Operational ControlVersion: 1.01

OPClesson plan information sheet

Sponsor / Training Policy / Training Provider
AFS-400 / AFS-540 / AMA-240
Course # & Name: / 21000088, Oceanic and International Operations
Lesson Title & Tag: / Operational Control (OPC)
Lesson Number: / 08
Version: / 1.01
Version Date: / 03/28/2013
Duration (includes breaks): / 45 Minutes

Lesson Overview:

This lesson addresses the responsibility for Operational Control, the regulatory basis for each part of operational control, the different types of operational control systems, and operational control approval issues.

Visuals:

SL-01-OPC to SL-12-OPC

Handouts & Practice Exercises:

PE-01-OPC, Operational Control

Training Aids:

Markers, erasers, laser pointer, white board/flipchart

Other Pertinent Information:

Web site for regulations -

Computer File Names:

Lesson Plan: / LP08-OPC.doc,LP08-OPC-HOPE.doc
PowerPoint Presentation: / SL08-OPC.ppt
Participant Notes: / PN08-OPC.doc
Handouts & Exercises: / PN08-OPC-HOPE.doc
Other Files:

Instructor References (as revised):

Regulations
  • 14 CFR
  • Part 91.3 Responsibility and authority of the pilot in command
  • Part 91.1009 Clarification of operational control
  • Part 91.1011 Operational control responsibilities and delegation
  • Part 91.1013 Operational control briefing and acknowledgement
  • Part 121.535 Responsibility for operational control: Flag operations
  • Part 121.537 Responsibility for operational control: Supplemental operations
  • Part125.351Flight release authority
  • Part135.21 Manual requirements
  • Part135.77 Responsibility for operational control
Orders
  • Order 8900.1 Volume3
  • Chapter 18. Operations Specifications
  • Chapter 25. Operational Control for Air Carriers
/ ACs
  • AC 120-101 Part 121 Air Carrier Operational Control (as amended)
Other Documents
  • MSpec A008 – Flight Management
  • OpSpec
  • 121 A008
  • 135 A008

21000088 - Oceanic and International OperationsLesson Plan

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FOR TRAINING PURPOSES ONLY

Operational ControlVersion: 1.01

Document Revision History

To be added by AMA-200 staff only. Delete this highlighted text and retain the title above.

21000088 - Oceanic and International OperationsLesson Plan

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FOR TRAINING PURPOSES ONLY

Operational ControlVersion: 1.01

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21000088 - Oceanic and International OperationsLesson Plan

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FOR TRAINING PURPOSES ONLY

Operational ControlVersion: 1.01

PROMPTS / CONTENT / NOTES

I.Introduction

SL-1-OPC /

A.Review

In lesson 7 we discussed the SAO, the CNS requirements for each SAO, and the means for communicating clearances. This lesson addresses the responsibility for operational control, the regulatory basis for each 14 CFR part of operational control, the different types of operational control systems, and operational control approval issues.

B.Motivation

To be able to correctly and consistently issue Operations Specifications (OpSpecs) and Management Specifications (MSpecs) to operators and individuals desiring to operate in Special Areas of Operation by thoroughly understanding operational controlthrough consultation with your Regional NextGen SAO Specialist and appropriate Dispatch Inspector Specialist. / 3/28/2013

C.Objectives

SL-2-OPC /
At the end of this lesson, participants will be able to:
  • Identify who is responsible for operational control for each part
  • Describe the regulatory basis for the various types of operations for each part

  • Identify who is responsible for exercising operational control for each part
  • Identify the types of operational control systems for each part

D.Overview

SL-3-OPC /
In this lesson we will discuss the following topics:
  • Responsibility for operational control
  • Responsibility for exercising operational control
  • Types of operational control systems
  • Operational control approval issues

II.Body

A.What is Operational Control

SL-4-OPC
 / / 3/28/2013
14 CFR part I definition.
This is covered in more detail in course 21047 – Dispatch Functions for ASIs.
Operational control is about safety and should never be compromised by business models or asset management.
 / Operational control, with respect to a flight, means the exercise of authority over initiating, conducting, or terminating a flight.
Let’s take a look at who is responsible for operational control for each part.

B.Responsibility for Operational Control

SL-5-OPC
 / / 3/28/2013
Exercising operational control is discussed on the next slide.
Responsibility is the individual or organization per the regulatory requirement.

1.14 CFR Part 91 Operations

 / The pilot in command (PIC) of an aircraft is directly responsible for operational control. / 3/28/2013
14 CFR Part 91.3 Responsibility and authority of the pilot in command.

2.14 CFR Part 91K Operations

/ 3/28/2013
 / Each owner in operational control of a program flight is ultimately responsible for safe operation. Each owner may delegate some or all of the performance of the tasks associated with carrying out this responsibility to the program manager, and may rely on the program manager for aviation expertise and program management services. The owner and the program manager are jointly and individually responsible for compliance. / 14 CFR Part 91.1009 Clarification of operational control.
14 CFR Part 91.1011 Operational control responsibilities and delegation.
14 CFR Part91.1013 Operational control briefing and acknowledgement

3.14 CFR Part 121 Operations

 / Part121.535(a) for flag operations states that the certificate holder is responsible for operational control.Part121.535(b) outlines the responsibility for exercising operational control. / Click on the 14 CFR Part 121.535Responsibility for operational control: Flag operationslink to review.
 / Part121.537(a) for supplemental operations states that the certificate holder is responsible for operational control.Part121.537(b) outlines the responsibility for exercising operational control. / Click on the 14 CFR Part 121.537Responsibility for operational control: Supplemental operationslink to review.

4.14 CFR Part 125 Operations

 / The certificate holder is, by reference to Part 125.351, responsible for operational control even though no regulation specifically states this. / Click on the 14 CFR Part 125.351 Flight release authority link to review.

5.14 CFR Part 135 Operations

/ 3/28/2013
 / Similar to part 121 operations, the certificate holder is responsible for operational control. / Click on the 14 CFR Part135.77 Responsibility for operational control link to review.
Sometimes, the person responsible for operational control is different from the one responsible for exercising it. Let’s discuss the responsibility for exercising operational control.

C.Responsibility for Exercising Operational Control

SL-6-OPC /
Exercising operational control means making decisions and performing actions on a daily basis that are necessary to operate flights safely and in compliance with the regulations.
Exercising operational control includes, but is not limited to:
  • Pre-flight planning
  • Delay
  • Initiation (Dispatch/Release 121)
  • Continuation
  • Diversion
  • Termination

1.14 CFR Part 91 Operations

The pilot in command (PIC) of an aircraft is directly responsible for exercising operational control.

2.14 CFR Part 91K Operations

The PIC and Program Manager are both responsible for exercising operational control.

3.14 CFR Part 121 Operations

 / For Flag operations, both the PIC and Dispatcher are responsible for exercising operational control, whereas for supplemental operations the PIC and the Director of Operations (DO) or designee is responsible. / 121 Supplemental is not scheduled.

4.14 CFR Part 125 Operations

 / For part 125 operations, the certificate holder designates who may exercise operational control. / PIC typically exercises operational control.

5.14 CFR Part 135 Operations

 / The responsibility for exercising operational control falls on the certificate holder and individuals as designated in the General Operations Manuals (GOMs). / 3/28/2013
14 CFR Part135.21Manual requirements.
 / Each certificate holder is responsible for operational control and shall list, in the manual required by Part135.21, the name and title of each person authorized by it to exercise operational control. / Only for 121 Supplemental and 135 operators.
Now that you can identify who is responsible for, and who exercises operational control, let’s discuss the different types of operational control systems.

D.Types of Operational Control Systems

SL-7-OPC /
In descending order of precision and complexity, the three general operational control systems are flight dispatch, flight release, and flight locating.
Part 121 Flag requires certificated aircraft dispatchers.
Part 121 Supplemental requires a flight following system. Many operators choose to exceed the regulatory requirements and employ certificated aircraft dispatchers.
 / Part 135 requires a flight locating system which is commonly outsourced to corporate flight planning organizations. Some operators choose to exceed the regulatory requirements and employ certificated aircraft dispatchers. / Outsourced to companies such as ARINC or Jeppesen.
A part 91 operator, other than 91K, is not required to have a Flight Locating/Release System.
Part 91K, Part91.1029 requires that each program manager must establish and use an adequate system to schedule and release program aircraft.
There is no operational control system required under part 125. / 3/28/2013
However, under best practices, some part 125 operators have dispatch systems for operational control
The next topic we’re going to cover is Operational Control Approval Issues.

E.Operational Control Approval Issues

SL-8-OPC /
 / Question: Who is issued OpSpec A008?
Answer: 121 and 135 operators.
OpSpec A008 contains 5-6 pages for part 135 operations (compared to 1 page for part 121 operations) because of the number of operators doing business as (DBA) under that part.
 / Question: Who is issued an MSpec A008?
Answer: 91K operators.
 / Question: Are part 125 operators issued OpSpec A008?
Answer:Yes, When the FAA published Part 125, they provided flexibility by including deviation authority in section 125.3. This allowed businesses to operate part 125 size airplanes under letters of deviation authority (LODAs) issued by their local FSDO.
SL-9-OPC / / 3/28/2013
Note: There are still issues with manuals either not referencing operational control or with poorly written policy and procedures
There have been numerous cases when the FAA had difficulty determining who had operational control of a flight, based on company policy and OpSpecs.
For example, OpSpec A008 (operational control) was extensively revised after one or more part135 operation incidents that prompted questions about operational control.
 / There have been numerous examples of ASIs reviewing operators’ manuals noting information in the manuals that conflicted with regulatory or FAA guidance materials concerning operational control, responsibility, and how it is delegated.
ASIs should consult a Dispatch Inspector Specialist about reviewing relevant aspects of operational control. / 3/28/2013
What must be done if this situation occurs?
Answer: Seek Immediate Corrective Action
 / Practice Exercise follows.
 / Ask participants to turn to the back of this lesson and pull out PE-01-OPC.
SL-10-OPC / / Duration: 15 minutes (10 minutes to complete, 5 minutes to debrief).

PE-01-OPC / Practice Exercise – Identifying Operational Control Issues: PE-01-OPC / PE-01-OPC
Purpose:This activity requires participants to identify who is responsible for andwho exercises operational control.
Directions: Answer the following questions based on the information provided below.
Debrief:The instructor will solicit responses from participants.
The ASI receives a phone call from an operator requesting authorization to fly between Boston(BOS) and London Gatwick(LGW). What information is necessary to determine if the operator’s operational control system meets the requirements of this SAO?
PE-01-OPC /
  1. If the operator holds a part 121 Flag certificate:
  2. Who is responsible for operational control?
    Answer:The certificate holder.
  3. What kind of operational control system is required?
    Answer:A dispatch system.
  4. What is the relevant OpSpec for operational control?
    Answer:Operations Specification A008.
  5. Who is responsible for exercising operational control?
    Answer:PIC and dispatcher.

  1. If the operator holds a part 121 Supplemental certificate:
  2. Who is responsible for operational control?
    Answer:The certificate holder.
  3. What kind of operational control system is required?
    Answer:A flight following system.
  4. What is the relevant OpSpec for operational control?
    Answer:Operations Specification A008.
  5. Who is responsible for exercising operational control?
    Answer:PIC and Director of Operations (DO) or his designated representative.

  1. If the operator holds a part 135 certificate:
  2. Who is responsible for operational control?
    Answer:The certificate holder.
  3. What kind of operational control system is required?
    Answer:A flight locating system.
  4. What is the relevant OpSpec for operational control?
    Answer:Operations Specification A008.
  5. Who is responsible for exercising operational control?
    Answer:PIC and person(s) designated in the operations manual.

  1. If the operator holds a part 91K certificate:
  2. Who is responsible for operational control?
    Answer: PIC and the Program Manager.
  3. What kind of operational control system is required?
    Answer: A Program Control System with procedures, policy, and instructions, and the location of the list of current aircraft owners.
  4. What is the relevant OpSpec for operational control?
    Answer:Management Spec A008.
  5. Who is responsible for exercising operational control?
    Answer: The PIC and the Program Manager.

  1. If the operator holds a part 91 certificate:
  2. Who is responsible for operational control?
    Answer: The PIC.
  3. What kind of operational control system is required?
    Answer: None.
  4. What is the relevant OpSpec for operational control?
    Answer:Not applicable.
  5. Who is responsible for exercising operational control?
    Answer: The PIC.

  1. If the operator holds a part 125 certificate:
  2. Who is responsible for operational control?
    Answer: The PIC and those designated in the company operations manual.
  3. What kind of operational control system is required?
    Answer: A flight release System (125.351)
  4. What is the relevant OpSpec for operational control?
    Answer:OpSpec A008.
  5. Who is responsible for exercising operational control?
    Answer: The PIC and those designated in the company operations manual.

Reference – FAA Order 8900.1 Volume3, Chapter 18. Operations Specifications
This handbook reference gives greater detail about OpSpec A008 for operational control.

III.Summary

A.Review

SL-11-OPC /
Let’s review the major topics we covered in this lesson.
  • Responsibility for operational control
  • Responsibility for exercising operational control
  • Types of operational control systems
  • Operational control approval issues

B.Objectives

SL-12-OPC /
Participants should now be able to:
  • Identify who is responsible for operational control for each part
  • Describe the regulatory basis for the various types of operations for each part
  • Identify who is responsible for exercising operational control for each part
  • Identify the types of operational control systems for each part

C.Preview

The next lesson will focus on flight planning.

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21000088 - Oceanic and International OperationsLesson Plan

Page 1 of 24

FOR TRAINING PURPOSES ONLY