Attachment 10 ICAO Annex 10 Volume 4.pdf

TRANSMITTAL NOTE

NEW EDITIONS OF ANNEXES TO THE

CONVENTION ON INTERNATIONAL CIVIL AVIATION

It has come to our attention that when a new edition of an Annex is published, users have been discarding, along with the previous edition of the Annex, the Supplement to the previous edition.

Please note that the Supplement to the previous edition should be retained until a new Supplement is issued.

(ii)

AMENDMENTS

Amendments are announced in the supplements to the Catalogue of ICAO Publications; the Catalogue and its supplements are available on the ICAO website at www.icao.int. The space below is provided to keep a record of such amendments.

RECORD OF AMENDMENTS AND CORRIGENDA

AMENDMENTS CORRIGENDA

No.

Date applicable Date entered Entered by No.

Date of issue Date entered Entered by

70–82 Incorporated in this edition 1 28/7/10 ICAO

83 Did not affect this volume

84 Did not affect this volume

85 18/11/10 ICAO

86 Did not affect this volume

87 Did not affect this volume

ANNEX 10 — VOLUME IV (iii) 22/11/07

TABLE OF CONTENTS

Page

Foreword ................................................................................................................................................................... (v)

Chapter 1. Definitions............................................................................................................................................ 1-1

Chapter 2. General ................................................................................................................................................ 2-1

2.1 Secondary surveillance radar (SSR) ........................................................................................................ 2-1

2.2 Human Factors considerations ................................................................................................................. 2-6

Chapter 3. Surveillance systems ........................................................................................................................... 3-1

3.1 Secondary surveillance radar (SSR) system characteristics ..................................................................... 3-1

Appendix to Chapter 3. SSR automatic pressure-altitude transmission code (pulse position assignment) ................. 3-87

Chapter 4. Airborne collision avoidance system ................................................................................................. 4-1

4.1 Definitions relating to airborne collision avoidance system .................................................................... 4-1

4.2 ACAS I general provisions and characteristics ........................................................................................ 4-3

4.3 General provisions relating to ACAS II and ACAS III ........................................................................... 4-5

4.4 Performance of the ACAS II collision avoidance logic ........................................................................... 4-30A

4.5 ACAS use of extended squitter ................................................................................................................ 4-45

Chapter 5. Mode S extended squitter ................................................................................................................... 5-1

5.1 Mode S extended squitter transmitting system characteristics ................................................................ 5-1

5.2 Mode S extended squitter receiving system characteristics (ADS-B in and TIS-B in) ............................ 5-2

Chapter 6. Multilateration systems ...................................................................................................................... 6-1

6.1 Definitions ............................................................................................................................................... 6-1

6.2 Functional requirements .......................................................................................................................... 6-1

6.3 Protection of the radio frequency environment ........................................................................................ 6-2

6.4 Performance requirements ....................................................................................................................... 6-2

Chapter 7. Technical requirements for airborne surveillance applications ..................................................... 7-1

7.1 General requirements ............................................................................................................................... 7-1

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Annex 10 — Aeronautical Telecommunications Volume IV

Page

22/11/07 (iv)

Attachment. Guidance material related to airborne collision avoidance system (ACAS) ............................... ATT-1

1. Equipment, functions and capabilities ..................................................................................................... ATT-1

2. Factors affecting system performance ..................................................................................................... ATT-5

3. Considerations on technical implementation ........................................................................................... ATT-7

4. Typical algorithms and parameters for threat detection and generation of advisories ............................. ATT-37

5. ACAS II use of hybrid surveillance techniques ....................................................................................... ATT-54

6. Performance of the collision avoidance logic .......................................................................................... ATT-56

ANNEX 10 — VOLUME IV (v) 22/11/07

FOREWORD

Historical background

Standards and Recommended Practices for Aeronautical Telecommunications were first adopted by the Council on 30 May 1949 pursuant to the provisions of Article 37 of the Convention on International Civil Aviation (Chicago 1944) and designated as Annex 10 to the Convention. They became effective on 1 March 1950. The Standards and Recommended Practices were based on recommendations of the Communications Division at its Third Session in January 1949.

Up to and including the Seventh Edition, Annex 10 was published in one volume containing four Parts together with associated attachments: Part I — Equipment and Systems, Part II — Radio Frequencies, Part III — Procedures, and Part IV — Codes and Abbreviations.

By Amendment 42, Part IV was deleted from the Annex; the codes and abbreviations contained in that Part were transferred to a new document, Doc 8400.

As a result of the adoption of Amendment 44 on 31 May 1965, the Seventh Edition of Annex 10 was replaced by two volumes: Volume I (First Edition) containing Part I — Equipment and Systems, and Part II — Radio Frequencies, and Volume II (First Edition) containing Communication Procedures.

As a result of the adoption of Amendment 70 on 20 March 1995, Annex 10 was restructured to include five volumes:

Volume I — Radio Navigation Aids; Volume II — Communication Procedures; Volume III — Communication Systems;

Volume IV — Surveillance Radar and Collision Avoidance Systems; and Volume V — Aeronautical Radio Frequency Spectrum Utilization. By Amendment 70, Volumes III and IV were published in 1995 and Volume V was planned for publication with Amendment 71.

Table A shows the origin of amendments to Annex 10, Volume IV subsequent to Amendment 70, together with a summary of the principal subjects involved and the dates on which the Annex and the amendments were adopted by Council, when they became effective and when they became applicable.

Action by Contracting States

Notification of differences. The attention of Contracting States is drawn to the obligation imposed by Article 38 of the Convention by which Contracting States are required to notify the Organization of any differences between their national regulations and practices and the International Standards contained in this Annex and any amendments thereto. Contracting States are invited to extend such notification to any differences from the Recommended Practices contained in this Annex and any amendments thereto, when the notification of such differences is important for the safety of air navigation. Further, Contracting States are invited to keep the Organization currently informed of any differences which may subsequently occur, or of the withdrawal of any differences previously notified. A specific request for notification of differences will be sent to Contracting States immediately after the adoption of each amendment to this Annex.

The attention of States is also drawn to the provisions of Annex 15 related to the publication of differences between their national regulations and practices and the related ICAO Standards and Recommended Practices through the Aeronautical Information Service, in addition to the obligation of States under Article 38 of the Convention.

22/11/07 (vi)

Promulgation of information. The establishment and withdrawal of and changes to facilities, services and procedures affecting aircraft operations provided in accordance with the Standards, Recommended Practices and Procedures specified in Annex 10 should be notified and take effect in accordance with the provisions of Annex 15.

Use of the text of the Annex in national regulations. The Council, on 13 April 1948, adopted a resolution inviting the attention of Contracting States to the desirability of using in their own national regulations, as far as practicable, the precise language of those ICAO Standards that are of a regulatory character and also of indicating departures from the Standards, including any additional national regulations that were important for the safety or regularity of air navigation. Wherever possible, the provisions of this Annex have been deliberately written in such a way as would facilitate incorporation, without major textual changes, into national legislation.

Status of Annex components

An Annex is made up of the following component parts, not all of which, however, are necessarily found in every Annex; they have the status indicated:

1.— Material comprising the Annex proper:

a) Standards and Recommended Practices adopted by the Council under the provisions of the Convention. They are defined as follows:

Standard: Any specification for physical characteristics, configuration, matériel, performance, personnel or procedure, the uniform application of which is recognized as necessary for the safety or regularity of international air navigation and to which Contracting States will conform in accordance with the Convention; in the event of impossibility of compliance, notification to the Council is compulsory under Article 38.

Recommended Practice: Any specification for physical characteristics, configuration, matériel, performance, personnel or procedure, the uniform application of which is recognized as desirable in the interest of safety, regularity or efficiency of international air navigation, and to which Contracting States will endeavour to conform in accordance with the Convention.

b) Appendices comprising material grouped separately for convenience but forming part of the Standards and

Recommended Practices adopted by the Council.

c) Definitions of terms used in the Standards and Recommended Practices which are not self-explanatory in that they do not have accepted dictionary meanings. A definition does not have independent status but is an essential part of each Standard and Recommended Practice in which the term is used, since a change in the meaning of the term would affect the specification.

d) Tables and Figures which add to or illustrate a Standard or Recommended Practice and which are referred to therein, form part of the associated Standard or Recommended Practice and have the same status.

2.— Material approved by the Council for publication in association with the Standards and Recommended Practices:

a) Forewords comprising historical and explanatory material based on the action of the Council and including an explanation of the obligations of States with regard to the application of the Standards and Recommended Practices ensuing from the Convention and the Resolution of Adoption;

b) Introductions comprising explanatory material introduced at the beginning of parts, chapters or sections of the

Annex to assist in the understanding of the application of the text;

Foreword Annex 10 — Aeronautical Telecommunications

(vii) 22/11/07

c) Notes included in the text, where appropriate, to give factual information or references bearing on the Standards or Recommended Practices in question, but not constituting part of the Standards or Recommended Practices;

d) Attachments comprising material supplementary to the Standards and Recommended Practices, or included as a guide to their application.

Disclaimer regarding patents

Attention is drawn to the possibility that certain elements of Standards and Recommended Practices in this Annex may be the subject of patents or other intellectual property rights. ICAO shall not be responsible or liable for not identifying any or all such rights. ICAO takes no position regarding the existence, validity, scope or applicability of any claimed patents or other intellectual property rights, and accepts no responsibility or liability therefore or relating thereto.

Selection of language

This Annex has been adopted in four languages — English, French, Russian and Spanish. Each Contracting State is requested to select one of those texts for the purpose of national implementation and for other effects provided for in the Convention, either through direct use or through translation into its own national language, and to notify the Organization accordingly.

Editorial practices

The following practice has been adhered to in order to indicate at a glance the status of each statement: Standards have been printed in light face roman; Recommended Practices have been printed in light face italics, the status being indicated by the prefix Recommendation; Notes have been printed in light face italics, the status being indicated by the prefix Note.

The following editorial practice has been followed in the writing of specifications: for Standards the operative verb “shall” is used, and for Recommended Practices the operative verb “should” is used.

The units of measurement used in this document are in accordance with the International System of Units (SI) as specified in Annex 5 to the Convention on International Civil Aviation. Where Annex 5 permits the use of non-SI alternative units these are shown in parentheses following the basic units. Where two sets of units are quoted it must not be assumed that the pairs of values are equal and interchangeable. It may, however, be inferred that an equivalent level of safety is achieved when either set of units is used exclusively.

Any reference to a portion of this document, which is identified by a number and/or title, includes all subdivisions of that portion.

22/11/07 (viii)

Table A. Amendments to Annex 10, Volume IV

Amendment Source(s) Subject(s)

Adopted/approved Effective

Applicable

70 Air Navigation Commission;

Fifth meeting of the Secondary Surveillance Radar Improve-ments and Collision Avoidance Systems Panel

Creation of Volume IV and introduction of Standards and Recommended Practices and related guidance material for the airborne collision avoidance system (ACAS).

20 March 1995 24 July 1995 9 November 1995

71 Air Navigation Commission;

Fourth and fifth meetings of the Secondary Surveillance Radar Improvements and Collision Avoidance Systems Panel (SICASP)

Changes to material related to SSR Mode S air-ground data link system and the carriage of SSR transponders.

12 March 1996 15 July 1996 7 November 1996

72 — No change. —

(2nd edition)

Air Navigation Commission;

Sixth meeting of the Secondary Surveillance Radar Improvements and Collision Avoidance Systems Panel

(SICASP)

Addition of specifications for the SSR Mode S system; introduction of material related to the performance of the collision avoidance logic;

changes to guidance material related to the airborne collision avoidance system; introduction of Human Factors related material.

19 March 1998 20 July 1998 5 November 1998

74 Air Navigation Commission Note related to the waiving of patent rights on Mode S extended squitter technique.

18 March 1999 18 March 1999

75 — No change. —

76 Seventh meeting of the Aeronautical Mobile Communications Panel (AMCP)

Note related to update of references to the ITU Radio Regulations. 12 March 2001 12 March 2001

(3rd edition)

Seventh meeting of the Secondary Surveillance Radar Improvements and Collision Avoidance Systems Panel (SICASP)

SSR Mode S (Chapters 2 and 3); and ACAS (Chapters 1 and 4). 27 February 2002 15 July 2002 28 November 2002

78 — No change. —

79 — No change. —

80 — No change. —

81 — No change. —

(4th edition)

Surveillance and Conflict Resolution Systems Panel (SCRSP)

Updates to SARPs on ADS-B 26 February 2007 16 July 2007 22 November 2007

83 — No change. —

84 — No change. —

Foreword Annex 10 — Aeronautical Telecommunications

(ix) 22/11/07

Amendment Source(s) Subject(s)

Adopted/approved Effective

Applicable

85 Aeronautical Surveillance Panel (ASP)

a) Update of provisions relating to secondary surveillance radar (SSR) (Modes A/C and S) and automatic dependent surveillance

— broadcast (ADS-B) using 1 090 MHz extended squitter resulting from operational experience;

b) introduction of a system-level and functional requirement for multilateration systems used for air traffic surveillance;

c) introduction of an initial set of technical requirements for airborne surveillance applications that are enabled by the use of ADS-B IN messages on the flight deck;

d) new requirements for display of proximate traffic, traffic advisory (TA) and resolution advisory (RA);

e) update of provisions on hybrid surveillance in light of relevant recent developments; and

f) introduction of a new functional requirement for monitoring own aircraft’s vertical rate during an RA which would be affected by implementing a new version of the collision avoidance system (CAS) logic (commonly referred to as traffic alert and collision avoidance system (TCAS) Version 7.1). The new version of the CAS logic would also include a change in the annunciation of the RA “Adjust Vertical Speed, Adjust” to “Level Off”.

26 February 2010 12 July 2010 18 November 2010

86 — No change. —

87 — No change. —

15/11/12

No. 87

ANNEX 10 — VOLUME IV 1-1 22/11/07

INTERNATIONAL STANDARDS AND

RECOMMENDED PRACTICES

CHAPTER 1. DEFINITIONS

Note 1.— All references to “Radio Regulations” are to the Radio Regulations published by the International Telecommunication Union (ITU). Radio Regulations are amended from time to time by the decisions embodied in the Final Acts of World Radiocommunication Conferences held normally every two to three years. Further information on the ITU processes as they relate to aeronautical radio system frequency use is contained in the Handbook on Radio Frequency Spectrum Requirements for Civil Aviation including statement of approved ICAO policies (Doc 9718).

Note 2.— The Mode S extended squitter system is subject to patent rights from the Massachusetts Institute of Technology (MIT) Lincoln Laboratory. On 22 August 1996, MIT Lincoln Laboratory issued a notice in the Commerce Business Daily (CBD), a United States Government publication, of its intent not to assert its rights as patent owner against any and all persons in the commercial or non-commercial practice of the patent, in order to promote the widest possible use of the Mode S extended squitter technology. Further, by letter to ICAO dated 27 August 1998, MIT Lincoln Laboratory confirmed that the CBD notice has been provided to satisfy ICAO requirements for a statement of patent rights for techniques that are included in SARPs, and that the patent holders offer this technique free of charge for any use.

Airborne collision avoidance system (ACAS). An aircraft system based on secondary surveillance radar (SSR) transponder signals which operates independently of ground-based equipment to provide advice to the pilot on potential conflicting aircraft that are equipped with SSR transponders.

Note.— SSR transponders referred to above are those operating in Mode C or Mode S.

Aircraft address. A unique combination of twenty-four bits available for assignment to an aircraft for the purpose of air-ground communications, navigation and surveillance.

Note.— SSR Mode S transponders transmit extended squitters to support the broadcast of aircraft-derived position for surveillance purposes. The broadcast of this type of information is a form of automatic dependent surveillance (ADS) known as ADS-broadcast (ADS-B).

Automatic dependent surveillance-broadcast (ADS-B) OUT. A function on an aircraft or vehicle that periodically broadcasts its state vector (position and velocity) and other information derived from on-board systems in a format suitable for ADS-B IN capable receivers.

Automatic dependent surveillance-broadcast (ADS-B) IN. A function that receives surveillance data from ADS-B OUT data sources.

Collision avoidance logic. The sub-system or part of ACAS that analyses data relating to an intruder and own aircraft, decides whether or not advisories are appropriate and, if so, generates the advisories. It includes the following functions: range and altitude tracking, threat detection and RA generation. It excludes surveillance.

22/11/07 1-2

Human Factors principles. Principles which apply to design, certification, training, operations and maintenance and which seek safe interface between the human and other system components by proper consideration to human performance.

Secondary surveillance radar (SSR). A surveillance radar system which uses transmitters/receivers (interrogators) and transponders.

Note.— The requirements for interrogators and transponders are specified in Chapter 3.

Surveillance radar. Radar equipment used to determine the position of an aircraft in range and azimuth.

Traffic information service – broadcast (TIS-B) IN. A surveillance function that receives and processes surveillance data from

TIS-B OUT data sources.

Traffic information service – broadcast (TIS-B) OUT. A function on the ground that periodically broadcasts the surveillance information made available by ground sensors in a format suitable for TIS-B IN capable receivers.

Note.— This technique can be achieved through different data links. The requirements for Mode S extended squitters are specified in Annex 10, Volume IV, Chapter 5. The requirements for VHF digital link (VDL) Mode 4 and universal access transceiver (UAT) are specified in Annex 10, Volume III, Part I.

ANNEX 10 — VOLUME IV 2-1 22/11/07

CHAPTER 2. GENERAL

2.1 SECONDARY SURVEILLANCE RADAR (SSR)

2.1.1 When SSR is installed and maintained in operation as an aid to air traffic services, it shall conform with the provisions of 3.1 unless otherwise specified in this 2.1.

Note.— As referred to in this Annex, Mode A/C transponders are those which conform to the characteristics prescribed in

3.1.1. Mode S transponders are those which conform to the characteristics prescribed in 3.1.2. The functional capabilities of Mode A/C transponders are an integral part of those of Mode S transponders.

2.1.2 Interrogation modes (ground-to-air)

2.1.2.1 Interrogation for air traffic services shall be performed on the modes described in 3.1.1.4.3 or 3.1.2. The uses of each mode shall be as follows:

1) Mode A — to elicit transponder replies for identity and surveillance.

2) Mode C — to elicit transponder replies for automatic pressure-altitude transmission and surveillance.

3) Intermode —

a) Mode A/C/S all-call: to elicit replies for surveillance of Mode A/C transponders and for the acquisition of Mode S transponders.

b) Mode A/C-only all-call: to elicit replies for surveillance of Mode A/C transponders. Mode S transponders do not reply.

4) Mode S —

a) Mode S-only all-call: to elicit replies for acquisition of Mode S transponders.

b) Broadcast: to transmit information to all Mode S transponders. No replies are elicited.

c) Selective: for surveillance of, and communication with, individual Mode S transponders. For each interrogation, a reply is elicited only from the transponder uniquely addressed by the interrogation.

Note 1.— Mode A/C transponders are suppressed by Mode S interrogations and do not reply.

Note 2.— There are 25 possible interrogation (uplink) formats and 25 possible Mode S reply (downlink) formats. For format assignment see 3.1.2.3.2, Figures 3-7 and 3-8.

2.1.2.1.1 Recommendation.— Administrations should coordinate with appropriate national and international authorities those implementation aspects of the SSR system which will permit its optimum use.

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Note.— In order to permit the efficient operation of ground equipment designed to eliminate interference from unwanted aircraft transponder replies to adjacent interrogators (defruiting equipment), States may need to develop coordinated plans for the assignment of pulse recurrence frequencies (PRF) to SSR interrogators.

2.1.2.1.2 The assignment of interrogator identifier (II) codes, where necessary in areas of overlapping coverage, across international boundaries of flight information regions, shall be the subject of regional air navigation agreements.

2.1.2.1.3 The assignment of surveillance identifier (SI) codes, where necessary in areas of overlapping coverage, shall be the subject of regional air navigation agreements.

Note.— The SI lockout facility cannot be used unless all Mode S transponders within coverage range are equipped for this purpose.

2.1.2.2 Mode A and Mode C interrogations shall be provided.

Note.— This requirement may be satisfied by intermode interrogations which elicit Mode A and Mode C replies from Mode A/C transponders.

2.1.2.3 Recommendation.— In areas where improved aircraft identification is necessary to enhance the effectiveness of the ATC system, SSR ground facilities having Mode S features should include aircraft identification capability.

Note.— Aircraft identification reporting through the Mode S data link provides unambiguous identification of aircraft suitably equipped.

2.1.2.4 SIDE-LOBE SUPPRESSION CONTROL INTERROGATION

2.1.2.4.1 Side-lobe suppression shall be provided in accordance with the provisions of 3.1.1.4 and 3.1.1.5 on all Mode A, Mode C and intermode interrogations.

2.1.2.4.2 Side-lobe suppression shall be provided in accordance with the provisions of 3.1.2.1.5.2.1 on all Mode S-only all-call interrogations.

2.1.3 Transponder reply modes (air-to-ground)

2.1.3.1 Transponders shall respond to Mode A interrogations in accordance with the provisions of 3.1.1.7.12.1 and to Mode C interrogations in accordance with the provisions of 3.1.1.7.12.2.

Note.— If pressure-altitude information is not available, transponders reply to Mode C interrogations with framing pulses only.

2.1.3.1.1 The pressure-altitude reports contained in Mode S replies shall be derived as specified in 3.1.1.7.12.2.

Note.— 3.1.1.7.12.2 is intended to relate to Mode C replies and specifies, inter alia, that Mode C pressure-altitude reports be referenced to a standard pressure setting of 1 013.25 hectopascals. The intention of 2.1.3.1.1 is to ensure that all transponders, not just Mode C transponders, report uncorrected pressure-altitude.

2.1.3.2 Where the need for Mode C automatic pressure-altitude transmission capability within a specified airspace has been determined, transponders, when used within the airspace concerned, shall respond to Mode C interrogations with pressure-altitude encoding in the information pulses.

Chapter 2 Annex 10 — Aeronautical Telecommunications

2-3 22/11/07

2.1.3.2.1 From 1 January 1999, all transponders, regardless of the airspace in which they will be used, shall respond to Mode C interrogations with pressure-altitude information.

Note.— Operation of the airborne collision avoidance system (ACAS) depends upon intruder aircraft reporting pressure-altitude in Mode C replies.

2.1.3.2.2 For aircraft equipped with 7.62 m (25 ft) or better pressure-altitude sources, the pressure-altitude information provided by Mode S transponders in response to selective interrogations (i.e. in the AC field, 3.1.2.6.5.4) shall be reported in

7.62 m (25 ft) increments.

Note.— Performance of the ACAS is significantly enhanced when an intruder aircraft is reporting pressure-altitude in

7.62 m (25 ft) increments.

2.1.3.2.3 All Mode A/C transponders shall report pressure-altitude encoded in the information pulses in Mode C replies.

2.1.3.2.4 All Mode S transponders shall report pressure-altitude encoded in the information pulses in Mode C replies and in the AC field of Mode S replies.

2.1.3.2.5 When a Mode S transponder is not receiving more pressure-altitude information from a source with a quantization of 7.62 m (25 ft) or better increments, the reported value of the altitude shall be the value obtained by expressing the measured value of the uncorrected pressure-altitude of the aircraft in 30.48 m (100 ft) increments and the Q bit (see 3.1.2.6.5.4 b)) shall be set to 0.

Note.— This requirement relates to the installation and use of the Mode S transponder. The purpose is to ensure that altitude data obtained from a 30.48 m (100 ft) increment source are not reported using the formats intended for 7.62 m (25 ft) data.

2.1.3.3 Transponders used within airspace where the need for Mode S airborne capability has been determined shall also respond to intermode and Mode S interrogations in accordance with the applicable provisions of 3.1.2.

2.1.3.3.1 Requirements for mandatory carriage of SSR Mode S transponders shall be on the basis of regional air navigation agreements which shall specify the airspace and the airborne implementation timescales.

2.1.3.3.2 Recommendation.— The agreements indicated in 2.1.3.3.1 should provide at least five years’ notice.

2.1.4 Mode A reply codes (information pulses)

2.1.4.1 All transponders shall be capable of generating 4 096 reply codes conforming to the characteristics given in 3.1.1.6.2.

2.1.4.1.1 Recommendation.— ATS authorities should establish the procedures for the allotment of SSR codes in conformity with Regional Air Navigation agreements, taking into account other users of the system.

Note.— Principles for the allocation of SSR codes are given in Doc 4444, Chapter 8.

2.1.4.2 The following Mode A codes shall be reserved for special purposes:

2.1.4.2.1 Code 7700 to provide recognition of an aircraft in an emergency.

2.1.4.2.2 Code 7600 to provide recognition of an aircraft with radiocommunication failure.

2.1.4.2.3 Code 7500 to provide recognition of an aircraft which is being subjected to unlawful interference.

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2.1.4.3 Appropriate provisions shall be made in ground decoding equipment to ensure immediate recognition of Mode A codes 7500, 7600 and 7700.

2.1.4.4 Recommendation.— Mode A code 0000 should be reserved for allocation subject to regional agreement, as a general purpose code.

2.1.4.5 Mode A code 2000 shall be reserved to provide recognition of an aircraft which has not received any instructions from air traffic control units to operate the transponder.

2.1.5 Mode S airborne equipment capability

2.1.5.1 All Mode S transponders shall conform to one of the following five levels:

2.1.5.1.1 Level 1 — Level 1 transponders shall have the capabilities prescribed for:

a) Mode A identity and Mode C pressure-altitude reporting (3.1.1);

b) intermode and Mode S all-call transactions (3.1.2.5);

c) addressed surveillance altitude and identity transaction (3.1.2.6.1, 3.1.2.6.3, 3.1.2.6.5 and 3.1.2.6.7);

d) lockout protocols (3.1.2.6.9);

e) basic data protocols except data link capability reporting (3.1.2.6.10); and

f) air-air service and squitter transactions (3.1.2.8).

Note.— Level 1 permits SSR surveillance based on pressure-altitude reporting and the Mode A identity code. In an SSR Mode S environment, technical performance relative to a Mode A/C transponder is improved due to Mode S selective aircraft interrogation.

2.1.5.1.2 Level 2 — Level 2 transponders shall have the capabilities of 2.1.5.1.1 and also those prescribed for:

a) standard length communications (Comm-A and Comm-B) (3.1.2.6.2, 3.1.2.6.4, 3.1.2.6.6, 3.1.2.6.8 and 3.1.2.6.11);

b) data link capability reporting (3.1.2.6.10.2.2); and

c) aircraft identification reporting (3.1.2.9).

Note.— Level 2 permits aircraft identification reporting and other standard length data link communications from ground to air and air to ground. The aircraft identification reporting capability requires an interface and appropriate input device.

2.1.5.1.3 Level 3 — Level 3 transponders shall have the capabilities of 2.1.5.1.2 and also those prescribed for ground-to-air extended length message (ELM) communications (3.1.2.7.1 to 3.1.2.7.5).

Note.— Level 3 permits extended length data link communications from ground to air and thus may provide retrieval from ground-based data banks and receipt of other air traffic services which are not available with Level 2 transponders.

2.1.5.1.4 Level 4 — Level 4 transponders shall have the capabilities of 2.1.5.1.3 and also those prescribed for air-to-ground extended length message (ELM) communications (3.1.2.7.7 and 3.1.2.7.8).

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Note.— Level 4 permits extended length data link communications from air to ground and thus may provide access from the ground to airborne data sources and the transmission of other data required by air traffic services which are not available with Level 2 transponders.

2.1.5.1.5 Level 5 — Level 5 transponders shall have the capabilities of 2.1.5.1.4 and also those prescribed for enhanced Comm-B and extended length message (ELM) communications (3.1.2.6.11.3.4, 3.1.2.7.6 and 3.1.2.7.9).

Note.— Level 5 permits Comm-B and extended length data link communications with multiple interrogators without requiring the use of multisite reservations. This level of transponder has a higher minimum data link capacity than the other transponder levels.

2.1.5.1.6 Extended squitter — Extended squitter transponders shall have the capabilities of 2.1.5.1.2, 2.1.5.1.3, 2.1.5.1.4 or 2.1.5.1.5, the capabilities prescribed for extended squitter operation (3.1.2.8.6) and the capabilities prescribed for ACAS cross-link operation (3.1.2.8.3 and 3.1.2.8.4). Transponders with these capabilities shall be designated with a suffix “e”.

Note.— For example, a level 4 transponder with extended squitter capability would be designated “level 4e”.

2.1.5.1.7 SI capability — Transponders with the ability to process SI codes shall have the capabilities of 2.1.5.1.1, 2.1.5.1.2, 2.1.5.1.3, 2.1.5.1.4 or 2.1.5.1.5 and also those prescribed for SI code operation (3.1.2.3.2.1.4, 3.1.2.5.2.1, 3.1.2.6.1.3, 3.1.2.6.1.4.1, 3.1.2.6.9.1.1 and 3.1.2.6.9.2). Transponders with this capability shall be designated with a suffix “s”.

Note.— For example, a level 4 transponder with extended squitter capability and SI capability would be designated “level 4es”.

2.1.5.1.7.1 SI code capability shall be provided in accordance with the provisions of 2.1.5.1.7 for all Mode S transponders installed on or after 1 January 2003 and by all Mode S transponders by 1 January 2005.

Note.— Mandates from certain States may require applicability in advance of these dates.

2.1.5.1.8 Extended squitter non-transponder devices. Devices that are capable of broadcasting extended squitters that are not part of a Mode S transponder shall conform to all of the 1 090 MHz RF signals in space requirements specified for a Mode S transponder, except for transmit power levels for the identified equipment class as specified in 5.1.1.

2.1.5.2 All Mode S transponders used by international civil air traffic shall conform, at least, to the requirements of Level 2 prescribed in 2.1.5.1.2.

Note 1.— Level 1 may be admitted for use within an individual State or within the terms of a regional air navigation agreement. The Mode S Level 1 transponder comprises the minimum set of features for compatible operation of Mode S transponders with SSR Mode S interrogators. It is defined to prevent a proliferation of transponder types below Level 2 which would be incompatible with SSR Mode S interrogators.

Note 2.— The intent of the requirement for a Level 2 capability is to ensure the widespread use of an ICAO standard transponder capability to allow worldwide planning of Mode S ground facilities and services. The requirement also discourages an initial installation with Level 1 transponders that would be rendered obsolete by later requirements in certain airspace for mandatory carriage of transponders having Level 2 capabilities.

2.1.5.3 Mode S transponders installed on aircraft with gross mass in excess of 5 700 kg or a maximum cruising true airspeed capability in excess of 463 km/h (250 kt) shall operate with antenna diversity as prescribed in 3.1.2.10.4 if:

a) the aircraft individual certificate of airworthiness is first issued on or after 1 January 1990; or

b) Mode S transponder carriage is required on the basis of regional air navigation agreement in accordance with 2.1.3.3.1 and 2.1.3.3.2.

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Note.— Aircraft with maximum cruising true airspeed exceeding 324 km/h (175 kt) are required to operate with a peak power of not less than 21.0 dBW as specified in 3.1.2.10.2 c).

2.1.5.4 CAPABILITY REPORTING IN MODE S SQUITTERS

2.1.5.4.1 Capability reporting in Mode S acquisition squitters (unsolicited downlink transmissions) shall be provided in accordance with the provisions of 3.1.2.8.5.1 for all Mode S transponders installed on or after 1 January 1995.

2.1.5.4.2 Recommendation.— Transponders equipped for extended squitter operation should have a means to disable acquisition squitters when extended squitters are being emitted.

Note.— This will facilitate the suppression of acquisition squitters if all ACAS units have been converted to receive the extended squitter.

2.1.5.5 EXTENDED LENGTH MESSAGE (ELM) TRANSMIT POWER

In order to facilitate the conversion of existing Mode S transponders to include full Mode S capability, transponders originally manufactured before 1 January 1999 shall be permitted to transmit a burst of 16 ELM segments at a minimum power level of 20 dBW.

Note.— This represents a 1 dB relaxation from the power requirement specified in 3.1.2.10.2.

2.1.6 SSR Mode S address (aircraft address)

The SSR Mode S address shall be one of 16 777 214 twenty-four-bit aircraft addresses allocated by ICAO to the State of Registry or common mark registering authority and assigned as prescribed in 3.1.2.4.1.2.3.1.1 and the Appendix to Chapter 9, Part I, Volume III, Annex 10.

2.2 HUMAN FACTORS CONSIDERATIONS

Recommendation.— Human Factors principles should be observed in the design and certification of surveillance radar and collision avoidance systems.

Note.— Guidance material on Human Factors principles can be found in Doc 9683, Human Factors Training Manual and Circular 249 (Human Factors Digest No. 11 — Human Factors in CNS/ATM Systems).

ANNEX 10 — VOLUME IV 3-1 22/11/07

CHAPTER 3. SURVEILLANCE SYSTEMS

3.1 SECONDARY SURVEILLANCE RADAR (SSR)

SYSTEM CHARACTERISTICS

Note 1.— Section 3.1.1 prescribes the technical characteristics of SSR systems having only Mode A and Mode C capabilities. Section 3.1.2 prescribes the characteristics of systems with Mode S capabilities. Chapter 5 prescribes additional requirements on Mode S extended squitters.

Note 2.— Systems using Mode S capabilities are generally used for air traffic control surveillance systems. In addition, certain ATC applications may use Mode S emitters, e.g. for vehicle surface surveillance or for fixed target detection on surveillance systems. Under such specific conditions, the term “aircraft” can be understood as “aircraft or vehicle (A/V)”.

While those applications may use a limited set of data, any deviation from standard physical characteristics must be considered very carefully by the appropriate authorities. They must take into account not only their own surveillance (SSR) environment but also possible effects on other systems like ACAS.

Note 3.— Non-Standard-International alternative units are used as permitted by Annex 5, Chapter 3, 3.2.2.

3.1.1 Systems having only Mode A and Mode C capabilities

Note 1.— In this section, SSR modes are designated by letters A and C. Suffixed letters, e.g. A2, C4, are used to designate the individual pulses used in the air-to-ground pulse trains. This common use of letters is not to be construed as implying any particular association of modes and codes.

Note 2.— Provisions for the recording and retention of radar data are contained in Annex 11, Chapter 6.

3.1.1.1 INTERROGATION AND CONTROL (INTERROGATION SIDE-LOBE SUPPRESSION)

RADIO FREQUENCIES (GROUND-TO-AIR)

3.1.1.1.1 The carrier frequency of the interrogation and control transmissions shall be 1 030 MHz.

3.1.1.1.2 The frequency tolerance shall be plus or minus 0.2 MHz.

3.1.1.1.3 The carrier frequencies of the control transmission and of each of the interrogation pulse transmissions shall not differ from each other by more than 0.2 MHz.

3.1.1.2 REPLY CARRIER FREQUENCY (AIR-TO-GROUND)

3.1.1.2.1 The carrier frequency of the reply transmission shall be 1 090 MHz.

3.1.1.2.2 The frequency tolerance shall be plus or minus 3 MHz.

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3.1.1.3 POLARIZATION

Polarization of the interrogation, control and reply transmissions shall be predominantly vertical.

3.1.1.4 INTERROGATION MODES (SIGNALS-IN-SPACE)

3.1.1.4.1 The interrogation shall consist of two transmitted pulses designated P1 and P3. A control pulse P2 shall be transmitted following the first interrogation pulse P1.

3.1.1.4.2 Interrogation Modes A and C shall be as defined in 3.1.1.4.3.

3.1.1.4.3 The interval between P1 and P3 shall determine the mode of interrogation and shall be as follows:

Mode A 8 ±0.2 microseconds Mode C 21 ±0.2 microseconds

3.1.1.4.4 The interval between P1 and P2 shall be 2.0 plus or minus 0.15 microseconds.

3.1.1.4.5 The duration of pulses P1, P2 and P3 shall be 0.8 plus or minus 0.1 microsecond.

3.1.1.4.6 The rise time of pulses P1, P2 and P3 shall be between 0.05 and 0.1 microsecond.

Note 1.— The definitions are contained in Figure 3-1 “Definitions of secondary surveillance radar waveform shapes, intervals and the reference point for sensitivity and power”.

Note 2.— The intent of the lower limit of rise time (0.05 microsecond) is to reduce sideband radiation. Equipment will meet this requirement if the sideband radiation is no greater than that which, theoretically, would be produced by a trapezoidal wave having the stated rise time.

3.1.1.4.7 The decay time of pulses P1, P2 and P3 shall be between 0.05 and 0.2 microsecond.

Note.— The intent of the lower limit of decay time (0.05 microsecond) is to reduce sideband radiation. Equipment will meet this requirement if the sideband radiation is no greater than that which, theoretically, would be produced by a trapezoidal wave having the stated decay time.

3.1.1.5 INTERROGATOR AND CONTROL TRANSMISSION CHARACTERISTICS

(INTERROGATION SIDE-LOBE SUPPRESSION — SIGNALS-IN-SPACE)

3.1.1.5.1 The radiated amplitude of P2 at the antenna of the transponder shall be:

a) equal to or greater than the radiated amplitude of P1 from the side-lobe transmissions of the antenna radiating P1; and

b) at a level lower than 9 dB below the radiated amplitude of P1, within the desired arc of interrogation.

3.1.1.5.2 Within the desired beam width of the directional interrogation (main lobe), the radiated amplitude of P3 shall be within 1 dB of the radiated amplitude of P1.

Chapter 3 Annex 10 — Aeronautical Telecommunications

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3.1.1.6 REPLY TRANSMISSION CHARACTERISTICS (SIGNALS-IN-SPACE)

3.1.1.6.1 Framing pulses. The reply function shall employ a signal comprising two framing pulses spaced

20.3 microseconds as the most elementary code.

3.1.1.6.2 Information pulses. Information pulses shall be spaced in increments of 1.45 microseconds from the first framing pulse. The designation and position of these information pulses shall be as follows:

Pulses

Position (microseconds)

C1 1.45 A1 2.90 C2 4.35 A2 5.80 C4 7.25 A4 8.70 X 10.15 B1 11.60 D1 13.05 B2 14.50 D2 15.95 B4 17.40 D4 18.85

Note.— The Standard relating to the use of these pulses is given in 2.1.4.1. However, the position of the “X” pulse is not used in replies to Mode A or Mode C interrogations and is specified only as a technical standard to safeguard possible future expansion of the system. It has nevertheless been decided that such expansion should be achieved using Mode S. The presence of a pulse in the X pulse position is used in some States to invalidate replies.

3.1.1.6.3 Special position identification pulse (SPI). In addition to the information pulses provided, a special position identification pulse shall be transmitted but only as a result of manual (pilot) selection. When transmitted, it shall be spaced at an interval of 4.35 microseconds following the last framing pulse of Mode A replies only.

3.1.1.6.4 Reply pulse shape. All reply pulses shall have a pulse duration of 0.45 plus or minus 0.1 microsecond, a pulse rise time between 0.05 and 0.1 microsecond and a pulse decay time between 0.05 and 0.2 microsecond. The pulse amplitude variation of one pulse with respect to any other pulse in a reply train shall not exceed 1 dB.

Note.— The intent of the lower limit of rise and decay times (0.05 microsecond) is to reduce sideband radiation. Equipment will meet this requirement if the sideband radiation is not greater than that which, theoretically, would be produced by a trapezoidal wave having the stated rise and decay times.

3.1.1.6.5 Reply pulse position tolerances. The pulse spacing tolerance for each pulse (including the last framing pulse) with respect to the first framing pulse of the reply group shall be plus or minus 0.10 microsecond. The pulse interval tolerance of the special position identification pulse with respect to the last framing pulse of the reply group shall be plus or minus 0.10 microsecond. The pulse spacing tolerance of any pulse in the reply group with respect to any other pulse (except the first framing pulse) shall not exceed plus or minus 0.15 microsecond.

3.1.1.6.6 Code nomenclature. The code designation shall consist of digits between 0 and 7 inclusive, and shall consist of the sum of the subscripts of the pulse numbers given in 3.1.1.6.2 above, employed as follows:

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Digit Pulse Group

First (most significant) A Second B Third C Fourth D

3.1.1.7 TECHNICAL CHARACTERISTICS OF TRANSPONDERS WITH

MODE A AND MODE C CAPABILITIES ONLY

3.1.1.7.1 Reply. The transponder shall reply (not less than 90 per cent triggering) when all of the following conditions have been met:

a) the received amplitude of P3 is in excess of a level 1 dB below the received amplitude of P1 but no greater than 3 dB above the received amplitude of P1;

b) either no pulse is received in the interval 1.3 microseconds to 2.7 microseconds after P1, or P1 exceeds by more than

9 dB any pulse received in this interval;

c) the received amplitude of a proper interrogation is more than 10 dB above the received amplitude of random pulses where the latter are not recognized by the transponder as P1, P2 or P3.

3.1.1.7.2 The transponder shall not reply under the following conditions:

a) to interrogations when the interval between pulses P1 and P3 differs from those specified in 3.1.1.4.3 by more than plus or minus 1.0 microsecond;

b) upon receipt of any single pulse which has no amplitude variations approximating a normal interrogation condition.

3.1.1.7.3 Dead time. After recognition of a proper interrogation, the transponder shall not reply to any other interrogation, at least for the duration of the reply pulse train. This dead time shall end no later than 125 microseconds after the transmission of the last reply pulse of the group.

3.1.1.7.4 SUPPRESSION

Note.— This characteristic is used to prevent replies to interrogations received via the side lobes of the interrogator antenna, and to prevent Mode A/C transponders from replying to Mode S interrogations.

3.1.1.7.4.1 The transponder shall be suppressed when the received amplitude of P2 is equal to, or in excess of, the received amplitude of P1 and spaced 2.0 plus or minus 0.15 microseconds. The detection of P3 is not required as a prerequisite for initiation of suppression action.

3.1.1.7.4.2 The transponder suppression shall be for a period of 35 plus or minus 10 microseconds.

3.1.1.7.4.2.1 The suppression shall be capable of being reinitiated for the full duration within 2 microseconds after the end of any suppression period.

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3.1.1.7.4.3 Suppression in presence of S1 pulse

Note.— The S1 pulse is used in a technique employed by ACAS known as “whisper-shout” to facilitate ACAS surveillance of Mode A/C aircraft in higher traffic densities. The whisper-shout technique is explained in the Airborne Collision Avoidance System (ACAS) Manual (Doc 9863).

When an S1 pulse is detected 2.0 plus or minus 0.15 microseconds before the P1 of a Mode A or Mode C interrogation:

a) with S1 and P1 above MTL, the transponder shall be suppressed as specified in 3.1.1.7.4.1;

b) with P1 at MTL and S1 at MTL, the transponder shall be suppressed and shall reply to no more than 10 per cent of

Mode A/C interrogations;

c) with P1 at MTL and S1 at MTL -3 dB, the transponder shall reply to Mode A/C interrogations at least 70 per cent of the time; and

d) with P1 at MTL and S1 at MTL -6 dB, the transponder shall reply to Mode A/C interrogations at least 90 per cent of the time.

Note 1.— The suppression action is because of the detection of S1 and P1 and does not require detection of a P2 or P3 pulse.

Note 2.— S1 has a lower amplitude than P1. Certain ACAS use this mechanism to improve target detection (4.3.7.1).

Note 3.— These requirements also apply to a Mode A/C only capable transponder when an S1 precedes an intermode interrogation (2.1.2.1).

3.1.1.7.5 RECEIVER SENSITIVITY AND DYNAMIC RANGE

3.1.1.7.5.1 The minimum triggering level of the transponder shall be such that replies are generated to at least 90 per cent of the interrogation signals when:

a)…