2 nd Stakeholders Consultation Workshop SES Interoperability Mandate on Air-Ground Voice Channel Spacing

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1 2 nd Stakeholders Consultation Workshop SES Interoperability Mandate on Air-Ground Voice Channel Spacing 5 th September 2006 EUROCONTROL HQ - Brussels 1

2 WELCOME OBJECTIVES OF THE WORKSHOP Jean-Luc Garnier Air-Ground Voice Channel Spacing Mandate Manager 2

3 Objectives of the workshop Present and discuss outcome of the consultation main issues raised, proposed responses Describe next steps 3

4 2 nd Stakeholders Consultation Workshop 8.33 khz deployment in Europe Peter Alty 8.33 khz Programme Manager 4

5 8.33 khz Negative September 2006, Brussels 5

6 VHF congestion? Annual Demand Satisfaction VHF demand versus satisfaction 180 = Nbr Demand/Satisfaction Annual Demand/STATFOR low growth Annual Massive (80%ATS&20%NATS) Annual Massive (80%ATS) Annual Massive (70%NoClimax) Annual ACC High & TMA Annual ACC High Annual ACC Medium 80 Annual Basescenario Year 6

7 Satisfying VHF demand? MORE SPECTRUM NAV COM OR 156 FREQUENCY REUSE CHANNEL SPLITTING 25 khz khz

8 8.33 khz channel-spacing 25 khz 8.33 khz 8

9 Conversion Constraints +5 khz 0 FL195 Sector lower-limit - 5 khz Climax COM study 2.5 khz? 9

10 8.33 Phases FL-245 = States carriage States 8.33 khz FL-195 = 15 March AICs Draft Policy Decision < FL ? Mandate 2007? 10

11 11

12 Enforced carriage >FL195? ACC services - no FL limit FL195 SAFETY TRANSITION Massive? LATER PHASES 12 HARMONISATION!

13 State aircraft Negative , , ,055 Safety Handling non , ,430 Procurement 13 State aircraft policy CMIC 26 =19/20 October 2006

14 Below FL195 Scenarios BASELINE >FL195 ACC SERVICES ACC 132,305 APP 123,380 + SELECTED TMA TWR 118,705 A/G 131,830 FULL ATIS 126,905 APP 123,380 TWR 136,130 AFIS 122,130 14

15 Regulation why bother? Maximise conversions 8.33 khz 25 khz Homogeneous operations FL195 Handling non-8.33 State aircraft Negative

16 16 Questions?

17 2 nd Stakeholders Consultation Workshop Air Ground Voice Channel Spacing Mandate & Regulatory Approach Octavian Cioara, EUROCONTROL Regulatory Unit 17

18 SES VCS Mandate Overview & issues Ensure the deployment of air-ground voice communications based on 8.33 khz channel spacing Specific issues: Ensure the end to end interoperability of air-ground voice communications based on a 8.33 khz channel spacing providing frequency planning benefits Define the airspace in which the airborne carriage and operation of 8.33 khz channel spacing radio equipment is mandatory 18

19 VCS Mandate Overview & issues Define the obligations for the ground deployment of 8.33 khz channels Provisions relating to the handling of State aircraft The high level requirements for ATM systems and procedures 19

20 VCS Regulatory approach 20 Current environment Institutional, technical and operational Problems to be solved and benefits of regulatory action Interoperability analysis Identification of the subjects to be covered by regulatory requirements Alternatives for the regulatory approach Identification of possible scenarios Description and regulatory coverage Initial impact assessment Conformity assessment Implementation conditions Objective and scope of the IR (based on a preferred scenario) Submitted to a written consultation

21 21 VCS Regulatory approach - Scenarios

22 VCS Regulatory approach - Consultation Written consultation on the Regulatory Approach informal through the focal points nominated by stakeholders Stakeholders requested to indicate their preferred scenario as well as any other comments on the draft RA Submission of comments Stakeholders workshop Written comments from 14 stakeholders 22

23 VCS Regulatory approach - Scenarios Scenario 2 phased development of the implementing rule Phase a implementation of 8.33 khz above FL 195 Phase b amendment of the implementing rule to address the implementation of 8.33 khz below FL 195, if justified by the on-going studies (Operational scenario, Impact assessment, Safety Case) 23

24 VCS Regulatory approach - Scenarios 24 Scenario selected after the written consultation (92 % acceptance) e)

25 2 nd Stakeholders Consultation Workshop Draft Implementing Rule for Air Ground Voice Channel Spacing Formal Consultation Octavian Cioara, EUROCONTROL Regulatory Unit 25

26 Draft Implementing Rule - Structure Recitals Art 1 Subject matter and scope Art 2 Definitions Art 3 Interoperability and Performance requirements Art 4 Associated procedures Art 5 State aircraft Art 6 Safety requirements Art 7 Conformity or suitability for use of constituents Art 8 Verification of systems Art 9 Additional requirements Art 10 Entry into force and application 26

27 Draft Implementing Rule - Structure Annex I ICAO provisions relevant to the Regulation Annex II Safety requirements Annex III - Part A requirements for the assessment of the conformity or suitability for use of constituents referred to in Article 7 Annex III Part B & C Requirements for the verification of systems referred to in Articles 8(1) and 8(2) Annex IV Conditions referred to in Article 8 27

28 Formal consultation Draft implementing rule developed based on the mandate requirements and on the Regulatory Approach agreed following the written consultation Draft implementing rule submitted to formal consultation ( ) allowing stakeholders and interested parties to express their formal views on it. Responses from 36 stakeholders 28

29 Comments by stakeholders Authority (Civil & Military) 58% Other 3% Industry 3% Service Providers (ANSPs) 33% Airport Operator 0% Airspace Users 3% 29

30 Comments by acceptability A 42% B 33% 30 A B C D A = Acceptable without amendment D 0% B = Acceptable but would be improved with amendments C = Not acceptable but would be acceptable with amendments D = Not acceptable under any circumstances C 25%

31 Acceptability by stakeholders A B C D Total by Stakehold er % Authority (Civil & Military) 25,0% 22,2% 11,1% 0,0% 21 58,3% Service Providers (ANSPs) 16,7% 8,3% 8,3% 0,0% 12 33,3% Airspace Users 0,0% 0,0% 2,8% 0,0% 1 2,8% Airport Operator 0,0% 0,0% 0,0% 0,0% 0 0,0% Industry 0,0% 0,0% 2,8% 0,0% 1 2,8% Other 0,0% 2,8% 0,0% 0,0% 1 2,8% Total Received Comments by Category 41,7% 33,3% 25,0% 0,0% % Legend: A = Acceptable without amendment B = Acceptable but would be improved with amendments C = Not acceptable but would be acceptable with amendments D = Not acceptable under any circumstances 31

32 Main comments/responses General comments Comment The deployment of 8.33 khz shall be addressed in the context of the SES Airspace Regulation Proposed Response The interoperability Regulation has the scope to ensure seamless operations and the harmonized introduction of new, validated concepts of operations within the EATMN (including the airspace of the member states). To achieve this scope, it provides a complete regulatory framework allowing the development of implementing rules (e.g. the identification of Essential Requirements, as well as the identification of systems, constituents and associated procedures within the EATMN). 32

33 Main comments/responses General comments Comment The text of the implementing rule is too detailed and prescriptive There is no consistent use of references (ICAO text were sometimes referenced, sometimes copied in the text) Proposed Response The implementing rule was drafted according to the principles outlined in the Joint Practical Guide of the European Parliament, the Council and the Commission for persons involved in the drafting of legislation within the Community institutions. The ICAO references have been used when these provisions had to be applied as such. When the context of their application needed further clarification (Art 4), they have been adapted as required and included in the draft implementing rule. 33

34 Main comments/responses Subject matter and scope Comment An explicit mention of a new IR addressing the deployment of 8.33 khz below FL 195 is needed Some provisions of the rule shall apply below FL 195 too. Proposed Response The proposed rule was developed based on the approved regulatory approach (2 phases). However, at this stage it would not be appropriate to include a regulatory requirement related to this possible amended rule. The possibility of further action addressing the deployment below FL 195 could be mentioned explicitly in the Recitals section. The current phase of the implementing rule has its scope limited to the deployment of 8.33 khz above FL 195. Therefore the regulatory requirements are applicable only within this scope. The second phase of the rule (addressing the deployment of 8.33 khz communications below FL 195), will extend the applicability of procedures below FL

35 Main comments/responses Subject matter and scope Comment The explicit non-applicability to military operations and training shall be mentioned The scope of the rule should refer to systems, constituents and associated procedures Proposed Response The scope of the implementing rule is limited to GAT flights therefore military operations and training (OAT flights) are outside the scope of the rule It is proposed to review Article 1 in order to refer to systems, constituents and associated procedures and to ensure consistency with Annex I of the interoperability Regulation (552/2004) 35

36 Main comments/responses Definitions Comment Several comments addressed the definitions used in the proposed implementing rule, in terms of clarifications, precision and consistency Proposed Response The definitions that are already included in the SES framework Regulation (549/2004) are not repeated in the draft implementing rule (e.g. GAT). For the other definitions, the ICAO ones (e.g. State aircraft) or those used in other approved implementing rules (e.g. ACC, IFPS) were used. Where no formal definitions were available they were proposed (e.g. Transport type State a/c). Following the received comments, the definitions specific to the implementing rule will be reviewed and clarified (e.g. VHF assignments) 36

37 Main comments/responses Interoperability and Performance Comment Some particular frequencies should be explicitly exempted from the conversions from 25 khz to 8.33 khz (e.g khz) For operational reasons and harmonization purposes the enforcement of 8.33 khz carriage above FL 195 shall be done in all the States of the EU. Proposed Response The mentioned frequencies are not specific to voice assignments for sectors with the lower level above FL 195 and are therefore outside the scope of the implementing rule. This is the objective of the implementing rule. The mandatory carriage of 8.33 khz equipment above FL 195 will be applicable to the entire ICAO EUR Region where the EU Member States have the responsibility of providing air traffic services 37

38 Main comments/responses Interoperability and Performance Comment The requirements should refer to flights instead of operators in the paragraphs concerning the equipage with 8.33 khz radio equipment Exemptions to the frequencies conversions from 25 khz to 8.33 khz should be accepted in order to handle non-8.33 khz State a/c Proposed Response The IoP requirements apply to operators that have the legal responsibility to comply with the regulations. It would not be legally correct to put obligations on flights. All the frequencies for sectors with the lower level above FL 195 where offset-carrier is not used will have to be converted to 8.33 khz. However, the 25 khz frequencies assigned to sectors with a lower level below FL 195 or using Climax (which therefore can not be converted to 8.33 khz) can be used for the handling of non-8.33 khz State aircraft above FL

39 Main comments/responses associated procedures Comment Non-equipped airspace users should be allowed to enter 8.33 khz airspace for safety reasons (e.g. due to unexpected weather conditions) The States can not ensure that IFPS meets its obligations Proposed Response The carriage and operation of 8.33 khz radios above FL195 is not subject to weather conditions. ACCs do retain backup 25 khz assignments but these are not specifically reserved for non-8.33 khz equipped aircraft needing to avoid bad weather. According to the ICAO provisions, in case of emergencies, pilots and controllers shall take appropriate and relevant action and use their best judgement in handling emergency situations. It is not possible to put direct regulatory requirements on the IFPS as it does not have legal personality. Therefore the obligations of IFPS are to be defined through the Member States (see the IFPL Regulation published in the Official Journal of the EU on 7 July 2006) 39

40 Main comments/responses State aircraft Comment The State aircraft are not subject of this Regulation therefore they should be addressed with should requirements The requirement placed on Member States to submit justifications for non-equipage is inappropriate Proposed Response The use of Should would not be acceptable in EU legislation. The regulatory requirements on the equipage of State aircraft flying GAT above FL 195 are derived from the Essential Requirement addressing civil-military co-ordination identified in the Annex II of the SES interoperability Regulation The Member States are accountable to the EC about the implementation of the EC Regulations. The possibility for exemptions for the equipage of some State aircraft needs to be balanced by a reporting process providing appropriate justifications, so as to ensure harmonized implementation 40

41 Main comments/responses State aircraft Comment The procurement plans may be classified and commercially sensitive therefore they may not be provided. Article 5(7) shall be modified in order to ensure that the nonequipped State aircraft are safely accommodated within the capacity limits of the ATM system Proposed Response The requirement applied when the procurement process constraints are invoked. This is intended to prove that the Member States make all the effort for the equipage on these aircraft and their sensitivity is respected by the Commission In certain traffic conditions it might happen that even within the capacity figures, the non-equipped traffic cannot be safely handled; therefore it will not be allowed to enter the 8.33 khz airspace. The text proposed by the comment would force the ATSP to always accept the non-equipped traffic within the capacity limits even if this would pose a safety threat 41

42 Main comments/responses State aircraft Comment Modify Article 5(8) to ensure that the plans for the handling of non-8.33 khz State aircraft take into account the declared capacity limits, established according to an impact assessment, and remove the explicit reference to the safety criteria There is no need for the annual renewal of the report regarding the handling plans. Proposed Response The intention of the comment is well understood. Improved wording may be considered, provided it cannot be interpreted as giving the pre-eminence to capacity rather than to safety. Changes can appear in the handling plans. Therefore the reporting has to take place periodically or whenever a significant change to these plans occurs. In order to avoid the ambiguity that might be generated by the quantification of significant, a periodic reporting was preferred. 42

43 Main comments/responses State aircraft Comment Member States should not only publish the procedures for the handling of non-8.33 khz equipped aircraft in the national AIPs but should also communicate these procedures to the Commission There is no technical reason why the non-transport type State aircraft should not be capable to be equipped with 8.33 khz radios Proposed Response The availability of the abovementioned information is already ensured through publication in the AIP. Formal reporting to the European Commission would increase the administrative burden without real added value For certain aircraft types there are major technical difficulties concerning the equipage with 8.33 khz capable radios (e.g. the way the cockpit is integrated or unavailability of certain components for older types of a/c) 43

44 Main comments/responses Safety requirements Comment The safety requirements proposed in Article 6 as well as those identified in Annex II are incomplete therefore confusing. They should be replaced with a reference to the Common Requirements Proposed Response Whilst recognising that the high level safety requirements included in the IR cannot pretend to be comprehensive and be sufficient to ensure a safe implementation of the IR, they nevertheless offer a minimum common basis for the conduct of global safety assessment processes which is required by the Common Requirements for ANSPs, to ensure a safe implementation of the rule. The safety process is described in the Justification Material, referencing all the documentation related. The safety requirements described in the Justification Material resulted from a safety assessment process that took place in the context of the 8.33 Programme according to the EUROCONTROL Safety Assessment Methodology. 44

45 Main comments/responses Safety requirements Comment Other issues raised by SRU Publication in the AIP of the applicable IRs Member States, when deciding on derogations to State a/c shall take the decision on the basis of a safety assessment EUROCONTROL shall review the equipage rates before a go/delay decision Some requirements on EUROCONTROL should be transferred to other stakeholders Proposed Response For legal reasons no solution could be found within the IR itself beyond Article 9(5) on the Member States. The responsibility of the Member States with regard to safety is stated in Article 6 and in Annex II (including the aspects related to the handling of State aircraft explicitly referencing the safety criteria). Based on the equipage rates the go/delay decision will be taken at the 8.33 Contact Points meeting on the The requirements on EUROCONTROL resulted from a formal safety process therefore their transfer should be the result of a similar process. Further discussion is taking place with SRU and SAF on this issue. 45

46 Main comments/responses Conformity assessment Comment The airborne component shall be exempted from any EC declaration requirement For avionics, the duplication of compliance in front of different bodies should be avoided. Proposed Response According to the SES definitions of systems/constituents, the airborne components are part of the EATMN systems, including the communications systems The intention is to describe acceptable conformity assessment procedures in the rule, referring notably to existing airworthiness processes. The EUROCAE ED23B document, Minimum Operational Performance Specification For Airborne VHF Receiver Transmitter Operating in the Frequency Range MHz referred in the JAA TGL No. 7, developed to support 8.33 khz operations is intended to be proposed as means of compliance with relevant requirements of the implementing rule. 46

47 Main comments/responses Conformity assessment Comment The airborne equipment already installed should not be subject to additional showing of compliance The case when the service provider has a quality management system in place, certified according to EN ISO 9001 should be considered as an option for the first party conformity assessment for the verification of systems Proposed Response According with the SES interoperability Regulation the certification of constituents takes place before being put on the market. Therefore the constituents are already certified and installed do not need to be re-certified The ISO 9001 certification referred to in the service provision Regulation relates to the provision of services and not to the verification of system activities. Moreover, it should be noted that compliance with the requirements of Annex IV, allowing first party certification, does not have to be explicitly proven to the NSA in the context of each implementing rule as once issued, the ANSP may re-use the documents demonstrating its capabilities 47

48 Main comments/responses Entry into force and application 48 Comment The difference between the dates for mandatory equipage and the dates for the ANSPs to make the frequencies conversions is questioned The comments on the applicability dates for State aircraft ranged from asking earlier dates for some of the provisions up to asking for a postponement of the applicability dates Proposed Response The ground conversions cannot be completed prior to the mandatory carriage date due to the risk of loss of communication or interference. After the mandatory carriage date when all aircraft are equipped, a trial period is required to test the new 8.33 khz frequency and ensure no interference problems The proposed dates take into account the safety risk posed by the entry of a non-8.33 khz equipped aircraft in the 8.33 khz airspace. In order to mitigate this risk the percentage of non-equipped State aircraft flying in the 8.33 khz airspace should be reduced as much and as quickly as possible. However, due to specific constraints associated with the equipage of State aircraft several possible exemptions are identified. There has been wide acceptance of the dates proposed and the Agency considers therefore that they reflect the best possible compromise at this stage.

49 Main comments/responses Annex IV Comment There is no need for the ANSP staff to have impartially and independence from their ANSP organisation when verifying the suitability of systems Proposed Response The text in the Annex is consistent with other EU Regulatory texts (e.g. COTR Regulation). According with the principles endorsed by the Conformity Assessment Task Force it is sensible to request the independence of the personnel making the verifications from those responsible for putting the systems into service. The organisations that will not be able to ensure this independence will have to involve a notified body. 49

50 Main comments/responses Annex III Comment Need to clarify, simplify and streamline the Annex III Part A. Proposed Response The current text in the Annex is consistent with other EU Regulatory texts (e.g. COTR Regulation). The certification of the type-examination (according to module B of directive EEC 465/1993) shall be introduced for constituents A simulated environment might not be relevant for a communication system The possibility to provide additional elements in this Annex, referring notably to the Modules of Council Decision 93/465, will be considered. Modules could be modified as required (e.g. the manufacturer could use either module A as a basis with additional requirements concerning the technical file without involvement of Notified Body or use module H bis ). Impact on industry needs to be carefully assessed. The wording will allow the ANSP to determine the appropriate assessment environment 50

51 Next steps Update of the draft implementing rule following the consultation Delivery of the Final Report to the EC around the end of September Initiation of the work on Phase b of the rule, once the required material will be available. 51

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