Regulation 2009/262 - Requirements for the coordinated allocation and use of Mode S interrogator codes for the single European sky - Main contents

EN

Official Journal of the European Union

L 84/20

Mode S (Select) is a cooperative surveillance technique for air traffic control. It enables the selective interrogation of aircraft and the extraction of air derived data through which new air traffic management functionalities can be developed. The design of systems supporting addressing individual aircraft through the Mode S (hereinafter Mode S interrogators) requires the use of Mode S interrogator codes for the detection and surveillance of aircraft equipped with a Mode S transponder.

To secure the safety of the air traffic surveillance system, it is essential that the radar coverage areas of two Mode S interrogators using the same interrogator code do not overlap, except if they are grouped in a cluster or if other appropriate operational mitigations are in place.

In order to support the deployment of an increasing number of Mode S interrogators and to resolve the problems resulting from the shortage of interrogator codes available for the interrogation of aircraft, there is a need to coordinate the allocation and use of those interrogator codes efficiently.

Eurocontrol has been mandated in accordance with Article 8(1) of Regulation (EC) No 549/2004 to develop requirements for the allocation and use of Mode S interrogator codes (hereinafter interrogator codes). This Regulation is based on the resulting mandate report of 2 January 2008.

Initially, for technical reasons, only interrogator identifier codes (hereinafter II codes) 0 to 15 were defined and used as interrogator codes. Due to the expected number of Mode S interrogators, measures were later taken to allow the use of additional surveillance identifier codes (hereinafter SI codes) 1 to 63.

Normally, the use of SI codes requires that all Mode S targets within the coverage of Mode S interrogators are equipped for this purpose. However, specifications were developed by Eurocontrol for an II/SI code operation which would enable the early use of SI codes by Mode S interrogators even in an environment where all Mode S targets would not be equipped for the use of SI codes. Mode S operators should therefore be required to accommodate this II/SI code operation.

A centralised interrogator code allocation service, provided through the interrogator code allocation system, has been established under the authority of Eurocontrol. Member States should be required to take the necessary measures to ensure that the interrogator code allocation system delivers information supporting the consistency of the key items of an interrogator code allocation. These key items should be clearly identified.

Common procedures should be defined to ensure that the key elements of the interrogator code allocations are properly implemented. They should take into account relevant provisions of the International Civil Aviation Organisation (hereinafter ICAO).

Mode S operators and air traffic service providers should take appropriate measures to detect and mitigate the effect of possible conflicts between interrogator codes.

This Regulation should not cover military operations and training as referred to in Article 1(2) of Regulation (EC) No 549/2004.

A limited number of interrogator codes is reserved for exclusive use and management by military entities, including intergovernmental organisations, in particular the North Atlantic Treaty Organisation. Mode S interrogators using these codes therefore do not need to be subject to the coordinated allocation process. Member States should however be required to take the necessary measures to ensure that the use of these interrogator codes has no detrimental impact on the safety of general air traffic.

Interrogator code 0 has been reserved by ICAO for operation without an assigned code. Mode S interrogators using interrogator code 0 in accordance with the ICAO Standards and Recommended Practices do not need to be subject to the coordinated allocation process.

II code 14 has been reserved for shared use by test systems. Mode S target detection cannot be guaranteed when several test systems operate concurrently. Mode S test systems operators who need to conduct temporary trials necessitating a conflict free situation should therefore ensure proper bilateral coordination with other Mode S test system operators.

The centralised interrogator code allocation service should make available to Member States and Mode S operators and update as required an interrogator code allocation plan ensuring safe and efficient use of interrogator codes. The allocation plan should be approved by Member States affected by its content.

A mechanism should be defined to resolve situations where approval of the interrogator code allocation plan cannot be obtained in a timely fashion.

With a view to maintaining or enhancing existing safety levels of operations, Member States should be required to ensure that the parties concerned carry out a safety assessment, including hazard identification, risk assessment and mitigation processes. Harmonised implementation of these processes to the systems covered by this Regulation requires the identification of specific safety requirements for all interoperability and performance requirements.

In accordance with Article 3(3)(d) of Regulation (EC) No 552/2004, implementing rules for interoperability should describe the specific conformity assessment procedures to be used to assess either the conformity or the suitability for use of constituents as well as the verification of systems.

The level of maturity of the market for the constituents to which this Regulation applies is such that their conformity or suitability for use can be satisfactorily assessed through internal production control, using procedures based on Module A of Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC (3).

The measures provided for in this Regulation are in accordance with the opinion of the Single Sky Committee,

‘Mode S interrogator’ means a system, composed of antenna and electronics, supporting addressing of individual aircraft through the Mode Select, known as Mode S;

‘interrogator code’ means either an interrogator identifier or a surveillance identifier code used for multisite lockout and possibly communication protocols;

‘interrogator identifier code’ (hereinafter II code) means a Mode S interrogator code with a value in the range from 0 to 15 that can be used for both multisite lockout and communications protocols;

‘surveillance identifier code’ (hereinafter SI code) means a Mode S interrogator code with a value in the range from 1 to 63 that can be used for multisite lockout protocols, but cannot be used for multisite communications protocols;

‘multisite lockout’ means the protocol that allows Mode S target acquisition and lockout by several Mode S interrogators that have overlapping coverage;

‘multisite communications protocols’ means the protocols used to coordinate, in areas of overlapping Mode S interrogators coverage, the control of communications performed in more than one transaction;

‘Mode S target’ means a platform equipped with a Mode S transponder;

‘lockout’ means the protocol that allows the suppression of Mode S all call replies from already acquired Mode S targets;

‘Mode S operator’ means a person, organisation or enterprise operating or offering to operate a Mode S interrogator, including:

‘interrogator code allocation’ means a definition of values for at least all the key items of an interrogator code allocation as listed in Annex II, Part B;

‘interrogator code allocation system’ means a system within the European Air Traffic Management Network, and the associated procedures, through which a centralised service of interrogator code allocation (hereinafter interrogator code allocation service), dealing with the processing of interrogator code applications and the distribution of an interrogator code allocation plan proposal, is provided to Mode S operators through Member States;

‘interrogator code application’ means an application from a Mode S operator for the allocation of an interrogator code;

‘interrogator code allocation plan proposal’ means a proposal for a complete set of IC allocations, submitted by the interrogator code allocation service for approval by Member States;

‘interrogator code allocation plan’ means the most recently approved complete set of interrogator code allocations;

‘eligible Mode S interrogator’ means a Mode S interrogator for which at least one of the following conditions is satisfied:

‘eligible interrogator code’ means any code among the II codes and the SI codes, except:

‘Mode S all call interrogations’ means the messages that are normally used by Mode S interrogators to acquire Mode S targets entering their coverage area;

‘operational interrogator code’ means any eligible interrogator code other than II code 14;

‘competent Member State’ means:

‘interrogator code conflict’ means uncoordinated coverage overlap of two or more Mode S interrogators operating on the same interrogator code, potentially resulting in aircraft remaining undetected by at least one of the Mode S interrogators;

‘monitoring of interrogator code conflict’ means the implementation, by a Mode S operator, of technical or procedural means, for identifying the effects of interrogator code conflicts with other Mode S interrogators on the surveillance data provided by its own Mode S interrogators;

‘implementation sequence’ means the time-bounded sequence of implementation of interrogator code allocations with which Mode S operators need to comply to avoid temporary interrogator code conflicts;

‘matching II code’ means the II code decoded by a Mode S transponder not supporting SI codes, in a Mode S all call interrogation containing an SI code, and which is used by this transponder to encode the all call reply;

‘lockout map’ means the Mode S interrogator configuration file defining where and how to apply lockout to Mode S targets.

support the use of SI codes and II codes in compliance with the International Civil Aviation Organisation provisions specified in Annex I point 1;

support the use of II/SI code operation in compliance with the requirements specified in Annex III.

checks interrogator code applications for compliance with the format and data conventions;

checks interrogator code applications for completeness, accuracy and timeliness;

within maximum six calendar months from application:

ensure that the third country is informed of the safety requirements related to the allocation and use of interrogator codes;

take the necessary measures to coordinate the use of interrogator codes with the third country.

implement monitoring means to detect interrogator code conflicts caused by other Mode S interrogators impacting eligible Mode S interrogators they operate on any operational interrogator code;

ensure that the interrogator code conflict detection provided by the implemented monitoring means is achieved in a timely manner and within a coverage that satisfy their safety requirements;

identify and implement as appropriate, a fallback mode of operation to mitigate the possible interrogator code conflict hazards on any operational code, identified in the assessment referred to in paragraph 1;

ensure that the implemented fallback mode of operation does not create any interrogator code conflict with other Mode S interrogators referred to by the interrogator code allocation plan.

develop and maintain Mode S operations manuals, including the necessary instructions and information to enable their personnel in charge of the implementation of interrogator code allocations to apply the provisions of this Regulation;

ensure that the manuals referred to in point (a) are accessible and kept up-to-date and that their update and distribution are subject to appropriate quality and documentation configuration management;

ensure that the working methods and operating procedures required for the implementation of interrogator code allocations comply with the relevant provisions specified in this Regulation.

develops and maintains operations manuals containing the necessary instructions and information to enable their personnel to apply the provisions of this Regulation;

ensures that the manuals referred to in point (a) are accessible and kept up-to-date and that their update and distribution are subject to appropriate quality and documentation configuration management;

ensures that the working methods and operating procedures comply with the relevant provisions specified in this Regulation.

Chapter 3 ‘Surveillance radar systems’, Section 3.1.2.5.2.1.2 ‘IC: Interrogator code’ of ICAO Annex 10 ‘Aeronautical Telecommunications’, Volume IV ‘Surveillance Radar and Collision Avoidance Systems’ (Third Edition, July 2002, incorporating Amendment 77).

Chapter 5, ‘SSR Mode S Air-Ground Data Link’, Section 5.2.9 ‘The data link capability report format’ of ICAO Annex 10 ‘Aeronautical Telecommunications’, Volume III ‘Communication Systems’ (First Edition, Amendment 79).

a unique application reference from the competent Member State;

full details of the Member State representative responsible for the coordination of the Mode S IC Allocation;

full details of the Mode S operator point of contact for Mode S IC Allocation matters;

Mode S interrogator name;

Mode S interrogator use (operational or test);

Mode S interrogator location;

Mode S interrogator planned date of first Mode S transmission;

requested Mode S coverage;

specific operational requirements;

SI code capability;

‘II/SI code operation’ capability;

coverage map capability.

the corresponding application reference from the competent Member State;

a unique allocation reference from the IC allocation service;

superseded allocation references, as required;

allocated IC;

surveillance and lockout coverage restrictions under the form of sectored ranges or Mode S coverage map;

implementation period during which the allocation needs to be registered into the Mode S interrogator identified in the application;

implementation sequence which needs to be complied with;

optionally and associated with other alternatives: cluster recommendation;

specific operational restrictions, as required.

Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall also acquire targets through all call replies which are encoded using the matching II code.

Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall consider transponders replying with all call replies encoded using the matching II code as non-SI equipped transponders, irrespectively of the SI capability reported in the data link capability report defined in the document referred to in Annex I point 2.

Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall interrogate transponders lacking SI code capability using the Mode S multisite lockout protocol messages foreseen for II code operation. The II code to be used shall be the matching II code.

Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall be configurable by the operator to either:

Mode S interrogators, when operating with an II code and if enabled by an appropriate operational parameter, shall be configurable by the operator to either:

When the II/SI code operation is activated, the lockout maps shall not be taken into account for transponders lacking SI code capability.

The verification activities shall demonstrate the conformity of constituents supporting II code and SI code lockout protocols and II/SI code operation with the interoperability and performance requirements of this Regulation, or their suitability for use whilst these constituents are in operation in the test environment.

The application by the manufacturer, or its authorised representative established in the Community, of the module described in Part B shall be considered as an appropriate conformity assessment procedure to ensure and declare the compliance of constituents. Equivalent or more stringent procedures are also authorised.

This module describes the procedure whereby the manufacturer or its authorised representative established in the Community who carries out the obligations laid down in point 2, ensures, and declares that the constituents concerned satisfy the requirements of this Regulation. The manufacturer or his authorised representative established within the Community must draw up a written declaration of conformity or suitability for use in accordance with Annex III point 3 of Regulation (EC) No 552/2004.

The manufacturer must establish the technical documentation described in point 4 and he or his authorised representative established within the Community must keep it for a period ending at least 10 years after the last constituents has been manufactured at the disposal of the relevant national supervisory authorities for inspection purposes and at the disposal of the air navigation service providers that integrate these constituents in their systems. The manufacturer or its authorised representative established within the Community shall inform the Member States on where and how the above technical documentation can be made available.

Where the manufacturer is not established within the Community, he shall designate the person(s) who place(s) the constituents on the Community market. These person(s) shall inform the Member States on where and how the technical documentation can be made available.

Technical documentation must enable the conformity of the constituents with the requirements of this Regulation to be assessed. It must, as far as relevant for such assessment, cover the design, manufacture and operation of the constituents.

The manufacturer or his authorised representative must keep a copy of the declaration of conformity or suitability for use with the technical documentation.

The air navigation service provider must have in place reporting methods within the organisation which ensure and demonstrate impartiality and independence of judgement in relation to the verification activities.

The air navigation service provider must ensure that the personnel involved in verification processes, carry out the checks with the greatest possible professional integrity and the greatest possible technical competence and are free of any pressure and incentive, in particular of a financial type, which could affect their judgment or the results of their checks, in particular from persons or groups of persons affected by the results of the checks.

The air navigation service provider must ensure that the personnel involved in verification processes, have access to the equipment that enables them to properly perform the required checks.

The air navigation service provider must ensure that the personnel involved in verification processes, have sound technical and vocational training, satisfactory knowledge of the requirements of the verifications they have to carry out, adequate experience of such operations, and the ability required to draw up the declarations, records and reports to demonstrate that the verifications have been carried out.

The air navigation service provider must ensure that the personnel involved in verification processes, are able to perform their checks with impartiality. Their remuneration shall not depend on the number of checks carried out, or on the results of such checks.

The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance, contingency and safety requirements of this Regulation in an assessment environment that reflects the operational context of these systems. In particular, the verification of Mode S interrogators shall demonstrate:

The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised testing practices.

Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities.

The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements:

The air navigation service provider shall manage the verification activities and shall in particular:

The air navigation service provider shall ensure that the systems identified in Article 1(2) operated in an operational assessment environment meet the interoperability, performance, contingency and safety requirements of this Regulation.

Upon satisfying completion of verification of compliance, air navigation service providers shall draw up the EC declaration of verification of system and submit it to the national supervisory authority together with the technical file as required by Article 6 of Regulation (EC) No 552/2004.

The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance, contingency and safety requirements of this Regulation in an assessment environment that reflects the operational context of these systems. In particular, the verification of Mode S interrogators shall demonstrate:

The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised testing practices.

Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities.

The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements:

The air navigation service provider shall determine the appropriate operational and technical assessment environment reflecting the operational environment and shall have verification activities performed by a notified body.

The notified body shall manage the verification activities and shall in particular:

The notified body shall ensure that the implementation of information exchanges supporting the process of allocation and use of Mode S IC, integrated in systems operated in a simulated operational environment meets the interoperability, performance, contingency and safety requirements of this Regulation.

Upon satisfying completion of verification tasks, the notified body shall draw up a certificate of conformity in relation to the tasks it carried out.

Then, the air navigation service provider shall draw up the EC declaration of verification of system and submit it to the national supervisory authority together with the technical file as required by Article 6 of Regulation (EC) No 552/2004.