# 5.1: Section 1-

5.1: Section 1-

## 5.1 Reverifying Employment Authorization for Current Employees

You must reverify an employee’s employment authorization no later than the date employment authorization expires. The employee must present a document that shows current employment authorization, such as any document from List A or C, including an unrestricted Social Security card. You must reject a restricted Social Security card and ask the employee to provide a different document from List A or C. You can also accept certain receipts for reverification see the Acceptable Receipts table in Section 4.3, Acceptable Receipts, for more information. You cannot continue employing a person who does not provide proof of current employment authorization.

Complete Section 3 of the employee’s original Form I-9. If you already used Section 3 for a previous reverification or update, use Section 3 of a new Form I-9. You must also complete Section 3 of a new Form I-9 if the form you used for the previous verification is no longer valid. Please check uscis.gov/i-9 for the current Form I-9.

If you reverify your employee using a paper Form I-9:

• Enter the employee’s full name from the original Form I-9 at the top of Section 2.
• Leave both the Citizenship/Immigration Status field and the rest of Section 2 blank.
• If the employee’s name has changed, enter the new name in Block A of Section 3.
• Enter the document title, number and expiration date in Block C of Section 3.

If you complete Section 3 using a computer:

• Enter the employee’s full name from the original Form I-9 at the top of Section 3.
• If the employee’s name has changed, enter the new name in Block A.
• Enter the document title, number and expiration date (if any) in Block C.
• Enter your name in the field provided.
• Print the form. Sections 2 and 3 will print on the same page: The employee’s name will show at the top of Section 2, the rest of Section 2 is left blank, and Section 3 will show your entries.
• Sign and date Section 3.

Reverification is never required for U.S. citizens or noncitizen nationals. Reverification is also never required when the following documents expire: U.S. passports, U.S. passport cards, Form I-551 (Alien Registration Receipt Cards/Permanent Resident Cards, which are also known as Green Cards), and List B documents.

Employees with expiring immigration status, employment authorization, or employment authorization documents should have the necessary application or petition filed well in advance to ensure they maintain continuous employment authorization and/or valid documents. USCIS provides employment authorization extensions under certain conditions. See Section 6.0, Evidence of Status for Certain Categories, for more information.

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§ 5-1.1-A Right of election by surviving spouse

(a) Where a decedent dies on or after September first, nineteen hundred ninety-two and is survived by a spouse, a personal right of election is given to the surviving spouse to take a share of the decedent's estate, subject to the following:

(1) For the purpose of this section, the decedent's estate includes the capital value, as of the decedent's death, of any property described in subparagraph (b) (1).

(2) The elective share, as used in this paragraph, is the pecuniary amount equal to the greater of (i) fifty thousand dollars or, if the capital value of the net estate is less than fifty thousand dollars, such capital value, or (ii) one third of the net estate. In computing the net estate, debts, administration expenses and reasonable funeral expenses shall be deducted, but all estate taxes shall be disregarded, except that nothing contained herein relieves the surviving spouse from contributing to all such taxes the amounts apportioned against him or her under 2-1.8.

(3) The term "testamentary provision", as used in this paragraph, includes, in addition to dispositions made by the decedent's will, distributions of property pursuant to 4-1.1 and any transaction described as a testamentary substitute in subparagraph (b) (1).

(4) The share of the testamentary provisions to which the surviving spouse is entitled hereunder (the "net elective share") is his or her elective share, as defined in subparagraphs (1) and (2), reduced by the capital value of any interest which passes absolutely from the decedent to such spouse, or which would have passed absolutely from the decedent to such spouse but was renounced by the spouse, (i) by intestacy, (ii) by testamentary substitute as described in subparagraph (b) (1), or (iii) by disposition under the decedent's last will.

(A) Unless the decedent has provided otherwise, if a spouse elects under this section, such election shall have the same effect with respect to any interest which passes or would have passed to the spouse, other than absolutely, as though the spouse died on the same date but immediately before the death of the decedent.

(B) For the purposes of this subparagraph (4), (i) an interest in property shall be deemed to pass other than absolutely from the decedent to the spouse if the interest so passing consists of less than the decedent's entire interest in that property or consists of any interest in a trust or trust equivalent created by the decedent and (ii) an interest in property shall be deemed to pass absolutely from the decedent to the spouse if it is not deemed to pass other than absolutely.

(5) Where a decedent dies before September first, nineteen hundred ninety-four, paragraphs (c)(1)(D) through (c)(1)(K) of section 5-1.1 shall apply except that the words "fifty thousand dollars" shall be substituted for the words "ten thousand dollars" wherever they appear in such paragraphs.

(b) Inter vivos dispositions treated as testamentary substitutes for the purpose of election by surviving spouse.

(1) Where a person dies after August thirty-first, nineteen hundred ninety-two and is survived by a spouse who exercises a right of election under paragraph (a), the transactions affected by and property interests of the decedent described in clauses (A) through (H), whether benefiting the surviving spouse or any other person, shall be treated as testamentary substitutes and the capital value thereof, as of the decedent's death, shall be included in the net estate subject to the surviving spouse's elective right except to the extent that the surviving spouse has executed a waiver of release pursuant to paragraph (e) with respect thereto. Notwithstanding the foregoing, a transaction, other than a transaction described in clause (G), that is irrevocable or is revocable only with the consent of a person having a substantial adverse interest (including any such transactions with respect to which the decedent retained a special power of appointment as defined in 10-3.2), will constitute a testamentary substitute only if it is effected after the date of the marriage.

(B) The aggregate transfers of property (including the transfer, release or relinquishment of any property interest which, but for such transfer, release or relinquishment, would come within the scope of clause (F)), other than gifts causa mortis and transfers coming within the scope of clauses (G) and (H), to or for the benefit of any person, made after August thirty-first, nineteen hundred ninety-two, and within one year of the death of the decedent, to the extent that the decedent did not receive adequate and full consideration in money or money's worth for such transfers provided, however, that any portion of any such transfer that was excludible from taxable gifts pursuant to subsections (b) and (e) of section two thousand five hundred three of the United States Internal Revenue Code, including any amounts excluded as a result of the election by the surviving spouse to treat any such transfer as having been made one half by him or her, shall not be treated as a testamentary substitute.

(C) Money deposited, together with all dividends or interest credited thereon, in a savings account in the name of the decedent in trust for another person, with a banking organization, savings and loan association, foreign banking corporation or organization or bank or savings and loan association organized under the laws of the United States, and remaining on deposit at the date of the decedent's death.

(D) Money deposited after August thirty-first, nineteen hundred sixty-six, together with all dividends or interest credited thereon, in the name of the decedent and another person and payable on death, pursuant to the terms of the deposit or by operation of law, to the survivor, with a banking organization, savings and loan association, foreign banking corporation or organization or bank or savings and loan association organized under the laws of the United States, and remaining on deposit at the date of the decedent's death.

(E) Any disposition of property made by the decedent whereby property, at the date of his or her death, is held (i) by the decedent and another person as joint tenants with a right of survivorship or as tenants by the entirety where the disposition was made after August thirty-first, nineteen hundred sixty-six, or (ii) by the decedent and is payable on his or her death to a person other than the decedent or his or her estate.

(F) Any disposition of property or contractual arrangement made by the decedent, in trust or otherwise, to the extent that the decedent (i) after August thirty-first, nineteen hundred ninety-two, retained for his or her life or for any period not ascertainable without reference to his or her death or for any period which does not in fact end before his or her death the possession or enjoyment of, or the right to income from, the property except to the extent that such disposition or contractual arrangement was for an adequate consideration in money or money's worth or (ii) at the date of his or her death retained either alone or in conjunction with any other person who does not have a substantial adverse interest, by the express provisions of the disposing instrument, a power to revoke such disposition or a power to consume, invade or dispose of the principal thereof. The provisions of this subparagraph shall not affect the right of any income beneficiary to the income undistributed or accrued at the date of death nor shall they impair or defeat any right which has vested on or before August thirty-first, nineteen hundred ninety-two.

(G) Any money, securities or other property payable under a thrift, savings, retirement, pension, deferred compensation, death benefit, stock bonus or profit-sharing plan, account, arrangement, system or trust, except that with respect to a plan to which subsection (a) (11) of section four hundred one of the United States Internal Revenue Code applies or a defined contribution plan to which such subsection does not apply pursuant to paragraph (B) (iii) thereof, only to the extent of fifty percent of the capital value thereof. Notwithstanding the foregoing, a transaction described herein shall not constitute a testamentary substitute if the decedent designated the beneficiary or beneficiaries of the plan benefits on or before September first, nineteen hundred ninety-two and did not change such beneficiary designation thereafter.

(H) Any interest in property to the extent the passing of the principal thereof to or for the benefit of any person was subject to a presently exercisable general power of appointment, as defined in section two thousand forty-one of the United States Internal Revenue Code, held by the decedent immediately before his or her death or which the decedent, within one year of his or her death, released (except to the extent such release results from a lapse of the power which is not treated as a release pursuant to section two thousand forty-one of the United States Internal Revenue Code) or exercised in favor of any person other than himself or herself or his or her estate.

(I) A transfer of a security to a beneficiary pursuant to part 4 of article 13 of this chapter.

(2) Transactions described in clause (D) or (E) (i) shall be treated as testamentary substitutes in the proportion that the funds on deposit were the property of the decedent immediately before the deposit or the consideration for the property described in clause (E) (i) was furnished by the decedent. The surviving spouse shall have the burden of establishing the proportion of the decedent's contribution provided, however, that where the surviving spouse is the other party to the transaction, it will be conclusively presumed that the proportion of the decedent's contribution is one-half. For the purpose of this subparagraph, the court may accept such evidence as is relevant and competent, whether or not the person offering such evidence would otherwise be competent to testify.

(3) The property referred to in clause (E) shall include United States savings bonds and other United States obligations.

(4) The provisions of this paragraph shall not prevent a corporation or other person from paying or transferring any funds or property to a person otherwise entitled thereto, unless there has been served personally upon such corporation or other person a certified copy of an order enjoining such payment or transfer made by the surrogate's court having jurisdiction of the decedent's estate or by another court of competent jurisdiction. A corporation or other person paying or transferring any funds or property described in clause (G) of subparagraph one of this paragraph to a person otherwise entitled thereto, shall be held harmless and free from any liability for making such payment or transfer, in any action or proceeding which involves such funds or property. Such order may be made, on notice to such persons and in such manner as the court may direct, upon application of the surviving spouse or any other interested party and on proof that the surviving spouse has exercised his or her right of election under paragraph (a). Service of a certified copy of such order on the corporation or other person holding such fund or property shall be a defense, during the effective period of the order, in any action or proceeding which involves such fund or property.

(5) This paragraph shall not impair or defeat the rights of creditors of the decedent with respect to any matter as to which any such creditor has rights.

(6) In case of a conflict between this paragraph and any other provision of law affecting the transactions described in subparagraph (1) of this paragraph, this paragraph controls.

(7) If any part of this section is preempted by federal law with respect to a payment or an item of property included in the net estate, a person who, not for value, received that payment or item of property is obligated to return to the surviving spouse that payment or item of property or is personally liable to the surviving spouse for the amount of that payment or the value of that item of property, to the extent required under this section.

(c) General provisions governing right of election.

(1) Where an election has been made under this section, the will or other instrument making a testamentary provision, as the case may be, is valid as to the residue after the share to which the surviving spouse is entitled has been deducted, and the terms of such will or instrument remain otherwise effective so far as possible, subject, however, to the provisions of clause (a)(4)(A).

(2) Except as otherwise expressly provided in the will or other instrument making a testamentary provision, ratable contribution to the share to which the surviving spouse is entitled shall be made by the beneficiaries and distributees (including the recipients of any such testamentary provision), other than the surviving spouse, under the decedent's will, by intestacy and other instruments making testamentary provisions, which contribution may be made in cash or in the specific property received from the decedent by the person required to make such contribution or partly in cash and partly in such property as such person in his or her discretion shall determine.

(3) The right of election is personal to the surviving spouse, except that an election may be made by:

(A) The guardian of the property of an infant spouse, when so authorized by the court having jurisdiction of the decedent's estate.

(B) The committee of an incompetent spouse, when so authorized by the court that appointed the committee.

(C) The conservator of a conservatee spouse, when so authorized by the court that appointed the conservator.

(D) The guardian ad litem for the surviving spouse when so authorized by the court that appointed such guardian.

(E) A guardian authorized under Article 81 of the mental hygiene law, when so authorized by the court that appointed the guardian.

(4) Any question arising as to the right of election shall be determined by the court having jurisdiction of the decedent's estate in a proceeding brought for that purpose on notice to all interested persons in such manner as the court may direct, or in a proceeding for the judicial settlement of the accounts of the personal representative.

(5) Upon application by a surviving spouse who has made an election under this section, the court may make an order cancelling such election, provided that no adverse rights have intervened and no prejudice is shown to creditors of such spouse or other persons interested in the estate. Such application shall be made on notice to such persons and in such manner as the court may direct. A certified copy of such order shall be indexed and recorded in the same manner as a notice of pendency of an action in the office of the clerk of the county in which any real property of the decedent is situated.

(6) The right of election granted by this section is not available to the spouse of a decedent who was not domiciled in this state at the time of death, unless such decedent has elected, under paragraph (h) of 3-5.1, to have the disposition of his or her property situated in this state governed by the laws of this state.

(7) The decedent's estate shall include all property of the decedent wherever situated.

(8) An election made by the surviving spouse under this section is in lieu of any right of dower to which such spouse may be entitled.

(9) The references in this paragraph to sections of the United States Internal Revenue Code are to the Internal Revenue Code of 1986, as amended. Such references, however, shall be deemed to constitute references to any corresponding provisions of any subsequent federal tax code.

(d) Procedure for exercise of right of election.

(1) An election under this section must be made within six months from the date of issuance of letters testamentary or of administration, as the case may be, but in no event later than two years after the date of decedent's death, except as otherwise provided in subparagraph 2 of this paragraph. Written notice of such election shall be served upon any personal representative in the manner herein provided, or upon a person named as executor in a will on file in the surrogate's court in a case where such will has not yet been admitted to probate, and the original thereof shall be filed and recorded, with proof of service, in the surrogate's court in which such letters were issued within six months from the date of the issuance of letters but in no event later than two years from the date of decedent's death, except as otherwise provided in subparagraph 2 of this paragraph. Such notice may be served by mailing a copy thereof, addressed to any personal representative, or to the nominated executor, as the case may be, at the place of residence stated in the designation required by section 708 of the surrogate's court procedure act, to the domicile address of such nominated executor, or in such other manner as the surrogate may direct.

(2) The time to make such election may be extended before expiration by an order of the surrogate's court from which such letters issued for a further period not exceeding six months upon any one application. If the spouse defaults in filing such election within the time provided in subparagraph (1) of this paragraph, the surrogate's court may relieve the spouse from such default and authorize the making of an election within the period fixed by the order, provided that no decree settling the account of the personal representative has been made and that twelve months have not elapsed since the issuance of the letters, and two years have not elapsed since the decedent's date of death, in the case of initial application except that the court may, in its discretion for good cause shown, extend the time to make such election beyond such period of two years. An application for relief from the default and for an extension of time to elect shall be made upon a petition showing reasonable cause and on notice to such persons and in such manner as the surrogate may direct. A certified copy of such order shall be indexed and recorded in the same manner as a notice of pendency of an action in the office of the clerk of each county in which real property of the decedent is situated.

(3) The time limited in this paragraph for making an election is exclusive and shall not be suspended or otherwise affected by any provision of law, except that the surrogate may, in his or her discretion, permit an election to be made in behalf of an infant or incompetent spouse at any time up to, but no later than, the entry of the decree of the first judicial account of the representative of the estate, made more than seven months after the issuance of letters.

(e) Waiver or release of right of election.

(1) A spouse, during the lifetime of the other, may waive or release a right of election, granted by this section, against a particular or any last will or a testamentary substitute, as described in subparagraph (b) (1) made by the other spouse. A waiver or release of all rights in the estate of the other spouse is a waiver or release of a right of election against any such last will or testamentary provision.

(2) To be effective under this section, a waiver or release must be in writing and subscribed by the maker thereof, and acknowledged or proved in the manner required by the laws of this state for the recording of a conveyance of real property.

(3) Such a waiver or release is effective, in accordance with its terms, whether:

(A) Executed before or after the marriage of the spouses.

(B) Executed before, on or after September first, nineteen hundred sixty-six.

(C) Unilateral in form, executed only by the maker thereof, or bilateral in form, executed by both spouses.

(D) Executed with or without consideration.

(E) Absolute or conditional.

(4) If there is in effect at the time of the decedent's death a waiver, or a consent to the decedent's waiver, executed by the surviving spouse with respect to any survivor benefit, or right to such benefit, under subsection (a) (11) of section four hundred one or section four hundred seventeen of the United States Internal Revenue Code, then such waiver shall be deemed to be a waiver within the meaning of this paragraph (e) against the testamentary substitute constituting such benefit.

## 5.1: Section 1-

The above apply only to joint-use restricted airspace and not to prohibited and nonjoint-use airspace. For the latter categories, the ATC facility will issue a clearance so the aircraft will avoid the restricted airspace unless it is on an approved altitude reservation mission or has obtained its own permission to operate in the airspace and so informs the controlling facility.

Temporary restricted areas are not charted. For temporary restricted areas, pilots should review the Notices to Airman Publication (NTAP), the FAA SUA website, and/or contact the appropriate overlying ATC facility to determine the effect of non-depicted SUA areas along their routes of flight.

1. A warning area is airspace of defined dimensions, extending from three nautical miles outward from the coast of the U.S., that contains activity that may be hazardous to nonparticipating aircraft. The purpose of such warning areas is to warn nonparticipating pilots of the potential danger. A warning area may be located over domestic or international waters or both.
1. National Security Areas
1. NSAs consist of airspace of defined vertical and lateral dimensions established at locations where there is a requirement for increased security and safety of ground facilities. Pilots are requested to voluntarily avoid flying through the depicted NSA. When it is necessary to provide a greater level of security and safety, flight in NSAs may be temporarily prohibited by regulation under the provisions of 14 CFR Section 99.7. Regulatory prohibitions will be issued by System Operations Security and disseminated via NOTAM. Inquiries about NSAs should be directed to System Operations Security.
1. General. This paragraph describes the types of conditions under which the FAA may impose temporary flight restrictions. It also explains which FAA elements have been delegated authority to issue a temporary flight restrictions NOTAM and lists the types of responsible agencies/offices from which the FAA will accept requests to establish temporary flight restrictions. The 14 CFR is explicit as to what operations are prohibited, restricted, or allowed in a temporary flight restrictions area. Pilots are responsible to comply with 14 CFR Sections 91.137, 91.138, 91.141, and 91.143 when conducting flight in an area where a temporary flight restrictions area is in effect, and should check appropriate NOTAMs during flight planning.
2. The purpose for establishing a temporary flight restrictions area is to:
1. Protect persons and property in the air or on the surface from an existing or imminent hazard associated with an incident on the surface when the presence of low-flying aircraft would magnify, alter, spread, or compound that hazard (14 CFR Section 91.137(a)(1)).
2. Provide a safe environment for the operation of disaster relief aircraft (14 CFR Section 91.137(a)(2)).
3. Prevent an unsafe congestion of sightseeing aircraft above an incident or event which may generate a high degree of public interest (14 CFR Section 91.137(a)(3)).
4. Protect declared national disasters for humanitarian reasons in the State of Hawaii (14 CFR Section 91.138).
5. Protect the President, Vice President, or other public figures (14 CFR Section 91.141).
6. Provide a safe environment for space agency operations (14 CFR Section 91.143).

1. 14 CFR Section 91.137(a)(1):
The following NOTAM prohibits all aircraft operations except those specified in the NOTAM.
FLIGHT RESTRICTIONS MATTHEWS, VIRGINIA, EFFECTIVE IMMEDIATELY UNTIL 9610211200. PURSUANT TO 14 CFR SECTION 91.137(A)(1) TEMPORARY FLIGHT RESTRICTIONS ARE IN EFFECT. RESCUE OPERATIONS IN PROGRESS. ONLY RELIEF AIRCRAFT OPERATIONS UNDER THE DIRECTION OF THE DEPARTMENT OF DEFENSE ARE AUTHORIZED IN THE AIRSPACE AT AND BELOW 5,000 FEET MSL WITHIN A 2-NAUTICAL-MILE RADIUS OF LASER AFB, MATTHEWS, VIRGINIA. COMMANDER, LASER AFB, IN CHARGE (897) 946-5543 (122.4). STEENSON FSS (792) 555-6141 (123.1) IS THE FAA COORDINATION FACILITY .
2. 14 CFR Section 91.137(a)(2):
The following NOTAM permits flight operations in accordance with 14 CFR Section 91.137(a)(2). The on‐site emergency response official to authorize media aircraft operations below the altitudes used by the relief aircraft.
FLIGHT RESTRICTIONS 25 MILES EAST OF BRANSOME, IDAHO, EFFECTIVE IMMEDIATELY UNTIL 9601202359 UTC. PURSUANT TO 14 CFR SECTION 91.137(A)(2) TEMPORARY FLIGHT RESTRICTIONS ARE IN EFFECT WITHIN A 4-NAUTICAL-MILE RADIUS OF THE INTERSECTION OF COUNTY ROADS 564 AND 315 AT AND BELOW 3,500 FEET MSL TO PROVIDE A SAFE ENVIRONMENT FOR FIRE FIGHTING AIRCRAFT OPERATIONS. DAVIS COUNTY SHERIFF'S DEPARTMENT (792) 555-8122 (122.9) IS IN CHARGE OF ON‐SCENE EMERGENCY RESPONSE ACTIVITIES. GLIVINGS FSS (792) 555-1618 (122.2) IS THE FAA COORDINATION FACILITY.
3. 14 CFR Section 91.137(a)(3):
The following NOTAM prohibits sightseeing aircraft operations.

1. Procedures relating to parachute jump areas are contained in 14 CFR Part 105. Tabulations of parachute jump areas in the U.S. are contained in the Chart Supplement U.S.
2. Pilots of aircraft engaged in parachute jump operations are reminded that all reported altitudes must be with reference to mean sea level, or flight level, as appropriate, to enable ATC to provide meaningful traffic information.
3. Parachute Operations in the Vicinity of an Airport Without an Operating Control Tower. There is no substitute for alertness while in the vicinity of an airport. It is essential that pilots conducting parachute operations be alert, look for other traffic, and exchange traffic information as recommended in GEN 3.3, Paragraph 9.2, Traffic Advisory Practices at Airports Without Operating Control Towers. In addition, pilots should avoid releasing parachutes while in an airport traffic pattern when there are other aircraft in that pattern. Pilots should make appropriate broadcasts on the designated Common Traffic Advisory Frequency (CTAF), and monitor that CTAF until all parachute activity has terminated or the aircraft has left the area. Prior to commencing a jump operation, the pilot should broadcast the aircraft's altitude and position in relation to the airport, the approximate relative time when the jump will commence and terminate, and listen to the position reports of other aircraft in the area.

FIG ENR 5.1-1
SFRA Boundary

We’ve seen at least one example so far in the course where a multiplicative decomposition would be good – the quarterly earnings data for the Johnson and Johnson Corporations. The seasonal variation increases as we move across time. A multiplicative decomposition could be useful. Here’s the plot of the data:

The seasonal effects are usually adjusted so that they average to 0 for an additive decomposition or they average to 1 for a multiplicative decomposition.

1. The first step is to estimate the trend. Two different approaches could be used for this (with many variations of each).
• One approach is to estimate the trend with a smoothing procedure such as moving averages. (See Lesson 5.2 for more on that.) With this approach, an equation is not used to describe trend.
• The second approach is to model the trend with a regression equation.
2. The second step is to “de-trend” the series. For an additive decomposition, this is done by subtracting the trend estimates from the series. For a multiplicative decomposition, this is done by dividing the series by the trend values.
3. Next, seasonal factors are estimated using the de-trended series. For monthly data, this entails estimating an effect for each month of the year. For quarterly data, this entails estimating an effect for each quarter. The simplest method for estimating these effects is to average the de-trended values for a specific season. For instance, to get a seasonal effect for January, we average the de-trended values for all Januarys in the series, and so on. (Minitab uses medians rather than means, by the way.)
4. The final step is to determine the random (irregular) component.

For the additive model, random = series – trend – seasonal.
For the multiplicative model, random = series / (trend*seasonal)

The random component could be analyzed for such things as the mean location, or mean squared size (variance), or possibly even for whether the component is actually random or might be modeled with an ARIMA model.

A few programs iterate through the steps 1 to 3. For example, after step 3 we could use the seasonal factors to de-seasonalize the series and then return to step 1 to estimate the trend based on the de-seasonalized series. Minitab does this (and estimates the trend with a straight line in the iteration.

## 5.1.1 Leadership And Commitment For The Quality Management System

You should seek and record evidence that Top Management is taking a ‘hands-on’ approach to the management of the QMS. Be prepared to constructively challenge Top Management’s commitment to quality management principles and show their commitment in ISO.

Auditing this tier of management is likely to be a new experience for many people, so it is important that you have a good understanding of management activities in order to effectively engage with them.

If it is evident that the Top Management is not involved with the quality system and ISO standards, a major non-conformance is likely.

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## 5.1: Section 1-

5-1-1. Preflight Preparation

a. Every pilot is urged to receive a preflight briefing and to file a flight plan. This briefing should consist of the latest or most current weather, airport, and en route NAVAID information. Briefing service may be obtained from an FSS either by telephone or interphone, by radio when airborne, or by a personal visit to the station. Pilots with a current medical certificate in the 48 contiguous States may access toll-free the Direct User Access Terminal System (DUATS) through a personal computer. DUATS will provide alpha-numeric preflight weather data and allow pilots to file domestic VFR or IFR flight plans.

REFERENCE-
AIM, FAA Weather Services, Paragraph 7-1-2 , lists DUATS vendors.

NOTE-
Pilots filing flight plans via "fast file" who desire to have their briefing recorded, should include a statement at the end of the recording as to the source of their weather briefing.

b. The information required by the FAA to process flight plans is contained on FAA Form 7233-1, Flight Plan. The forms are available at all flight service stations. Additional copies will be provided on request.

REFERENCE-
AIM, Flight Plan- VFR Flights, Paragraph 5-1-4 .
AIM, Flight Plan- IFR Flights, Paragraph 5-1-8 .

c. Consult an FSS or a Weather Service Office (WSO) for preflight weather briefing. Supplemental Weather Service Locations (SWSLs) do not provide weather briefings.

d. FSSs are required to advise of pertinent NOTAMs if a standard briefing is requested, but if they are overlooked, don't hesitate to remind the specialist that you have not received NOTAM information.

NOTE-
NOTAMs which are known in sufficient time for publication and are of 7 days duration or longer are normally incorporated into the Notices to Airmen Publication and carried there until cancellation time. FDC NOTAMs, which apply to instrument flight procedures, are also included in the Notices to Airmen Publication up to and including the number indicated in the FDC NOTAM legend. Printed NOTAMs are not provided during a briefing unless specifically requested by the pilot since the FSS specialist has no way of knowing whether the pilot has already checked the Notices to Airmen Publication prior to calling. Remember to ask for NOTAMs in the Notices to Airmen Publication. This information is not normally furnished during your briefing.

REFERENCE-
AIM, Notice to Airmen (NOTAM) System, Paragraph 5-1-3 .

e. Pilots are urged to use only the latest issue of aeronautical charts in planning and conducting flight operations. Aeronautical charts are revised and reissued on a regular scheduled basis to ensure that depicted data are current and reliable. In the conterminous U.S., Sectional Charts are updated every 6 months, IFR En Route Charts every 56 days, and amendments to civil IFR Approach Charts are accomplished on a 56-day cycle with a change notice volume issued on the 28-day midcycle. Charts that have been superseded by those of a more recent date may contain obsolete or incomplete flight information.

REFERENCE-
AIM, General Description of Each Chart Series, Paragraph 9-1-4 .

f. When requesting a preflight briefing, identify yourself as a pilot and provide the following:

1. Type of flight planned e.g., VFR or IFR.

2. Aircraft's number or pilot's name.

g. Prior to conducting a briefing, briefers are required to have the background information listed above so that they may tailor the briefing to the needs of the proposed flight. The objective is to communicate a "picture" of meteorological and aeronautical information necessary for the conduct of a safe and efficient flight. Briefers use all available weather and aeronautical information to summarize data applicable to the proposed flight. They do not read weather reports and forecasts verbatim unless specifically requested by the pilot. FSS briefers do not provide FDC NOTAM information for special instrument approach procedures unless specifically asked. Pilots authorized by the FAA to use special instrument approach procedures must specifically request FDC NOTAM information for these procedures. Pilots who receive the information electronically will receive NOTAMs for special IAPs automatically.

REFERENCE-
AIM, Preflight Briefings, Paragraph 7-1-4 , contains those items of a weather briefing that should be expected or requested.

h. FAA by 14 CFR Part 93, Subpart K, has designated High Density Traffic Airports (HDTAs) and has prescribed air traffic rules and requirements for operating aircraft (excluding helicopter operations) to and from these airports.

REFERENCE-
Airport/Facility Directory, Special Notices Section.
AIM, Airport Reservation Operations and Special Traffic Management Programs, Paragraph  4-1-21 .

i. In addition to the filing of a flight plan, if the flight will traverse or land in one or more foreign countries, it is particularly important that pilots leave a complete itinerary with someone directly concerned and keep that person advised of the flight's progress. If serious doubt arises as to the safety of the flight, that person should first contact the FSS.

REFERENCE-
AIM, Flights Outside the U.S. and U.S. Territories, Paragraph 5-1-10 .

j. Pilots operating under provisions of 14 CFR Part� and not having an FAA assigned 3-letter designator, are urged to prefix the normal registration (N) number with the letter "T" on flight plan filing e.g., TN1234B.

REFERENCE-
AIM, Aircraft Call Signs, Paragraph 4-2-4 .

5-1-2. Follow IFR Procedures Even When Operating VFR

a. To maintain IFR proficiency, pilots are urged to practice IFR procedures whenever possible, even when operating VFR. Some suggested practices include:

1. Obtain a complete preflight and weather briefing. Check the NOTAMs.

2. File a flight plan. This is an excellent low cost insurance policy. The cost is the time it takes to fill it out. The insurance includes the knowledge that someone will be looking for you if you become overdue at your destination.

4. Use the navigation aids. Practice maintaining a good course-keep the needle centered.

5. Maintain a constant altitude which is appropriate for the direction of flight.

6. Estimate en route position times.

7. Make accurate and frequent position reports to the FSSs along your route of flight.

b. Simulated IFR flight is recommended (under the hood) however, pilots are cautioned to review and adhere to the requirements specified in 14 CFR Section󈏟.109 before and during such flight.

c. When flying VFR at night, in addition to the altitude appropriate for the direction of flight, pilots should maintain an altitude which is at or above the minimum en route altitude as shown on charts. This is especially true in mountainous terrain, where there is usually very little ground reference. Do not depend on your eyes alone to avoid rising unlighted terrain, or even lighted obstructions such as TV towers.

5-1-3. Notice to Airmen (NOTAM) System

a. Time-critical aeronautical information which is of either a temporary nature or not sufficiently known in advance to permit publication on aeronautical charts or in other operational publications receives immediate dissemination via the National NOTAM System.

NOTE-
1. NOTAM information is that aeronautical information that could affect a pilot's decision to make a flight. It includes such information as airport or primary runway closures, changes in the status of navigational aids, ILSs, radar service availability, and other information essential to planned en route, terminal, or landing operations.

2. NOTAM information is transmitted using standard contractions to reduce transmission time. See TBL 5-1-1 for a listing of the most commonly used contractions.

b. NOTAM information is classified into three categories. These are NOTAM (D) or distant, NOTAM (L) or local, and Flight Data Center (FDC) NOTAMs.

1. NOTAM (D) information is disseminated for all navigational facilities that are part of the National Airspace System (NAS), all public use airports, seaplane bases, and heliports listed in the Airport/Facility Directory (A/FD). The complete file of all NOTAM (D) information is maintained in a computer database at the Weather Message Switching Center (WMSC), located in Atlanta, Georgia. This category of information is distributed automatically via Service A telecommunications system. Air traffic facilities, primarily FSSs, with Service A capability have access to the entire WMSC database of NOTAMs. These NOTAMs remain available via Service A for the duration of their validity or until published. Once published, the NOTAM data is deleted from the system.

(a) NOTAM (L) information includes such data as taxiway closures, personnel and equipment near or crossing runways, and airport lighting aids that do not affect instrument approach criteria, such as VASI.

(b) NOTAM (L) information is distributed locally only and is not attached to the hourly weather reports. A separate file of local NOTAMs is maintained at each FSS for facilities in their area only. NOTAM (L) information for other FSS areas must be specifically requested directly from the FSS that has responsibility for the airport concerned.

(a) On those occasions when it becomes necessary to disseminate information which is regulatory in nature, the National Flight Data Center (NFDC), in Washington, DC, will issue an FDC NOTAM. FDC NOTAMs contain such things as amendments to published IAPs and other current aeronautical charts. They are also used to advertise temporary flight restrictions caused by such things as natural disasters or large-scale public events that may generate a congestion of air traffic over a site.

(b) FDC NOTAMs are transmitted via Service A only once and are kept on file at the FSS until published or canceled. FSSs are responsible for maintaining a file of current, unpublished FDC NOTAMs concerning conditions within 400 miles of their facilities. FDC information concerning conditions that are more than 400 miles from the FSS, or that is already published, is given to a pilot only on request.

NOTE-
1. DUATS vendors will provide FDC NOTAMs only upon site-specific requests using a location identifier.

2. NOTAM data may not always be current due to the changeable nature of national airspace system components, delays inherent in processing information, and occasional temporary outages of the U.S. NOTAM system. While en route, pilots should contact FSSs and obtain updated information for their route of flight and destination.

c. An integral part of the NOTAM System is the Notices to Airmen Publication (NTAP) published every four weeks. Data is included in this publication to reduce congestion on the telecommunications circuits and, therefore, is not available via Service A. Once published, the information is not provided during pilot weather briefings unless specifically requested by the pilot. This publication contains two sections.

1. The first section consists of notices that meet the criteria for NOTAM (D) and are expected to remain in effect for an extended period and FDC NOTAMs that are current at the time of publication. Occasionally, some NOTAM (L) and other unique information is included in this section when it will contribute to flight safety.

2. The second section contains special notices that are either too long or concern a wide or unspecified geographic area and are not suitable for inclusion in the first section. The content of these notices vary widely and there are no specific criteria for their inclusion, other than their enhancement of flight safety.

3. The number of the last FDC NOTAM included in the publication is noted on the first page to aid the user in updating the listing with any FDC NOTAMs which may have been issued between the cut-off date and the date the publication is received. All information contained will be carried until the information expires, is canceled, or in the case of permanent conditions, is published in other publications, such as the A/FD.

4. All new notices entered, excluding FDC NOTAMs, will be published only if the information is expected to remain in effect for at least 7 days after the effective date of the publication.

d. NOTAM information is not available from a Supplemental Weather Service Locations (SWSL).

TBL 5-1-1
NOTAM CONTRACTIONS

Approach and Departure Control

Automatic Direction Finder

Automated Flight Service Station

Aircraft Rescue & Fire Fighting

Airport Surface Detection Equipment

Automated Surface Observing System

Airport Traffic Control Tower

Automated Terminal Information Service

Automatic Weather Observing System

Snowbank/s Containing Earth/Gravel

Distance Measuring Equipment

Instrument Departure Procedure

Drift/Drifted Snowbank/s Caused By Wind Action

Ground Controlled Approach

Global Positioning System

High Intensity Runway Lights

Instrument Approach Procedure

Instrument Landing System

Limited Aviation Weather Reporting Station

Localizer Type Directional Aid

Low Intensity Runway Edge Lights

Low Level Wind Shear Alert System

Compass Locator at ILS Middle Marker

Compass Locator at ILS Outer Marker

Medium Intensity Approach Lighting System

Medium Intensity Approach Lighting System with Sequenced Flashers

Medium Intensity Approach Lighting System with Runway Alignment Indicator Lights

Minimum Crossing Altitude

Minimum En Route Altitude

Medium Intensity Runway Edge Lights

Minimum Obstruction Clearance Altitude

Minimum Safe Altitude/Minimum Sector Altitude

Minimum Safe Altitude Warning

Designate a Friction Value Representing Runway Surface Conditions

No Procedure Turn Required

Notice To Airmen Publication

Personnel and Equipment Working

Parachute Jumping Activities

Precision Approach Path Indicator

Pilot Controlled Lighting

Prior Permission Required

Runway Alignment Indicator Lights

Remote Communication Air/Ground Facility

Runway Centerline Light System

Remote Communication Outlet

Runway End Identifier Lights

Simplified Directional Facility

Sequenced Flashing Lights

Packed or Compacted Snow and Ice on Runway/s

Snowbank/s Caused by Plowing

Simplified Short Approach Lighting System with Sequenced Flashers

Simplified Short Approach Lighting System with Runway Alignment Indicator Lights

Simplified Short Approach Lighting System

Standard Terminal Arrival

Touchdown Zone/Touchdown Zone Lights

Temporary Flight Restriction

Visual Approach Slope Indicator

Visual Meteorological Conditions

Meteorlogical Information for Aircraft in Flight

5-1-4. Flight Plan - VFR Flights

a. Except for operations in or penetrating a Coastal or Domestic ADIZ or DEWIZ a flight plan is not required for VFR flight.

REFERENCE-
AIM, National Security, Paragraph 5-6-1 .

b. It is strongly recommended that a flight plan (for a VFR flight) be filed with an FAA FSS. This will ensure that you receive VFR Search and Rescue Protection.

REFERENCE-
AIM, Search and Rescue, Paragraph 6-2-7 gives the proper method of filing a VFR flight plan.

c. To obtain maximum benefits from the flight plan program, flight plans should be filed directly with the nearest FSS. For your convenience, FSSs provide aeronautical and meteorological briefings while accepting flight plans. Radio may be used to file if no other means are available.

NOTE-
Some states operate aeronautical communications facilities which will accept and forward flight plans to the FSS for further handling.

d. When a "stopover" flight is anticipated, it is recommended that a separate flight plan be filed for each "leg" when the stop is expected to be more than 1 hour duration.

e. Pilots are encouraged to give their departure times directly to the FSS serving the departure airport or as otherwise indicated by the FSS when the flight plan is filed. This will ensure more efficient flight plan service and permit the FSS to advise you of significant changes in aeronautical facilities or meteorological conditions. When a VFR flight plan is filed, it will be held by the FSS until 1 hour after the proposed departure time unless:

1. The actual departure time is received.

2. A revised proposed departure time is received.

3. At a time of filing, the FSS is informed that the proposed departure time will be met, but actual time cannot be given because of inadequate communications (assumed departures).

f. On pilot's request, at a location having an active tower, the aircraft identification will be forwarded by the tower to the FSS for reporting the actual departure time. This procedure should be avoided at busy airports.

g. Although position reports are not required for VFR flight plans, periodic reports to FAA FSSs along the route are good practice. Such contacts permit significant information to be passed to the transiting aircraft and also serve to check the progress of the flight should it be necessary for any reason to locate the aircraft.

EXAMPLE-
1. Bonanza 314K, over Kingfisher at (time), VFR flight plan, Tulsa to Amarillo.

2. Cherokee 5133J, over Oklahoma City at (time), Shreveport to Denver, no flight plan.

h. Pilots not operating on an IFR flight plan and when in level cruising flight, are cautioned to conform with VFR cruising altitudes appropriate to the direction of flight.

i. When filing VFR flight plans, indicate aircraft equipment capabilities by appending the appropriate suffix to aircraft type in the same manner as that prescribed for IFR flight.

REFERENCE-
AIM, Flight Plan- IFR Flights, Paragraph 5-1-8 .

j. Under some circumstances, ATC computer tapes can be useful in constructing the radar history of a downed or crashed aircraft. In each case, knowledge of the aircraft's transponder equipment is necessary in determining whether or not such computer tapes might prove effective.

#### FIG 5-1-1 FAA Flight Plan Form 7233-1 (8-82)

l. Explanation of VFR Flight Plan Items.

1. Block 1. Check the type flight plan. Check both the VFR and IFR blocks if composite VFR/IFR.

2. Block 2. Enter your complete aircraft identification including the prefix "N" if applicable.

3. Block 3. Enter the designator for the aircraft, or if unknown, consult an FSS briefer.

4. Block 4. Enter your true airspeed (TAS).

5. Block 5. Enter the departure airport identifier code, or if unknown, the name of the airport.

6. Block 6. Enter the proposed departure time in Coordinated Universal Time (UTC) (Z). If airborne, specify the actual or proposed departure time as appropriate.

7. Block 7. Enter the appropriate VFR altitude (to assist the briefer in providing weather and wind information).

8. Block 8. Define the route of flight by using NAVAID identifier codes and airways.

9. Block 9. Enter the destination airport identifier code, or if unknown, the airport name.

NOTE-
Include the city name (or even the state name) if needed for clarity.

10. Block 10. Enter your estimated time en route in hours and minutes.

11. Block 11. Enter only those remarks pertinent to ATC or to the clarification of other flight plan information, such as the appropriate radiotelephony (call sign) associated with the designator filed in Block 2. Items of a personal nature are not accepted.

12. Block 12. Specify the fuel on board in hours and minutes.

13. Block 13. Specify an alternate airport if desired.

14. Block 14. Enter your complete name, address, and telephone number. Enter sufficient information to identify home base, airport, or operator.

NOTE-
This information is essential in the event of search and rescue operations.

15. Block 15. Enter total number of persons on board (POB) including crew.

16. Block 16. Enter the predominant colors.

17. Block 17. Record the FSS name for closing the flight plan. If the flight plan is closed with a different FSS or facility, state the recorded FSS name that would normally have closed your flight plan.

NOTE-
1. Optional - record a destination telephone number to assist search and rescue contact should you fail to report or cancel your flight plan within 1/2 hour after your estimated time of arrival (ETA).

2. The information transmitted to the destination FSS will consist only of flight plan blocks 2, 3, 9, and 10. Estimated time en route (ETE) will be converted to the correct ETA.

5-1-5. Operational Information System (OIS)

a. The FAA's Air Traffic Control System Command Center (ATCSCC) maintains a web site with near real-time National Airspace System (NAS) status information. NAS operators are encouraged to access the web site at http://www.fly.faa.gov prior to filing their flight plan.

b. The web site consolidates information from advisories. An advisory is a message that is disseminated electronically by the ATCSCC that contains information pertinent to the NAS.

1. Advisories are normally issued for the following items:

(e) Facility Outages and Scheduled Facility Outages.

(f) Volcanic Ash Activity Bulletins.

(g) Special Traffic Management Programs.

2. This list is not all-inclusive. Any time there is information that may be beneficial to a large number of people, an advisory may be sent. Additionally, there may be times when an advisory is not sent due to workload or the short length of time of the activity.

3. Route information is available on the web site and in specific advisories. Some route information, subject to the 56-day publishing cycle, is located on the "OIS" under "Products," Route Management Tool (RMT), and "What's New" Playbook. The RMT and Playbook contain routings for use by Air Traffic and NAS operators when they are coordinated "real-time" and are then published in an ATCSCC advisory.

4. Route advisories are identified by the word "Route" in the header the associated action is required (RQD), recommended (RMD), planned (PLN), or for your information (FYI). Operators are expected to file flight plans consistent with the Route RQD advisories.

5-1-6. Flight Plan- Defense VFR (DVFR) Flights

VFR flights into a Coastal or Domestic ADIZ/DEWIZ are required to file DVFR flight plans for security purposes. Detailed ADIZ procedures are found in Section 6 , National Security and Interception Procedures, of this chapter. (See 14 CFR Part󈏧.)

5-1-7. Composite Flight Plan (VFR/IFR Flights)

a. Flight plans which specify VFR operation for one portion of a flight, and IFR for another portion, will be accepted by the FSS at the point of departure. If VFR flight is conducted for the first portion of the flight, pilots should report their departure time to the FSS with whom the VFR/IFR flight plan was filed and, subsequently, close the VFR portion and request ATC clearance from the FSS nearest the point at which change from VFR to IFR is proposed. Regardless of the type facility you are communicating with (FSS, center, or tower), it is the pilot's responsibility to request that facility to "CLOSE VFR FLIGHT PLAN." The pilot must remain in VFR weather conditions until operating in accordance with the IFR clearance.

b. When a flight plan indicates IFR for the first portion of flight and VFR for the latter portion, the pilot will normally be cleared to the point at which the change is proposed. After reporting over the clearance limit and not desiring further IFR clearance, the pilot should advise ATC to cancel the IFR portion of the flight plan. Then, the pilot should contact the nearest FSS to activate the VFR portion of the flight plan. If the pilot desires to continue the IFR flight plan beyond the clearance limit, the pilot should contact ATC at least 5 minutes prior to the clearance limit and request further IFR clearance. If the requested clearance is not received prior to reaching the clearance limit fix, the pilot will be expected to enter into a standard holding pattern on the radial or course to the fix unless a holding pattern for the clearance limit fix is depicted on a U.S. Government or commercially produced (meeting FAA requirements) low or high altitude enroute, area or STAR chart. In this case the pilot will hold according to the depicted pattern.

5-1-8. Flight Plan- IFR Flights

1. Prior to departure from within, or prior to entering controlled airspace, a pilot must submit a complete flight plan and receive an air traffic clearance, if weather conditions are below VFR minimums. Instrument flight plans may be submitted to the nearest FSS or ATCT either in person or by telephone (or by radio if no other means are available). Pilots should file IFR flight plans at least 30 minutes prior to estimated time of departure to preclude possible delay in receiving a departure clearance from ATC. In order to provide FAA traffic management units strategic route planning capabilities, nonscheduled operators conducting IFR operations above FL 230 are requested to voluntarily file IFR flight plans at least 4 hours prior to estimated time of departure (ETD). To minimize your delay in entering Class B, Class C, Class D, and Class E surface areas at destination when IFR weather conditions exist or are forecast at that airport, an IFR flight plan should be filed before departure. Otherwise, a 30 minute delay is not unusual in receiving an ATC clearance because of time spent in processing flight plan data. Traffic saturation frequently prevents control personnel from accepting flight plans by radio. In such cases, the pilot is advised to contact the nearest FSS for the purpose of filing the flight plan.

NOTE-
There are several methods of obtaining IFR clearances at nontower, non-FSS, and outlying airports. The procedure may vary due to geographical features, weather conditions, and the complexity of the ATC system. To determine the most effective means of receiving an IFR clearance, pilots should ask the nearest FSS the most appropriate means of obtaining the IFR clearance.

2. When filing an IFR flight plan, include as a prefix to the aircraft type, the number of aircraft when more than one and/or heavy aircraft indicator "H/" if appropriate.

3. When filing an IFR flight plan, identify the equipment capability by adding a suffix, preceded by a slant, to the AIRCRAFT TYPE, as shown in TBL 5-1-2 , Aircraft Suffixes.

NOTE-
1. ATC issues clearances based on filed suffixes. Pilots should determine the appropriate suffix based upon desired services and/or routing. For example, if a desired route/procedure requires GPS, a pilot should file /G even if the aircraft also qualifies for other suffixes.

2. For procedures requiring GPS, if the navigation system does not automatically alert the flight crew of a loss of GPS, the operator must develop procedures to verify correct GPS operation.

3. The suffix is not to be added to the aircraft identification or be transmitted by radio as part of the aircraft identification.

4. It is recommended that pilots file the maximum transponder or navigation capability of their aircraft in the equipment suffix. This will provide ATC with the necessary information to utilize all facets of navigational equipment and transponder capabilities available.

TBL 5-1-2
Aircraft Suffixes

Transponder with no Mode C

Transponder with no Mode C

Transponder with no Mode C

LORAN, VOR/DME, or INS with no transponder

LORAN, VOR/DME, or INS, transponder with no Mode C

LORAN, VOR/DME, or INS, transponder with Mode C

ADVANCED RNAV WITH TRANSPONDER AND MODE C (If an aircraft is unable to operate with a transponder and/or Mode C, it will revert to the appropriate code listed above under Area Navigation.)

Flight Management System (FMS) with DME/DME and IRU position updating

FMS with DME/DME position updating

Global Navigation Satellite System (GNSS), including GPS or Wide Area Augmentation System (WAAS), with en route and terminal capability.

Required Navigational Performance (RNP). The aircraft meets the RNP type prescribed for the route segment(s), route(s) and/or area concerned.

Reduced Vertical Separation Minimum (RVSM). Prior to conducting RVSM operations within the U.S., the operator must obtain authorization from the FAA or from the responsible authority, as appropriate.

b. Airways and Jet Routes Depiction on Flight Plan

1. It is vitally important that the route of flight be accurately and completely described in the flight plan. To simplify definition of the proposed route, and to facilitate ATC, pilots are requested to file via airways or jet routes established for use at the altitude or flight level planned.

2. If flight is to be conducted via designated airways or jet routes, describe the route by indicating the type and number designators of the airway(s) or jet route(s) requested. If more than one airway or jet route is to be used, clearly indicate points of transition. If the transition is made at an unnamed intersection, show the next succeeding NAVAID or named intersection on the intended route and the complete route from that point. Reporting points may be identified by using authorized name/code as depicted on appropriate aeronautical charts. The following two examples illustrate the need to specify the transition point when two routes share more than one transition fix.

EXAMPLE-
1. ALB J37 BUMPY J14 BHM
Spelled out: from Albany, New York, via Jet Route 37 transitioning to Jet Route 14 at BUMPY intersection, thence via Jet Route 14 to Birmingham, Alabama.

2. ALB J37 ENO J14 BHM
Spelled out: from Albany, New York, via Jet Route 37 transitioning to Jet Route 14 at Smyrna VORTAC (ENO) thence via Jet Route 14 to Birmingham, Alabama.

3. The route of flight may also be described by naming the reporting points or NAVAIDs over which the flight will pass, provided the points named are established for use at the altitude or flight level planned.

EXAMPLE-
BWI V44 SWANN V433 DQO
Spelled out: from Baltimore-Washington International, via Victor 44 to Swann intersection, transitioning to Victor 433 at Swann, thence via Victor 433 to Dupont.

4. When the route of flight is defined by named reporting points, whether alone or in combination with airways or jet routes, and the navigational aids (VOR, VORTAC, TACAN, NDB) to be used for the flight are a combination of different types of aids, enough information should be included to clearly indicate the route requested.

EXAMPLE-
LAX J5 LKV J3 GEG YXC FL 330 J500 VLR J515 YWG
Spelled out: from Los Angeles International via Jet Route𔁟 Lakeview, Jet Route 3 Spokane, direct Cranbrook, British Columbia VOR/DME, Flight Level� Jet Route 500 to Langruth, Manitoba VORTAC, Jet Route 515 to Winnepeg, Manitoba.

5. When filing IFR, it is to the pilot's advantage to file a preferred route.

REFERENCE-
Preferred IFR Routes are described and tabulated in the Airport/Facility Directory.

6. ATC may issue a SID or a STAR, as appropriate.

REFERENCE-
AIM, Instrument Departure Procedures (DP) - Obstacle Departure Procedures (ODP) and Standard Instrument Departures (SID), Paragraph 5-2-8 .
AIM, Standard Terminal Arrival (STAR), Area Navigation (RNAV) STAR, and Flight Management System Procedures (FMSP) for Arrivals, Paragraph 5-4-1 .

NOTE-
Pilots not desiring a SID or STAR should so indicate in the remarks section of the flight plan as "no SID" or "no STAR."

1. All or any portions of the route which will not be flown on the radials or courses of established airways or routes, such as direct route flights, must be defined by indicating the radio fixes over which the flight will pass. Fixes selected to define the route shall be those over which the position of the aircraft can be accurately determined. Such fixes automatically become compulsory reporting points for the flight, unless advised otherwise by ATC. Only those navigational aids established for use in a particular structure i.e., in the low or high structures, may be used to define the en route phase of a direct flight within that altitude structure.

2. The azimuth feature of VOR aids and that azimuth and distance (DME) features of VORTAC and TACAN aids are assigned certain frequency protected areas of airspace which are intended for application to established airway and route use, and to provide guidance for planning flights outside of established airways or routes. These areas of airspace are expressed in terms of cylindrical service volumes of specified dimensions called "class limits" or "categories."

REFERENCE-
AIM, Navigational Aid (NAVAID) Service Volumes, Paragraph 1-1-8 .

3. An operational service volume has been established for each class in which adequate signal coverage and frequency protection can be assured. To facilitate use of VOR, VORTAC, or TACAN aids, consistent with their operational service volume limits, pilot use of such aids for defining a direct route of flight in controlled airspace should not exceed the following:

(a) Operations above FL 450 - Use aids not more than 200 NM apart. These aids are depicted on enroute high altitude charts.

(b) Operation off established routes from 18,000 feet MSL to FL 450 - Use aids not more than 260 NM apart. These aids are depicted on enroute high altitude charts.

(c) Operation off established airways below 18,000 feet MSL - Use aids not more than 80 NM apart. These aids are depicted on enroute low altitude charts.

(d) Operation off established airways between 14,500 feet MSL and 17,999 feet MSL in the conterminous U.S. - (H) facilities not more than 200 NM apart may be used.

4. Increasing use of self-contained airborne navigational systems which do not rely on the VOR/VORTAC/TACAN system has resulted in pilot requests for direct routes which exceed NAVAID service volume limits. These direct route requests will be approved only in a radar environment, with approval based on pilot responsibility for navigation on the authorized direct route. Radar flight following will be provided by ATC for ATC purposes.

5. At times, ATC will initiate a direct route in a radar environment which exceeds NAVAID service volume limits. In such cases ATC will provide radar monitoring and navigational assistance as necessary.

6. Airway or jet route numbers, appropriate to the stratum in which operation will be conducted, may also be included to describe portions of the route to be flown.

EXAMPLE-
MDW V262 BDF V10 BRL STJ SLN GCK
Spelled out: from Chicago Midway Airport via Victor 262 to Bradford, Victor 10 to Burlington, Iowa, direct St. Joseph, Missouri, direct Salina, Kansas, direct Garden City, Kansas.

NOTE-
When route of flight is described by radio fixes, the pilot will be expected to fly a direct course between the points named.

7. Pilots are reminded that they are responsible for adhering to obstruction clearance requirements on those segments of direct routes that are outside of controlled airspace. The MEAs and other altitudes shown on low altitude IFR enroute charts pertain to those route segments within controlled airspace, and those altitudes may not meet obstruction clearance criteria when operating off those routes.

1. Random RNAV routes can only be approved in a radar environment. Factors that will be considered by ATC in approving random RNAV routes include the capability to provide radar monitoring and compatibility with traffic volume and flow. ATC will radar monitor each flight, however, navigation on the random RNAV route is the responsibility of the pilot.

2. Pilots of aircraft equipped with approved area navigation equipment may file for RNAV routes throughout the National Airspace System and may be filed for in accordance with the following procedures.

(a) File airport-to-airport flight plans.

(b) File the appropriate RNAV capability certification suffix in the flight plan.

(c) Plan the random route portion of the flight plan to begin and end over appropriate arrival and departure transition fixes or appropriate navigation aids for the altitude stratum within which the flight will be conducted. The use of normal preferred departure and arrival routes (DP/STAR), where established, is recommended.

(d) File route structure transitions to and from the random route portion of the flight.

(e) Define the random route by waypoints. File route description waypoints by using degree- distance fixes based on navigational aids which are appropriate for the altitude stratum.

(f) File a minimum of one route description waypoint for each ARTCC through whose area the random route will be flown. These waypoints must be located within 200 NM of the preceding center's boundary.

(g) File an additional route description waypoint for each turnpoint in the route.

(h) Plan additional route description waypoints as required to ensure accurate navigation via the filed route of flight. Navigation is the pilot's responsibility unless ATC assistance is requested.

(i) Plan the route of flight so as to avoid prohibited and restricted airspace by 3 NM unless permission has been obtained to operate in that airspace and the appropriate ATC facilities are advised.

NOTE-
To be approved for use in the National Airspace System, RNAV equipment must meet the appropriate system availability, accuracy, and airworthiness standards. For additional guidance on equipment requirements see AC󈎘-130, Airworthiness Approval of Vertical Navigation (VNAV) Systems for use in the U.S. NAS and Alaska, or AC 20-138, Airworthiness Approval of Global Positioning System (GPS) Navigation Equipment for Use as a VFR and IFR Supplemental Navigation System. For airborne navigation database, see AC 90-94, Guidelines for Using GPS Equipment for IFR En Route and Terminal Operations and for Nonprecision Instrument Approaches in the U.S. National Airspace System, Section 2.

3. Pilots of aircraft equipped with latitude/longitude coordinate navigation capability, independent of VOR/TACAN references, may file for random RNAV routes at and above FL 390 within the conterminous U.S. using the following procedures.

(a) File airport-to-airport flight plans prior to departure.

(b) File the appropriate RNAV capability certification suffix in the flight plan.

(c) Plan the random route portion of the flight to begin and end over published departure/arrival transition fixes or appropriate navigation aids for airports without published transition procedures. The use of preferred departure and arrival routes, such as DP and STAR where established, is recommended.

(d) Plan the route of flight so as to avoid prohibited and restricted airspace by 3 NM unless permission has been obtained to operate in that airspace and the appropriate ATC facility is advised.

(e) Define the route of flight after the departure fix, including each intermediate fix (turnpoint) and the arrival fix for the destination airport in terms of latitude/longitude coordinates plotted to the nearest minute or in terms of Navigation Reference System (NRS) waypoints. For latitude/longitude filing the arrival fix must be identified by both the latitude/longitude coordinates and a fix identifier.

EXAMPLE-
MIA 1 SRQ 2 3407/10615 3 3407/11546 TNP 4 LAX 5

1 Departure airport.
2 Departure fix.
3 Intermediate fix (turning point).
4 Arrival fix.
5 Destination airport.
or

ORD 1 IOW 2 KP49G 3 KD34U 4 KL16O 5 OAL 6 MOD2 7 SFO 8

1 Departure airport.
2 Transition fix (pitch point).
3 Minneapolis ARTCC waypoint.
4 Denver ARTCC Waypoint.
5 Los Angeles ARTCC waypoint (catch point).
6 Transition fix.
7 Arrival.
8 Destination airport.

(f) Record latitude/longitude coordinates by four figures describing latitude in degrees and minutes followed by a solidus and five figures describing longitude in degrees and minutes.

(g) File at FL 390 or above for the random RNAV portion of the flight.

(h) Fly all routes/route segments on Great Circle tracks.

(i) Make any inflight requests for random RNAV clearances or route amendments to an en route ATC facility.

f. Explanation of IFR Flight Plan Items.

1. Block 1. Check the type flight plan. Check both the VFR and IFR blocks if composite VFR/IFR.

2. Block 2. Enter your complete aircraft identification including the prefix "N" if applicable.

3. Block 3. Enter the designator for the aircraft, followed by a slant(/), and the transponder or DME equipment code letter e.g., C-182/U. Heavy aircraft, add prefix "H" to aircraft type example: H/DC10/U. Consult an FSS briefer for any unknown elements.

#### FIG 5-1-2 FAA Flight Plan Form 7233-1 (8-82)

4. Block 4. Enter your computed true airspeed (TAS).

NOTE-
If the average TAS changes plus or minus 5 percent or 10 knots, whichever is greater, advise ATC.

5. Block 5. Enter the departure airport identifier code (or the name if the identifier is unknown).

NOTE-
Use of identifier codes will expedite the processing of your flight plan.

6. Block 6. Enter the proposed departure time in Coordinated Universal Time (UTC) (Z). If airborne, specify the actual or proposed departure time as appropriate.

7. Block 7. Enter the requested en route altitude or flight level.

NOTE-
Enter only the initial requested altitude in this block. When more than one IFR altitude or flight level is desired along the route of flight, it is best to make a subsequent request direct to the controller.

8. Block 8. Define the route of flight by using NAVAID identifier codes (or names if the code is unknown), airways, jet routes, and waypoints (for RNAV).

NOTE-
Use NAVAIDs or waypoints to define direct routes and radials/bearings to define other unpublished routes.

9. Block 9. Enter the destination airport identifier code (or name if the identifier is unknown).

10. Block 10. Enter your estimated time en route based on latest forecast winds.

11. Block 11. Enter only those remarks pertinent to ATC or to the clarification of other flight plan information, such as the appropriate radiotelephony (call sign) associated with the designator filed in Block𔁜. Items of a personal nature are not accepted. Do not assume that remarks will be automatically transmitted to every controller. Specific ATC or en route requests should be made directly to the appropriate controller.

NOTE-
"DVRSN" should be placed in Block 11 only if the pilot/company is requesting priority handling to their original destination from ATC as a result of a diversion as defined in the Pilot/Controller Glossary.

12. Block 12. Specify the fuel on board, computed from the departure point.

13. Block 13. Specify an alternate airport if desired or required, but do not include routing to the alternate airport.

14. Block 14. Enter the complete name, address, and telephone number of pilot-in-command, or in the case of a formation flight, the formation commander. Enter sufficient information to identify home base, airport, or operator.

NOTE-
This information would be essential in the event of search and rescue operation.

15. Block 15. Enter the total number of persons on board including crew.

16. Block 16. Enter the predominant colors.

NOTE-
Close IFR flight plans with tower, approach control, or ARTCC, or if unable, with FSS. When landing at an airport with a functioning control tower, IFR flight plans are automatically canceled.

g. The information transmitted to the ARTCC for IFR flight plans will consist of only flight plan blocks𔁜, 3, 4, 5, 6, 7, 8, 9, 10, and 11.

h. A description of the International Flight Plan Form is contained in the International Flight Information Manual (IFIM).

5-1-9. IFR Operations to High Altitude Destinations

a. Pilots planning IFR flights to airports located in mountainous terrain are cautioned to consider the necessity for an alternate airport even when the forecast weather conditions would technically relieve them from the requirement to file one.

REFERENCE-
14 CFR Section 91.167.
AIM, Tower En Route Control (TEC), Paragraph 4-1-18 .

b. The FAA has identified three possible situations where the failure to plan for an alternate airport when flying IFR to such a destination airport could result in a critical situation if the weather is less than forecast and sufficient fuel is not available to proceed to a suitable airport.

1. An IFR flight to an airport where the Minimum Descent Altitudes (MDAs) or landing visibility minimums for all instrument approaches are higher than the forecast weather minimums specified in 14 CFR Section 91.167(b). For example, there are 3 high altitude airports in the U.S. with approved instrument approach procedures where all of the MDAs are greater than 2,000 feet and/or the landing visibility minimums are greater than 3 miles (Bishop, California South Lake Tahoe, California and Aspen-Pitkin Co./Sardy Field, Colorado). In the case of these airports, it is possible for a pilot to elect, on the basis of forecasts, not to carry sufficient fuel to get to an alternate when the ceiling and/or visibility is actually lower than that necessary to complete the approach.

2. A small number of other airports in mountainous terrain have MDAs which are slightly (100 to 300 feet) below 2,000 feet AGL. In situations where there is an option as to whether to plan for an alternate, pilots should bear in mind that just a slight worsening of the weather conditions from those forecast could place the airport below the published IFR landing minimums.

3. An IFR flight to an airport which requires special equipment i.e., DME, glide slope, etc., in order to make the available approaches to the lowest minimums. Pilots should be aware that all other minimums on the approach charts may require weather conditions better than those specified in 14 CFR Section󈏟.167(b). An inflight equipment malfunction could result in the inability to comply with the published approach procedures or, again, in the position of having the airport below the published IFR landing minimums for all remaining instrument approach alternatives.

5-1-10. Flights Outside the U.S. and U.S. Territories

a. When conducting flights, particularly extended flights, outside the U.S. and its territories, full account should be taken of the amount and quality of air navigation services available in the airspace to be traversed. Every effort should be made to secure information on the location and range of navigational aids, availability of communications and meteorological services, the provision of air traffic services, including alerting service, and the existence of search and rescue services.

b. Pilots should remember that there is a need to continuously guard the VHF emergency frequency 121.5 MHz when on long over-water flights, except when communications on other VHF channels, equipment limitations, or cockpit duties prevent simultaneous guarding of two channels. Guarding of 121.5 MHz is particularly critical when operating in proximity to Flight Information Region (FIR) boundaries, for example, operations on Route R220 between Anchorage and Tokyo, since it serves to facilitate communications with regard to aircraft which may experience in-flight emergencies, communications, or navigational difficulties.

REFERENCE-
ICAO Annex 10, Vol II, Paras 5.2.2.1.1.1 and 5.2.2.1.1.2.

c. The filing of a flight plan, always good practice, takes on added significance for extended flights outside U.S. airspace and is, in fact, usually required by the laws of the countries being visited or overflown. It is also particularly important in the case of such flights that pilots leave a complete itinerary and schedule of the flight with someone directly concerned and keep that person advised of the flight's progress. If serious doubt arises as to the safety of the flight, that person should first contact the appropriate FSS. Round Robin Flight Plans to Mexico are not accepted.

d. All pilots should review the foreign airspace and entry restrictions published in the IFIM during the flight planning process. Foreign airspace penetration without official authorization can involve both danger to the aircraft and the imposition of severe penalties and inconvenience to both passengers and crew. A flight plan on file with ATC authorities does not necessarily constitute the prior permission required by certain other authorities. The possibility of fatal consequences cannot be ignored in some areas of the world.

e. Current NOTAMs for foreign locations must also be reviewed. The publication Notices to Airmen, Domestic/International, published biweekly, contains considerable information pertinent to foreign flight. Current foreign NOTAMs are also available from the U.S. International NOTAM Office in Washington, D.C., through any local FSS.

f. When customs notification is required, it is the responsibility of the pilot to arrange for customs notification in a timely manner. The following guidelines are applicable:

1. When customs notification is required on flights to Canada and Mexico and a predeparture flight plan cannot be filed or an advise customs message (ADCUS) cannot be included in a predeparture flight plan, call the nearest en route domestic or International FSS as soon as radio communication can be established and file a VFR or DVFR flight plan, as required, and include as the last item the advise customs information. The station with which such a flight plan is filed will forward it to the appropriate FSS who will notify the customs office responsible for the destination airport.

2. If the pilot fails to include ADCUS in the radioed flight plan, it will be assumed that other arrangements have been made and FAA will not advise customs.

3. The FAA assumes no responsibility for any delays in advising customs if the flight plan is given too late for delivery to customs before arrival of the aircraft. It is still the pilot's responsibility to give timely notice even though a flight plan is given to FAA .

4. Air Commerce Regulations of the Treasury Department's Customs Service require all private aircraft arriving in the U.S. via:

(a) The U.S./Mexican border or the Pacific Coast from a foreign place in the Western Hemisphere south of 33 degrees north latitude and between 97 degrees and 120 degrees west longitude or

(b) The Gulf of Mexico and Atlantic Coasts from a foreign place in the Western Hemisphere south of 30 degrees north latitude, shall furnish a notice of arrival to the Customs service at the nearest designated airport. This notice may be furnished directly to Customs by:

(1) Radio through the appropriate FAA Flight Service Station.

(2) Normal FAA flight plan notification procedures (a flight plan filed in Mexico does not meet this requirement due to unreliable relay of data) or

## 7. Agency Events

### 7.1 Registration Fees

State entities may choose to charge a registration fee for state-sponsored events including conferences, training sessions, and management retreats. The registration fee is typically made for defraying the cost of speakers, building or room use, handout materials, refreshments, and lunches. These fees are charged to Account 532930 - "Registration Fees." The agency may require itemization and/or documentation of expenses.

### 7.2 Payment for Meals

Payment for meals is allowable for state-sponsored events if included in the registration fee, but such fee must not consist exclusively of meals or it will not be allowable unless meeting overnight travel criteria.

Pursuant to G.S. 138-6(a)(3), an agency cannot use funds to pay for conference meals for state employees at which a conference fee was not charged, unless the agency uses grants or trust funds (defined in G.S. 116-36.1 and G.S. 143C-1-3.) that allow for the provision of meals for a conference. The agency must have documentation of the grant or trust fund conditions. If this is the case, then meals may be provided to state employees even if a registration fee was not charged. The employee may not request reimbursement for the meal.

### 7.3 External Conferences

External conferences are those that involve the attendance of persons other than the employees of a single agency. Payments for external conferences sponsored or co-sponsored by an agency are authorized when they meet all the limitations and requirements listed below.

• The conference is planned in detail in advance, with a formal agenda or curriculum.
• There is a written invitation to participants, setting forth the calendar of events, the social activities, if any, and the detailed schedule of costs.
• The assembly are held in state facilities however, non-state facilities can be rented and the cost charged to an agency without allocation to participants' daily subsistence allowances.
• The sponsoring agency may charge registration fees to participants for costs of external conferences.

Registration fees may not include costs of entertainment, alcoholic beverages, setups, flowers and/or promotional (gift) items. Registration fees collected and not used to defray expenses of the particular conference may not be used for other programs and must revert to the General Fund or Highway Funds as applicable (G.S. 138-6(a)(4)).

Sponsoring agencies may provide refreshments for "coffee breaks" provided there are ten or more participants and the costs do not exceed $5.00 per participant per day. Notwithstanding the conditions above, sponsoring agencies may provide refreshments to conference participants at rates above$5.00 per participant per day if the costs are included in the external conference registration fee.

Lump-sum payments to a conference center or organization may be made for agency-sponsored conferences when funding for all participants is budgeted. When written authorization from the agency head or his or her designee is required, the authorization must provide the following:

• The number of persons expected to attend
• The purpose and duration of the conference
• The specific meals to be served at the conference (G.S 138-6)
• The approximate daily subsistence cost per person and
• The name of the conference center, hotel, caterer, or other organization providing the service.

It is the responsibility of the agency to ensure that reimbursement for meals included in the lump-sum payment is not also included in reimbursement payments made to state employees who are conference participants.

### 7.4 Internal Conferences

Internal conferences are those that involve the attendance of employees within the sponsoring agency only. A routine staff meeting is not an internal conference.

Payments for internal conferences sponsored or co-sponsored by an agency are authorized when they meet all the limitations and requirements listed below:

• The conference is planned in detail in advance, with a formal agenda or curriculum.
• There is a written invitation to participants, setting forth the calendar of events and the detailed schedule of costs.
• No payment for meals is allowable unless overnight travel criteria are met.
• No excess travel subsistence may be granted for internal agency meetings, conferences, seminars, etc., and such meetings must be held in state facilities when available. No registration fee may be charged.
• Sponsoring agencies may provide refreshments for "coffee breaks" provided there are ten or more participants and costs do not exceed $5.00 per participant per day. • Low cost conference items that are intended to promote employee recognition, improve morale or appreciation, or communicate agency contact information are permissible as long as they are infrequent, prudent, and reasonable in their scope. • An agency cannot use state funds to support or underwrite a meeting, assembly, conference, seminar, or similar function by whatever name called that promotes any cause or purpose other than the mission and objective of the agency. ### 7.5 Training Sessions Employee training involves courses that further develop an employee’s knowledge, skill, and ability to perform the duties of his/her present job, such as courses on computer usage or management skills development. These courses generally have a set fee, are of relatively short duration, and are not part of a curriculum the employee is participating in leading to an educational degree. Payments for training sessions are authorized when they meet the limitations and requirements listed below: • Fees for training courses that provide training in specific areas are charged in the accounting system to "Employee Training" under "Other Services." • Agencies sponsoring training sessions may provide refreshments for "coffee breaks" provided there are ten or more participants and costs do not exceed$5.00 per participant per day.
• Agencies may reimburse employees for training books and materials related to training sessions, provided those books are required to participate in the training sessions. These books are considered property of the agency and not the personal property of the employee.

### 7.6 Management Retreats

A management retreat is a meeting or series of meetings consisting of an agency or division head and his or her top assistants and coworkers. Retreats are sometimes held at a site other than the usual workplace and are held no more frequently than once a year.

The following managers may authorize an annual management retreat:

• State employees who are elected by a vote of the people or appointed by the governor,
• The president of The University of North Carolina,
• The chancellors of the constituent institutions of the university,
• The executive director of University of North Carolina Hospitals at Chapel Hill,
• The chairman of the State Board of Education, and
• The president of the North Carolina Community College System.

Expenditures are permissible in a manner as if it were an internal conference.

### 7.7 Informal Meetings with Guests of Agency Heads

An informal meeting is a meeting consisting of an agency head or his or her designee and non-state employees during which official state business is discussed for the majority of the meeting. Informal meetings are one-time occurrences and are not held on a recurring or routine basis.

The following agency heads, or their designee, may be reimbursed from state funds for actual costs of meals for themselves and their non-state employee guests in conducting official state business when prior written approval has been provided by the agency head for a specific event:

• State employees who are elected by a vote of the people or appointed by the governor,
• The president of The University of North Carolina,
• The chancellors of the constituent institutions of the university,
• The executive director of University of North Carolina Hospitals at Chapel Hill,
• The chairman of the State Board of Education, and
• The President of the North Carolina Community College System.

Cost of meals and other expenses for family members of the above referenced state officials are not reimbursable.

### 7.8 Payment for Alcoholic Beverages and "Set-ups" Prohibited

Payment or reimbursement for alcoholic beverages or "set-ups" cannot be made from state funds. Individuals must bear these costs. They cannot be included in registration fees or paid from state funds.

Law enforcement personnel in the pursuit of their duties and industrial development personnel are exempt from this provision.

## Management system guidance

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Our range of templates cover the requirements of ISO 9001:2015, ISO 14001:2015 and ISO 45001:2018, and offer an easy way to implement your next management system.

#### 5.1.1 General

Top management must ensure that the requirements of the management system, including the policies and objectives, are consistent with the strategic context and direction of your organization, and that the policies and objectives are established whilst ensuring that the human and financial resources needed for implementing the management system are available.

You should look for evidence that Top management has taken a ‘hands-on’ approach to the management system during interviews and whilst recording compliance to other requirements e.g. determining organizational context, policies, objectives, management review minutes, provision of resources etc.

1. How are policies and objectives established?
2. Do they align with the strategic direction and the organizational context?
3. How are policies and objectives communicated within the organization?
4. Can you demonstrate how policies are understood and applied?
5. How are the requirements of the QMS integrated into the business processes?
6. How is awareness of the process approach promoted?
7. How are resources determined?
8. How do you communicate the importance of effective QMS management, and conforming to QMS requirements
9. How do you ensure that the QMS achieves its intended results?
10. How do you engage, direct and support people who contribute to the effectiveness of the QMS?
11. How is continual improvement promoted?
12. How are other relevant management roles supported to demonstrate leadership in their areas of responsibility?

Without solid management commitment, you will not have a successful management system. This is not a commitment in words it is the continuous and active demonstration to everyone in the organization that the need to meet customers' expectations is vital. The actions required of Top management must include:

1. Supporting the management system and actively promote the agenda
2. Encouraging the goal of meeting, customer, regulatory and statutory requirements
3. Developing and supporting the management system by defining and communicating policies
4. Establishing organizational objectives
5. Ensuring appropriate resources are available.
6. Implementing and improving the management system by encouraging employees to achieve requirements
7. Reviewing management system performance
8. Ensuring resources are available to improve the management system.

#### 5.1.2 Customer focus

Customer focus involves determining customer requirements and ensuring that processes exist to meet the requirements and achieve customer satisfaction. Enhance customer satisfaction by ensuring that customer requirements are identified.

The principal message that Top management must convey is that the objective of the business is to satisfy your customers by ensuring a process exists to achieve the following:

1. Identifying customer requirements
2. Meeting customer requirements
3. Enhancing customer satisfaction.

When auditing customer focus, you should assess whether customer satisfaction is adequately determined and whether appropriate corrective action is undertaken when things go wrong.

The customer feedback process should be audited as a process in its own right and not just as a clause in the standard. Determine how this process is planned, implemented and improved as these factors will affect the processes’ ability to provide meaningful information about the effectiveness of the management system.

Top management must also ensure that customer and applicable statutory and regulatory requirements are identified and consistently met and that the focus on enhancing customer satisfaction is maintained.

Top management must also determine and address the risks and opportunities that can affect conformity of products and services and the organization’s ability to enhance customer satisfaction.

You should seek and record evidence that Top management is taking a ‘hands-on’ approach to the management of the management system, be prepared to constructively challenge Top management’s commitment.

Top management's commitment can likely be demonstrated by their actions, and by their views on the what the EHQMS policies mean to the everyday activties of your organization, as well as policies relationship with organization's strategic direction.

1. Are Top management attending management review meetings?
2. Do they support the QMS Manager during day-to-day activities and with improvement initiatives?
3. Do they lead the way and take accountability for the effectiveness of the QMS?
4. Have they ensured that responsibilities and authorities for relevant roles are assigned and understood?
5. Have they ensured that responsibilities and authorities are communicated?
6. Have they established, implemented and maintained policies and objectives?

#### Planning

 Suffix Equipment Capability
 ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 4.1 Organizational Context 4.1 Organizational Context 4.1 Organizational Context 4.2 Relevant Interested Parties 4.2 Relevant Interested Parties 4.2 Relevant Interested Parties 4.3 Management System Scope 4.3 Management System Scope 4.3 Management System Scope 4.4 QMS Processes 4.4 EMS Processes 4.4 OH&S Management System
 ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 5.1 Leadership & Commitment 5.1 Leadership & Commitment 5.1 Leadership & Commitment 5.2 Quality Policy 5.2 Environmental Policy 5.2 OH&S Policy 5.3 Roles, Responsibilities/Authorities 5.3 Roles, Responsibilities/Authorities 5.3 Roles, Responsibilities/Authorities 5.4 Consultation & Participation
 ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 6.1.1 Address Risks & Opportunities 6.1.1 Address Risks & Opportunities 6.1.1 Address Risks & Opportunities 6.2.1 Quality Objectives 6.1.2 Environmental Aspects 6.1.2 Hazard Identifcation 6.2.2 Planning to Achieve Objectives 6.1.3 Compliance Obligations 6.1.3 Legal & Other Requirements 6.3 Planning for Change 6.1.4 Planning Action 6.1.4 Planning Action 6.2.1 Environmental Objectives 6.2.1 OH&S Objectives 6.2.2 Planning to Achieve Objectives 6.2.2 Planning to Achieve Objectives

#### Doing

 ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 7.1.1 Resources - General 7.1 Resources 7.1 Resources 7.1.2 People 7.2 Competence 7.2 Competence 7.1.3 Infrastructure 7.3 Awareness 7.3 Awareness 7.1.4 Operational Environment 7.4.1 Communcation - General 7.4.1 Communcation - General 7.1.5 Monitoring & Measuring 7.4.2 Internal Communcation 7.4.2 Internal Communcation 7.1.6 Organizational Knowledge 7.4.3 External Communcation 7.4.3 External Communcation 7.2 Competence 7.5 Documented Information 7.5 Documented Information 7.3 Awareness 7.4 Communcation 7.5 Documented Information
 ISO 9001:2015 ISO 14001:2015 ISO 45001:2018 8.1 Operational Planning & Control 8.1 Operational Planning & Control 8.1.1 General 8.2.1 Customer Communication 8.2 Emergency Preparedness 8.1.2 Eliminating Hazards 8.2.2 Determining Requirements 8.1.3 Management of Change 8.2.3 Reviewing Requirements 8.1.4 Outsourcing 8.2.4 Changes in Requirements 8.2 Emergency Preparedness 8.3.1 Design Development - General 8.3.2 Design Development - Planning 8.3.3 Design Development - Inputs 8.3.4 Design Development - Controls 8.3.5 Design Development - Outputs 8.3.6 Design Development - Changes 8.4.1 External Processes - General 8.4.2 Purchasing Controls 8.4.3 Purchasing Information 8.5.1 Production & Service Provision 8.5.2 Identification & Traceability 8.5.3 3rd Party Property 8.5.4 Preservation 8.5.5 Post-delivery Activities 8.5.6 Control of Changes 8.6 Release of Products & Services 8.7 Nonconforming Outputs

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