APPENDIX I.
Mode A, C, S, and Mode S Elementary & Enhanced Surveillance Systems
1. Purpose. This Appendix provides guidance information on airborne Mode A, C, S and Elementary and Enhanced Mode S surveillance systems.
2. Scope. The material in this Appendix provides guidance information for initial and follow-on certification of airborne surveillance systems (e.g., transponders).
3. Description.
3.1. Basic Transponders. Mode C and S transponders provide basic information, in which aircraft identification and altitude are transmitted to both ground based ATC systems and aircraft equipped with Traffic Alert and Collision Avoidance Systems (TCAS) I and II. As the TCAS systems have limited information on aircraft target position, collision avoidance algorithms are based on aircraft range and altitude. To improve Europe’s ground surveillance systems, both ELS and EHS will be mandated for certain classes of airplanes to enhance safety, address frequency congestion, and improve airspace capacity. Although ELS or EHS is not currently required in the United States National Air space (NAS), it is possible that future operations could require aircraft equipage.
The new European Mode S implementation of Downlink Airborne Parameters (DAP) provides a means whereby aircraft can be interrogated on 1030 MHz and can reply on 1090 MHz, providing additional data elements for use in ATC automation. In addition to this information, ELS provides flight number/ID and TCAS II, Change 7, RA downlink to ATC ground systems. ELS is required in certain areas of Europe to support air traffic growth and reduce Radio Frequency (RF) congestion.
EHS is anticipated to improve capacity and enhance safety in European airspace. It allows the ATC controllers to extract additional aircraft current state and intent parameters (e.g., heading, roll/track angle and air/ground/vertical speed). Certain aircraft parameters will be displayed for ATC, and other parameters may be used as ATM system functions enhancements. Transmission of aircraft parameters is via the Mode S Ground Initiated Comm-B (GICB) protocol where data is only transmitted upon request from a Mode S ground system (1030 request - 1090 reply).
4. Existing Guidance/Policy. All Mode S transponders design approvals should use the guidance contained in AC20-131A (or later approved FAA versions). For ELS/EHS design approvals the applicant should also follow guidance provided in JAA Temporary Guidance Leaflet (TGL) 13 Revision 1 and JAA NPA 20-12A, ACJ20X11, Certification of Mode S Transponder Systems for Enhanced Surveillance, which further define requirements such as parameter accuracy, flight manual supplements, minimum equipment list, maintenance, ground and flight test criteria.
References (documents may be superseded by later approved versions):
• ARINC 718 and 718A, Mode S Transponder Characteristic
• TSO-C112
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• JTSO-2C112B
• AC 20-131A, Airworthiness Approval of Traffic Alert and Collision Avoidance Systems (TCAS I) and Mode S Transponders.
• AC 25-10, Guidance for Installation of Miscellaneous, Non-required Electrical Equipment.
• RTCA/DO-181C, Minimum Operational Performance Standards for Air Traffic Control Radar Beacon System/Mode Select (ATCRBS/Mode S) Airborne Equipment.
• RTCA/DO-185A, Minimum Operational Performance Standards for Traffic Alert and Collision Avoidance System II (TCAS II) Airborne Equipment.
• Mode S/OHA/0001, Operational Hazard Assessment of Elementary and Enhanced Surveillance.
• JAA Temporary Guidance Leaflet (TGL) 13 Revision 1, Certification of Mode S Transponder Systems for Elementary Surveillance.
• JAA NPA 20-12A, ACJ20X11, Certification of Mode S Transponder Systems for Enhanced Surveillance.
5. Airworthiness Considerations. Airworthiness considerations are based in part on aircraft installed performance, environment and operational assumptions and mitigations.
5.1. Assumptions. This guidance assumes the following:
• Mode A, C, and S transponders meet the minimum performance standards in the applicable TSO.
• Guidance material for elementary and enhanced surveillance is based on assumptions contained in the referenced EUROCONTROL Operational Hazard Assessment (OHA).
• Aircraft derived data are for ATC and are subject to operational mitigation as described in the OHA.
5.2. Significant Technical Issues. Although ELS or EHS is not currently required in the United States National Air space (NAS), it is possible that future operations could require similar aircraft equipage. Without ELS/EHS ATC ground station infrastructure, interrogation will not occur and the ELS/EHS aircraft parameters will not be transmitted which will have no effect on existing operations.
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5.3. Flight Data Recording of New Parameters. The additional transponder ELS/EHS function failure effects classification is minor and flight data recording is not required.
6. Minimum Equipment Standards. The following is a partial list of Minimum Equipment Standards Mode S Transponders:
• TSO C112 (RTCA DO-181 MOPS for ATCRBS/Mode S Equipment) does not provide the full functionality required for certain European airspace operations. However, it is expected that the TSO will be updated to invoke DO-181C that defines an acceptable standard.
• ARINC 718A Mode S Transponder Characteristic.
• JTSO-2C112B is optional for US operations.
7. System Safety Assessment.
7.1. Airplanes equipped with basic transponder (Mode A, C, S) information (e.g., altitude & squawk code) but without TCAS II installed.
• 14 CFR part 25 "Major" failure classification with at least RTCA/DO-178B Level "C" software.
• 14 CFR part 23 "Major" failure classification but may use AC 23.1309-1C to reduce software level to Level D for certain airplane installations.
• If the Part 23 airplane does not meet the criteria in AC 23.1309-1C for reduction in software levels, then at least Level "C" software.
7.2. Legacy airplanes equipped with TCAS II, version 6.04 and which upgrade to TCAS II, Version 7.0. Refer to AC 20-151 “Airworthiness Approval of Traffic Alert and Collision Avoidance Systems (TCAS II) Version 7.0 and Associated Mode S Transponders”.
7.3 New airplanes that do not have TCAS II version 6.04, and are installing TCAS II, Version 7.0 for the first time. Refer to AC 20-151 “Airworthiness Approval of Traffic Alert and Collision Avoidance Systems (TCAS II) Version 7.0 and Associated Mode S Transponders”.
NOTE: There are no new significant failure modes associated with the transponder upgrades to ELS/EHS. The criticality level for the ATC transponder remains unchanged. New failure conditions as a result of the upgrade involving lost and erroneous aircraft derived data will be classified as minor, where these data are subject to controller verification (reference Mode S/OHA/0001 OHA). However, the applicant is encouraged to meet higher availability and integrity requirements for future applications such as automatic processing by ATC.
8. Ground Test and Flight Test. If the Mode S data link is already certified (such as for TCAS), the additional ELS/EHS function (ref. JAA TGL 13 Revision 1) certification requirement can be satisfied with a ground test for proper transmission and non-interference only.
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9. AFM. An AFM revision or supplement is not required for ELS/EHS operations in Europe (ref. JAA TGL 13 Revision 1 and TGL 18) unless an AFM limitation is required. ELS/EHS demonstrated performance should be documented in the Flight Crew Operating Manual (FCOM).
Such revisions should be coordinated with the FCAA. It should include a statement documenting the ELS/EHS demonstrated performance.
10. Continuing Airworthiness and Maintenance. For airplanes equipped with a TCAS II, Version 7.0/ACAS system, the upgrade of the Mode S transponders with ELS/EHS does not result in changes to current maintenance practices or continuing airworthiness instructions.
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AC 120-86 9/16/0 5 APPENDIX J.
Sample General Aviation Generic ADS-B/TIS-B Training Guide
1. INTRODUCTION. This guide is intended to teach typical general aviation pilots how to make use of emerging technology. It should be used to develop a curriculum specific to the type of traffic display installed in the aircraft. It makes use of the latest applied human factors education, risk assessment, and risk management reduction techniques
2. Draft Lesson Plan. Scenario-Based Transition Training Using Onboard ADS-B / TIS-B Surveillance Systems
OBJECTIVE.
The pilot in training (PT) will demonstrate proficiency in all critical action emergency procedures and a representative cross section of non-critical action emergency procedures described in the aircraft’s Pilot Operating Handbook (POH). The emphasis on this lesson will be transitioning to use ADS-B/TIS-B for enhanced see and avoid functionality, with a proximate traffic alerting feature enabled.
SCENARIOS.
Preflight.
The PT will plan the profile and perform all preflight procedures, engine start-up, avionics set-up, taxi, and before-takeoff procedures. This is accomplished prior to takeoff for each leg of the flight. Runway incursions, high wind taxi situations, and abnormal indications and corrective actions should be practiced.
Use of the Airplane as a Training “Laboratory”.
Leg 1 (Outbound from the first point of departure).
The PT will initiate a normal takeoff and the instructor will call for an abort. The PT will taxi back and perform a high performance takeoff of their choice with an autopilot-assisted departure.
The autopilot will be turned off in cruise and the first leg should proceed using basic attitude instrument flying. During cruise flight, the PT will execute the proper procedures for scanning the ADS-B display system and for operating the device during VFR flight conditions.
If on an IFR flight plan, the PT will plan and perform an instrument flight including an approach as appropriate (e.g., ILS or GPS / WAAS enabled) at the first airport of intended landing followed with an autopilot assisted missed approach. The VFR PT will also plan and perform a GPS-based assisted entry at the landing airport to a full stop landing. The ADS-B system would be activated and used throughout the flight including use in IMC. Evasive maneuvering will be highlighted including the need for timely ATC coordination.
Leg 2 (Outbound from the airport of first point of landing).
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The PT will perform a normal takeoff and autopilot assisted departure. In cruise, the PT will perform the proper procedures for a significant engine power loss, control surface failures, and a complete electrical failure, and will also use the ADS-B device throughout this flight segment.
The IFR PT will plan and perform a GPS hold followed by an instrument approach (either an ILS or GPS /WAAS that was not performed at the first airport of landing), this to a full stop landing.
The VFR pilot will also plan and execute a GPS assisted entry and approach procedure to a full stop landing. ADS-B scan and outside the window scan will be taught and critiqued.
Leg 3 (Outbound from the second airport of landing):
The PT will perform a normal takeoff and an autopilot assisted departure. If on an IFR flight plan, the IFR flight plan will be cancelled and the 3rd leg will be flown under VFR. The PT will accomplish various traffic alert and detection maneuvers.
Upon arrival at the second airport, the PT will perform a GPS assisted VFR entry into the downwind pattern using ADS-B to help sequence into the traffic flow.
The PT will then perform a normal closed pattern takeoff followed by another landing, all the time using the onboard surveillance system to assist in safely operating in the pattern.
Post flight.
The PT will perform all aircraft and avionics shutdown and securing procedures.
Prerequisites.
Completion of a worksheet on ADS-B systems operation and normal, abnormal & emergency procedures.
Completion of a progress Quiz on the material that will be covered during the flight phase.
Pilot In Training Preparation.
Review the POH and AFMS.
Develop / Plan a flight profile using the scenario as listed above
Briefing Items.
A. Initial Introduction:
a. ADS-B and TIS-B -- What is it? How does it work?
b. ADS-B traffic alerting.
c. Weather and NAS status information, “Weather and traffic together.”
d. Flight profile planning.
e. VFR/IFR “rules of the road” review.
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B. Single Pilot Resource Management (SRM):
a. Avionics systems to be used during this flight.
b. Abnorm al and emergency procedures.
c. Decision making enhancements that result from use of this avionics.
C. Safety :
a. Mid-air collision avoidance procedures.
b. Appropriate weather and NOTAMS.
c. Airport diagrams and taxi procedures.
d. Em ergency procedures.
Student Actions.
Complete all lessons prior to arriving for training/checkout flight(s).
Completion standards.
Satisfactory completion of all worksheets prior to flight training as determined by instructor.
Desired Pilot in Training (PT) Scenario Outcomes. The object of scenario-based training is a change in the thought processes, habits, and behaviors of the students during the planning and execution of the scenario. Since the training is student centered the success of the training is measured in the following desired student outcomes:
• Describe – at the completion of the scenario the PT will be able to describe the physical characteristics and cognitive elements of the scenario activities.
• Explain – at the completion of the scenario the PT will be able to describe the scenario activity and understand the underlying concepts, principles, and procedures that comprise the activity.
• Practice – at the completion of the scenario the student will be able to practice the scenario activity with little input from the CFI. The PT with coaching and/or assistance from the CFI will quickly correct minor deviations and errors identified by the CFI.
• Perform - at the completion of the scenario, the PT will be able to perform the activity without assistance from the CFI. Errors and deviations will be identified and corrected by the PT in an expeditious manner. At no time will the successful completion of the activity be in doubt. (“Perform” is used to signify that the PT is satisfactorily demonstrating proficiency in traditional piloting and systems operation skills.)
• Manage/Decide – at the completion of the scenario, the PT will be able to correctly gather the most important data available both within and outside the cockpit, identify APPENDIX J P age J - 3
possible courses of action, evaluate the risk inherent in each course of action, and make the appropriate decision. (“Manage/Decide” is used to signify that the PT is satisfactorily demonstrating good SRM skills.)
Lesson Plan Details: The following activities will be completed as part of the training scenario and are not intended to be a list of training tasks to be completed in numerical order.
Detailed Training Plan.
SCENARIO
ACTIVITIES
SCENARIO SUB
ACTIVITIES
DESIRED PT
SCENARIO OUTCOME
Flight Planning 1. Scenario Planning
2. Weight and Balance and Aircraft Performance Calculations
3. Preflight SRM
4. Briefing
5. Decision making and risk management
1. Perfor m
2. Perfor m
3. Perfor m
4. Explain/Practice Normal Preflight and Cockpit Procedures
1. Norm al Pre-Takeoff Checklist Procedures
2. GPS Programming
3. MFD / CDTI Setup
4. ADS-B / TIS-B Setup
1. Perfor m
1. Explain/Practice
2. Perfor m
3. Explain/Practice Engine Start and Taxi Procedures
1. Engine Start
2. Taxi
3. SRM / Situational Awareness
1. Perfor m
2. Perfor m
3. Explain Before Takeoff Checks 1. Normal and Abnormal Indications
2. Aircraft Automation Management
3. Aeronautical Decision Making and Risk Management
1. Perfor m
2. Explain/Practice
3. Explain Takeoff 1. Normal Takeoff
2. Use of ADS-B / TIS-B
3. Situational Awareness
4. ADM and Risk Management
1. Perfor m
2. Perfor m
3. Practice
4. Perfor m
5. Explain/Practice
6. Explain/Practice Climb procedures 1. Manual / autopilot Climb
2. ADS-B / TIS-B programming
3. Scanning for non equipped aircraft
4. Situational Awareness, Task management, and ADM
1. Perfor m
2. Perfor m
3. Perfor m
4. Perfor m
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SCENARIO
ACTIVITIES
SCENARIO SUB
ACTIVITIES
DESIRED PT
SCENARIO OUTCOME
Cruise Procedures 1. Navigation programming
2. ADS-B / TIS-B management
3. Task Management, SA, and ADM
1. Perfor m
2. Explain
3. Perfor m
ADS-B Instrument and Visual outside the window Crosscheck
Note: All items will be accomplished en route during the scenario
1. Straight and level
2. Nor mal Turns
3. Climbing and Descending Turns
4. Steep Turns
1. Perfor m
2. Perfor m
3. Perfor m
4. Perfor m ADS-B Operation and Programming
1. VFR (non instrument rated PT)
a. Norm al, abnormal and emergency use
b. Use in marginal VFR conditions
2. IFR (instrument rated PT)
a. Norm al, abnormal and emergency use
b. Use in marginal VFR conditions
1. Explain/Practice
2. Explain/practice Avionics Operation 1. ADS-B / TIS-B Normal Operation
a. Setup Pages
b. Navigation Mode
c. Checklist Mode
2. Abnorm al and Emergency Modes
1. Explain/Practice
2. Perfor m
3. Explain/Practice
4. Perfor m
Avionics Interface 1. Identification of data and power sources
2. Identification of failure modes
3. Automation management
1. Describe
2. Describe
1. Describe Other data link functionality and Additional Avionics Setup
1. (UAT). Data link Weather and NAS Status information Setup and operation
2. Use
1. Describe
2. Explain/practice
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SCENARIO
ACTIVITIES
SCENARIO SUB
ACTIVITIES
DESIRED PT
SCENARIO OUTCOME
14 CFR part 91 “See and avoid” rules
1. Review FARs.
2. Use during en route and in traffic pattern operations
3. Risk Management and decision making
1. Explain/Practice
2. Explain/practice
3. Describe
4. Explain/Practice (simulated)
5. Describe
6. Explain Instrument Approach procedures (IFR Rated Pilot)
1. ADS-B / TIS-B operation in IMC
2. Use with conflicting guidance from ATC
3. Use during holding
4. Task management and decision making
1. Perfor m
2. Explain/Practice
3. Explain/Practice
Landing 1. Use in VFR traffic pattern
2. Limitations in the use of TIS-B functionality
3. On the airport surface
4. ADM and SA
1. Perfor m
2. Explain/practice
3. Practice
4. Explain/Practice
Aircraft and Avionics Shutdown
1. Aircraft and avionics Shutdown Checklist
3. How to address discrepancy reporting
4. NMAC reporting
5. NASA’ s ASRS
1. Perfor m
2. Explain/Practice
3. Explain
4. Explain
5. Explain
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AC 120-86 9/16/0 5 APPENDIX K.
Foreign Air Carriers and Foreign Operators of U.S.-Registered Aircraft Engaged in Common Carriage: Installation Approval and Authorization to Conduct Aircraft Surveillance Flight Operations
1. Purpose. This appendix provides guidance for FAA approval of aircraft surveillance ADS-B system installations on U.S.-registered aircraft operated by foreign persons or foreign air carriers anywhere in common carriage and FAA authorization for foreign air carriers to conduct operations under 14 CFR Part 129 using aircraft surveillance systems within the United States NAS.
2. Scope. Material in this Appendix provides guidance information for initial and follow-up approval / authorization of aircraft surveillance systems.
3. Description. The process used to obtain approval/authorization of aircraft surveillance systems includes the standard airworthiness certification process for the installation of equipment.
Additional acceptable criteria are provided below:
3.1. Acceptable Criteria. Criteria acceptable for use by foreign persons or foreign air carriers using aircraft surveillance system-equipped aircraft at U.S. airports, or aircraft surveillance system-equipped U.S.-registered aircraft anywhere where aircraft surveillance system operations are conducted, includes the latest version of this AC or other equivalent Joint Aviation Authorities (JAA) (European) or International Civil Aviation Organization (ICAO) criteria (when developed) that are acceptable to the FAA.
3.2. Operational and Airworthiness Approval/Authorization – Foreign Air Carriers.
Operational approval/authorization by the civil aviation authority (CAA) of the State of the Operator and airworthiness approval by the State of the Operator acceptable to the State of Registry is required prior to conducting operations using aircraft surveillance systems in the U.S.
NAS. Operational procedures must be included in the carrier’s manual and training for specific aircraft surveillance systems operations must be approved/accepted by the foreign CAA in accordance with ICAO Annex 6. Foreign air carriers wishing to perform aircraft surveillance systems operations in the U.S. NAS must provide the FAA with evidence of operational approval/authorization by the State of the Operator CAA and airworthiness approval/acceptance by the State of the Operator and State of Registry. The FAA may then authorize operations specified in 6.2.1.1.1 of this AC via OpSpecs. Aircraft surveillance systems operations by foreign air carriers in international airspace (e.g., within the New York Oceanic area or the West Atlantic Route System) do not require FAA authorization.
3.3. U.S.-Registered Aircraft - AFM Provisions. U.S.-registered aircraft used by foreign persons or foreign air carriers for aircraft surveillance system operations anywhere must have FAA type design approval. AFM provisions must reflect an appropriate level of aircraft surveillance system capability that meets the features and characteristics of avionics systems as outlined in this AC, or other acceptable criteria approved by the FAA. Approval of aircraft surveillance system installations on U.S.-registered aircraft shall be in accordance with section 5 of this AC.
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