2 Safety risk management includes hazard identification, safety risk assessment, safety risk mitigation and
safety risk acceptance. While eliminating or avoiding any condition, event or circumstance which could induce an accident
remains the ultimate goal of an SMS, a complex aviation system cannot be completely free of safety risks. The aviation
system is constantly changing, new hazards can be introduced and some hazards and their associated safety risks may
change over time. This therefore requires the identification and analysis of hazards, assessment of safety risks and safety
risk mitigation to be continual operator activities.

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 14.3 SAFETY MANAGEMENT SYSTEM

14.3.1 Annex 19 – Safety Management and Doc9859 provide the Standards, recommended practices and
associated guidance materials to aid operators in the development and implementation of an SMS. An SMS, as defined
by ICAO, provides a systemic approach to managing safety supported by (documented) organizational structures,
accountable personnel, policies and procedures. While the bulk of the information related to an operator’s SMS is typically
contained in a separate (SMS) manual, references to the following components of an SMS framework that are relevant to
operational personnel are typically contained in the OM:

a) safety policy and objectives addressing:

1) managerial commitment, organizational structure, and safety objectives supporting the SMS and
promoting safety;

2) the safety accountabilities, safety responsibilities, principles, processes and methods of the
organization’s SMS to achieve the desired safety outcomes;

3) operational control personnel, including flight crew, duties, responsibilities, duties or tasks related
to safety management and safety reporting;

4) the emergency response plan including operational control personnel duties, responsibilities, duties,
procedures or tasks related to emergency response; and

5) applicable correlations between the SMS manual and the OM;

b) safety risk management including:

1) describing how safety risk management (SRM) is practically implemented in the operation;

2) explaining (to operational personnel) the relevant processes of hazard identification, safety risk
assessment and mitigation; and

3) correlations with other relevant and existing operator policies, systems, processes and procedures
(e.g., voluntary, mandatory, and/or confidential reporting processes) that support effective and
continual SRM;

c) safety assurance including a description of methodologies used for:

1) verifying safety performance and effectiveness of the SMS and safety risk controls;

2) effectively managing change in the organization or operating environment;

3) continual improvement of the SMS; and

4) promoting safety and encouraging a positive safety culture (i.e. achieving training and education
through technical competence that is continually enhanced through more training and education,
effective communications and information sharing (e.g., the dissemination of safety and accident
prevention material)).

Note.— Refer to Annex 19 – Safety Management and Doc 9859 for additional guidance related to the
implementation of an SMS including the development of safety policies and objectives, safety risk management, safety
assurance, and safety promotion.

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 14.4 SAFETY REPORTING

14.4.1 Safety reporting is a critical component of an effective SMS. It is typically addressed in the operator’s safety
policy and supported by guidance provided in the OM. Such guidance encourages effective safety reporting and
communication by identifying the various systems, processes and procedures used to collect safety related information
and data. The information/data is then analysed by the organization and facilitates the early identification of hazards and/or
systemic risks with the potential to impact safety performance.

14.4.2 Safety reporting systems are typically comprised of a multitude of mandatory and voluntary reporting
sub-systems or processes. Mandatory reporting systems usually require the reporting of certain events (e.g., accidents,
serious incidents, runway incursions). Voluntary reporting systems are typically non-punitive and allow for the submission
of safety-related information (e.g., observed hazards, unintentional errors or non-compliance). Voluntary systems may
also be confidential; only certain individuals (i.e. gatekeepers) may access reporter information and reports can be “de-
identified”). This confidentially arrangement facilitates the disclosure of hazards leading to human error, without fear of
retribution or embarrassment.

14.4.3 The methodologies for the collection of safety data can be manual or automated and driven by external (e.g.,
regulatory authority) and internal (to the operator) requirements. In any case, the responsibilities and means for the
submission of safety information as well as the elements that comprise the operator’s overall safety reporting system
should be clearly defined in the OM. The OM typically differentiates between mandatory and voluntary reporting, including
adequate safeguards to protect the source of the data where required, in accordance with Annex 19, Appendix 3. The
various reports that comprise a typical safety reporting system may include but are not limited to:

a) accident notification/reporting (States typically establish a mandatory accident reporting requirement);

b) incident notification/reporting (especially where the State has established a mandatory incident reporting
system);

c) confidential safety report (where the State and/or operator has established a confidential safety reporting
system);

d) air traffic incident report;

e) bird strike report;

f) laser emission reporting;

g) ground proximity warning and/or TCAS alert report. (may be defined as requiring reporting under the
mandatory incident report system in some States);

h) dangerous goods accident/incident report;

i) fatigue reporting;

j) voyage or trip report of any unusual occurrence during a particular flight or of any deficiency observed
in the facilities used; and

k) any other report that captures internal or external occurrences or data relevant to the operator’s SMS.

Note 1.— The breadth and scope of an operator’s safety reporting system should be commensurate with the
breadth, scope and complexity of its operations. In order to ensure safety reporting occurs as intended, however, personnel
should have easy access to secure and straight forward reporting means or systems.

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 Note 2.— Incident notification report format should be modelled on the accident notification form as described
in Annex 13 — Aircraft Accident and Incident Investigation).

14.5 SAFETY DATA ANALYSIS AND EXCHANGE

14.5.1 Once safety information and data have been collected and analysed in accordance with the SMS,
appropriate actions (i.e. mitigations) should be implemented and communicated to front-line personnel in a timely manner.
To improve operational safety and encourage safety reporting, other sources of safety information used in support of the
SMS could also be made available to operational personnel and be described in the OM as:

a) safety studies (internal or external) that were analysed and used to gain an understanding of broad
safety issues or those of a global nature;

b) internal safety risk assessments conducted during the introduction of new technologies, new
procedures, systemic changes that affect operations or as the result of safety reporting;

c) safety surveys that examine procedures or processes related to a specific operation;

d) audits and inspections that focus on the integrity of the organization’s SMS and its supporting systems
and intended to provide assurance of the safety management functions, including staffing, compliance
with approved regulations, levels of competency and training;

e) internal investigations conducted for certain reportable safety events in accordance with internal or
regulatory requirements.

Note.— Refer to Doc9859 for additional guidance related to the types of safety information that can be
communicated to operational personnel for the purpose of instilling confidence in the SMS and safety reporting.

14.6 SAFETY MANAGEMENT DOCUMENTS SYSTEM

Another component of an effective SMS, typically addressed in the operator’s safety policy, is SMS documentation and
the retention of safety records. The OM, either directly or by reference to the SMS manual, should identify the individual
responsible for maintaining SMS documentation and safety records. The operator’s SMS and related safety outcomes
should also be documented in accordance with Annex 19 – Safety Management and Doc 9859.

14.7 EMERGENCY RESPONSE AND POST-ACCIDENT ADMINISTRATION

14.7.1 The operator should have an emergency response plan (ERP) to cope with the aftermath of an aircraft
accident or other serious safety event (as defined by the operator). The ERP is an outline or checklist of the actions to be
taken following such occurrences and assigns responsibilities to the appropriate personnel. The ERP is an integral part of
the operator’s SMS and provides for a systemic approach to managing the consequences or aftereffects of significant and
unplanned events. The ERP is typically documented in a dedicated manual and referenced in the OM.

14.7.2 Regardless of how and where the ERP is documented, the specific ERP responsibilities assigned to frontline
personnel including the flight crew, are typically documented in the OM. The OM should therefore give instruction and

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guidance on the duties and obligations of personnel following an accident and/or serious incident. This guidance material
falls under two basic headings, the duties and responsibilities of the PIC and other crew members at an accident site and
the duties and responsibilities of the operator or other relevant operator personnel.

14.7.3 In developing guidance on the duties of the crew at an accident site, it must be borne in mind that the site
may be remote from any of the company’s facilities and that, for a period, the most senior official present will be the PIC.
The OM guidance must be sufficient to aid the flight crew in this event.

14.7.4 The post-accident duties and responsibilities of operational personnel and the PIC should be clearly defined
in the OM. As a minimum, such duties and responsibilities include those specified in:

a) Annex 6, Part I, 4.5.3 with respect to the responsibility of the PIC to notify the nearest appropriate
authority of any accident involving the aeroplane, resulting in serious injury or death of any person or
substantial damage to the aeroplane or property;

b) Annex 6. Part I, 6.3.4.2.1 and 6.3.4.2.2 with respect to the preservation of flight recorder and cockpit
voice recorder (CVR) data;

Note.—Such instructions also typically address the circumstance when an FDR and/or CVR
can be switched off and/or reactivated when their disposition is determined in accordance with Annex 13.

c) Annex 6, Part I, 11.6 with respect to the preservation of all related flight recorder records and if necessary,
the associated flight recorder in the event an aircraft becomes involved in an accident or incident.
Guidance related to the retention of flight recorders pending their disposition is in accordance with
Annex 13;

d) Chapters 8, 9 and 10 of Annex 18 — The Safe Transport of Dangerous Goods by Air . Part 7 of the
Technical Instructions for the Safe Transport of Dangerous Goods by Air (Doc 9284) (Technical
Instructions) with respect to dangerous goods incidents and accidents including mandatory reporting to
the appropriate authorities. Guidance material on the development of policies and procedures for
dealing with dangerous goods incidents on board aircraft is contained in Emergency Response
Guidance for Aircraft Incidents Involving Dangerous Goods (Doc 9481).

e) The Airport Services Manual (Doc 9137), Part 7 — Airport Emergency Planning, which gives detailed
guidance on pre-planning for airport emergencies, as well as on co-ordination between the different
airport agencies (or services). One of the agencies concerned is the operator and the manual gives
detailed guidance for the development of emergency procedures (established by the operator) to deal
with the aftermath of an accident.

Note.— Chapter 6 of the IATA Airport Handling Manual also gives detailed guidance on emergency response
planning/procedures and accident/emergency control centres. An operator may wish to include such information in their
dedicated ERP manual or in a separate volume of the OM. Regardless of the source reference and whether incorporated
as a separate volume or incorporated in a single volume of the OM, it is vital that the information on ERP procedures be
regularly reviewed and brought up to date to ensure that any relevant contact information is up to date (e.g., names,
addresses, and telephone numbers of relevant entities identified in the ERP).

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 14.8 AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION

14.8.1 In the context of safety management, accident/incident investigations are reactive SMS activities undertaken
mostly when an operator’s safety defences have failed. In this context, the primary purpose of such investigations is to
determine root causes and contributing factors to prevent recurrence. Apart from the determination of root cause,
investigations can uncover hazards which require separate follow-up by the SMS

14.8.2 The OM should give instructions and guidance for the investigation of incidents and accidents. Serious
incidents should be treated, for investigative purposes, as if they were accidents as required by Annex 13. This has the
advantage of providing hazard information to the same standard as an accident investigation. Another benefit is that it
allows the operator to analyse how the organization coped with the incident and to make any required changes.

14.8.3 The OM would also include instruction on accident and incident categorization, and guidance on their
investigation and reporting. This would include instructions for immediate coordination with relevant State accident
investigation authorities and clearly defined accident investigation responsibilities delegated to individuals within the
organization. Such individuals may also be responsible to represent the operator at official investigations conducted by
the applicable State’s accident investigation authority.

Note 1.— Refer to Annex 13 and the Manual of Aircraft Accident and Incident Investigation (Doc 9756) for
detailed guidance regarding the conduct of state sponsored accident/incident investigations.

Note 2. —Refer to the Safety Management Manual (Doc 9859) for guidance regarding the conduct of
operator sponsored investigations

___________________

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 Chapter 15
SECURITY

15.1 MANAGEMENT SYSTEMS AND CORPORATE COMMITMENT

15.1.1 The operator’s organization and management system for ensuring the security of aircraft operations should
be described in the OM and address, as a minimum:

a) the corporate security policy and commitment to identify and manage security risks and threats to aircraft
operations;

b) management positions critical to operational security;

c) the levels of management with the authority to make decisions regarding the security of aircraft
operations;

d) lines of accountability throughout the organization, including direct accountability for security on the part
of senior management; and

e) incorporating regulatory requirements and changes to the operating environment and threat picture (e.g.,
new security measures).

Note.— Management positions critical to operational security may require enhanced job descriptions or
terms of reference that reflect specialized requirements inherent in certain key positions. For example, the appointment of
a chief security officer is essential to the development and effective implementation of aircraft operator security
programmes.

15.2 SENSITIVITY AND DISSEMINATION OF SECURITY INFORMATION

15.2.1 Security information and security procedures, particularly those related to flight deck security, may be
considered sensitive aviation security information. Such guidance including real-time security information should be
provided to relevant personnel while protecting the content from unauthorized disclosure. The relevant personnel requiring
access to such information are typically limited to those with an operational “need to know.” Information found in the Aircraft
Operator Security Programme (AOSP), some of which may be reproduced in the OM, should be handled as sensitive
aviation security information.

15.2.2 There may be varying levels of restricted operational security information made available to relevant front
line personnel. This may necessitate differing levels of authorization to gain access to such material in order to restrict
access to those with a need to know. In all cases, the means to manage, control and disseminate security information
should be described in the OM.

15.2.3 Security information may be derived from different external (to the operator) and internal sources. The
operator must ensure that such information is evaluated and disseminated in consistent manner considering the urgency
of the information. The means (to be described in the OM) for disseminating security information to relevant personnel
with a need to know may include but are not limited to:

15-1
 a) web portals;

b) security briefings;

c) operator security bulletins, alerts or updates;

d) regulatory updates or bulletins (e.g., changes in threat level); and

e) forms (e.g., aircraft security sweep form).

Additional means to disseminate non-sensitive information can include:

a) email; and

b) dedicated security “hotline(s)” or security desk(s) manned by qualified personnel.

15.3 OPERATIONAL CONTROL PERSONNEL SECURITY POLICY AND PROCEDURE

15.3.1 Operational control personnel including as applicable, the flight operations officer/flight dispatcher, may have
responsibilities with respect to ensuring the security of aircraft operations, in coordination with the chief security officer.
Such responsibilities should be described in the OM and typically include:

a) any assigned duties, tasks or functions related to operational security and the dissemination of security
information to flight crew;

b) identifying security threats to aircraft operations and/or a particular flight;

c) addressing security concerns that could affect the routing of a particular flight or its airport of intended
landing (e.g., routing around/through conflict zones);

d) complying with procedures, in accordance with Annex 6, Part I, as well as relevant provisions of
Annex 17 — Security, in the event of an emergency situation endangering the safety of the aircraft or
persons, including those situations that become known first to the operator. This includes, where
necessary, action by that person, to notify the appropriate authorities of the nature of the situation
without delay, and request assistance if required.

Note.— Refer to Annex 6, Part I, 3.1.5 and 4.6.2 for additional actions to be taken by a flight operations
officer/flight dispatcher in the event of an emergency.

15.4 FLIGHT OPERATIONS SECURITY POLICY AND PROCEDURE

15.4.1 Relevant operator security policy and procedures should be described in the OM. Compliance with policy
and procedures found in the OM, along with the requisite security training described in section 15.6, provides an assurance
that flight and cabin crew members possess the necessary knowledge to act appropriately with respect to maintaining
operational security as well as in response to security threats and acts of unlawful interference.

15.4.2 The OM should, as a minimum, address the following with respect to operational security:

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 a) crew member operational security roles and responsibilities;

b) crew security screening and compliance with applicable security requirements of a State or applicable
authority;

c) flight and cabin crew coordination including pre-flight briefings with respect to security issues (e.g., flight
deck security/access, security breaches in the cabin, known or suspected threats, onboard armed
escorts, in-flight security officers and other individuals authorized to carry a weapon onboard);

d) procedures for the carriage of weapons onboard aircraft and PIC notification requirements (i.e., number
and location of authorized armed individuals);

e) security screening of checked baggage;

f) unaccompanied checked baggage;

g) security concerns with carry-on baggage;

h) security of in flight supplies;

i) unruly passengers, suspicious passengers, passenger misconduct and passenger denied

boarding/removal;

j) procedures and applicable checklists for managing, and searching the aircraft for onboard threats such
as concealed weapons, explosives or other dangerous devices and suspicious objects, along with the
appropriate course of action to be taken should a suspicious item be found;

k) bomb threat/least risk bomb location;

l) unlawful seizure of aircraft, sabotage, threat of bodily harm or any hostile acts that threaten the safety
and security of the aircraft or its passengers. This includes guidance on interacting/coping with
passenger response and managing assistance from able-bodied passengers;

m) aircraft Interception protocol for civil aircraft intercepted by military aircraft, to include a description of
visual signals used by intercepting and intercepted aircraft;

n) law enforcement intervention requests (before takeoff/after landing); and

o) incident reporting protocol.

Note.— Flight deck security is also extensively addressed in OM and described in detail in Section 15.5.

15.5 FLIGHT DECK SECURITY

15.5.1 Annex 6, Part I, 13.2 contains standards and recommended practices concerning the security of the flight
crew compartment. The SARPs also contain specifications for lockable flight deck doors as well as doors designed to
resist penetration by small arms fire and grenade shrapnel, and to resist forcible intrusions by unauthorized persons. Lastly
the SARPs define the circumstances when the flight deck door must be closed and locked and describe how cabin crew
can discreetly notify the flight crew in the event of suspicious behaviour in the cabin.

15-3
15.5.2 The OM should contain guidance that enables the flight crew to ensure the security of the flight deck in
accordance with the Annex and that as a minimum:

a) describes lockable flight deck door operation;

b) as applicable, describes reinforced flight deck door operation;

c) specifies flight deck entry and exit policy and procedures considering the types of flight deck doors
installed;

d) defines the conditions that require the flight deck door to be closed and locked;

e) defines the personnel authorized access to the flight deck (e.g., jump-seat occupants, supernumeraries);

f) describes how to identify authorized personnel requesting entry into the flight deck;

g) describes how to prevent access to the flight deck by unauthorized personnel;

h) describes how cabin crew can discreetly notify the flight crew in the event of suspicious activity or
security breaches in the cabin; and

i) describes the complementary flight crew and cabin crew policies and/or procedures for use when a
lockable flight deck door is installed.

Note 1.— Policies and/or procedures related to flight deck security may be considered sensitive information
and only provided to relevant personnel in a manner that protects the content from unnecessary disclosure (i.e., need to
know).

Note 2.— Guidance on locking mechanisms and the means of monitoring the area outside flight crew
compartment doors can be found in the Manual on the Implementation of the Security Provisions of Annex 6 (Doc 9811
RESTRICTED), Chapter 1 and in the Cabin Crew Safety Training Manual (Doc 10002).

15.6 SECURITY TRAINING

15.6.1. The operator, in order to fulfill its responsibilities with respect to operational security must ensure flight and
cabin crew are appropriately trained in all applicable aspects of aviation security. This is typically accomplished using a
security training program approved or accepted by the State of the Operator. Such programs may also have to be adapted
to fulfill the security requirements of other states and applicable authorities.

15.6.2 Security training programs typically consist of initial and recurrent training and may include theoretical and
practical training elements. In all cases, the objective of security training is to ensure operational personnel are competent
to perform security related duties, functions or tasks, including onboard threats and unruly passengers. Security training
also ensures operational personnel behave in a manner consistent with operator requirements and that minimizes the
consequences of acts of unlawful interference.

15.6.3 With the aforementioned objectives in mind, the operator’s crew member security training program should
be described in the OM, and as a minimum address (derived from Annex 6, Part I, 13.4.1):

a) determination of the seriousness of any occurrence;

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 b) crew communication and coordination;

c) appropriate self-defence responses, including proper use of restraints when such devices are carried
by the operator;

d) use of non-lethal protective devices assigned to crew members for use as authorized by the State of
the Operator;

e) types of unruly behaviour, including verbal or physical assault, and mechanisms for coping with each
situation;

f) reviewing the laws and regulations that prohibit acts of violence or disturbance of public order;

g) how to gather evidence at the time of an incident;

h) how to provide statements from employees and witnesses to the police and other authorities;

i) communication protocols;

j) situational training exercises regarding various threat conditions;

k) flight deck procedures to protect the aircraft; and

l) aircraft search procedures, and as practicable, guidance on least-risk bomb locations.

15.6.4 In addition to the aforementioned crew member security training program, operators should establish and
maintain a training programme for all appropriate operational personnel, This program, in accordance with Annex 6, Part
I, 13.4.2, is established to acquaint appropriate employees with preventive measures and techniques regarding
passengers, baggage, cargo, mail, equipment, stores and supplies intended for carriage on an aeroplane so they
contribute to the prevention of acts of sabotage or other forms of unlawful interference.

15.7 OUTSOURCING SECURITY FUNCTIONS

If the operator outsources functions related to operational security, the operator should have a policy, processes and
procedures described the OM to ensure requirements that affect the security of flight operations are being fulfilled by the
service provider (e.g., aircraft/flight deck security searches or the transmission of threat information to operators or aircraft).
Monitoring external service providers is typically accomplished or encompassed by the operator’s quality control system.

15.8 OPERATIONAL SECURITY REPORTING AND RECORDS

15.8.1 The operator should have an operational security reporting system that complies with applicable regulatory
requirements and facilitates the reporting of security incidents, deficiencies and threats. Reports received through this
system would be analysed and used by the operator to action, address security concerns and fulfill regulatory reporting
requirements. This system would be described in the OM and as a minimum address:

a) encouraging operational reporting by operator personnel;

b) how to accomplish operational security reporting;

15-5
 c) confidentiality of reports;

d) analysis/after-action as a result of reporting;

e) when appropriate, feedback to reporter and dissemination of de-identified report information;

f) operational security events or failures (e.g., unauthorized interference or access events);

g) security threats against the operator;

h) acts of unlawful interference against a flight or flight and/or cabin crew;

i) sabotage or bomb threats against a flight; and

j) required reports to the local authority by the PIC following an act of unlawful interference in accordance
with Annex 6, Part I, 13.5.

15.8.2 The operator should have a system retaining security records in accordance with the requirements of the
State and applicable authorities. This system should be described in the OM and ensure operational security records are
retained for a period of time in accordance with the requirements of the State; some operational security records may
contain sensitive or restricted information not suitable for public release. This information is typically handled in accordance
with protocols and procedures defined by the State of the Operator. In all cases, such information should be protected to
preclude being detrimental to aviation security as a whole.

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