Advisory Circular Subject: D9C: 4/20/89 ACNo: gg-lc Edtinted by: ATD-140 Change:
SECURITY CONTROL OF AIR TRAFFIC
1. PURPOSE : This Advisory Circular (AC) provides civil aviation with recarwx practices for operating aircraft within an air defense identification zone (ADIZ) or when penetr,ting an ADIZ during peacetime conditions. Additionally, the AC specifies the procedures for use during an air defense emergency/defense emergency or prior to these declarations when procedures for the Security Control of Air Traffic and Navigation Aids (SCATANA) are in effect. Further, the AC provides information for airmen to use when area/sector/regional Emerge,lcy Security Control of Air Traffic (ESCAT) procedures are implemented.
2. CAN~TION. - AC 99-1B dated August 2, 1985, is cancelled.
3. PEFERENCES.
a. Federal Aviation Act of 1958, Section 1202.
b. Federal Aviation Regulations. Part 99.
4. BACKGROUND.
a. FAR Part 99 prescribes defense area, (airspace of the an ADIZ within which the ready of national security during an rules for operating civil aircraft within a United States other than airspace designated as control of aircraft is required in the interest air defense emergency or defense emergency) or - into, within a defense area, or into, within, or out of the United States through a designated ADIZ. Additionally, Part 99 prescribes rules relating to communications and flight plan requirements, position reporting, deviations from flight plans, and deviations from ATC clearances. Part 99 also relates to procedures for special security control of air traffic which may be implemented under certain conditions of national defense.
b. The North American Aerospace Defense Command (NOPa) is the principle agent of DOD responsible for the air defense of the United States. In executing its responsibility, NORAD has adopted certain procedures for movement of aircraft during emergency wartime conditions. NORAD has also issued certain operational standards for aircraft entering an ADIZ and prescribed criteria for identifying aircraft operating within or penetrating any ADIZ as friendly, unknown, or hostile.
5. DAY To DAY OPERATING PROCEDURES TO OPERATE IN AN AIR DEFENSE AREA.
Airmen planning to operate aircraft within or penetrate an ADIZ, are to be guided by FAR 99 and the following:
.:
AC 9%1C 4/20/89 . NO persol may operate an aircraft within or penetrate an ADIZ unless he/ste has filed a flight plan with an apprapriate aeronautical facility.
b. All flight plans must specify transponder capabilities if a transponder is installed. If ATC cannot authorize an abbreviated flight plan, then compliance with c and d belch is required.
C. Instrument Flight Rules (IFR) flight plans must include the information specified in FAR Section 91.83.
d. Visual Flight Rules (VFR) flight plans shall be designated as Defense Visual Flight Rules (DVFR) flight plans and include the information specified in FAR Section 91.83 (a) (1) through (7).
e. Comply with Section 39.12, Transponder-on requirements which states:
Unless otherwise authorized by ATC, each person who operates a civil aircraft equipped with an operable AK transponder into, within or out cf an ADIZ shall operate that transponder, including the altitude encoder, and reply on the appropriate code OK on a code assigned by ATC.
6. OPERATING DURIHG AN AIR DEFENSE EHERGE?KYI’AIR DEFEWE ALERT. When an advance state of Air Defense Alert exist or when an Air Defense Rnergency has been declared, airmen are to be guided by FAR 39 and the following DoD/NOrw> requirements:
a. Comply with all instructions received from an appropriate aeronautical facility* and the special procedures for SCATAM when implemented.
b. Comply with all instructions received from any appropriate aeronautical faczty* and the special security procedures fo: ESCAT when implemented.
7. AIRCRAFT POSITION TOLERANCES. Airmen operating an aircraft along a route which originates in or penetrates an ADIZ are required to adhere to these NORAD aircraft position tolerance:
a. Make good actual reporting times within five (5) minutes or less of the estimated time over each reporting point or point of penetration of an ADIZ or, in the case of a flight originating within an ADIZ, depart within five (5) minutes r,f the proposed time o plan unless the actual time of f departure specified in the flight aeronautical facility.
departure is reported to an appropriate
b. Maintain a distance of no more than ten (10) nautical miles from the centerline of the route of flight if the flight is entering or operating within an ADIZ, or twenty (20) nautical miles from the centerline of the route of flight if the flight is entering or operating within a coastal ADIZ or the Alaska ADIZ.
* Any FAA Center/Tower/FSS, military AT.C facility/military radar unit, Aeronautical Radio Incorporated (ARINC) station, or military camnunication facility.
C. Aircraft flights which are operated in excess of specific tolerances are subject to interception to confirm their identity. 'Ihe unnecessary dispatch of manned interceptors is costly to the United States. Moreover, the element of surprise to pilots, crew members, and passengers of civil aircraft may be unsettling and damaging to air camnerce.
d. Aircraft operating within an ADIZ may be exempted from the national security requirements of Part 99 except a s may be applicable under Section 99.7, Special Security Instructions, and 99.12, Transponder-on requirements, if the aircraft:
(1) Is operating within the 48 contiguous states or the District of Columbia or within the State of Alaska and remains within ten (1C) nautical miles (NM) of its departure point.
(2) Is operating in the Xlaska ADIZ at a true air speed (TAS) of less than 180 knots while the aircrew maintains a listening watch on appropriate radio frequencies.
(3) Is OF :ating over any island or within (3) NM's of the coastline of any island in tht Hawaii ADIZ.
(4) Is operating at a TAS o- f less than 180 knots in the Guam ADIZ.
B 8. EXEMPTIONS. Except for compliance with Sections 99.7 and 99.12, exemptions may be granted b;~ air route traffic control centers (ARTCC's) on a local basis for some operations associated with an ADIZ.
9. SPECIAL SECURITY CONTROL PROCEDURES.
a. !!hen an Air Defense Alert or Defense Einergency Conditions is declared, additional special security procedures may be implemented. These procedures are in accordance with the SCATANA Plan which may be implemented nationally or in large areas of the United States.
(I.) Under the provisions of the SCATAW Plan the military (NORAD units) will direct actions to be taken in regard to recall landing, grounding division and rerouting etc., of aircraft and the control of air navigation aids in the United States until the provisions of the Plan implemented are suspended or modified.
(2) Release from the requirements of the SCATANA Plan or some elements of the Plan will be announced through the air traffic system when authorized by the appropriate military authority.
b. Under some area or regional air defense threat situations only a portion of the SCATANA Plan may be implemented. 'Ihis partial implementation of SCY.TANA procedures is referred to as ESCAT procedures. When ESCAT is implemented the appropriate military authority uill request air traffic facilities to broadcast q e necessary instructions over available air/ground frequencies.
&we 3
AC 99-1C &/20/89
(1) Depending upon instructions received, airmen operating under ESCAT procedures may be required to comply with several actions to conduct their operations.
(a) File IFR/VFR flight plans to operate in the areas/regions affected and cmply with specific instructions issued by an appropriate aeronautical facility.
(b) Rerotlte or divert from their proposed line of flight to alternate airports.
(c) Delay on the ground and to secure approval of their proposed flight through FAA facilities prior to conducting flight operations.
(2) In view of the urgency of the air defense situation when ESCAT procedures are implemented airmen should guard an ATC or FSS frequency at al times when conducting flight operations.
(3) Release from complying with ESCAT procedures will be authorized thrsugh air traffic facilities by appropriate military authority.
10. INTERCEPTION PROCEDURES. In the event it is determined that an air identification intercept is to be initiated against an aircraft to verify its identity, its aircrew should anticipate some or all of the following sequence of events to occur.
a. General. Identification intercepts during peacetime operations are vastly different than those conducted under increased states of readiness.
Unless otherwise directed by the control agency, an intercepted aircraft will be identified ‘5~ type only. The interception pattern described below is the typical peacetime method used by air interceptor aircrews. In all situations, the interceptor aircrew will use caution to avoid startling the intercepted aircrew and/or passengers.
b. Intercept Phases.
(1) Phase One - Approach Phase: During peacetime, intercepted aircraft will be approached from the rear. Generally, two interceptor aircraft will be employed to accanplish the identification. The flight leader and his wingman will coordinate t!leir individual positions in conjunction with the ground controlling agency. ‘Iheir relationship will resemble a line abreast formation. At night or in instrument conditions, a comfortable radar trail tactic will be used. Safe vertical separation between interceptor aircraft and an unknown aircraft will be maintained at all times.
(2) F%ase Two - Identification Phase: The intercepted aircraft should expect to visually acquire the lead interceptor and possibly the wingman, Page 4 .
t ’ 1 during this phase in visual conditions. The wingman will assume a 0
4120189 AC 99-1C surveillance position while the flight leader approaches the unknown aircraft. Intercepted aircrew personnel may observe the use of different drag devices to allaw for speed and position stabilization during this phase. The flight leader will then initiate a gentle closure Loward the intercepted aircraft stopping at a distance no closer than absolutely necessary to obtain the information needed. The interceptor aircrews will constantly keep in mind that the maneuvers considered normal to a fighter aircraft may be considered hazardous to passengers and crews of a nonfighter aircraft. When intercf?ptor aircrews ITKX+J or believe that an unsafe condition exists, the identification phase will be terminated. As previously stated, during darkness or instrument conditions, identification of unknown aircraft will be by type only. Positive vertical separation will be maintained by the interceptor aircraft throughout this phase.
(3) Phase Three - Post Intercept Phase: Upon canpletion of the identification phase, the flight leader will turn away from the intercepted aircraft. The wingman will remain clear and accomplish a rejoin with his leader.
C. Ccxsnunications between interceptor aircrews and the ground controlling agency are essential to ensure successful intercept completion. Flight safety shall always be considered paramount. An aircraft which is intercepted by another aircraft shall immediately:
(1) Follow the instructions given by the intercepting aircraft, interpreting and responding to the visual signals.
(2) Notify the appropriate air traffic facility, if possible.
(3) Attempt to establish radio ccnmnunication with the intercepting aircraft or with the appropriate intercept control urit by making a general call on the emergency frequency 243.3 YHz and repeati.ng tILs call on the emergency frequency 121.5 MHz, if practicable, giving the identity and position of the aircraft and the nature of the flight.
(4) If equipped with secondary surveillance radar transponder, select Mode 3/A Code 7700, unless otherwise instructed by the appropriate air traffic service unit. If any instructions received by radio from any sources conflict with those given by the intercepting aircraft by visual or radio signals, the intercepted aircraft shall request immediate clarification while continuing to canpZy with the instruction given by the intercepting aircraft.
ctor, Air Traffic Operations Service Page 5
Appendilt 1 ApPRNDIXl lNTERCEPTlON PATTERNS
FOR IDENTIFBCATIDN OF
INTERCEPTED AIRCRAFT (TVPICAL)
APPROACH
PHASE (DAY, IDENTIFICATION PHASE )oST INTERCEPT PHASE
WINGMAN
FLIGHT LEAD Note. Dump Nqht/IMC.
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AC 9%1C Appendix 1 APPENDIX 1
WTERCESIION SIGNALS . . . \ ‘.
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AC 99-1C Appendix 1 APPENDIX1 INTERCEPi-ION SIGNALS series 4 5 6 INTEFtCEPlEDAimaft Signals MaliJIg -pu -- iaplaqw.e cmma amply.
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4/20/89 APPENDIX1 -1 I -- I *m , 1