Commission Implementing Regulation (EU) 2019/123Show full title

ANNEX IV THE RADAR TRANSPONDER CODES FUNCTION

PART A Objectives and general requirements

Transponder Code (TC):

1. The objectives of this function are:

(a)

to improve the robustness of the code allocation process through allocation of clear roles and responsibilities to all involved stakeholders, with the overall network performance at the centre of code allocation determination;

(b)

to provide increased transparency of code allocations and of the actual code usage enabling the better assessment of the overall network efficiency.

2. The Network Manager shall allocate the Secondary Surveillance Radar (SSR) transponder codes to the Member States and the air navigation service providers in a manner that optimises their safe and efficient distribution taking the following into account:

(a)

the operational requirements of all operational stakeholders;

(b)

the actual and predicted levels of air traffic;

(c)

the required use of SSR transponder codes in compliance with relevant provisions of the ICAO Regional Air Navigation Plan, European Region Facilities and Services Implementation Document and guidance material.

3. The Network Manager shall make available at all times to Member States, air navigation service providers and third countries an SSR transponder code allocation list that describes the complete and up-to-date allocation of SSR codes.

4. A formal process for establishing, assessing and coordinating the requirements for SSR transponder code allocations shall be implemented by the Network Manager, taking into account all required civil and military uses of SSR transponder codes.

5. The formal process laid down in point 4 shall include, as a minimum, relevant agreed procedures, timescales and performance targets for the completion of the following activities:

(a)

submission of applications for SSR transponder code allocations;

(b)

assessment of applications for SSR transponder code allocations;

(c)

coordination of proposed amendments to SSR code transponder allocations with Member States in accordance with the requirements laid down in Part B;

(d)

periodic audit of the code allocations and needs with a view to optimisation of the situation, including re-allocation of existing codes allocations;

(e)

periodic amendment, approval and distribution of the overall SSR code transponder allocation list referred to in point 3;

(f)

notification, assessment and resolution of unplanned conflicts between assignments of SSR transponder codes;

(g)

notification, assessment and resolution of wrong assignments of SSR transponder codes, detected at code retention checks;

(h)

notification, assessment and resolution of unplanned shortfalls in allocations of SSR transponder codes;

(i)

provision of data and information in accordance with the requirements laid down in Part C.

6. Applications for SSR transponder code allocations received as part of the process laid down in point 4 shall be checked by the Network Manager for compliance with the requirements of the process for format and data conventions, completeness, accuracy, timeliness, and justification.

7. Member States shall ensure that SSR transponder codes are assigned to an aircraft in accordance with the SSR transponder code allocation list referred to in point 3.

8. The Network Manager shall operate, on behalf of the Member States and air navigation service providers a centralised SSR transponder code assignment and management system for the automatic assignment of SSR transponder codes to general air traffic.

9. The Network Manager shall implement procedures and tools for the regular evaluation and assessment of the actual use of SSR transponder codes by Member States and air navigation service providers.

10. The Network Manager, Member States and air navigation service providers shall agree on plans and procedures to support the periodic analysis and identification of future SSR transponder code requirements. That analysis shall include the identification of potential performance impacts created by any predicted shortfalls in the allocations of SSR transponder codes.

11. Operations manuals containing the necessary instructions and information to enable the network function to be conducted in accordance with the requirements of this Regulation shall be developed and maintained by the Network Manager. Those operations manuals shall be distributed and maintained in accordance with appropriate quality and documentation management processes.

Mode S Interrogator Code (MIC):

12. The objectives of this process are the following:

(a)

to perform a coordinated Mode S interrogator code allocation enabling the overall network efficiency;

(b)

to provide the regulatory basis allowing better enforcement and oversight.

13. The Network Manager shall allocate the interrogator codes to civil and military Mode S interrogators in a manner that optimises the safe and efficient operation of air traffic surveillance and civil-military coordination taking the following into account:

(a)

the operational requirements of all operational stakeholders;

(b)

Commission Regulation (EC) No 262/2009(1);

(c)

the required management of Mode S interrogator codes in compliance with the provisions of the European principles and procedures for the allocation of Secondary Surveillance Radar Mode S Interrogator Codes (IC) (ICAO EUR Doc 024)

14. The Network Manager shall operate, on behalf of the Member States, a centralised interrogator code allocation system(2) for the coordinated allocation of interrogator codes to Mode S interrogators.

15. Member States shall provide a centralised interrogator code allocation service to Mode S operators through the interrogator code allocation system.

16. The Network Manager shall make available at all times to Member States, Mode S operators and third countries an interrogator code allocation plan that provides the most recently approved complete set of interrogator code allocations in ICAO European region.

17. The Network Manager shall implement a formal process for establishing, assessing and coordinating the requirements for interrogator code allocations, taking into account all required civil and military uses of interrogator codes.

18. The formal process laid down in point 17 shall include, as a minimum, relevant agreed procedures, timescales and performance targets for the completion of the following activities:

(a)

submission of applications for interrogator code allocations;

(b)

assessments of applications for interrogator code allocations;

(c)

coordination of proposed amendments to interrogator code allocations with Member States in accordance with the requirements laid down in Part B;

(d)

periodic audit of the interrogator code allocations and needs with a view to improve the situation, including re-allocation of existing interrogator code allocations;

(e)

periodic amendment, approval and distribution of the overall interrogator code allocation plan referred to in point 16;

(f)

notification, assessment and resolution of unplanned interrogator code conflicts between Mode S interrogators;

(g)

notification, assessment and resolution of unplanned shortfalls in allocation of interrogator codes;

(h)

provision of data and information in accordance with the requirements laid down in Part C.

19. The Network Manager shall check the applications for interrogator code allocations received as part of the process laid down in point 18 for compliance with the requirements of the process for format and data conventions, completeness, accuracy, timeliness, and justification.

20. As part of the process laid down in point 18, the Network Manager shall:

(a)

perform interrogator code allocation plan update simulations on the basis of the pending applications;

(b)

prepare a proposed update of the interrogator code allocation plan for approval by the Member States affected by it;

(c)

ensure that the proposed update to the interrogator code allocation plan meets to the greatest extent possible the operational requirements of the interrogator code applications;

(d)

update, and communicate to Member States the interrogator code allocation plan immediately after its approval, without prejudice to national procedures for the communication of information on Mode S interrogators operated by military.

21. The Network Manager shall implement procedures and tools for the regular evaluation and assessment of the actual use of Mode S interrogator codes by civil and military Mode S operators.

22. The Network Manager, Member States, and Mode S operators shall agree the plans and procedures to support the periodic analysis and identification of future Mode S interrogator code requirements. That analysis shall include the identification of potential performance impacts created by any predicted shortfalls in the allocations of interrogator codes.

23. Operations manuals containing the necessary instructions and information to enable the network function to be conducted in accordance with the requirements of this Regulation shall be developed and maintained by the Network Manager. Those operations manuals shall be distributed and maintained in accordance with appropriate quality and documentation management processes.

PART B Requirements for the specific consultation mechanisms

Transponder Code:

1. The Network Manager shall establish a dedicated mechanism for the coordination and consultation of detailed SSR transponder code allocation arrangements. That mechanism shall:

(a)

ensure the impact of the use of SSR transponder codes in third countries is taken into account through participation in the SSR transponder code management working arrangements set out in the relevant provisions of the ICAO Regional Air Navigation Plan, European Region Facilities and Services Implementation Document;

(b)

ensure the SSR transponder code allocation lists referred to in point 3 of Part A is compatible with the code management plan set out in the relevant provisions of the ICAO Regional Air Navigation Plan, European Region Facilities and Services Implementation Document;

(c)

specify requirements to ensure that appropriate consultation on new or amended SSR transponder code management arrangements is conducted with the Member States concerned;

(d)

specify requirements to ensure that appropriate consultation on new or amended SSR transponder code management arrangements is conducted by Member States with all stakeholders concerned at a national level;

(e)

ensure coordination with third countries on the strategic and tactical use of SSR transponder codes is conducted through the SSR transponder code management working arrangements set out in the relevant provisions of the ICAO Regional Air Navigation Plan, European Region Facilities and Services Implementation Document;

(f)

specify minimum timescales for the coordination and consultation of proposed new or amended surveillance interrogator and SSR transponder code allocations;

(g)

ensure changes to the SSR transponder code allocation list are subject to the approval of those Member States concerned by the change;

(h)

specify requirements to ensure that changes to the SSR transponder code allocation list are communicated to all stakeholders immediately after its approval, without prejudice to national procedures for the communication of information on the use of SSR transponder codes by military authorities.

2. The Network Manager, in coordination with national military authorities, shall ensure that the necessary measures are taken to ascertain that the allocation and use of SSR transponder codes for military needs have no detrimental impact on the safety or efficient flow of general air traffic.

Mode S Interrogator Code:

3. The Network Manager shall establish a dedicated mechanism for the coordination and consultation of detailed Mode S interrogator code allocation arrangements. The mechanism shall:

(a)

specify timescales for the coordination and consultation of proposed new or amended Mode S interrogator code allocations;

(b)

ensure changes to the Mode S interrogator code allocation plan are subject to the approval of those Member States concerned by the change;

(c)

ensure coordination with third countries on the strategic and tactical use of Mode S interrogator codes is conducted through the Mode S interrogator code management working arrangements;

(d)

specify requirements to ensure that changes to the Mode S interrogator code allocation plan are communicated to all stakeholders immediately after its approval, without prejudice to national procedures for the communication of information on the use of Mode S interrogator code and SSR transponder codes by military authorities.

4. The Network Manager shall ensure that appropriate consultation on new or amended interrogator code management arrangements is conducted with the Member States through cooperative decision-making.

5. The Network Manager, in coordination with national military authorities, shall ensure that the necessary measures are taken to ascertain that the allocation and use of Mode S interrogator code for military needs have no detrimental impact on the safety or efficient flow of general air traffic.

PART C Requirements for the provision of data

Transponder Code:

1. Applications submitted for new or amended allocations of SSR transponder codes shall comply with the format and data conventions, completeness, accuracy, timeliness, and justification requirements of the process laid down in point 4 of Part A.

2. Member States shall provide the Network Manager with the following data and information within agreed timescales prescribed by the Network Manager to support the provision of the network function for SSR transponder codes:

(a)

an up-to-date record of the allocation and use of all SSR transponder codes within their area of responsibility, subject to any security constraints concerning full disclosure of specific military code allocations not used for general air traffic;

(b)

justification to demonstrate that existing and requested allocations of SSR transponder codes are the minimum necessary to meet operational requirements;

(c)

details of any allocations of SSR transponder codes that are no longer operationally required and that can be released for re-allocation within the network;

(d)

reports of any actual unplanned shortfall in SSR transponder code allocations;

(e)

details of any change in the installation planning or in the operational status of systems or constituents that may impact on the assignment of SSR transponder codes to flights.

3. Air navigation service providers shall provide the Network Manager with the following data and information within agreed timescales prescribed by the Network Manager to support the provision of the network function for SSR transponder codes:

(a)

Enhanced Tactical Flow Management System’s Correlated Position Reports containing SSR transponder code assignments for general air traffic conducting flights under instrument flight rules;

(b)

reports of any actual unplanned conflict or hazard caused by an actual operational SSR transponder code assignment, including information of how the conflict was resolved.

4. Responses by Member States and air navigation service providers to the coordination of proposed amendments to SSR code transponder allocations and updates of the SSR transponder code allocation list shall as a minimum:

(a)

identify whether or not any conflict or hazard between SSR transponder code allocations is foreseen;

(b)

confirm whether or not operational requirements or efficiency will be adversely affected;

(c)

confirm that amendments to SSR transponder code allocations can be implemented in accordance with required timescales.

Mode S Interrogator Code:

5. Applications submitted for new or amended allocations of interrogator code shall comply with the format and data conventions, completeness, accuracy, timeliness, and justification requirements of the process laid down in point 17 of Part A.

6. Member States shall provide the Network Manager with the following data and information within agreed timescales prescribed by the Network Manager to support the provision of the interrogator code allocation service:

(a)

characteristics of Mode S interrogators as specified in Regulation (EC) No 262/2009;

(b)

details of any change in the installation planning or in the operational status of Mode S interrogators or constituents that may impact on the allocation of interrogator codes to Mode S interrogators.

(c)

justification to demonstrate that existing and requested allocations of interrogator codes are the minimum necessary to meet operational requirements;

(d)

allocations of interrogator code that are no longer operationally required and that can be released for re-allocation within the network;

(e)

reports of any actual unplanned shortfall in interrogator code allocations.

7. The Network Manager shall use the responses provided by Member States to the interrogator code allocation plan proposal including:

(a)

identification of any foreseen conflict or hazard between Mode S interrogator code allocations;

(b)

confirmation of whether or not operational requirements or efficiency will be adversely affected;

(c)

confirmation that amendments to Mode S interrogator code allocations can be implemented in accordance with required timescales.

8. The Network Manager shall support Member States in resolving the MIC conflict reported by the Members States or Mode S operators.

(1)

Commission Regulation (EC) No 262/2009 of 30 March 2009 laying down requirements for the coordinated allocation and use of Mode S interrogator codes for the single European sky (OJ L 84, 31.3.2009, p. 20).

(2)

Defined in Article 2(11) of Regulation (EC) No 262/2009.