Commission Regulation (EC) No 1032/2006 of 6 July 2006 laying down requirements for automatic systems for the exchange of flight data for the purpose of notification, coordination and transfer of flights between air traffic control units (Text with EEA relevance) (c. 1032)

ANNEX I U.K. Interoperability and performance requirements(referred to in Article 3)

PART A: U.K. GENERAL REQUIREMENTS

1. SYSTEM REQUIREMENTS U.K.

1.1. The system shall provide all the information required for the display, processing and compilation of the system information exchanged in the processes specified. U.K.

1.2. The system shall be able to automatically receive, store, process, extract and deliver for display, and transmit flight information relevant to notification, coordination and transfer and civil-military coordination processes. U.K.

1.3. The system shall issue a warning when information exchange facility failures or anomalies are detected. U.K.

1.4. The system shall be able to provide warnings related to system information exchange to the relevant working positions. U.K.

1.5. The system shall provide the ATC staff the means to modify the flight information relevant to the processes. U.K.

1.6. The system shall be capable of providing the ATC staff information about the status of relevant system information exchange processes. U.K.

2. RECORDING OF SYSTEM INFORMATION EXCHANGE DATA U.K.

2.1. System information exchange data shall be recorded by the air navigation service provider in a manner which permits the retrieval and display of the recorded data. U.K.

PART B: U.K. REQUIREMENTS FOR MANDATORY PROCESSES SUPPORTED BY SYSTEM INFORMATION EXCHANGES

1. NOTIFICATION U.K.

1.1. Flight information concerned U.K.

1.1.1. The information subject to the Notification process shall include as a minimum: U.K.

• aircraft identification,

• SSR mode and code (if available),

• departure aerodrome,

• estimate data,

• destination aerodrome,

• number and type of aircraft,

• type of flight,

• equipment capability and status.

1.1.2. The content of the ‘equipment capability and status’ information shall include reduced vertical separation minima (hereinafter ‘RVSM’) and 8.33 KHz capability as a minimum. U.K.

1.1.3. The ‘equipment capability and status’ information may contain other items in accordance with the letters of agreement. U.K.

1.2. Rules of application U.K.

1.2.1. The notification process shall be performed at least once for each eligible flight planned to cross the boundary unless the flight is the subject of pre-departure notification and coordination process. U.K.

1.2.2. The eligibility criteria for cross boundary notification of flights shall be in accordance with the letters of agreement. U.K.

1.2.3. When the notification process cannot be performed by a bilateral agreed time prior to the initial coordination process it shall be subsumed by the initial coordination process. U.K.

1.2.4. When performed, the notification process shall precede the initial coordination process. U.K.

1.2.5. The notification process shall take place again each time there is a change to any of the following data prior to the initial coordination process: U.K.

• COP,

• expected SSR code at the transfer of control point,

• aerodrome of destination,

• type of aircraft,

• equipment capability and status.

1.2.6. If a discrepancy is identified between the transmitted data and corresponding data in the receiving system, or no such information is available, that would result in the need for corrective action on receipt of the following initial coordination data, the discrepancy shall be referred to an appropriate position for resolution. U.K.

1.3. Time criteria for the initiation of the notification process U.K.

1.3.1. The notification process shall be initiated a parameter number of minutes before the estimated time at the COP. U.K.

1.3.2. The notification parameter(s) shall be included in the letters of agreement between the ATC units concerned. U.K.

1.3.3. The notification parameter(s) may be defined separately for each of the coordination points. U.K.

2. INITIAL COORDINATION U.K.

2.1. Flight information concerned U.K.

2.1.1. The information subject to the initial coordination process shall include as a minimum: U.K.

• aircraft identification,

• SSR mode and code,

• departure aerodrome,

• estimate data,

• destination aerodrome,

• number and type of aircraft,

• type of flight,

• equipment capability and status.

2.1.2. The content of the ‘equipment capability and status’ information shall include RVSM and 8.33 KHz capability as a minimum. U.K.

2.1.3. The ‘equipment capability and status’ information may contain other items as bilaterally agreed by the letters of agreement. U.K.

2.2. Rules of application U.K.

2.2.1. The initial coordination process shall be performed for all eligible flights planned to cross the boundaries. U.K.

2.2.2. Eligibility criteria for cross boundary initial coordination of flights shall be in accordance with the letters of agreement. U.K.

2.2.3. Unless already manually initiated, the initial coordination process shall be automatically initiated at: U.K.

• a bilaterally agreed parameter time period before the estimated time at the coordination point, or

• the time at which the flight is at a bilaterally agreed distance from the coordination point,

in accordance with the letters of agreement.

2.2.4. The initial coordination process for a flight shall only be performed once unless the abrogation of coordination process is initiated. U.K.

2.2.5. Following an abrogation of coordination process, the initial coordination process may be initiated again with the same unit. U.K.

2.2.6. Completion of the initial coordination process including confirmation from the receiving unit shall be provided to the transferring unit — the flight is then considered ‘coordinated’. U.K.

2.2.7. Failure of the initial coordination process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the working position responsible for the coordination of the flight within the transferring unit. U.K.

2.2.8. The initial coordination information shall be made available at the appropriate working position in the receiving unit. U.K.

3. REVISION OF COORDINATION U.K.

3.1. Flight information concerned U.K.

3.1.1. The revision of coordination process shall ensure association with the flight previously coordinated. U.K.

3.1.2. Revision of coordination shall provide the following flight information if they have changed: U.K.

• SSR mode and code,

• estimated time and flight level,

• equipment capability and status.

3.1.3. If bilaterally agreed, the revision of coordination data shall provide the following if they have changed: U.K.

• coordination point,

• route.

3.2. Rules of application U.K.

3.2.1. The revision of coordination process may take place one or more times with the unit with which a flight is currently coordinated. U.K.

3.2.2. Revision of coordination process shall take place when: U.K.

• the estimated time over at the coordination point differs from that previously provided by more than a value bilaterally agreed,

• the transfer level(s), SSR code or equipment capability and status is different from that previously provided.

3.2.3. Where bilaterally agreed, revision of coordination process shall take place when there is any change in the following: U.K.

• coordination point,

• route.

3.2.4. Completion of the revision of coordination process including confirmation from the receiving unit shall be provided at the transferring unit. U.K.

3.2.5. Failure of the revision of coordination process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the working position responsible for the coordination of the flight within the transferring unit. U.K.

3.2.6. The revision of coordination process shall take place immediately following the relevant input or update. U.K.

3.2.7. The revision of coordination process shall be inhibited after the flight is at a bilaterally agreed time/distance from the transfer of control point in accordance with the letters of agreement. U.K.

3.2.8. The Revision of coordination information shall be made available at the appropriate working position in the receiving unit. U.K.

4. THE ABROGATION OF COORDINATION U.K.

4.1. Flight information concerned U.K.

4.1.1. The abrogation of coordination process shall ensure association with the previous notification or coordination process that is being cancelled. U.K.

4.2. Rules of application U.K.

4.2.1. The abrogation of coordination process shall take place with a unit for a coordinated flight when: U.K.

• the unit is no longer the next unit in the coordination sequence,

• the flight plan is cancelled in the sending unit and the coordination is no longer relevant,

• abrogation of coordination information is received from the previous unit in respect of the flight.

4.2.2. The abrogation of coordination process may take place with a unit for a notified flight when: U.K.

• the unit is no longer the next unit in the coordination sequence,

• the flight plan is cancelled in the sending unit and the coordination is no longer relevant,

• an abrogation of coordination is received from the previous unit in respect of the flight,

• the flight is delayed en-route and a revised estimate cannot be determined automatically.

4.2.3. Completion of the abrogation of coordination process including confirmation from the receiving unit shall be provided at the transferring unit. U.K.

4.2.4. Failure of the abrogation of coordination process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the working position responsible for the coordination of the flight within the transferring unit. U.K.

4.2.5. The abrogation of coordination information shall be made available at the appropriate working position in the notified unit or in the unit with which the coordination is cancelled. U.K.

5. BASIC FLIGHT DATA U.K.

5.1. Flight information concerned U.K.

5.1.1. The information subject to the basic flight data process shall provide as a minimum: U.K.

• aircraft identification,

• SSR mode and code.

5.1.2. Any additional information provided by the basic flight data process shall be subject to bilateral agreement. U.K.

5.2. Rules of application U.K.

5.2.1. The basic flight data process shall be performed automatically for each eligible flight. U.K.

5.2.2. The eligibility criteria for basic flight data shall be in accordance with the letters of agreement. U.K.

5.2.3. Completion of the basic flight data process including confirmation from the receiving unit shall be provided to the supplying unit. U.K.

5.2.4. Failure of the basic flight data process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the supplying unit. U.K.

6. CHANGE TO BASIC FLIGHT DATA U.K.

6.1. Flight information concerned U.K.

6.1.1. The Change to basic flight data process shall ensure association with the flight previously subject to a basic flight data process. U.K.

6.1.2. Any other information subject to the change to basic flight data process and the associated criteria for its provision shall be subject to bilateral agreement. U.K.

6.2. Rules of application U.K.

6.2.1. A change to basic flight data process shall only take place for a flight which has previously been notified by a basic flight data process. U.K.

6.2.2. A change to basic flight data process shall be initiated automatically in accordance with the bilaterally agreed criteria. U.K.

6.2.3. Completion of the change to basic flight data process including confirmation from the receiving unit shall be provided to the supplying unit. U.K.

6.2.4. Failure of the change to basic flight data process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the supplying unit. U.K.

6.2.5. The change to basic flight data information shall be made available at the appropriate working position in the receiving unit. U.K.

PART C: U.K. REQUIREMENTS FOR OPTIONAL PROCESSES SUPPORTED BY SYSTEM INFORMATION EXCHANGES

1. PRE-DEPARTURE NOTIFICATION AND COORDINATION U.K.

1.1. Flight information concerned U.K.

1.1.1. The information subject to the pre-departure notification and coordination process shall include as a minimum: U.K.

• aircraft identification,

• SSR mode and code (if available),

• departure aerodrome,

• estimated take-off time or estimate data, as bilaterally agreed,

• destination aerodrome,

• number and type of aircraft.

1.1.2. The information subject to the pre-departure notification and coordination process from a terminal manoeuvring area (TMA) control unit or an ACC shall contain the following: U.K.

• type of flight,

• equipment capability and status.

1.1.3. The content of the ‘equipment capability and status’ information shall include RVSM and 8.33 KHz capability as a minimum. U.K.

1.1.4. The ‘equipment capability and status’ information may contain other items as bilaterally agreed by the letters of agreement. U.K.

1.2. Rules of Application U.K.

1.2.1. Pre-departure notification and coordination process shall take place one or more times for each eligible flight planned to cross the boundaries where the flight time from departure to the coordination point would not allow sufficient time for the initial coordination or notification processes to be executed. U.K.

1.2.2. Eligibility criteria for cross boundary pre-departure notification and coordination of flights shall be in accordance with the letters of agreement. U.K.

1.2.3. The pre-departure notification and coordination process shall take place again each time there is a change to any item of the data subject to the previous pre-departure notification and coordination process before departure. U.K.

1.2.4. Completion of the pre-departure notification and coordination process including confirmation from the receiving unit shall be provided at the transferring unit. U.K.

1.2.5. Failure of the pre-departure notification and coordination process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the working position responsible for the notification/coordination of the flight within the transferring unit. U.K.

1.2.6. The pre-departure notification and coordination information shall be made available at the appropriate working position in the notified unit. U.K.

2. CHANGE OF FREQUENCY U.K.

2.1. Flight information concerned U.K.

2.1.1. The information subject to the change of frequency process shall include as a minimum: U.K.

• aircraft identification.

2.1.2. The information subject to the change of frequency process shall include any of the following, if available: U.K.

• release indication,

• cleared flight level,

• assigned heading/track or direct clearance,

• assigned speed,

• assigned rate of climb/descent.

2.1.3. If bilaterally agreed, change of frequency data shall contain the following: U.K.

• current track position,

• instructed frequency.

2.2. Rules of application U.K.

2.2.1. The change of frequency process shall be manually initiated by the transferring controller. U.K.

2.2.2. Completion of the change of frequency process including confirmation from the receiving unit shall be provided at the transferring ATC unit. U.K.

2.2.3. Failure of the change of frequency process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the transferring ATC unit. U.K.

2.2.4. The change of frequency information shall be made available to the accepting controller without delay. U.K.

3. MANUAL ASSUMPTION OF COMMUNICATIONS U.K.

3.1. Flight information concerned U.K.

3.1.1. The information subject to the manual assumption of communications process shall include as a minimum the aircraft identification. U.K.

3.2. Rules of application U.K.

3.2.1. The manual assumption of communications process shall be initiated by the accepting unit when communication is established. U.K.

3.2.2. Completion of the manual assumption of communications process including confirmation from the transferring unit shall be provided at the accepting ATC unit. U.K.

3.2.3. Failure of the manual assumption of communication process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the accepting ATC unit. U.K.

3.2.4. The manual assumption of communications information shall be presented immediately to the controller in the transferring unit. U.K.

4. CROSSING INTENTION NOTIFICATION U.K.

4.1. Flight information concerned U.K.

4.1.1. The information subject to the crossing intention notification process shall include as a minimum: U.K.

• aircraft identification,

• SSR mode and code,

• number and type of aircraft,

• sector in charge identifier,

• crossing route including estimated times and flight levels for each point on the route.

4.2. Rules of application U.K.

4.2.1. The crossing intention notification process shall be initiated manually by the controller, or automatically as described in the letters of agreement. U.K.

4.2.2. Completion of the crossing intention notification process including confirmation from the notified unit shall be provided to the notifying unit. U.K.

4.2.3. Failure of the crossing intention notification process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the notifying unit. U.K.

4.2.4. The crossing intention notification information shall be made available at the appropriate working position in the notified unit. U.K.

5. CROSSING CLEARANCE REQUEST U.K.

5.1. Flight information concerned U.K.

5.1.1. The information subject to the crossing clearance request process shall include as a minimum: U.K.

• aircraft identification,

• SSR mode and code,

• number and type of aircraft,

• sector in charge identifier,

• crossing route including estimated times and flight levels for each point on the route.

5.1.2. If bilaterally agreed, a crossing clearance request shall contain the equipment capability and status. U.K.

5.1.3. The content of the ‘equipment capability and status’ information shall include RVSM capability as a minimum. U.K.

5.1.4. The ‘equipment capability and status’ information may contain other items as bilaterally agreed. U.K.

5.2. Rules of application U.K.

5.2.1. The crossing clearance request shall be initiated at the controller's discretion, in accordance with the conditions specified in the letters of agreement. U.K.

5.2.2. Completion of the crossing clearance request process including confirmation from the unit receiving the request shall be provided to the requesting unit. U.K.

5.2.3. Failure of the crossing clearance request process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the requesting unit. U.K.

5.2.4. The crossing clearance request information shall be made available at the appropriate working position in the unit receiving the request. U.K.

5.3. Operational reply U.K.

5.3.1. A crossing clearance request process shall be replied to by: U.K.

• an acceptance of the proposed route/airspace crossing details, or,

• a counter-proposal including different route/airspace crossing details as specified in section 6 below, or

• a rejection of the proposed route/airspace crossing details.

5.3.2. If an operational reply is not received within a bilaterally agreed time interval a warning shall be issued at the appropriate working position within the requesting unit. U.K.

6. CROSSING COUNTER-PROPOSAL U.K.

6.1. Flight information concerned U.K.

6.1.1. The crossing counter-proposal process shall ensure association with the flight previously subject to coordination. U.K.

6.1.2. The information subject to the crossing counter-proposal process shall include as a minimum: U.K.

• aircraft identification,

• crossing route including estimated times and flight levels for each point on the route.

6.2. Rules of application U.K.

6.2.1. The counter-proposal shall include a proposed new flight level and/or route. U.K.

6.2.2. Completion of the crossing counter-proposal process including confirmation from the original requesting unit shall be provided to the counter proposing unit. U.K.

6.2.3. Failure of the crossing counter-proposal process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the counter proposing unit. U.K.

6.2.4. The crossing counter-proposal information shall be made available at the appropriate working position in the original requesting unit. U.K.

6.3. Operational reply U.K.

6.3.1. The confirmation of the successful processing of the crossing counter-proposal information in the original requesting unit shall be followed by an operational reply from the original requesting unit. U.K.

6.3.2. The operational reply to a crossing counter-proposal shall be an acceptance or rejection as appropriate. U.K.

6.3.3. If an operational reply is not received within a bilaterally agreed time interval a warning shall be issued at the appropriate working position within the counter proposing unit. U.K.

7. CROSSING CANCELLATION U.K.

7.1. Flight information concerned U.K.

7.1.1. The crossing cancellation process shall ensure association with the previous notification or coordination process that is canceled. U.K.

7.2. Rules of application U.K.

7.2.1. A crossing cancellation process shall be initiated by the unit responsible for the flight when one of the following occurs: U.K.

• the flight previously notified by a basic flight data process will now not enter the airspace of the notified unit or is no longer of interest to the notified unit,

• the crossing will not be executed on the route expressed in the crossing notification information,

• the crossing will not be executed according to the conditions under negotiation or according to the conditions agreed after an airspace crossing dialogue.

7.2.2. A crossing cancellation process shall be triggered automatically or manually by a controller input in accordance with the letters of agreement. U.K.

7.2.3. Completion of the crossing cancellation process including confirmation from the notified/requested unit shall be provided at the cancelling unit. U.K.

7.2.4. Failure of the crossing cancellation process to confirm completion, within the applicable quality of service requirements, shall result in a warning at the appropriate working position within the cancelling unit. U.K.

7.2.5. The crossing cancellation information shall be made available at the appropriate working position in the notified/requested unit. U.K.

[F1 PART D: U.K. REQUIREMENTS FOR PROCESSES SUPPORTING DATA LINK SERVICES

1. LOGON FORWARD U.K.

1.1. Flight information concerned U.K.

1.1.1. The information subject to the logon forward process shall include as a minimum: U.K.

• aircraft identification,

• departure aerodrome,

• destination aerodrome,

• logon type,

• logon parameters.

1.2. Rules of application U.K.

1.2.1. One logon forward process shall be performed for each data-link logged-on flight planned to cross the boundary. U.K.

1.2.2. The logon forward process shall be initiated at or as soon as possible after the earlier of the times determined from the following: U.K.

• a parameter number of minutes before the estimated time at the coordination point,

• the time at which the flight is at a bilaterally agreed distance from the coordination point,

in accordance with the letters of agreement.

1.2.3. Eligibility criteria for the logon forward process shall be in accordance with the letters of agreement. U.K.

1.2.4. The logon forward information shall be included with the corresponding flight information in the receiving unit. U.K.

1.2.5. The logged-on status of the flight may be displayed at the appropriate working position within the receiving unit. U.K.

1.2.6. Completion of the logon forward process, including confirmation from the receiving unit shall be provided to the transferring unit. U.K.

1.2.7. Failure of the logon forward process to confirm completion, within the applicable quality of service requirements, shall result in the initiation of an air-ground data link contact request to the aircraft. U.K.

2. NEXT AUTHORITY NOTIFIED U.K.

2.1. Flight information concerned U.K.

2.1.1. The information subject to the next authority notified process shall include as a minimum: U.K.

• aircraft identification,

• departure aerodrome,

• destination aerodrome.

2.2. Rules of application U.K.

2.2.1. One next authority notified process shall be performed for each eligible flight crossing the boundary. U.K.

2.2.2. The next authority notified process shall be initiated after the next data authority request with the aircraft has been acknowledged by the airborne system. U.K.

2.2.3. Following the successful processing of the next authority notified information the receiving unit shall initiate a controller pilot data link communication (CPDLC) start request with the aircraft. U.K.

2.2.4. If the next authority notified information has not been received within a bilaterally agreed parameter time, local procedures shall be applied by the receiving unit for the initiation of data link communications with the aircraft. U.K.

2.2.5. Completion of the next authority notified process, including confirmation from the receiving unit shall be provided to the transferring unit. U.K.

2.2.6. Failure of the next authority notified process to confirm completion, within the applicable quality of service requirements shall result in the initiation of local procedures in the transferring unit.] U.K.

Textual Amendments

F1 Inserted by Commission Regulation (EC) No 30/2009 of 16 January 2009 amending Regulation (EC) No 1032/2006 as far as the requirements for automatic systems for the exchange of flight data supporting data link services are concerned (Text with EEA relevance).