Guidance for the Provision of Air Traffic Services Using ADS-B in Non Radar Airspace (NRA)

EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATION EUROCONTROL Guidance for the Provision of Air Traffic Services Using ADS-B in Non Radar Airspace (NRA) Edition Number : 1.0 Edition Date : 28 Jan 08 Status : Released Issue EUROPEAN AIR TRAFFIC MANAGEMENT PROGRAMME

DOCUMENT CHARACTERISTICS TITLE Guidance for the Provision of Air Traffic Services Using ADS-B in Non Radar Airspace (NRA) EP Infocentre Reference: Document Identifier Edition Number: 1.0 Edition Date: 28 Jan 08 Abstract The objective of this document is to give guidance on the use of ADS-B in a harmonised way in order to provide a surveillance-based Air Traffic Control service in areas where there is no radar coverage available. The document is targeted at ATCOs. The procedures, phraseology and flight planning provisions for the use of ADS-B in Non Radar Airspace (NRA) are set out in ANNEXES A to C (incl). Keywords ADS-B-NRA Guidance Procedures Contact Person(s) Tel Unit S Muresean + 32 2 729 3166 W Marnane + 32 2 729 3323 STATUS, AUDIENCE AND ACCESSIBILITY Status Intended for Accessible via Working Draft General Public Intranet Draft EP Stakeholders Extranet Proposed Issue Restricted Audience Internet (www.eurocontrol.int) Released Issue Printed & electronic copies of the document can be obtained from the EP Infocentre (see page iii) Page ii Edition Number: 1.0

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EP Infocentre EUROCONTROL Headquarters 96 Rue de la Fusée B-1130 BRUSSELS Tel: +32 (0)2 729 51 51 Fax: +32 (0)2 729 99 84 E-mail: eatmp.infocentre@eurocontrol.int Open on 08:00-15:00 UTC from Monday to Thursday, incl Page iv Edition Number: 1.0

DOCUMENT APPROVAL The following table identifies all management bodies which have successively approved the present issue of this document. BODY NAME AND SIGNATURE DATE Edition Number: 1.0 Page v

DOCUMENT CHANGE RECORD The following table records the complete history of the successive editions of the present document. EDITION NUMBER EDITION DATE REASON FOR CHANGE PAGES AFFECTED 0.1 25 April 2007 0.2 30 May 2007 0.32 28 Aug 2007 0.4 1 Oct 2007 Creation of document Result of Internal Review 1 Incorporation of Internal Review comments Incorporation of CASCADE OFG Review comments All All All All 0.4a 10 Nov 07 Incorporation of Internal Review comments All 0.5 22 Nov 07 0.6 12 Dec 07 Incorporation of CASCADE OFG Review comments after OFG/14 Incorporation of CASCADE OFG and Internal Review comments and revision in line with Edition 15 (22 November 2007) All All 1.0 28 Jan 08 Released Issue All Page vi Edition Number: 1.0

CONTENTS 1. OBJECTIVE AND SCOPE OF DOCUMENT...2 2. INTRODUCTION TO ADS-B NRA...3 3. USE OF ADS-B IN NON RADAR AIRSPACE...5 4. ATS SURVEILLANCE SYSTEMS CAPABILITIES...7 5. ATS PROCEDURES, PHRASEOLOGY AND FLIGHT PLANNING...10 6. WORKING METHODS...11 7. HUMAN FACTORS GUIDELINES FOR IMPLEMENTATION OF ADS-B- NRA...13 8. TRAINING and LICENSING...14 9. NOTIFICATION OF ADS-B-NRA SERVICES...15 10. OTHER IMPLEMENTATION CONSIDERATIONS...16 11. ACRONYMS...18 12. DEFINITIONS...19 13. REFERENCES...23 ANNEXES A. Procedures for Application of ATS Surveillance Using ADS-B in NRA B. Phraseology for Application of ATS Surveillance in ADS-B-NRA C. Flight Planning Provisions for Operating in ADS-B-NRA D. Possible Training Objectives Edition Number: 1.0 Page vii

EXECUTIVE SUMMARY The purpose of this document is to give guidance on the use of ADS-B in a harmonised way in order to provide a surveillance-based Air Traffic Control service in areas where there is no radar coverage available. The document is targeted at ATCOs. ADS-B is an enabling technology that allows the periodic transmission of parameters, such as identification, position and position integrity, via a broadcast-mode data link. Any user, either airborne or ground-based, within range of this broadcast may choose to receive, process and display this information. One of the applications to be implemented as part of the CASCADE Programme is Automatic Dependent Surveillance-Broadcast for non-radar areas (ADS-B-NRA). The ADS-B-NRA application is designed to provide surveillance information solely based on ADS-B in low density en-route and TMA airspaces. The introduction of ADS-B NRA will enhance air traffic services by providing 5 NM (and 3 NM when approved) ATC separation services in areas where procedural separation would have to be applied. The ADS-B-NRA application is designed to provide surveillance information solely based on ADS-B in low density en-route and TMA airspaces. The introduction of ADS-B NRA will enhance air traffic services by providing 5 NM (and 3 NM when approved) ATC separation services in areas where procedural separation would have to be applied. In particular, the Air Traffic Control Service, the Flight Information Service and the Alerting Service will be enhanced by providing controllers with improved situational awareness of aircraft positions. The surveillance of aircraft position information will enable the application of the same separation minima to that of radar. Procedures, phraseology and flight planning provisions relating to the use of ADS-B in Non Radar Airspace (NRA) are set out in ANNEXES A to C (incl). The ADS-B NRA related procedures in Annex A and phraseology in Annex B are cited from (ICAO DOC 4444) Fifteenth Edition 2007 (dated 22 November 2007. (Ref 2) The procedures in Annex A Section 1 are general procedures applicable when an ADS-B system is used in the provision of area control services or approach control services. Additional procedures applicable in the provision of approach control service using ADS-B are detailed in Annex A, Section 2. Finally, the ADS-B NRA related Flight Planning Provisions in Annex C are cited from (ICAO DOC 4444. The implementation of ADS-B in NRA creates new opportunities for improving safety, reducing separation and increasing capacity. In addition, the implications of such developments for working practices will require evaluation at local level, especially in the transitional period following implementation and if partial equipage is considered. Naturally, a local assessment of airspace characteristics should be performed in order to adapt the working methods. There are no fundamental changes to the roles and responsibilities of the flight crew or controllers. This document may be used to assist with the development of a training programme for ADS-B-NRA applications for qualified controllers. A suggested list of objectives that might be included in a training programme is provided in Annex D. Edition Number: 1.0 Page 1

1. OBJECTIVE AND SCOPE OF DOCUMENT The objective of this document is to give guidance on the use of ADS-B in a harmonised way in order to provide a surveillance based Air Traffic Control service in areas where there is no radar coverage available. The document is targeted at ATCOs. In addition, the document is intended to be amended in the light of experience gained during the use of ADS-B in Non Radar Areas (NRA). This document covers the provision of the Area Control Service, Approach Control Service and Flight Information Service based on ADS-B in Non Radar Areas (ADS-B- NRA) and gives guidance on the procedures to be used for the provision of a surveillance service in such areas. In line with the provisions of ED126 (EUROCAE - Safety, Performance and Interoperability Requirements Document for ADS-B-NNRA Application [Ref 1]) the technology assumed for ADS-B-NRA is 1090 extended squitter. In addition, the document may be used to identify training objectives and as a basis for training material. The use of ADS-B systems in the provision of Aerodrome Control Service is not within the scope of this document. 1.1 Document Organisation Section 1 outlines the objective and scope of the document. Section 2 provides an introduction to this manual. It gives some background information, the scope of the ADS-B-NRA baseline, and gives a description of the ECAC Airspace in which the ADS-B-NRA service will be implemented. Section 3 gives a description of how ADS-B can be used in the provision of an Air Traffic Control Service and Flight Information Service in NRA. Section 4 addresses the ADS-B system capabilities required for NRA. Section 5 refers to ATS Procedures, phraseology and flight planning. Section 6 looks at working methods. Section 7 is concerned with Human Factors. Section 8 gives some training guidelines Section 9 describes notification procedures for ADS-B-NRA services. Section 10 deals with other implementation considerations Sections 11 to 13 list the acronyms, definitions and references used in the document. ANNEX A Procedures for ATS surveillance using ADS-B in NRA ANNEX B Phraseology for ATS surveillance using ADS-B in NRA ANNEX C Flight planning provisions for operating in ADS-B-NRA ANNEX D Possible training objectives Page 2 Edition Number: 1.0

2. INTRODUCTION TO ADS-B NRA 2.1 ADS-B ADS-B is an enabling technology that allows the periodic transmission of parameters, such as identification, position and position integrity, via a broadcast-mode data link. Any user, either airborne or ground-based, within range of this broadcast may choose to receive, process and display this information. ADS-B information is broadcast without any knowledge of which users may be receiving it and without the expectation of an acknowledgement or reply. ADS-B is automatic in the sense that no flight crew or controller action is required for the information to be transmitted (apart from pilot procedures for turning on the transmitter). It is dependent surveillance in the sense that the surveillance-type information so obtained depends on the suitable position source and broadcast capability. 2.2 ADS-B NRA Background Currently, air traffic services within non-radar airspace are based upon procedural separation standards, the limitations of which are well known. The ADS-B-NRA application will provide Automatic Dependant Surveillance- Broadcast based Air Traffic Services, in areas where radar coverage does not exist (note that radar area cases are covered by the ADS-B-RAD application). Examples of deployment within the ECAC region are regional airports, offshore oil rigs and remote airspaces (like small islands) which, due to the level of traffic, location or the cost of the equipment, could not justify the installation of radar. NLR (Netherlands) plans to implement ADS-B to provide a surveillance service to helicopters operating to and from North Sea oil rigs. In addition, ADS-B is already implemented in Australia and is planned in some Canadian and US airspaces. Also it will include areas where existing radar may be de-commissioned and, due to the advantageous installation and maintenance costs of ADS-B ground equipment compared to radar, the ADS-B solution is selected instead. 2.3 Application Overview The objective of the CASCADE ( Co-operative ATS through Surveillance and Communication Applications Deployed in ECAC ) Programme is to reduce delays, increase safety and contribute to increased efficiency. One of the applications to be implemented as part of the CASCADE Programme is Automatic Dependent Surveillance-Broadcast for non Radar Areas (ADS-B-NRA). The ADS-B-NRA application is designed to provide surveillance information solely based on ADS-B in low density en-route and TMA airspaces. The introduction of ADS-B NRA will enhance air traffic services by providing 5 NM (and 3 NM when approved) ATC separation services in areas where procedural separation would have to be applied. The level of operational benefits achieved will Edition Number: 1.0 Page 3

depend on ADS-B equipage on aircraft and it is anticipated that benefits will be maximized in regions where all aircraft are suitably equipped with ADS-B systems. 2.4 ADS-B NRA Assumptions EUROCAE document ED126 has established the Safety, Performance and Interoperability Requirements for the ADS-B-NRA application (Ref 1). In support of the analysis documented in ED126, an Operational Environment and Application Description was created (OSED). This OSED is an annex of ED126 and contains a set of Environment Assumptions that were necessary to enable the application description to derive Operational Requirements. Regional implementers must ensure they review the assumptions in ED126 for relevance, applicability, accuracy and consistency as compared to the local environment within which the ADS-B NRA application is to be deployed. ED126 has not assessed failure cases in these assumptions as it was deemed that either these were independent of ADS-B surveillance or were outside the scope of the analysis performed in ED126. Where inconsistencies are identified, the local implementer must ensure that their safety analysis accounts for the differences, particularly during hazard assessment and procedure design processes. 2.5 Need for Safety Assessment ICAO dictates that a safety assessment must be carried out in respect of proposals for significant airspace reorganizations, for significant changes in the provision of ATS procedures applicable to an airspace or an aerodrome, and for the introduction of new equipment, systems or facilities. Such is the case for implementation of ADS-B in NRA. Proposals shall be implemented only when the assessment has shown that an acceptable level of safety will be met. ( 2.6.1.1 and 2.6.1.2) Where ADS-B implementation envisages reliance upon a common source for surveillance and/or navigation, the safety assessment shall take account of adequate contingency measures to mitigate the risk of either degradation or loss of this common source ( 2.6.2.f) Page 4 Edition Number: 1.0

3. USE OF ADS-B IN NON RADAR AIRSPACE 3.1 General The objective of ADS-B-NRA is to provide surveillance (radar-like) services in nonradar airspace using ADS-B. As compared to procedural services provided in nonradar environments, ADS-B NRA will significantly increase the controller s situational awareness of air traffic and enable the traffic to be handled in a more efficient way than using procedural standards. In particular, the Air Traffic Control Service, the Flight Information Service and the Alerting Service will be enhanced by providing controllers with improved situational awareness of aircraft positions. The surveillance of aircraft position information will enable the application of the same separation minima to that of radar. 3.2 Air Traffic Control Service The information provided by ADS-B systems and presented on a situation display may be used to perform the following functions in the provision of an Area Control Service and an Approach Control Service in NRA: a) provide ATS surveillance services as necessary in order to improve airspace utilisation, reduce delays, provide for direct routings and more optimum flight profiles, as well as to enhance safety; b) provide vectoring to departing aircraft for the purpose of facilitating an expeditious and efficient departure flow and expediting climb to cruising level; c) provide vectoring to aircraft for the purpose of resolving potential conflicts; d) provide vectoring to arriving aircraft for the purpose of establishing an expeditious and efficient approach sequence; e) provide vectoring to assist pilots in their navigation, e.g. to or from a radio navigation aids, away from or around areas of adverse weather, or during time of onboard navigation difficulties or system failures etc; f) provide separation and maintain normal traffic flow and monitoring of the aircrafts progress when it experiences a communication failure; g) maintain flight path monitoring of air traffic; h) when applicable, maintain a watch on the progress of air traffic, in order to provide a procedural controller with: Edition Number: 1.0 Page 5

i) improved position information regarding aircraft under control; ii) iii) supplementary information regarding other traffic; and information regarding any significant deviations by aircraft from the terms of their respective air traffic control clearances, including their cleared routes as well as levels, when appropriate. 3.3 Flight Information Service The information provided by ADS-B systems and presented on a situation display may be used to provide identified aircraft with: a) information regarding any aircraft observed to be on a conflicting path with the identified aircraft and suggestions or advice regarding avoiding action; b) information on the position of significant weather and, as practicable, advice to the aircraft on how best to circumnavigate any such areas of adverse weather; and c) information to assist the aircraft in its navigation. Page 6 Edition Number: 1.0

4. ATS SURVEILLANCE SYSTEMS CAPABILITIES 4.1 General ADS-B Capabilities 4.1.1 ADS-B systems used in the provision of air traffic services shall 1 have a very high level of reliability, availability and integrity. The possibility of system failures or significant system degradations which may cause complete or partial interruptions of service shall be very remote. For quantification of requirements and analysis of ADS-B system failures refer to ED126. Back-up facilities shall be provided. Note: Guidance material pertaining to use of ADS-B and to system performance is contained in the Assessment of ADS-B to Support Air Traffic Services and Guidelines for Implementation (ICAO Cir 311). 4.1.2 ADS-B systems should be capable of integration with other automated systems used in the provision of ATS, and should provide for an appropriate level of automation with the objectives of improving the accuracy and timeliness of data displayed to the controller and reducing controller workload and the need for verbal coordination between adjacent control positions and ATC units. 4.1.3 ADS-B systems should provide for the display of safety-related alerts and warnings, including conflict alert, minimum safe altitude warning, conflict prediction and unintentionally duplicated aircraft identifications. 4.1.4 ADS-B shall only be used for the provision of air traffic control service provided the quality of the information contained in the ADS-B message exceeds the values specified by the appropriate ATS authority. Note: An assessment of the use of ADS-B for the application of 9.3 km (5.0 NM) separation minimum has been performed, based on a comparison of the technical characteristics of ADS-B and a single monopulse SSR. This comparison, including performance values, is contained in the Assessment of ADS-B to Support Air Traffic Services and Guidelines for Implementation (ICAO Cir 311 and Note to 8.1.10) 4.1.5 ADS-B may be used alone, including for the provision of separation between aircraft, provided: a) reliable coverage exists in the area; 2 b) the probability of detection, the accuracy and the integrity of the ADS-B NRA system is satisfactory; 1 These provisions (and procedures in Section 5) are based on and whilst shall is a binding term in ICAO Procedures local authorities may in adapting this document may wish to use an alternative term (such as should ) 2 In this case coverage (surveillance) refers to the ground system infrastructure and not aircrafts ADS-B capabilities or reliability. Edition Number: 1.0 Page 7

c) the availability of data from participating aircraft is adequate; d) identification of ADS-B-equipped aircraft is established and maintained; e) the data integrity measure in the ADS-B message is adequate to support the separation minimum; f) there is no requirement for detection of aircraft not transmitting ADS-B and g) there is no requirement for determination of aircraft position independent of the position determining elements of the aircraft navigation system. 4.1.6 Following on from 4.1.5 f) above, where a local environment deems that an operational requirement for detection of aircraft not transmitting ADS-B exists, implementers should consider the ADS-B RAD application. Note: ED126 contains a set of safety and performance requirements that, amongst other things, provide the specific requirements for such items as reliability, availability, accuracy etc. of the ADS-B System. 4.2 Situation Display Capabilities 4.2.1 A situation display providing ADS-B information to the controller shall, as a minimum, include position indications, map information and information concerning the identity of the aircraft and the aircraft level. 4.2.2 The ADS-B system shall provide for a continuously updated presentation of ADS-B derived surveillance information, including ADS-B position indications. 4.2.3 Position indications may be displayed as individual position symbols e.g. ADS-B symbols; 4.2.4 When applicable, distinct symbols should be used for presentation of: a) unintentionally duplicated aircraft identifications; b) predicted positions for a non-updated track; and c) plot and track data. 4.2.5 Where the changes in surveillance data quality (in particular those related to integrity) may be caused by satellite constellation issues, due to the reliance on position quality for the application of separation minima, local implementers shall review the need to have in place a mechanism that provides the controller with an advance warning. Page 8 Edition Number: 1.0

4.2.6 Operation of IDENT, ADS-B emergency and/or urgency modes, safety-related alerts and warnings as well as information related to automated coordination shall be presented in a clear and distinct manner, providing for ease of recognition. 4.2.7 Track labels associated with displayed targets should be used to provide, in alphanumeric form, relevant information derived from ADS-B surveillance and, where necessary, the flight data processing system. 4.2.8 Track labels shall, as a minimum, include ADS-B information relating to the identity of the aircraft and pressure altitude-derived level information. 4.2.9 Track labels shall be associated with their position indications in a manner precluding erroneous identification or confusion on the part of the controller. All label information shall be presented in a clear and concise manner. 4.3 Automatic Recording Capabilities 4.3.1 Surveillance data from ADS-B systems used as an aid to air traffic services, shall be automatically recorded for use in accident and incident investigations, search and rescue, air traffic control and ADS-B systems evaluation and training. Annex 11, 6.4.1.1 Edition Number: 1.0 Page 9

5. ATS PROCEDURES, PHRASEOLOGY AND FLIGHT PLANNING 5.1 Introduction Procedures, phraseology and flight planning provisions relating to the use of ADS-B in Non Radar Airspace (NRA) are set out in ANNEXES A to C (incl). The ADS-B NRA related procedures in Annex A and phraseology in Annex B are cited from (ICAO DOC 4444) Fifteenth Edition 2007 (dated 22 November 2007. (Ref 2) The procedures in Annex A Section 1 are general procedures applicable when an ADS-B system is used for the provision of an area control service or approach control service. Additional procedures applicable to the provision of an approach control service using ADS-B are detailed in Annex A, Section 2. The use of ADS-B systems in the aerodrome control service is outside the scope of this Document. The ADS-B NRA related Flight Planning Provisions in Annex C are cited from (ICAO DOC 4444. In addition, proposed new procedures (marked as NEW) are in accordance with ICAO State Letter - Proposal for the amendment of the Procedures for Air Navigation Services -Air Traffic Management (, Doc 4444), relating to flight plan provisions dated 25 May 2007 (Ref 4). Theses NEW procedures are still pending formal approval by the ICAO Air Navigation Council, with expected applicability as of 18 November 2010. Page 10 Edition Number: 1.0

6. WORKING METHODS The implementation of ADS-B in NRA creates new opportunities for improving safety, reducing separation and increasing capacity. The implications for working practices of such developments will require evaluation at local level, especially in the transitional period following implementation if partial equipage is considered. Local airspace characteristics should be assessed in order to adapt the working methods. In particular, where a Planner/Executive (Tactical) Controller concept is implemented, working methods and responsibilities should be clearly defined. On this basis, simulations might be constructed representing different traffic scenarios (e.g. ratio of ADS-B equipped to non-ads-b aircraft) and a hierarchical task analysis should be completed. Such an analysis can then be repeated following experience with live traffic. Working practices may then be modified accordingly. With the implementation of ADS-B in NRA, the expected increase in capacity could lead to an increase in demand. Such an increase in demand may lead to the need for demand capacity balancing, and perhaps implementation of Flow Management Measures. Implementers should be aware of this possibility when conducting their safety cases. Working methods must be generated at local level and cannot be specified in detail in a guideline document, as local operational experience with ADS-B is required. The locally developed working methods should be considered as advisories. Some of the differences in working methods between non-ads-b and ADS-B aircraft operating in non-radar airspace are shown in Table 1 below. It should be noted that this is not an exhaustive list Table 1: Differences between working methods arising from ADS-B Non-ADS-B Equipped Procedural service (separation) between aircraft Limited situational awareness of controllers of relative positions of aircraft. Generally light workload for controllers in areas of low traffic intensity ADS-B Equipped Separation standards similar to those applied where radar is used as a means of surveillance are applied Enhanced situational awareness through display of aircraft position on SITUATION DISPLAY. Possibility of additional capacity being taken up could lead to increase in workload. Total failure of ADS-B may lead to overload if Edition Number: 1.0 Page 11

controllers have to increase separation. If one aircraft has ADS-B failure separation from other aircraft may increase workload Transfer of identification Page 12 Edition Number: 1.0

7. HUMAN FACTORS GUIDELINES FOR IMPLEMENTATION OF ADS-B-NRA There are no fundamental changes in the roles and responsibilities of the flight crew or controllers. The controller remains responsible for the management of the airspace, maintaining separation and providing information to flight crews, whilst the flight crews are responsible for acting upon ATC instructions and providing information to ATC. However, there may be an impact on controller and flight crew workloads because of the possible new control procedures and the provision of enhanced services. There is also a potential increase in traffic owing to the capacity benefits of ADS-B surveillance. On the other hand, there is expected to be some reduction in workload due to the simplification of the separation standards to be applied and the reduced need for voice position reports, since the aircraft parameters will be broadcast and received automatically by ADS. Workload reduction may be reliant on ADS-B equipage rates (see Partial Equipage). As with all new technology, the issue of trust must be considered. This is likely to be influenced by the perceived ease of use and reliability of the interface. The more similar the new system, particularly HMI is to existing, and proven systems, then the more acceptable it will be. Edition Number: 1.0 Page 13

8. TRAINING and LICENSING This document may be used to assist in the development of a training programme for ADS-B-NRA applications for qualified controllers. Annex D includes a suggested list of objectives that might be included in a training programme. They are based on the training need identified so far in ADS-B-NRA implementation and are targeted at transition training. They do not cover the training guidelines for ab-initio controllers. It is expected that, in accordance with local requirements, controller licenses will be endorsed to confirm their qualification to provide ATS in ADS-B-NRA airspace. ICAO has recently amended the regulation pertaining to controller ratings by replacing the approach and area radar control ratings by approach and area control surveillance ratings in recognition of the fact that surveillance systems are no longer limited to radar. Regulations for the issue of the appropriate ratings may be found in ICAO Annex 1 Personnel Licensing, 10 th Edition. dated July 2006 (Amendment 168 [dated 22 November 2007]) Implementers should be aware of DIRECTIVE 2006/23/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 5 April 2006 on a Community air traffic controller licence (Ref 7) relating to the issue of appropriate ratings and endorsements for provision of ATS to aircraft. Member States have been directed to bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 17 May 2008 at the latest. Page 14 Edition Number: 1.0

9. NOTIFICATION OF ADS-B-NRA SERVICES Where ADS-B-NRA is implemented and a surveillance service is provided utilizing ADS-B, each State will notify airspace users of the service provisions, service schedule, relevant procedures, and confirmation of compliance with relevant standards by the following means: Aeronautical Information Circular (AIC) Aeronautical Information Publication (AIP) Notification to Airmen (NOTAM) An AIC may be issued as advance notice of inclusion in the AIP. Information relating to the establishment and withdrawal of, and changes to, facilities, services and procedures affecting aircraft operations should be provided in accordance with the procedures specified in PANSA- and should be notified and take effect in accordance with ICAO Annex 15, Aeronautical Information Services, Chapter 4 (AIP), Chapter 7 (AIC) and Appendix 1 (AIP) 12 th edition dated July 2004 (Amended [Amendment 34] 22 November 2007). Edition Number: 1.0 Page 15

10. OTHER IMPLEMENTATION CONSIDERATIONS 10.1 Partial Equipage Aircraft The question of airborne ADS-B equipage rates associated with the implementation of NRA is an important one for safety, efficiency and business case activities. This issue can be resolved at local/regional level by various methods, ranging from mandating airborne equipage, segregating airspace between equipped and nonequipped traffic or permitting controllers to tactically manage a mixed equipage environment. It is recognised, however, that the objective in many regions will be to have all aircraft equipped to maximize benefits. It is important to note that the partial equipage issue was identified (ED126) during the Operational Hazard Assessment process for ADS-B NRA. However, since it was assessed that mitigation strategies corresponding to any hazard associated with partial airborne equipage would be applied at operational level (and would be specific to the local environment) rather than at ADS-B surveillance systems technical level, the issue was not analysed further in ED126. There was also a desire not to force local regions into applying one particular variation of a resolution over another (e.g. procedure change versus mandated equipage). In line with section 2.5 (Need for Safety Assessment), when implementing NRA it is therefore vital to ensure that the impact on controllers situational awareness, as well as other hazardous effects, from this partial equipage issue is accounted for as it has been in radar environments that do not contain complete SSR transponder equipage, such as: changes to routes, airspace boundaries and local procedures as necessary to achieve efficient control of traffic in a particular environment; in some airspace, giving priority to equipped aircraft, thus providing economic benefits to those aircraft that equip and encouraging greater equipage, for the benefit of all. 10.2 Planned Outages and Monitoring The following abnormal modes may occur with ADS-B surveillance data: Failure (or planned outage) In the event of failure (or planned outage) of an ADS-B ground receiver, giving reduced coverage, reversion to procedural control in the regions of no cover is required. Status monitoring of the ground receiver systems is required to detect when unexpected deterioration occurs. In such cases, procedures will be similar to those used for the failure or planned outage of a radar sensor(s) in radar airspace. Degradation of all ADS-B data due to deterioration of positioning sources (particularly those using GNSS) Page 16 Edition Number: 1.0

Positional accuracy in many ADS-B surveillance reports may fall below that required for surveillance separation. Increased or procedural separation will be required. [Note that ADS-B reported barometric flight level information is not affected by GNSS degradation]. Methods of monitoring the integrity of the ADSsystem (incl. GNSS/other positioning sources) from the ground are desirable to detect and predict when this condition is likely to occur. In such cases, procedures could be similar to those used for the degraded performance of radar sensors in radar airspace. Edition Number: 1.0 Page 17

11. ACRONYMS ACC ACM ADS ADS-B ADS-B-NRA AIC AIP ATC ATN ATS ATSU CHG CNS/ CWP D-ATIS E ECAC FIR FPL HMI ICAO OLDI RT TMA UAC UIR Area Control Centre ATC Communications Management Service Automatic Dependent Surveillance Automatic Dependent Surveillance Broadcast ADS-B-Non Radar Area Aeronautical Information Circular Aeronautical Information Publication Air Traffic Control Aeronautical Telecommunication Network Air Traffic Services Air Traffic Services Unit ICAO defined Change message Communication, Navigation, and Surveillance/ Air Traffic Management Controller Working Position Data Link Automatic Terminal Information Service European Air Traffic Management European Civil Aviation Conference Flight Information Region Filed Flight Plan Human Machine Interface International Civil Aviation Organisation Online Data Interchange Radio Telephony Terminal Control Area Upper Airspace Control Upper Information Region Page 18 Edition Number: 1.0

12. DEFINITIONS Term Air traffic control clearance Air traffic control instruction Definition Authorisation for an aircraft to proceed under conditions specified by an air traffic control unit. Note 1: For convenience, the term air traffic control clearance is frequently abbreviated to clearance. Note 2: The abbreviated term clearance may be prefixed by the words taxi, take-off, departure, en-route, approach or landing to indicate the particular portion of flight to which the air traffic control clearance relates. [ICAO] Directives issued by air traffic control for the purpose of requiring flight crew to take a specific action. [ICAO] Air traffic control service Air traffic management () A service provided for the purpose of: preventing collisions: between aircraft, and on the manoeuvring area between aircraft and obstructions; and expediting and maintaining an orderly flow of air traffic [ICAO] The dynamic, integrated management of air traffic and airspace including air traffic services, airspace management and air traffic flow management safely, economically and efficiently through the provision of facilities and seamless services in collaboration with all parties and involving airborne and ground-based functions. [ICAO]. Air traffic management system Air traffic service (ATS) A system that provides through the collaborative integration of humans, information, technology, facilities and services, supported by air and ground- and/or space-based communications, navigation and surveillance. [ICAO] New CHAPTER 1. DEFINITIONS!!!!!! A generic term meaning variously, flight information service, alerting service, air traffic advisory service, air traffic control Edition Number: 1.0 Page 19

Air traffic services unit Alert Automatic dependent surveillance broadcast (ADS- B) ATS surveillance service service (area control service, approach control service or aerodrome control service). [ICAO] A generic term meaning variously, air traffic control unit, flight information centre or air traffic services reporting office. [ICAO] A method to draw the attention of the flight crew or controller, visually and/or aurally. A means by which aircraft, aerodrome vehicles and other objects can automatically transmit and/or receive data such as identification, position and additional data, as appropriate, in a broadcast mode via a data link. [ICAO] CHAPTER 1. DEFINITIONS Term used to indicate a service provided directly by means of an ATS surveillance system. [ICAO] ATS surveillance system New CHAPTER 1. DEFINITIONS!!!!!! A generic term meaning variously, ADS-B, PSR, SSR or any comparable ground-based system that enables the identification of aircraft. Note.- A comparable ground-based system is one that has been demonstrated, by comparative assessment or other methodology, to have a level of safety and performance equal to or better than monopulse SSR.[ICAO] Data link application Data link service Flight information service CHAPTER 1. A data link application facilitates specific air traffic management () operational functionalities, using specific data link technology. A data link service is a set of related transactions, both system supported and manual, within a data link application, which has a clearly defined operational goal ( In this context ADS-B-NRA) A service provided for the purpose of giving advice and information useful for the safe and efficient conduct of flights. [ICAO] Page 20 Edition Number: 1.0

Flight plan Position indication Specified information provided to air traffic services units relative to an intended flight or portion of a flight of an aircraft. [ICAO] A flight plan can take several forms, such as: Current flight plan (CPL). The flight plan, including changes, if any, brought about by subsequent clearances. Note: When the word message is used as a suffix to this term, it denotes the content and format of the current flight plan data sent from one unit to another. Filed flight plan (FPL). The flight plan as filed with an ATS unit by the flight crew or a designated representative, without any subsequent changes. Note: When the word message is used as a suffix to this term, it denotes the content and format of the filed flight plan data as transmitted. The visual indication, in non-symbolic and/or symbolic form, on a situation display, of the position of an aircraft, aerodrome vehicle or other object. [ICAO] Position symbol CHAPTER 1 The visual indication in symbolic form, on a situation display, of the position of an aircraft, aerodrome vehicle or object obtained after automatic processing of positional data, derived from any source. [ICAO] Procedural control Procedural separation Identification CHAPTER 1. Term used to indicate that information derived from an ATS surveillance system is not required for the provision of air traffic control service. [ICAO] CHAPTER 1. The separation used when providing procedural control. [ICAO] CHAPTER 1. The situation which exists when the position indication of a particular aircraft is seen on a situation display and positively identified. [ICAO] CHAPTER 1. Edition Number: 1.0 Page 21

Flight path monitoring Situation display Vectoring Licence Rating Rating endorsement The use of ATS surveillance systems for the purpose of providing aircraft with information and advice relative to significant deviations from nominal flight path, including deviations from the terms of their air traffic control clearances. [ICAO] CHAPTER 1. An electronic display depicting the position and movement of aircraft and other information as required. [ICAO] CHAPTER 1. Provision of navigational guidance to aircraft in the form of specific headings, based on the use of an ATS surveillance system. [ICAO] CHAPTER 1. Means a certificate, issued and endorsed in accordance with regulations and entitling its lawful holder to provide air traffic control services in accordance with the ratings and endorsements contained therein. [Directive 2006/23/EC on a Community air traffic controller licence] Means the authorisation entered on or associated with a licence and forming part thereof, stating specific conditions, privileges or limitations pertaining to such licence. [Directive 2006/23/EC on a Community air traffic controller licence] Means the authorisation entered on and forming part of a licence, indicating the specific conditions, privileges or limitations pertaining to the relevant rating. [Directive 2006/23/EC on a Community air traffic controller licence] Page 22 Edition Number: 1.0

13. REFERENCES The following references were used as input to this document: 1. EUROCAE ED126 - Safety, Performance and Interoperability Requirements Document for ADS-B-NRA Application August 2006 2. ICAO Doc. 4444 Procedures for Air Navigation Services Air Traffic Management () 3. ICAO State Letter - Proposal for the amendment of the Procedures for Air Navigation Services -Air Traffic Management (, Doc 4444), relating to flight plan provisions dated 25 May 2007. 4. EUROCONTROL - ATC Manual for link 2000+ Data Link Services (Version 4.0 dated 20 December 2006). 5. ICAO Annex 1 Personnel Licensing, 10 th Edition. dated July 2006 (Amendment 168 [dated 22 November 2007]) 6. ICAO Annex 15, Aeronautical Information Services, Chapter 4 (AIP), Chapter 7 (AIC) and Appendix 1 (AIP) 12 th edition dated July 2004 (Amended [Amendment 34] 22 November 2007). 7. DIRECTIVE 2006/23/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 5 April 2006 on a Community air traffic controller licence 8. AUTOMATIC DEPENDENT SURVEILLANCE BROADCAST (ADS-B) CONCEPT OF USE developed by ICAO OPLINP. 9. Flight Crew Guidance for Flight Operations in ADS-B only Surveillance Airspaces version 0.6 dated 6 December 2007. Edition Number: 1.0 Page 23

ANNEX A Procedures for Application of ATS Surveillance using ADS-B in NRA The procedures in this Annex A have been extracted from ICAO Chapter 8 ATS SURVEILLANCE SERVICES. Only ADS-B NRA related procedures has been included here; the rest, such as for example specific radar related procedures, has been excluded. The procedures in Section 1 are general procedures applicable when an ADS-B system is used in the provision in the area control service or approach control service. Additional procedures applicable in the provision of approach control service using ADS-B are detailed in Section 2. 1. General Procedures 1.1. Provision of ADS-B Services 1.1.1 Information derived from ATS surveillance systems, including safety-related alerts and warnings such as conflict alert and minimum safe altitude warning, should be used to the extent possible in the provision of air traffic control service in order to improve capacity and efficiency as well as to enhance safety. 1.1.2 The number of aircraft simultaneously provided with ATS surveillance services shall not exceed that which can safely be handled under the prevailing circumstances, taking into account: a) the structural complexity of the control area or sector concerned; b) the functions to be performed within the control area or sector concerned; c) assessments of controller workloads, taking into account different aircraft capabilities, and sector capacity; and d) the degree of technical reliability and availability of the primary and back-up communications, navigation and surveillance systems, both in the aircraft and on the ground. 8.4.1 8.4..2 1.2. Communications 1.2.1 Direct pilot-controller communications shall be established prior to the provision of ATS surveillance services, unless special circumstances, such as emergencies, dictate otherwise. PANS 8.3.2 Page 24 Edition Number: 1.0

1.3. Use of ADS-B Transmitters 1.3.1 1.3.2 1.3.3 1.3.4 1.3.5 To ensure the safe and efficient use of ADS-B, pilots and controllers shall strictly adhere to published operating procedures and standard radiotelephony phraseology shall be used. The correct setting of aircraft identification shall be ensured at all times. Note - To indicate that it is in a state of emergency or to transmit other urgent information, an aircraft equipped with ADS-B might operate the emergency and/or urgency mode as follows: a) emergency; b) communication failure; c) unlawful interference; d) minimum fuel; and/or e) medical. Aircraft equipped with ADS-B having an aircraft identification feature shall transmit the aircraft identification as specified in Item 7 of the ICAO flight plan or, when no flight plan has been filed, the aircraft registration. Whenever it is observed on the situation display that the aircraft identification transmitted by an ADS-B-equipped aircraft is different from that expected from the aircraft, the pilot shall be requested to confirm and, if necessary, re-enter the correct aircraft identification. If the discrepancy continues to exist, following confirmation by the pilot that the correct aircraft identification has been set on the ADS-B identification feature, the following actions shall be taken by the controller: a) inform the pilot of the persistent discrepancy; b) where possible, correct the label showing the aircraft identification on the situation display; and c) notify the next control position and any other unit concerned of the erroneous aircraft identification transmitted by the aircraft. 8.5.1 Note to Pans 8.5.4 8.5.4.1 8.5.4.2 NEW 8.5.4.3 1.4. Level Information based on the use of pressure altitude information. 1.4.1 The tolerance value used to determine that pressure altitudederived level information displayed to the controller is accurate shall be ±60 m (±200 ft) in RVSM airspace. In other airspace, it shall be ±90 m (±300 ft), except that the appropriate ATS authority may specify a smaller criterion, but not less than ±60 m (±200 ft), if this is found to be more practical. Geometric height information shall not be used for separation. 8.5.5.1.1 Edition Number: 1.0 Page 25

1.4.2 1.4.3 1.4.4 1.4.5 1.4.6 Verification of pressure altitude-derived level information displayed to the controller shall be effected at least once by each suitably equipped ATC unit on initial contact with the aircraft concerned or, if this is not feasible, as soon as possible thereafter. The verification shall be effected by simultaneous comparison with altimeter-derived level information received from the same aircraft by radiotelephony. The pilot of the aircraft whose pressure altitude-derived level information is within the approved tolerance value need not be advised of such verification. Geometric height information shall not be used to determine if altitude differences exist. If the displayed level information is not within the approved tolerance value or when a discrepancy in excess of the approved tolerance value is detected subsequent to verification, the pilot shall be advised accordingly and requested to check the pressure setting and confirm the aircraft's level. If, following confirmation of the correct pressure setting the discrepancy continues to exist, the following action should be taken according to circumstances: a) request the pilot to stop Mode C or ADS-B altitude data transmission, provided this does not cause the loss of position and identity and notify the next control positions or ATC unit concerned with the aircraft of the action taken; or b) inform the pilot of the discrepancy and request that the relevant operation continue in order to prevent loss of position and identity information of the aircraft, and, when authorized by the appropriate ATS authority, override the label-displayed level information with the reported level. Notify the next control position or ATC unit concerned with the aircraft of the action taken. The criterion which shall be used to determine that a specific level is occupied by an aircraft shall be ±60 m (±200 ft) in RVSM airspace. In other airspace, it shall be ±90 m (±300 ft), except that the appropriate ATS authority may specify a smaller criterion, but not less than ±60 m (±200 ft), if this is found to be more practical. Note. For a brief explanation of the considerations underlying this value, see the Air Traffic Services Planning Manual (Doc 9426). Aircraft maintaining a level. An aircraft is considered to be maintaining its assigned level as long as the pressure altitude-derived level information indicates that it is within the appropriate tolerances of the assigned level, as specified in 4.5 8.5.5.1.2 8.5.5.1.3 8.5.5.1.4 8.5.5.2.1 8.5.5.2.2 Page 26 Edition Number: 1.0

1.4.7 1.4.8 1.4.9 1.4.10 Aircraft vacating a level. An aircraft cleared to leave a level is considered to have commenced its manoeuvre and vacated the previously occupied level when the pressure altitudederived level information indicates a change of more than 90 m (300 ft) in the anticipated direction from its previously assigned level. Aircraft passing a level in climb or descent. An aircraft in climb or descent is considered to have crossed a level when the pressure altitude-derived level information indicates that it has passed this level in the required direction by more than 90 m (300 ft). Aircraft reaching a level. An aircraft is considered to have reached the level to which it has been cleared when three consecutive renewals of the elapsed time of three display updates, three sensor updates or 15 seconds, whichever is the greater, has passed since the pressure altitude derived level information has indicated that it is within the appropriate tolerances of the assigned level, as specified in 4.5 Intervention by a controller shall only be required if differences in level information between that displayed to the controller and that used for control purposes are in excess of the values stated above. 8.5.5.2.3 8.5.5.2.4 8.5.5.2.5 8.5.5.2.6 1.5. Performance Checks 1.5.1 1.5.2 1.5.3 The controller shall adjust the situation display(s) and carry out adequate checks on the accuracy thereof, in accordance with the technical instructions prescribed by the appropriate authority for the equipment concerned. The controller shall be satisfied that the available functional capabilities of the ATS surveillance system as well as the information presented on the situation display(s) is adequate for the functions to be performed. The controller shall report, in accordance with local procedures, any fault in the equipment, or any incident requiring investigation, or any circumstances which make it difficult or impractical to provide ATS surveillance services. 8.6.1.1 8.6.1.2 8.6.1.3 1.6. Identification of Aircraft 1.6.1 1.6.2 Before providing ATS surveillance service to an aircraft, identification shall be established and the pilot informed. Thereafter, identification shall be maintained until termination of the ATS surveillance service. If identification is subsequently lost, the pilot shall be informed accordingly and, when applicable, appropriate instructions issued. 8.6.2.1.1 8.6.2.1.2 Edition Number: 1.0 Page 27