REGULATORY APPROACH FOR THE 2 ND PHASE OF THE AIR-GROUND VOICE CHANNEL SPACING

Transcription

1 EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATION EUROCONTROL SINGLE EUROPEAN SKY (SES) REGULATION REGULATORY APPROACH FOR THE 2 ND PHASE OF THE AIR-GROUND VOICE CHANNEL SPACING 14 September 2010 Released Edition 2.0

2 DOCUMENT CONTROL DOCUMENT CHANGE RECORD The following table records the complete history of the successive editions of the present document Edition Edition Number Date Reason for Change Pages Affected First Draft All Second Draft All Third Draft, changes for distribution for the 8.33 PSG2 All Redlines after PSG Update following comments from the PSG members All Released for written consultation All Update following the written consultation All Update following internal review All Released version Status: Released Edition No: 2.0 Date: 14 September 2010 Document No: - i -

3 TABLE OF CONTENTS DOCUMENT CONTROL... I TABLE OF CONTENTS... II EXECUTIVE SUMMARY... III 1. INTRODUCTION Air-Ground Voice Channel Spacing Mandate Document Purpose and Scope Consultation to Date BACKGROUND Introduction Voice Channel Spacing Environment Demand for VHF assignments Problems Giving Rise to Regulatory Action INTEROPERABILITY ANALYSIS Subjects covered by regulatory prescriptions ALTERNATIVES FOR THE REGULATORY APPROACH Scenario Scenario State Aircraft Requirements IMPACT ASSESSMENT khz Channel Spacing Works More needs to be done to meet future demand The Penalties of the DO NOTHING Scenario Additional Potential Benefits for State Aircraft and General Aviation Phased Approach Scenario Analysis Safety Selected scenario Summary OBJECTIVES AND SCOPE OF THE DRAFT IMPLEMENTING RULE Objective Scope Refinement of the Essential Requirements ARTICULATION OF DRAFT IMPLEMENTING RULE WITH COMMUNITY SPECIFICATIONS OVERALL STRUCTURE OF THE DRAFT IMPLEMENTING RULE ANNEX 1: JUSTIFICATION FOR THE EUROCAE ED23-C RECOMMENDATION ii -

4 EXECUTIVE SUMMARY Demand for new frequencies to support aeronautical VHF air-ground voice communications continues to grow, therefore this will make the task of finding suitable frequencies even more difficult that it is already today. The increasing frequency congestion in parts of Europe will result in long delays to find available frequencies. The main means to overcome frequency congestion in the medium to long term is to reduce the spacing between channels from 25 khz to 8.33 khz, thereby fitting a greater number of channels into the existing frequency band. The original ICAO decisions concerning the requirement for 8.33 khz channel spacing were made in 1994 and 1995, and were substantiated by subsequent EUROCONTROL decisions. The non-binding nature of these decisions meant that certain stakeholders had only partially committed to the implementation of 8.33 khz. Therefore in 2005 the European Commission issued a Mandate to EUROCONTROL for the development of a draft implementing rule on Air-ground Voice Channel Spacing (A-VCS IR) to support the deployment of 8.33 khz in Europe. After consultation with stakeholders the European Commission decided to adopt a phased approach, first addressing the deployment of 8.33 khz above FL195. Provisions for 8.33 khz above FL195 were published in Commission Regulation (EC) No 1265/2007 (the A-VCS IR) on 27 October Following an evaluation of the results of 8.33 khz above FL195 implementation and after detailed analysis of the medium and long term demand for VHF frequencies it has been decided to proceed with the development of an update to the A-VCS IR to address the deployment of the 8.33 khz below FL195. The objective of this document is to present a Regulatory Approach (RA) for the A-VCS IR update and to propose two options/scenarios for the development of the update. The proposed phased deployment options/scenarios are summarised as follows: Scenario 1 Development of regulatory provisions identifying three implementation milestones. Forward Fit Phase starting from 2012 to ensure all new radios comply. Interim Phase for 2014 to ensure a given number of conversions take place. Final Phase for 2018 to ensure 8.33 khz spacing of all possible voice channels. Scenario 2 Development of regulatory provisions identifying two implementation milestones. Forward Fit Phase starting from 2012 to ensure all new radios comply. Final Phase for 2018 to ensure 8.33 khz spacing of all possible voice channels. After the written consultation with the stakeholders (the 8.33 khz Programme Steering Group, the Stakeholders Consultation Group and the Civil-Military Interface Standing Committee), the consolidated results have shown no clear preference for any of the proposed options. Therefore, after the analysis of the received responses it was decided to combine the two options and to put forward as the basis for the update of the A-VCS IR a - iii -

5 scenario containing an interim phase applicable to those States agreeing to it, followed by the final phase, applicable to all the Member States. Subject to acceptance of the proposed approach by the European Commission, the update of the A-VCS IR will take place aiming at the delivery of the draft Final Report and launch of the formal consultation on the draft implementing rule before the end of 2010 followed by the delivery to the European Commission of the resulting Final Report in the second quarter of iv -

6 1. INTRODUCTION 1.1 Air-Ground Voice Channel Spacing Mandate The purpose of the European Commission s mandate (to EUROCONTROL) was to develop an Implementing Rule (IR) for the deployment of air-ground Voice Communications Systems based on reduced (8.33 khz) channel spacing within the European Air Traffic Management Network, EATMN. This was done to provide a proper regulatory framework associated with the deployment of 8.33 khz channel spacing. The regulatory framework includes requirements specific to ANSPs, airspace users, airspace of application, Member States, implementation conditions including transitional arrangements, applicable procedures, conformity assessment and safety. The target is a coordinated deployment of reduced channel spacing within the EATMN. Following the development of a first edition of the Regulatory Approach (SES/IOP/VCS/REGAP/1.0) released in December 2005 and after a written consultation with the concerned stakeholders and accepted by the European Commission in January 2006, it was decided to address the scope of the mandate in two phases. The first phase focussed on the deployment of 8.33 khz channel spacing in the airspace above flight level 195 (FL195). This first phase was completed with the adoption and publication of the Commission Regulation (EC) No 1265/2007 (published in the Official Journal of the European Union on 27 October 2007 and referred to as the A-VCS IR in this document). In the context of the original mandate, the current document addresses the second phase of the scope of mandate, which is the extension of the deployment of 8.33 khz channel spacing in the airspace below FL195. This will result in an update to the A-VCS IR. 1.2 Document Purpose and Scope Purpose The Regulatory Approach document gives an overview of the regulatory provisions and identifies and analyses the topics that shall be covered by the draft A-VCS IR update. It proposes alternatives for the development of the draft A-VCS IR update. In practical terms it is expected that the outcome of the regulatory work will represent an amendment to the existing A-VCS IR enlarging its general scope to address the airspace below FL195. Following the comments received from stakeholders during the written consultation, a scenario merging the two proposed ones has been retained as the basis for the development of the draft Implementing Rule. The support for this new scenario has also been expressed during an ad-hoc meeting of the Programme Steering Group, held after the written consultation Objectives The objectives of the Regulatory Approach are: To clarify the objective and the scope of the rule. To provide an interoperability analysis from the regulatory standpoint. To analyse different possible alternatives for the development of the draft implementing rule. To provide an analysis of the conformity assessment aspects. To propose an articulation between the rule and its means of compliance

7 To define the overall structure of the rule. However it should be noted that as the extension of the deployment of 8.33 khz channel spacing in the airspace below FL195 will materialise in the update of the existing A-VCS IR, the current document is mainly focussing on the changes that shall be brought to this regulation. 1.3 Consultation to Date The proposed draft regulatory approach document was submitted to a written consultation between 7 May and 3 June The document was circulated to the members of the 8.33 khz Programme Steering Group, the Stakeholders Consultation Group and the Civil-Military Interface Standing Committee. The consultation triggered a number of 31 responses, coming mostly from air navigation providers and national supervisory authorities but also from military authorities, industry as well as from international organisations and associations. International Org. Industry MIL CAA Other Scenario 2 Scenario 1 ANSP The responses showed a split preference between the two proposed scenarios, none of being supported by a majority of stakeholders

8 16% 49% Scenario 1 Scenario 2 Other 35% However, the geographical distribution of the preferred options showed a clear grouping of the stakeholders supporting the Scenario 1, in the core area of Europe, while Scenario 2 was supported mostly by stakeholders situated outside this area. Interim Phase Supported Interim Phase Partially Supported Interim Phase Not Supported Following these results it was decided to merge the two proposed scenarios by taking a phased approach based on geographical regions. Therefore the interim phase, as proposed - 3 -

9 by Scenario 1, will only apply to those States agreeing to it and which will be explicitly identified in an Annex to the updated A-VCS IR, while Scenario 2 will apply to all Member States within the scope of the Regulation

10 2. BACKGROUND 2.1 Introduction The objective of this section is to put into context the subject of reduced voice channel spacing, and explain why it is required. A description of the current VHF communications environment is provided in terms of institutional, operational and technical aspects. It is followed by a high level description of the problems giving rise to the need for regulatory action. 2.2 Voice Channel Spacing Environment Institutional The frequency band MHz is allocated on a worldwide basis to the Aeronautical Mobile Route Service (AM(R)S) and is used mainly for air/ground voice communications and, to a lesser extent, air/ground data communications. Each State has its own Telecommunications Administration authority which is normally responsible for regulating the use of the radio spectrum. In bands allocated to aeronautical services such as AM(R)S, this responsibility is often delegated to the Civil Aviation Authority of the State. In the European Region, activities relating to frequency co-ordinations, including the maintenance of the table of VHF communications assignments, are handled on behalf of ICAO by EUROCONTROL. Before a new frequency assignment can be made, it must be co-ordinated in order to give all potentially affected authorities in neighbouring States the opportunity to check that the proposed new assignment is compatible with existing assignments in their State. If an incompatibility is found, an objection can be raised. As a result of congestion in the VHF communications band, the ICAO Frequency Management Group (FMG) holds special meetings every 6 months to address those requirements for which an available channel can only be identified by moving one or more existing assignments to another channel Operational The Aeronautical Mobile Route Service frequencies band ( MHz) is the main communications band for line-of-sight air-ground communications and is used at all airports, for en route, approach and landing flight phases and for a variety of short-range tasks for general aviation and recreational flying activities (e.g. gliders and balloons). To satisfy increased demand and reduce frequency congestion in high-density traffic areas, the channel width has been reduced on four occasions (from 200 khz to 100 khz in the 1950s, to 50 khz in the 1960s, to 25 khz in 1972 (Seventh Air Navigation Conference) and finally to 8.33 khz in Within this band we can find the following users and services (non-exhaustive list): Common air-to-ground frequencies which have been assigned to general aviation operations and sporting use such as the glider frequencies. Aeronautical fire station assignments. Air/Ground (A/G) A two way communication between an aircraft and a ground station to pass advisory information regarding the situation local to the aerodrome. Aerodrome Flight Information Service (AFIS) A two way communication between an aircraft and a ground station, in which the ground operator may only pass advisory information regarding the airborne situation local to the aerodrome but can pass instructions to aircraft on the ground at the aerodrome

11 Area Control Centre Service (ACC) - A two way communication between an aircraft and a ground station, in which the ground operator provides control instructions to the aircraft within a defined geographical region or sector. Approach (APP) - A two way communication between an aircraft and a ground station, in which the ground operator controls the aircraft in the vicinity of an aerodrome traffic zone when the aircraft is not flying by visual reference to the aerodrome. Automatic Terminal Information Service (ATIS) - A broadcast transmission from a ground station to one or more aircraft in which information relating to the aerodrome from which the transmission is being made is conveyed. Aerodrome Surface (AS) A two way communication between an aircraft and a ground station, in which the ground operator provides either control to or information for an aircraft on the ground. This category includes Ground Movement Control (GMC) & Fire. Flight Information Service (FIS) - A two way communication between an aircraft and a ground station, in which the ground operator may only pass advisory information as requested by the pilot. This information may include situation awareness and weather information. VOLMET - A broadcast transmission from a ground station to one or more aircraft in which meteorological information relating to a number of aerodromes is provided. Tower (TWR) - A two way communication between an aircraft and a ground station, in which the ground operator controls the aircraft in the vicinity of an aerodrome traffic zone when the aircraft is flying with visual reference to the aerodrome. Operational Control (OPC) - A two way communication between an aircraft and a ground station required for the exercise of authority over the initiation, continuation, diversion or termination of flight for safety, regularity and efficiency reasons. Frequency MHz is the aeronautical emergency frequency and is designated in the Radio Regulations for general distress and safety and Emergency Locator Transmitter (ELT) purposes. Frequency MHz is the frequency designated as the auxiliary to MHz. This frequency is to be used as a supplementary search and rescue frequency. Frequency MHz is the frequency designated for air-air communications between aircraft engaged in flights over remote and oceanic areas and while out of range of VHF ground stations Technical The technical characteristics of transmissions in the VHF communications band are specified in Annexes 10 and 11 to the Convention on International Civil Aviation. In addition, the equipment, services, systems and facilities must comply with the applicable Radio Regulations of the ITU. The equipment and systems should be designed and constructed to operate within the AM(R)S allocation MHz to MHz, the first and last assignable frequencies being MHz and MHz. Channel spacing is either 25 khz or 8.33 khz using Double Sideband (DSB) Amplitude Modulation (AM)

12 2.3 Demand for VHF assignments A forecast of the future frequencies demand has been produced based on the analysis of the past 11 years in the Frequency Usage Analysis Project (Ref CCS-VHF-STU-03, 2008). The analysis did take into account the different demand evolution for different services/users and in different European countries. It concluded that a linear growth model is the one that better predicts the mid to long term requirements. The following chart shows the past evolution and the forecast number of ATS frequency assignments in three different European areas PAST ATS Assignments growth AREA I AREA II AREA III Linear (AREA II) Linear (AREA III) Linear (AREA I) Area I = Austria, Belgium, Luxembourg, Germany, France, Switzerland, the Netherlands, the United Kingdom. Area II = Albania, Bosnia Herzegovina, Croatia, Czech Republic, Denmark, FYROM, Greece, Hungary, Ireland, Italy, Norway, Poland, Portugal, Serbia, Montenegro, Slovak Republic, Slovenia, Spain, Sweden. Area III = Algeria, Armenia, Belarus, Bulgaria, Cyprus, Egypt, Estonia, Finland, Georgia Iraq, Jordan, Island, Israel, Latvia, Lebanon, Libya, Lithuania, Malta, Morocco, Romania, Syria, Tunisia, Russia, Turkey, Ukraine. In view of the past experience and to avoid the possibility of significant delays due to shortage of frequencies, this document will assume a linear growth in demand at least for the next 15 years until the contributions of SESAR technologies can be estimated with more certainty. 2.4 Problems Giving Rise to Regulatory Action Problem identification The frequency band in which VHF communications assignments are made is from MHz to 137 MHz. With channels spaced by 25 khz, that gives approximately 760 channels in the band. Those 760 channels are not allocated once, but rather re-used as many times as - 7 -

13 possible (i.e. the same channel can be used again at a different location as long as the distance between them is sufficient to avoid interference). The planning rules used for determining frequency re-use, derived by ICAO, are designed to minimise the risk of a user experiencing interference from other users of the same frequency. The situation is, therefore, that there are a finite number of channels and fixed planning rules, yet an increase in the demand for frequency assignments. For more than 10 years it has been impossible to efficiently meet all the demand for new frequencies in the central European States and the situation is getting worse with the frequencies congestion spreading to a bigger geographical area. Previous conversions to 8.33 khz channel spacing have reduced frequency congestion, but have not managed to eliminate it and core area States find it increasingly difficult to satisfy the demand for new VHF assignments. The ICAO Frequency Management Group Block Planning (BP) meetings coordinate the assignments of new frequencies to meet the declared European frequencies demand. The diagram below shows the results of the BP meetings since 1997, it contains: The evolution of the number of requested frequency assignments (i.e. the Requirements). The evolution of the number of potential solutions that could be found (i.e. the proposed frequencies). The evolution of the number of potential solutions that could effectively be implemented (i.e. the coordinations). In some cases the potential solution can not be implemented for a variety of reasons (e.g. interference). In order to show that frequency congestion is not the same all over Europe two diagrams are provided for two sets of States: Initial 8.33 States = Austria, Belgium, Luxembourg, Germany, France, Switzerland, the Netherlands. Other States = Albania, Belarus, Bulgaria, Bosnia Herzegovina, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, FYROM, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Malta, Norway, Poland, Portugal, Romania, Serbia, Montenegro, Slovak Republic, Slovenia, Spain, Sweden the United Kingdom. The following States are also considered because their frequency assignments can have an impact on the European spectrum availability: Algeria, Armenia, Egypt, Georgia, Iraq, Jordan, Island, Israel, Lebanon, Libya, Morocco, Syria, Tunisia, Russia, Turkey, Ukraine. The chart also shows the dates for the first 8.33 khz implementation in the initial 8.33 States, the Horizontal Expansion (HEX) to most of the EUR region and the Vertical Expansion (VEX) to FL

14 40 Block Planning Meeting Results Initial 8.33 States Initial 8.33 State's Requirements Initial 8.33 State's BP proposed frequencies Initial 8.33 State's Coordinations Initial HEX 8.33 VEX Apr-97 Apr-98 Nov-98 Jun-99 Dec-99 Jun-00 Dec-00 Jun-01 Dec-01 Jun-02 Dec-02 Jun-03 Dec-03 Jun-04 Dec-04 Jun-05 Dec-05 Jun-06 Dec-06 Jun-07 Dec-07 Jun-08 Dec-08 Jun-09 Dec-09 The above diagram illustrates the significant amount of demand that has not been satisfied in the core Area and how the 8.33 khz implementation has so far satisfied only part of that demand. The gap between the requirements and the proposed frequency resolutions is a direct result of the frequency congestion. Ideally the number of proposed frequencies would be the same as the requirements, when it is not so it is because it was impossible to find suitable frequencies available. This gap narrows after each 8.33 khz implementation step for a short time, and then grows again because of the additional demand for more frequencies Block Planning Meeting Results Other States Other State's Requirements Other State's BP proposed frequencies Other State's Coordinations Initial HEX 8.33 VEX Apr-97 Apr-98 Nov-98 Jun-99 Dec-99 Jun-00 Dec-00 Jun-01 Dec-01 Jun-02 Dec-02 Jun-03 Dec-03 Jun-04 Dec-04 Jun-05 Dec-05 Jun-06 Dec-06 Jun-07 Dec-07 Jun-08 Dec-08 Jun-09 Dec-09 BP Nbr The above diagram illustrates that the frequency congestion is less serious outside the European core area

15 The inability to provide suitable VHF assignments in a timely manner is a constraint to the delivery of SESAR operational improvements such as: The creation and modification of sectors to better match traffic flows. The creation and modification of services like approach, tower, ATIS and OPC. The provision of backup services and spare assignments for avoiding interference. Satisfying Pan-European requirements such as accommodating VHF Data Link (VDL) services in the band to MHz. Theses operational improvements will deliver benefits such as reduced delays and/or increased capacity that would be postponed if the additional frequencies required are not available Possible solutions Technical solutions This section will discuss the validated technical solutions available today. Section below will discuss the future technologies expected from SESAR. The technical options available to create a greater number of channels include extending the frequency band allocated to the aeronautical mobile frequencies, increase the re-use of the available frequencies (i.e. by relaxing the frequency planning rules) and reducing the spacing between channels. Whilst extending the frequency band is theoretically an option, in reality it is extremely unlikely that this would be possible within the required timescales due to the fierce demand in that part of the radio spectrum. That leaves the option to relax the planning rules or to reduce the spacing between channels, thereby fitting a greater number of channels into the existing frequency band. Relaxing the planning rules would increase the risk of interference between services sharing the same frequency, which has safety implications. Reducing the spacing between channels in the VHF communications band has been successfully implemented on three previous occasions over the past forty years, made possible by advances in technology. A reduction from 25 khz channel spacing to 8.33 khz channel spacing was recommended during the European Regional Air Navigation Meeting (EUR RAN - Vienna, 1994) and the Special Communications and Operations Divisional Meeting (SP/COM/OPS - Montreal, March-April 1995). As a result, the mandatory carriage of 8.33 khz radio equipment was introduced above FL245 in the ICAO EUR Region on 7th October Initially, 7 Core Area States enforced mandatory carriage. As part of the Horizontal Expansion programme, a further 23 ICAO EUR Region States enforced mandatory carriage from October In response to increasing congestion in the aeronautical VHF band, the ICAO EANPG 44 meeting held in December 2002 decided to proceed with 8.33 khz vertical expansion below FL 245, in a phased approach, a first phase being the deployment of reduced channel spacing above FL195. This deployment was also supported by an EC Regulation (EC) 1265/2007. Data Link has mistakenly been perceived as a technical solution to the frequency shortage problem. It is a complement for voice communications that is being deployed in Europe. Data link will be used for routine communications; tactical communications will remain in voice. Therefore, data link does not free any voice channels, all existing voice channels will still be used when data link will be introduced. In addition to increasing safety, the benefit of data link is the increase of capacity for some en-route sectors. This will delay resectorisation to increase capacity for those sectors, therefore delaying part of the demand for

16 ACC frequencies. It will have no impact on the other sources of frequencies demand. Therefore, data link can not be considered as a solution to the long term shortage of frequencies; however it will be a very useful tool during the Interim Phase to reduce ACC frequency congestion Organisational solutions In January 2008 EUROCONTROL launched the Frequency Usage Analysis Project to address the Commission request, to estimate the potential for complementary measures to improve the effective utilisation of the band. The Commission also requested EUROCONTROL to assist in the evaluation of the impact on voice VHF assignments of the implementation of 8.33 khz channel spacing above FL195. The Frequency Usage Analysis project has identified in its Phase I that some frequency benefits can be produced: On short term through re-allocation of unused assignments identified, by accounting the reserved assignments, and through extension of some best practices in ACC and National Aerodrome assignments. On medium and long term by progressing several other studies and improvements such as revisiting frequency separation criteria or using dynamic allocation (long term). Those improvements will not be sufficient to satisfy the anticipated demand for VHF assignments on medium and long term. However, they would be very important during the proposed Interim Phase (described in section below) to reduce frequency congestion Availability of new technologies The Future Communication Infrastructure (FCI) was a study conducted by the FAA and EUROCONTROL to determine the best technology to meet future communications (for both voice and data). It also investigated the earliest time at which we can expect to see initial operational capability for the first elements of this new technology. Their conclusion is that the data communications part of the future infrastructure could start operations around No date for the voice communications part was given, but it would be after The SESAR Master Plan took into account the FCI study conclusions and adopted the FCI approach and dates Conclusions It can be concluded from the above that the only realistic, validated option to solve the medium to long term VHF congestion problems is the further deployment of air-ground voice communications based on 8.33 khz channel spacing Benefits of the regulatory action The regulatory work will build upon the existing A-VCS IR by enlarging its scope so as to address the airspace below FL195. It will define enforceable obligations on the Member States, ANSPs and airspace users, compelling them to meet their obligations with regard to:

17 The ground deployment of 8.33 khz channels, by addressing the 25 khz to 8.33 khz conversions, associated with specific timescales. The enforcement of mandatory carriage in order to mitigate against non-8.33 khz equipped aircraft, to reduce controller workload in transition zones. The handling of non-8.33 khz equipped State aircraft in order to maintain the safety levels. The requirements specific to ATM systems relating to 8.33 khz operations. Therefore the regulatory action will ensure a coordinated deployment of 8.33 khz channel spacing that will meet the overall European frequencies need. Without this regulatory action States would aim at maximizing local benefit which would lead to an uncoordinated deployment that might affect safety and may not timely meet the forecasted European demand of new frequencies

18 3. INTEROPERABILITY ANALYSIS The objective of this section is to identify the subjects that need to be covered by regulatory provisions so as to achieve the interoperability of the EATMN with regard to the deployment of 8.33 khz channel spacing. The section will focus on the regulatory subjects already included in the A-VCS IR and based on the final objective of converting all voice VHF assignments to 8.33 khz channel spacing (whenever feasible). It will also identify any new regulatory subjects which will have to be addressed in the A-VCS IR update. 3.1 Subjects covered by regulatory prescriptions The regulatory coverage identifies all subjects to be submitted to regulatory requirements in the draft Implementing Rule so as to ensure interoperability as well as the nature of these requirements for each subject. These subjects are as follows: The obligations for ANSPs these obligations will consider the conversion from 25 khz to 8.33 khz channels, the implementation of reduced channel spacing functionality in their systems (e.g. display of the a/c equipage status, inclusion of this status in the coordination processes), training, etc. Compliance with these requirements will have a positive impact on the frequency planning benefits, on the seamless operations as well as on the controller workload. As the final objective is to convert all the VHF voice assignments to 8.33 khz, the obligation to make conversions will not be limited to those frequencies used by the ANSPs for air to ground voice communications. It will have to be enlarged to Member States as well and to aircraft operators (e.g. for Airlines Operational Communications - OPC) and it will impact all users and providers of the operational services identified in section above. The services subject to reduced channel spacing in principle the draft Implementing Rule will address the conversions of all the voice VHF assignments as an ultimate objective. However if the scenario proposing an Interim Phase will be selected, this phase will be limited to the conversions of VHF channels for ATS voice services plus the OPC assignments. The airspace where carriage of 8.33 khz capable equipment is mandatory - in terms of horizontal coverage the rule will directly apply to the airspace within the ICAO EUR region where EU Member States are responsible for the provision of air traffic services. The vertical deployment of 8.33 khz channel spacing may be phased based on initial carriage in specific classes of airspace and selected TMAs followed by a generalisation to all VHF voice assignments, irrespective of the type of airspace (see section 4 on alternative scenarios). The operators/airspace users the rule will identify requirements relative to the carriage of 8.33 khz capable equipment in the airspace of applicability the final objective being the carriage of 8.33 khz equipment by all General Air Traffic. The State aircraft the regulatory requirements will address the obligations of the Member States to equip the State aircraft with 8.33 khz capable equipment and the associated exemptions, as well as the obligation of the Member States and of Air Navigation Service Providers with regard notably to the accommodation of non-8.33 khz State aircraft in the reduced channel spacing airspace as well as the information to be provided to the European Commission. It is expected that the regulatory

19 requirements will be drafted following the same principles as those already identified in Regulation (EC) 1265/2007. The acceptable exemption criteria with the regulatory requirements the regulatory requirements will identify criteria allowing the exemption from the conversion of 25 khz to 8.33 khz channel spacing in specified cases (e.g. the conversions are not feasible due to sectors making use of the CLIMAX (aka. offset-carrier) system, transition sectors where non-equipped aircraft are descended prior to entering reduced channel spacing airspace, etc). The exemption policies will be associated to information disclosure requirements, requiring the stakeholders to provide information to the European Commission when exemptions will be required. The implementation dates these requirements will identify the dates when the carriage of 8.33 khz channel spacing equipment will become mandatory and the dates by which the frequencies will have to be converted from 25 khz to 8.33 khz channel spacing. The regulatory provisions will provide a consistent approach towards the dates of implementation and exemption policies and are critical to the achievement of interoperability and of seamless operations. The procedures specific to the use of 8.33 khz channel spacing - the existence of harmonised procedures supporting 8.33 khz channel spacing operations is also critical for the achievement of interoperability and of seamless operations. However as the corresponding article (Article 4 on associated procedures) of the A-VCS IR is already applicable above as well as below FL195 it is not expected that any amendments will be necessary. The draft Implementing Rule will be developed along the lines identified above with requirements covering these subjects. It should be noted that beside the requirements addressing the subjects mentioned above, the draft Implementing Rule will also identify the conformity assessment requirements and the safety requirements specific to the draft Implementing Rule. With regard to the conformity assessment requirements it is not expected that any new requirements will supplement those already identified in the A-VCS IR, therefore the subject is considered to be outside the scope of the present document

20 4. ALTERNATIVES FOR THE REGULATORY APPROACH This section identifies two alternative scenarios to be considered for the update of the A- VCS-IR, section 5 - Impact Assessment, will discuss the pros and cons of each. Note: The proposed scenarios do not require any update or retrofit of aircraft already equipped with 8.33 khz radios, nor is 8.33 khz Climax (offset carrier) operation required anywhere at any time. The scenarios focus on the airspace of applicability and on the dates for implementation: Scenario 1 Development of regulatory provisions identifying three implementation milestones. Forward Fit Phase starting from 2012 to ensure all new radios comply. Interim Phase for 2014 to ensure a given number of conversions take place. Final Phase for 2018 to ensure 8.33 khz spacing of all possible voice channels. Scenario 2 Development of regulatory provisions identifying two implementation milestones. Forward Fit Phase starting from 2012 to ensure all new radios comply. Final Phase for 2018 to ensure 8.33 khz spacing of all possible voice channels. Both scenarios propose Forward Fit Phase and a Final Phase ; these are identical in each case. 4.1 Scenario 1 In addition to the Forward-Fit and the Final deployment phases, Scenario 1 includes an Interim Phase in order to ensure that a number of conversions take place by 31 December 2014 to meet frequency demand. Note: It is recognised that specific exemptions will be needed for radios operating solely in the emergency frequency and radios operating exclusively in the VHF Datalink frequencies that will remain in 25 khz channel spacing Forward Fit Phase The Forward Fit phase requires that all radios put into service by both the Operators and Air Navigation service providers after 1 January 2012 are 8.33 khz capable. In practice this would mean that any new installation done after 1 January 2012 must be identical to the preceding or 8.33 khz capable and any new radio put onto the market after that date must be 8.33 khz capable. The manufacturers of VHF radios, or their authorised representatives established in the Community, shall ensure that after 1 January 2012 all their radios intended to operate in the Aeronautical Mobile Communications Service band (117,975 to 137 MHz) are 8.33 khz channel spacing capable

21 Ground Systems requirement Member States to ensure that all ground radio stations intended to operate in the Aeronautical Mobile Communications Service band installed, replaced or upgraded after 1 January 2012 are 8.33 khz channel spacing capable. Aircraft requirement Operators to ensure that all radio equipment put into service after 1 January 2012 and intended to operate in the Aeronautical Mobile Communications Service band (117,975 to 137 MHz) include the 8.33 khz channel spacing capability. Operators to ensure that after 1 January 2012 when the radio(s) of aircraft operating in the ICAO EUR region are upgraded (i.e. radios replaced by a different model/part number) the new radios shall be 8.33 khz channel spacing capable. Radios that are not 8.33 khz channel spacing capable may be replaced by the same model/part number until 1 January 2014 for aircraft included in the Interim Phase, and until 1 January 2018 for all other aircraft. Note that the above requirements do not require carriage of radios in airspaces where today there is no requirement to carry one. However, if a new radio is installed after 1 January 2012 in an aircraft that operates in airspace where radio carriage is not required, this radio should be 8.33 khz capable. Operators to ensure that the performance of their 8.33 khz channel spacing voice communication systems comply as a minimum with the Eurocae ED-23B standard however it is recommended that ED-23C compliant radios be installed when feasible in order to improve the quality of the voice communication services. Note: Annex 1 provides additional information on the rationale for the ED-23C recommendation. Transition arrangements for State aircraft will be defined Interim Phase The Interim Phase targets sectors that are still in 25 khz spacing where most of the traffic is already 8.33 khz equipped. It could bring benefits at low cost and in a relatively short time. This phase is complex because of the combination of two factors: The wide European variety of airspace structures and airspace classification. The procurement/technical constraints of the ANSPs. Due to the difficulty of defining in a simple and uniform way an airspace volume as the target for Interim Phase, it is proposed to only define a target number of conversions to each State/ANSP. The individual States will determine, in conjunction with their ANSPs, the airspace where the conversions will deliver optimum interim benefits taking into account airspace requirements and the interim aircraft arrangements as detailed later in this section. This approach will enable States, where practical, to deliver progressive benefits in advance of the Final Phase

22 Ground Systems requirement By 31 December 2014 at the latest, Air Navigation Service Providers are to have implemented a number of new 8.33 khz conversions equivalent to at least 25% 1 of the total State 25 khz ACC assignments for which conversion is feasible. Member States shall inform the EC by 31 December 2012 at the latest, of the number of conversions achievable in the Interim Phase. If the 25% target can not be achieved, Member States shall provide the justification for the impossibility to achieve the 25% target and propose an alternative date by when those conversions can be performed. The report to the EC shall also contain the assignments for which conversion is not feasible with the justification for the unfeasibility of the conversion. The information provided in this report will have to be maintained and updated as necessary in the context of the annual reports submitted by the Member States in the application of Article 12 of the SES framework Regulation (EC) 549/2004 amended by Regulation (EC) 1070/2009. Member States and Operators to ensure that, by 31 December 2014 at the latest, all frequency assignments used for Operations Control (OPC) are converted to 8.33 khz channel spacing. The conversion to 8.33 khz channel spacing is considered not to be feasible in the following cases: 1. Sectors where 25 khz offset carrier system (aka. Climax) is utilised. 2. Assignments that must stay in 25 khz as a result of a safety requirement khz assignments used to accommodate State Aircraft ,5 MHz channel (emergency frequency) and the VHF Data Link frequencies requiring 25 khz spacing. Aircraft requirement Operators to ensure that, by 1 January 2014 at the latest, their aircraft are equipped with radio equipment with the 8.33 khz channel spacing capability if the aircraft operates under Instrument Flight Rules as General Air Traffic in airspace class A, B, C or D. Operators to ensure that, by 1 January 2014 at the latest, all aircraft radios used for Operations Control (OPC) are 8.33 khz channel spacing capable. Transition arrangements for State aircraft will be defined Final Phase The Final Phase of implementation will address the conversion from 25 khz to 8.33 khz of all VHF assignments except the cases where the conversion is not feasible. Note: The obligations for conversions relative to the Final Phase of implementation will also apply to the Member States (for the frequencies not assigned to service providers as well as to operators for the Aerodrome Surface (AS) and Airlines Operational Communications (OPC) VHF assignments and all providers and users of all the operational services listed in section above). Ground Systems requirement 1 A reference COM 2 table of 2010 to determine the 25 khz ACC assignments will be identified

23 Air Navigation Service Providers and Member States to ensure that, by 31 December 2018, all frequency assignments in the Aeronautical Mobile Communications Service band are converted to 8.33 khz channel spacing, except for the cases where the conversion is not feasible (as defined above). Aircraft requirement Operators to ensure that, by 1 January 2018, all their aircraft that operate in the ICAO EUR region are equipped with radio equipment with 8.33 khz channel spacing capability. An exemption mechanism allowing the States to request exemptions from the European Commission will also be identified in the proposed regulatory requirements. Note: Equipage constraints for State Aircraft will be addressed in the exemption policy. 4.2 Scenario 2 This scenario is based on Scenario 1 but has no Interim Phase. Only the Forward Fit Phase (2012) and the Final Phase (2018) are retained. Conversions may still occur before 2018 on an Ad Hoc basis but no benefits can be guaranteed. 4.3 State Aircraft Requirements State aircraft transition arrangements for the Forward Fit and the Interim Phases, as well as an exemption policy for the Final Phase is being prepared by EUROCONTROL s Directorate of Civil-Military ATM Coordination (DCMAC) and discussed at the Military Harmonisation Group (MilHaG). Once completed these State aircraft requirements will be introduced in the draft implementing rule that will undergo formal consultation and taken into account in the impact assessment

24 5. IMPACT ASSESSMENT This section provides a preliminary impact analysis of the proposed scenarios. It covers the estimated initial impact in terms of safety, efficiency and economic aspects as well as civilmilitary coordination by taking into account all stakeholders which may be impacted by the provisions of the draft Implementing Rule khz Channel Spacing Works Experience with the introduction of 8.33 khz channel spacing above FL195 has shown that it is an effective measure to generate more usable frequencies in the VHF band. As shown in section above, the ICAO FMG Block-Planning meetings outcome show that each step of the introduction of 8.33 khz channel spacing has resulted in an improvement of the satisfaction rate of the frequency demand and this whilst the overall number of requested frequencies is continuing to grow. The technology is proven to work correctly and the associated operational procedures have been validated. Some new safety risks do exist in the airspace below FL195 and they are analysed in section 5.6 below, however suitable mitigation exists and the Final Phase will increase the overall safety levels. 5.2 More needs to be done to meet future demand As discussed in section 2.3 above, the analysis of the past trends shows that for more than 10 years there has been a continuous demand for new frequencies. Frequencies demand is not exclusively linked to traffic increase. During the last BP meeting, in spite of the recent continued traffic decrease, 16 new frequency assignments were requested. Solutions were found for 13 of them but 3 important ones in the core area could not be satisfied. The demand that could not be met is important because it originates from safety requirements (e.g. missing backup frequencies, extensions of the protection area to avoid interference). It is also important to note that a reduction on the overall traffic does not allow to free frequencies quickly. The airspace organisation (i.e. sectorisation) has to cope with the daily peaks of traffic without introducing significant delays. Reductions in average daily traffic often do not change the peaks of traffic at the peak times (i.e. the times when most people prefer to fly) therefore it is not possible to reduce the number of sectors and free their associated frequencies. As discussed in section above, some of the future frequencies demand can be met by improving the frequency management process, however this will not allow us to meet all the forecasted demand in the mid to long term. Several simulations have been run to assess the future benefits resulting from the implementation of 8.33 khz below FL195. The graphs below show that the general introduction of 8.33 khz spacing below FL195, as from 2018, can ensure that the demand is fully satisfied from then onwards. The interim implementation in 2014, shows an improvement of the situation but cannot provide the full satisfaction of the demand

25 Annual % of Satisfaction 100 % Satisfaction/Demand % Initial 8.33 States % for all States Year 5.3 The Penalties of the DO NOTHING Scenario The inability to meet the future frequencies demand will have very significant impact on: Europe s ability to accommodate the predicted increase in traffic in the near future. Lack of available frequencies will delay or make impossible airspace improvements to increase capacity, this will lead to increased delays with a significant cost impact for airlines. The European economic development because of new airports/airfields and/or new runways delayed due to the unavailability of the required frequencies to operate them. Maintaining Europe s high safety levels by not being able to find the best solution to meet voice communications safety requirements. The timely deployment of SESAR improvements that require the availability of new VHF voice communications channels. The above drawbacks will impact first the European core area and gradually expand towards the periphery. The chart below shows in a very simple and clear way what would happen if we decide not to implement 8.33 khz channel spacing below FL195. The number of unsatisfied requests would gradually increase and would lead to a gap of more than 29 frequencies beyond

26 Annual % of Satisfaction 100 % Satisfaction/Demand % Initial 8.33 States % for all States Year 5.4 Additional Potential Benefits for State Aircraft and General Aviation The highest economic impact of the implementation of 8.33 khz below FL195 will be for General Aviation and State Aircraft. Even though the direct benefits for General Aviation and State Aircraft are small it is worth to list them here: Benefits for State Aircraft: Eased access to airspace. Different European countries have chosen different ways to accommodate non-8.33 khz equipped aircraft above FL195. It is likely that this will happen again for the implementation below FL195. Within a particular State, State aircraft generally find effective working solutions for access to the relevant airspace. This is more difficult for international flights where constraints to airspace access in other countries may be unknown. Increased availability of VHF frequencies for military airfields. In general all military airfields have all the frequencies they require to conduct normal operations. In some countries request for new frequencies to improve the service provided have been delayed because of the frequency congestion. This situation will become worse in the future if nothing is done to reduce the congestion. Benefits for General Aviation: Eased Access to Airspace Equipping with 8.33 khz will allow GA to reduce detours around 8.33 khz areas. Also as 8.33 khz spreads below FL195, having 8.33 khz radios will significantly increase safety for unexpected diversions. Reduced delays for new aerodromes