Advisory US. Department of Transportation Circular Federal Aviation Administration Subject: Dale: 4/20/89 AC No: 99-1C Initiated by: ATO-140 Change:
SECURITY CONTROL OF AIR TRAFFIC PURPOSE: This Advisory Circular (AC) provides civil aviation with recommended practices for operating aircraft within an air defense identification zone (ADIZ) or when penetruting 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 Emergency Security Control of Air Traffic (ESCAT) procecures are implemented.
2. CANCELLATION. AC 99-1B dated August 2, 1985, is cancelled.
3. REFERENCES.
a. Federal Aviatin Act of 1958, Section 1202.
b. Federal Aviation Regulations, Part 99.
4. BACKGROUND.
a. FAR Part 99 prescribes rules for operating civil aircraft within a defense area, (airspace of the United States other than airspace designated as an ADIZ within which the ready control of aircraft is required in the interest of national security during an air defense emergency or defense emergency) or into, within a detense area, or into, within, or out of the United States through a designated ADIZ. Additionaily, Part 99 prescribes rules relating to communications and flight plan requirements, position reporting, deviations from flight plans, and deviations from AIC 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 (NORAD) 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:
No person may operate an aircraft within or penetrate an ADIZ unless he/she has filed a flight plan with an appropriate 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 below 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 99.12, Transponder-on requirements which states:
Unless otherwise authorized by AIC, each person who operates a civil aircraft equipped with an operable AIC transponder into, within or out ci an ADIZ shall operate that transponder, including the altitude encoder, and reply on the appropriate code or on a code assigned by ATC.
6. OPERATING DURING AN AIR DEFENSE EMERGENCY/AIR DEFENSE ALERT. When an advance state of Air Defense Alert exist or when an Air Defenie Pmergency has been declared, airmen are to be guided by FAR 99 and the following DOD/NORAN requirements:
a. Comply with all instructions received from an appropriate aeronautical facility* and the special procedures for SCATANA when implemented.
b. Comply with all instructions received from any appropriate aeronautical facility* and the special security procedures for 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 of the proposed time of departure specified in the flight plan unless the actual time of departure is reported to an appropriate aeronautical facility.
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 ATC facility/military radar unit, Aeronautical Radio Incorporated (ARINC) station, or military communication facility.
c. Aircraft flights which are operated in excess of specific tolerances are subject to interception to confirm their identity. The 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 commerce.
d. Aircraft operating within an ADIZ may be exempted from the national security requirements of Part 99 except as 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 (10) nautical miles (NM) of its departure point.
(2) Is operating in the Alaska ADIZ at a true air speed (IAS) 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) N's of the coastline of any island in the Hawaii ADIZ.
(4) Is operating at a IAS of less than 180 knots in the Guam ADI?.
8 . EXEMPTIONS. Except for compliance with Sections 99.7 and 99.12, exemptions may be granted by air route traffic control centers (ARTCC's) on a local basis for some operations associated with an ADIZ.
9. SPECIAL SECURITY CONTROL PROCEDURES.
a. Then an Air Defense Alert or Defense Emergency 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.
(1) Under the provisions of the SCATANA Plan the military (NORAD units) will direct actions to be taken in regard to recall landing, grounding division and rerouting etc., or aircrait 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. This partial implementation of SCATANA procedures is referred to as ESCAT procedures. When ESCAT is implemented the appropriate military authority will request air traffic facilities to broadcast the necessary instructions over available air/ground frequencies.
(1) Depending upon instructions received, airmen operating under ESCAI 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 comply with specific instructions issued by an appropriate aeronautical facility.
(b) Reroute 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 all times when conducting flight operations.
(3) Release from complying with ESCAT procedures will be authorized through 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. be identified by type only. The interception pattern described below is the • type of the integion witem decited helow it thll 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 accomplish the identification. The flight leader and his wingman will coordinate their individual positions in conjunction with the ground controlling agency. Their 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) Phase Two - Identification Phase: The intercepted aircraft should expect to visually acquire the lead interceptor and possibly the wingman during this phase in visual conditions. The wingman will assume a Page 4
AC 99-1C 4/20/89 surveillance position while the flight leader approaches the unknown aircraft. Intercepted aircrew personnel may observe the use of different drag devices to allow for speed and position stabilization during this phase. The flight leader will then initiate a gentle closure roward 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 interceptor aircrews know or believe that an unsafe condition exists, the identiticatior chase 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 completion 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. Comunications 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 communication with the intercepting aircraft or with the appropriate intercept control urit by making a general call on the emergency frequency 243.0 Miz and repeating this 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 comply with the instruction given by the intercepting aircraft.
an JOHN R. RYAN Director, Air Traffic Operations Service Page 5
Appendix 1 APPENDIX 1
INTERCEPTION PATTERNS
FOR IDENTIFICATION OF
INTERCEPTED AIRCRAFT (TYPICAL)
APPROACH IDENTIFICATION PHASE POST INTERCEPT PHASE
PHASE (DAY)
TRANSPORT
INTERCEPTORS
WINGMAN
FLIGHT LEAD Note: During Night/IMC, approach will be from below flight path.
Appendix 1 APPENDIX 1
INTERCEPTION SIGNALS Signals initiated by intercepting aircraft and responses by Intercepted aircraf (as set forth in ICAO AnDex 2 - Appendix A, 2.1) Series INTERCEPTING Aircraft Signals Meaning INTERCEPTED Aircraft Responds Meaning DAY - Rocking wings from a position in front You bave been AEROPLANES Undertood. anil and. normally. io the left of uncercepted aur. mue roepted DAY - Rocking wings and following comply orall and. aller acknowledgement. a dow Follon IDe level tum, normally to the left, on lo the desired headung.
NIGHT - Same and, in addwon, Dashung NIGHT - Seme and. in addwon. Mash.
navigaucrial lighus al unregular inservais De sangauonal lights al uregular unver val:
Nole 1 - Mereorological conduions or ler raux may require ine usercepiung aucral lo lake up a pastion in from and to the ript of ihe usercepted aucrap and lo make the sub sequeni sura lo lhe righi Nose 2 - If ine undercepied aucraft us nor HELICOPTERS able to keep pace wik the wverceptung ou DAY or NIGHT - Rocking eircraf crap. the lauler is expecied 10 fly a serves of leebone aerigatonel lighu a irregular in.
race-irack pallerns and io rock us wungs servals and followne each lime a passes ihe viercepled aucray.
DAY or NIGHT - An abrupe break away You may proderd AEROPLANES ¡ Undertood. mi maneuver from the mercepted aueral con DAY or NIGHT - Rocking mungs comply sulung of a clumbung cum of 90 degrees or more anchous rossing the line of Might of the
HELCOPTERS DAY or NIGHT - Rocking Arcraf DAY - Cucting aerodrome. lomenne Lending Land as this AEROPLAVES Understood wi geir and overlying runway in direcion of seradrome DAY - Lowering Landing gear, follow carr. pis landing or. If the intercepeed aucrats is ng the interoepeed aucrat and. i aller helicopter, overflying the bescopter Landing overtlying the runway landing is consid ares ered sale, proceedung to land NIGHT Same and, in addition showing steady landung lighu (u cared) NIGHT - Same and. in action. showing HELCOPTERS sleady, anding lighis DAY or NIGHT - Following the racercepe of arrati and procoeding to end, show of • ready Landing light (I cared Page 2
Appendix 1 APPENDIX 1
INTERCEPTION SIGNALS Siguals and Responses During Aircraft Intercep!
Signals initiated by intercepted abrcraft and responses by intercepting aircran (as set forth in ICAO Annex 2 - Appoodix A, 22) Series INTERCEPTED Aircraft Signals Meaning INTERCEPTING Aircraft Responds Meaning NEROPLANES: Aeratorse you DAY or NIGHT - If it is danired thee the Undertond, follow DAY - Raising Leading gear while pees- have despased inercopied aircral: follow the insercopang we over landing naway al a heighs exceed. is inadequare aircrafa 1o an alvemate aerodrome, the ng 300m (1,000 fs) bur sos exceedung 600g ravercaping aircraft raises ias landing peer (2,000 11) above the asrodrome level, and red uses the Series I signals prescribed continuing to circle the maradrase for intercepting aircrat.
NIGHT - Flashing Landing Ligher utile passing over landing runaray a a beighi eseding 300m (1,000 ft) bur bai excreding O0m (2,000 (1) above the serodrome leve und continuing to circle the serodrome. If mable 10 flash landing lights, flash any exber ligher available If is is decided vo relesse the intercepted Usderstood, you may aircraft, the intercepang aircraft sues the proosed Series 2 signals prescited for interceping aircraf AEROPLAVES Cranor comply. DAY or NIGHT - Use Series 2 sipaals • Understood DAY or NIGHT - Regulu swiching on prescribed for intercepting aircre/l and off of all available ligbes bur in roch a manner as 1o be distina from Mashing lights.
AEROPLANES: In distress. DAY or NIGHT - Use Senes 2 Limals Undersiond.
DAY or NIGHT - Irreguler Dashing of prescribed for murce peing arcraft all eveilable Lighes.
HELICOPTERS:
DAY or NIGHT - Ireguler Pluching of all avalable lighis.
Darn 2
Appendix l APPENDIX 1
AIR DEFENSE IDENTIFICATION ZONE
DEFENSE AREA AND DESIGNATED MOUNTAINOUS AREAS page