Par 12 Page 13
(b) Alternate ATC instructions have been issued and acknowledged.
NOTE: See Appendix 5 for suggested phraseology.
(2) Workload permitting, controllers may continue to provide pertinent traffic information in accordance with the current edition of FAA Order 7110.65, Air Traffic Control.
(3) Maintain awareness of TCAS programs and program changes.
(4) Train ATC specialists on TCAS and expected flightcrew responses to TCAS advisories and provide familiarization flights for specialists on TCAS-equipped aircraft to the extent possible.
(5) When requested by the flightcrew, and if appropriate, provide separation from TCAS observed traffic and assistance in returning to the assigned clearance. Issue additional clearance instructions when the situation so requires.
(6) Advise pertinent FAA offices, such as a FSDO, via TCAS questionnaires about airspace or airports where excessive numbers of RAs occur. This facilitates initiation of corrective actions related to TCAS enhancements, TCAS procedures, and airspace adjustments.
Forward the information to www.tcasreport.com.
(7) Advise the FAA if you become or are aware of other hazardous conditions, situations, or events possibly related to TCAS.
13. TCAS EVENT REPORTING.
NOTE: ARINC operates a Web-based data collection scheme on behalf of the FAA. The Web site can be found at www.tcasreport.com.
a. General. Operators and manufacturers are encouraged to develop procedures to ensure effective identification, tracking, and followup of significant TCAS-related events, as appropriate. Such procedures should focus on providing useful information to:
(1) Properly assess the importance of TCAS events;
(2) Follow up on information related to specific TCAS events, as necessary; and
(3) Keep the industry and the FAA informed of the performance of TCAS in the NAS and in international operations.
b. Pilot Reports.
(1) TCAS-Specific Reports. Pilots should make the following reports for TCAS RAs, as necessary.
(a) Upon query from ATC, or after a deviation from an ATC clearance, make radio communications as appropriate to report a response to a TCAS advisory. Refer to section 4 of the AIM, ATC Clearance/Separations, for guidance, and Appendix 5 for recommended phraseology.
Page 14 Par 13
(b) Reports, as specified by the operator, concerning TCAS anomalies, procedural difficulties, or system failures typically are made by pilots through one or more of the following methods:
• Pilot/observer questionnaire;
• Logbook entry and Aircraft Communications Addressing and Reporting System (ACARS), etc.; or
• Other record used by that operator, such as a captain’s report. An example of a typical reporting form for TCAS event information is shown in Appendix 2.
(2) Other Reports Incidental to TCAS.
(a) Near Midair Collision (NMAC) Reports. Flightcrews should continue to submit NMAC reports in accordance with existing policies and procedures. Crews should be aware that there is no requirement to submit an NMAC report solely due to a TCAS event and that a TCAS report does not constitute an NMAC report.
(b) ATC Clearances and Instructions Reports. Unless required due to other circumstances, reports in compliance with § 91.123, compliance with ATC clearances and instructions reports, regarding emergency deviation from an ATC clearance are not necessary solely as a result of a TCAS maneuver.
(c) Aviation Safety Reporting System (ASRS) Reports. The flightcrew may file ASRS reports at their discretion.
(d) National Transportation Safety Board (NTSB) Mandatory Reports. As of March 8 2010, new rules add the following to the list of reportable events that require immediate notification of the NTSB Airborne Collision and Avoidance System (ACAS) RAs issued either:
1. When an aircraft is being operated on an IFR flight plan and compliance with the advisory is necessary to avert a substantial risk of collision between two or more aircraft; or
2. To an aircraft operating in Class A airspace.
c. Maintenance Personnel Reports. Maintenance personnel should report TCAS problems that relate to system performance, manufacturers, and/or vendors to the appropriate principal avionics inspector (PAI).
d. FAA ATC. Report the following:
(1) TCAS events to FSDOs, as necessary; and
(2) Any significant TCAS-related events regarding NAS performance to the Air Traffic Procedures Division, AJP-100, Washington, D.C.
e. TCAS Manufacturer Reports. TCAS avionics manufacturers report problems found with specific TCAS systems in accordance with established Service Difficulty Report (SDR) procedures. Report generic problems, such as those that may relate to the definition of collision
Par 13 Page 15 avoidance system algorithms as defined by RTCA/DO-185, to the Aircraft Engineering Division, AIR-100, Washington, D.C.
14. FAA RESPONSE TO TCAS EVENTS. Regarding regulatory compliance issues, the FAA will not initiate enforcement action solely on the basis of a TCAS event. Letters of investigation will not be sent to pilots involved in a TCAS-related deviation provided:
a. Aircrafts Equipped with TCAS. The aircraft was equipped with TCAS, the system was operable, and the equipment was turned on at the time of the event;
b. Compliance with ATC Clearances. The pilots have properly operated their aircraft in compliance with ATC clearances prior to the TCAS-related deviation;
c. Compliance with TCAS Training. The pilots have successfully completed their air carrier’s FAA-approved TCAS training program; and
d. Compliance with § 91.123. The pilots have otherwise complied with the requirements of § 91.123.
15. FOREIGN AIR CARRIERS.
a. General. Section 129.18 requires TCAS II installation and use by certain foreign air carriers when operating in U.S. airspace. Foreign air carriers are not required to install and use TCAS for any aircraft or operations taking place outside of the U.S. 12 NM territorial limit (§ 71.9), even though separation services may be provided by a U.S. ATC facility (for example, in oceanic airspace). Various states may abide by ICAO guidance found in ACAS Standards and Recommended Practices (SARPS).
(1) TCAS Approval for Foreign Air Carriers. The FAA does not approve TCAS installation, training programs, MELs, or maintenance programs for foreign operators operating non-U.S.-registered aircraft. Such authorizations are addressed as specified by the State of Operator or by ICAO. However, since compatibility of TCAS and Mode S transponders with other aircraft and NAS facilities within U.S. airspace is essential, the FAA issues part 129 operations guidelines for TCAS to all foreign air carrier operations within U.S. airspace.
Compliance with these TCAS provisions ensures both TCAS system and procedural compatibility. The issuance of OpSpecs, or an amendment to existing OpSpecs for TCAS, must take place before a foreign air carrier operating a TCAS-equipped aircraft in U.S. airspace, in accordance with § 129.18. Standard provisions for foreign air carriers for TCAS are shown in Appendix 4.
(2) Guidance. Guidance for foreign air carriers operating under part 129 applies to non-U.S.-registered aircraft as well as U.S.-registered aircraft flying in U.S. airspace. The plan of State of Registry for U.S.-registered aircraft operated by foreign operators is, for practical purposes, that of the U.S. or the same as that for any U.S. operator in order to meet the requirements of § 129.14.
Page 16 Par 15
b. Application and Approval. Foreign air carriers should contact their FAA POI to obtain application information for part 129 TCAS OpSpecs. When a foreign air carrier submits the necessary information to the respective PI showing that its aircraft is in compliance, the PI may approve those OpSpecs or an amendment. Standard OpSpecs provisions regarding TCAS for foreign air carriers are shown in Appendix 4. Although not mandatory, foreign operators should comply with the provisions, or equivalent provisions specified by the State of Operator or specified by ICAO.
ORIGINAL SIGNED by /s/ Raymond Towles for
John M. Allen Director, Flight Standards Service
Appendix 1 APPENDIX 1. ACRONYMS AND ABBREVIATIONS 14 CFR Title 14 of the Code of Federal Regulations ACARS Aircraft Communications Addressing and Reporting System ACAS Airborne Collision Avoidance System AC Advisory Circular ACO Aircraft Certification Office AD Airworthiness Directive ADS-B Automatic Dependant Surveillance-Broadcast AEG Aircraft Evaluation Group AFM Aircraft Flight Manual AFS Flight Standards Service (FAA) AGL Above Ground Level AHRS Attitude and Heading Reference System AIM Aeronautical Information Manual AIR Aircraft Certification Service (FAA) ALIM Altitude Limit AP Autopilot ASRS Aviation Safety Reporting System ARINC Aeronautical Radio Incorporated ATCRBS ATC radar beacon system ATC Air Traffic Control ATP Air Traffic Proce dures Division (FAA) CAA Civil Aviation Authority CBI Computer-Based Instruction CFR Code of Federal Regulations CHDO Certificate-Holding District Office CPA Closest Point of Approach CRM Crew Resource Management DME Distance Measuring Equipment EFIS Electronic Flight Instrument System FAA Federal Aviation Administration FOEB Flight Operation Evaluation Board fpm Feet Per Minute FSB Flight Standardization Board FSDO Flight Standards District Office FTD Flight Training Device GPWS Ground Proximity Warning System ICAO International Civ il Aviation Organization IFR Instrument Flight Rules IRS Inertial Reference System ISA International Standard Atmosphere IVSI Instantaneous Ver tical Speed Indicator KIAS Knots Indicated Air Speed LOFT Line-Oriented Flight Training MEL Minimum Equipment List MMEL Master Minimum Equipment List
Appendix 1 MRB Maintenance Review Board MSL Mean Sea Level NAS National Airspace System NM Nautical Mile NMAC Near Midair Collision NSET National Simulator Evaluation Team OE Operating Experience OpSpec Operations Specification PAI Principal Avionics Inspector PF Pilot Flying PI Principal Inspector PM Pilot Monitoring PMI Principal Maintenance Inspector POI Principal Operations Inspector PRM Parallel Runway Monitor PT Proficiency Training QFE Altimeter Reference to Zero Feet at Field Elevation RA Resolution Advisory RTCA Formerly known as Radio Tec hnical Commission for Aeronautics SARPS Standards and Recommended Practices (ICAO) SB Service Bulletin SDR Service Difficulty Report STC Supplemental Type Certificate TA Traffic Advisory TC Type Certificate TCAS Traffic Alert and Collision Avoidance System TTP TCAS Transition Programming TSO Technical Standard Order UTC Coordinated Universal Time VFR Visual Flight Rules VSI Vertical Speed Indicator XPDR Transponder ZTHR Altitude Threshold
Appendix 2 Page 1 (and 2) APPENDIX 2. SAMPLE TCAS EVENT REPORTING INFORMATION TCAS
MONITORING PROGRAM Pilot Event Questionnaire
The FAA and the airline industry have established the TCAS Transition Program to assess the operational acceptability of TCAS in the NAS. Your participation in the program is essential to the success of the program. Please complete and return this questionnaire as quickly as possible. The information contained herein will be used only by the program participants to assess the operation of TCAS and will not be released to the public in a manner which allows the identification of you or the airline. The information WILL NOT be used to initiate or pursue enforcement action against you or the crew. Once the data is entered into the TCAS Transition Programming (TTP) databases the questionnaire will be maintained for no longer than 60 days, at which time it will be destroyed.
Please fill out the form in full and check all that apply. NOTE: TCAS events may be reported electronically at www.tcasreport.com.
DATE:
_____/_____/_____ TIME: ______________ UTC A IRLINE:_____________ F LIGHT #: _____________ A/C TYPE:
________________ TAIL NUMBER: ___________ O RIGIN: _________ D ESTINATION: __________ OWN ALTITUDE:_______________________________________ FT OWN POSITION:__________/__________/__________
VOR R ADIAL DME PHASE OF FLIGHT DEPARTURE (TAKEOFF TO 10,000 FT) CLIMB (10,000 FT TO TOC) CRUISE DESCENT (TOC TO 10,000 FT) APPROACH (BELOW 10,000 FT) TCAS DISPLAY RANGE SETTING: 5 NM 10 NM 20 NM 30 NM OTHER __________ NM
INTRUDER AIRCRAFT ID (IF KNOWN):________________ TCAS-E QUIPPED (IF KNOWN)? YES NO RELATIVE ALTITUDE AT TA: _________FT C LOCK POSITION:____________ E ST. RANGE AT TA:____________NM W ERE MULTIPLE TAS (AURALS) ISSUED ON THE SAME AIRCRAFT? YES NO IF YES HOW MANY?__________ RELATIVE ALTITUDE AT RA: _________FT C LOCK POSITION:____________ E ST. RANGE AT RA:____________NM W ERE MULTIPLE RAS ISSUED ON THE SAME AIRCRAFT? YES NO IF YES HOW MANY?__________ ESTIMATED CLOSEST PROXIMITY R ANGE ____________ NM A LTITUDE ____________ NM
INITIAL RA ISSUED CLIMB, CLIMB CLIMB, CLIMB, CLIMB DESCEND, DESCEND LEVEL OFF, LEVEL OFF DESCEND, DESCEND, DESCEND CLIMB, CROSSING CLIMB DESCEND, CROSSING DESCEND ADJUST VERTICAL SPEED, ADJUST REDUCE CLIMB, REDUCE CLIMB REDUCE DESCENT. REDUCE
DESCENT MONITOR VERTICAL SPEED MAINTAIN VERTICAL SPEED,
MAINTAIN MAINTAIN VERTICAL SPEED,
CROSSING MAINTAIN ADJUST VERTICAL SPEED, ADJUST DID THE INITIAL RA CHANGE ANY OF THE FOLLOWING?
ADJUST VERTICAL SPEED, ADJUST INCREASE CLIMB, INCREASE CLIMB INCREASE DESCENT, INCREASE DESCENT CLIMB, CLIMB, NOW DESCEND, DESCEND NOW LEVEL OFF, LEVEL OFF
TYPE OF RA DISPLAY IN YOUR AIRCRAFT IVSI PITCH CUES VERTICAL SPEED TAPE FOR THE ENCOUNTER, PLEASE INDICATE THE SEQUENCE OF EVENTS (E.G., ATC ADVISORY 1, VISUAL CONTACT 2, TA 3, RA 4) ATC ADVISORY:__________ TA:__________ RA:________ VISUAL CONTACT:__________
WAS THE RA F OLLOWED: YES NO NECESSARY FOR THE SITUATION: YES NO C ONFLICT WITH ATC INSTRUCTIONS: YES NO RESULT IN A CLEARANCE DEVIATION: YES NO I F YES, WHAT WAS THE DEVIATION? _____________FT
REMARKS: (PLEASE PROVIDE COMMENTS/CONCERNS ON THIS ENCOUNTER) _______________________________________________________________________________________________________ _______________________________________________________________________________________________________
Appendix 3 APPENDIX 3. TCAS MEL AND MMEL PROVISIONS
1. DISPATCHING WITH MEL PROVISIONS. Each operator with authority to dispatch an aircraft with a TCAS system or component temporarily inoperative must do so in accordance with provisions of a MEL. MELs are approved for each operator and type of aircraft, within provisions of the FAA MMEL for that type. When proposed MEL provisions are consistent with the FAA MMEL, POIs may approve the MEL. If requesting a less restrictive MEL or different MEL provisions, forward a proposal for consideration of an FAA MMEL change to the AEG assigned for that aircraft type. No relief will be granted for the voice command portion of the TCAS system when functioning in the TA-only mode. The audio will be provided via a speaker, which may also service windshear and ground proximity equipment. Enhanced features (those above and beyond the basic TCAS system) may be inoperative provided that the inoperative features do not degrade the system (for example, flight level traffic altitude selection feature for a traffic display).
2. BACKGROUND. The intent of the provisos and repair category intervals was to grant the operator sufficient relief, especially during the early stage of the TCAS transition, in order to promote the installation process, as well as support the use of a practical system. Both equipment reliability and operational experience dictated whether any revision to the MMEL relief was considered.
3. REVISIONS. The original Policy Letter 32 in the automated MMEL system outlined policy for TCAS II. On April 6, 2002 MMEL Policy Letter 32, revision 5 was issued as updated guidance to the FOEB for standardized MMEL relief for the TCAS. The most significant change in revision 5 is to change the relief category from C to B for the entire system when required by 14 CFR.
4. EXAMPLES. The following list is the standard set of provisos for all aircraft for which one grants relief for the TCAS I and II systems and it is extracted from MMEL Policy Letter 32, revision 7, dated July 7, 2006:
Appendix 3
TCAS MEL AND MMEL PROVISIONS B | - | O | (M) (O) May be inoperative provided:
a) System is deactivated and secured; and TCAS I
b) Enroute or approach procedures do not require its use.
C | - | O | (M) (O) May be inoperative provided:
a) Not required by 14 CFR;
b) System is deactivated and secured; and
c) Enroute or approach procedures do not require its use.
B | - | O | (M) May be inoperative provided:
a) System is deactivated and secured; and
TCAS II
b) Enroute or approach procedures do not require its use.
C | - | O | (M) (O) May be inoperative provided:
a) Not required by 14 CFR;
b) System is deactivated and secured; and
c) Enroute or approach procedures do not require its use.
C | 2 | 1 | May be inoperative on the non-flying pilot side provided:
a) TA and RA visual display is operative on the flying pilot side; and
1) Combined TA and RA Dual Display System(s)
b) TA and RA audio func tion is operative on the flying pilot side.
2) RA Display System(s) C | 2 | 1 | May be inoperative on non-flying pilot side:
C | - | O | (O) May be inoperative provided:
a) TA visual display and audio functions are operative;
b) TA-only mode is selected by the crew; and
c) Enroute or approach procedures do not require its use.
C | - | O | (O) May be inoperative provided: 3) Traffic Alert Display System(s) a) RA visual display and audio functions are operative;
and
b) Enroute or approach procedures do not require its use.
4) Audio Functions B | 1 | O | a) Enroute or approach procedures do not require use of TCAS.
Appendix 4 Page 1 (and 2) APPENDIX 4. 14 CFR PART 129 PROVISIONS FOR USE OF TCAS IN U.S. AIRSPACE
1. MODE S TRANSPONDERS. An appropriate Mode S transponder must be installed and operated on a suitable code specified by ATC during flight in U.S. airspace. In addition, a valid unique aircraft-specific Mode S address must be assigned to the airplane, and the Mode S transponder must be set to this address. Valid addresses are those consistent with the ICAO Mode S address allocation plan contained in Appendix C, part I, ICAO Annex 10, and plan of the State of Registry for the specific aircraft. The unique address, when properly set, may not be altered, set to a duplicated address, or set to an address that potentially interferes with ATC or TCAS safety functions (for example, must not be set to all ones or all zeros, or the country address must not be set without the unique aircraft specific address). This guidance is appropriate for non-U.S.-registered or U.S.-registered aircraft operated by a foreign air carrier in U.S.
airspace.
2. REQUIREMENTS. A TCAS II System capable of coordinating with TCAS units meeting TSO-C119A, TSO-C119B, or TSO-C119C must be installed. Except as provided for by MEL provisions acceptable to the State of Operator, the TCAS system must be operated in an appropriate TCAS mode during flight in U.S. airspace.
3. STANDARDIZATION. Training and procedures for use of TCAS as specified by ICAO, this AC, or other equivalent criteria acceptable to the FAA must be used when operating in U.S.
airspace.
4. UNSAFE CONDITIONS. Report unsafe conditions or performance related to TCAS operation which potentially could affect continued safe operations in the U.S. NAS to the FAA POI within 10 business-days of identifying such a hazard.