[Federal Register Volume 71, Number 203 (Friday, October 20, 2006)]
[Rules and Regulations]
[Pages 61889-61895]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-17179]



[[Page 61889]]

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DEPARTMENT OF DEFENSE

Office of the Secretary

[DoD-2006-OS-0133]
RIN 0790-AI06

32 CFR Part 245


Plan for the Emergency Security Control of Air Traffic (ESCAT)

AGENCY: Department of Defense.

ACTION: Final rule.

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SUMMARY: This rule updates the national plan for security control of 
air traffic during air defense emergencies and has direct relationship 
with the June 22, 2006, National Security Presidential Directive/NSPD-
47 and Homeland Security Presidential Directive/HSPD-16, and is 
authorized by the Communications Act of 1934, as amended, 5 U.S.C. 301, 
552, Executive Order 12656 (``Assignment of Emergency Preparedness 
Responsibilities'', November 18, 1988), as amended. The national plan 
defines the responsibilities and actions of agencies and personnel 
within the Departments of Defense, Transportation and Homeland Security 
with no effect to the public.

DATES: This rule is effective January 18, 2006.

FOR FURTHER INFORMATION CONTACT: Mr. Gerald F. Pease, Jr., (703) 697-
6937.

SUPPLEMENTARY INFORMATION: This rule updates the national plan for 
security control of air traffic during air defense emergencies and has 
direct relationship with the June 22, 2006, National Security 
Presidential Directive/NSPD-47 and Homeland Security Presidential 
Directive/HSPD-16, and is authorized by the Communications Act of 1934, 
as amended, 5 U.S.C. 301, 552, Executive Order 12656 (``Assignment of 
Emergency Preparedness Responsibilities'', November 18, 1988), as 
amended.
    DoD has determined that good cause exists for exemption from public 
comment as the published change to 32 CFR part 245 is in direct 
compliance with current Presidential Directives, does not set a 
precedent in updating the National Plan, and any delay in acting on 
this request would be detrimental to U.S. aviation security and 
national commerce.

List of Subjects in 32 CFR Part 245

    Air traffic control, National defense, Navigation (air), Security 
measures.

0
Accordingly 32 CFR part 245 is revised to read as follows:

PART 245--PLAN FOR THE EMERGENCY SECURITY CONTROL OF AIR TRAFFIC 
(ESCAT)

Sec.
Subpart A--General
245.1 Purpose.
245.2 Applicability.
245.3 Responsibilities.
Subpart B--Explanation of Terms, Acronyms and Abbreviations
245.5 Terms.
245.6 Abbreviations and acronyms.
Subpart C--The ESCAT Plan
245.8 Purpose.
245.9 Authority.
245.10 Scope.
245.11 General description of the ESCAT plan.
245.12 Amplifying instructions.
245.13 Responsibilities.
Subpart D--Procedures for Implementation of ESCAT
245.15 Appropriate military authority.
245.16 ATCSCC.
245.17 U.S. civil and military air traffic control facilities.
245.18 Transportation security operations center (TSOC).
Subpart E--ESCAT Air Traffic Priority List (EATPL)
245.20 Purpose.
245.21 ESCAT air traffic priority list.
245.22 Policy for application of EATPL.
Subpart F--Procedure for Movement of Air Traffic Under ESCAT
245.24 Aircraft assigned an EATPL number 1 or 2.
245.25 Aircraft assigned an EATPL number other than 1 or 2.
245.26 Aircraft being recovered.
245.27 Data entry.
Subpart G--Test Procedures
245.29 Purpose.
245.30 ESCAT test procedures restrictions.
245.31 ESCAT test.
Subpart H--Authentication
245.33 Approval.

    Authority: 5 U.S.C. 301, 552.

Subpart A--General


Sec.  245.1  Purpose.

    This part:
    (a) Is authorized by the Communications Act of 1934, as amended, 5 
U.S.C. 301, 552, Executive Order 12656 (``Assignment of Emergency 
Preparedness Responsibilities'', November 18, 1988), as amended.
    (b) Defines the jointly developed and agreed upon responsibilities 
of the Department of Transportation/Federal Aviation Administration 
(DOT/FAA), Department of Homeland Security/Transportation Security 
Administration (DHS/TSA), and Department of Defense (DoD) authorities 
for the security control of civil and military air traffic. It 
implements policy, assigns responsibilities, and prescribes procedures 
for implementation and performance of the ESCAT Plan. The Emergency 
Security Control of Air Traffic (ESCAT) is an emergency preparedness 
plan that prescribes the joint action to be taken by appropriate 
elements of the DoD, the DOT and the DHS in the interests of national 
security to control air traffic under emergency conditions.


Sec.  245.2  Applicability.

    This part applies to the Office of the Secretary of Defense, the 
Military Departments, the Organization of the Joint Chiefs of Staff, 
the Combatant Commands, the DOT, the FAA, the DHS, and the TSA.


Sec.  245.3  Responsibilities.

    The Assistant Secretary of Defense for Networks and Information 
Integration will ensure the responsibilities of the DoD are 
implemented. The DOT and the DHS shall implement the procedures and 
actions requested by the Department of Defense.

Subpart B--Explanation of Terms, Acronyms and Abbreviations


Sec.  245.5  Terms.

    For the purpose of this part, the words ``will'' and ``shall'' 
denote mandatory action by the affected person(s) or agency(ies).
    Air control measures. Airspace and/or flight restrictions that may 
be issued in support of National Defense or Homeland Security 
initiatives.
    Air defense. All defensive measures designed to destroy attacking 
enemy aircraft or missiles as well as enemy operated aircraft or 
missiles in the Earth's envelope of atmosphere, or to nullify or reduce 
the effectiveness of such attack.
    Air defense area (ADA). Airspace of defined dimensions designated 
by the appropriate agency within which the ready control of airborne 
vehicles is required in the interest of national security.
    Air defense emergency (ADE). An emergency condition, declared by 
the appropriate military authority, that exists when attack upon the 
continental United States, Alaska, Hawaii, other U.S. territories and 
possessions or Canada by hostile aircraft or missiles is considered 
probable, is imminent, or is taking place.
    Air defense identification zone (ADIZ). Airspace of defined 
dimensions

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within which the ready identification, location, and control of 
airborne vehicles are required.
    Air defense liaison officer (ADLO). FAA representative at a North 
American Aerospace Defense Command (NORAD) air defense facility (NORAD 
Region or NORAD Air Defense Sector).
    Air defense region. A geographical subdivision of an air defense 
area.
    Air defense sector. A geographical subdivision of an air defense 
region.
    Air traffic control system command center (ATCSCC). FAA Command 
Center responsible for the efficient operation of the National Airspace 
System, ensuring safe and efficient air travel within the United 
States.
    Anchor annex flight. Classified DoD mission.
    Appropriate military authority. The military commander with the 
authority to direct the implementation of this part. The appropriate 
military authorities are designated in part 245.11, (a)(1), (a)(2), 
(a)(3) and (b)(1), (b)(2), (b)(3).
    Chief of the Defense Staff (CDS). Canada's counterpart to the 
Chairman, Joint Chiefs of Staff.
    Civil reserve air fleet (CRAF). Those aircraft allocated, or 
identified for allocation, to the DoD under section 101 of the Defense 
Production Act of 1950 (50 U.S.C. App. 2071), or made available (or 
agreed to be made available) for use by the DoD under a contract made 
under this title, as part of the program developed by the DoD through 
which the DoD augments its airlift capability by use of civil aircraft.
    Combatant Command. A command with a broad continuing mission under 
a single commander established and so designated by the President, 
through the Secretary of Defense and with the advice and assistance of 
the Chairman of the Joint Chiefs of Staff. The Combatant Commands 
typically have geographic or functional responsibilities. For the 
purposes of this part, the term ``combatant command'' also includes 
NORAD.
    Continental United States (CONUS). All U.S. territory of the 48 
contiguous states (does not include Alaska and Hawaii), including the 
adjacent territorial waters within 12 miles of the coast of the 48 
contiguous states.
    Contingency operations. A military operation that:
    (1) Is designated by the Secretary of Defense as an operation in 
which members of the armed forces are or may become involved in 
military actions, operations, or hostilities against an enemy of the 
United States or against an opposing military force; or
    (2) Results in the call or order to, or retention on, active duty 
of members of the uniformed services under section 688, 12301 (a), 
12302, 12304, 12305, or 12406 of title 10 U.S.C., chapter 15, as 
amended by E.O. 13286, February 28 2003, or any other provision of law 
during a war or during a national emergency declared by the President 
or Congress.
    Defense emergency. An emergency condition that exists when:
    (1) A major attack is made upon U.S. forces overseas or on allied 
forces in any theater and is confirmed by either the commander of a 
command established by the Secretary of Defense or higher authority; or
    (2) An overt attack of any type is made upon the United States and 
is confirmed either by the commander of a command established by the 
Secretary of Defense or higher authority.
    Dispersal. Relocation of forces for the purpose of increasing 
survivability.
    Diversion. A change made in a prescribed route or destination for 
operational or tactical reasons.
    Domestic event network (DEN). A 24/7 FAA sponsored, telephonic 
conference call network that includes all of the Air Route Traffic 
Control Centers (ARTCC) in the U.S. It also includes various other 
governmental agencies that monitor the DEN. The purpose of the DEN is 
to provide timely notification to the appropriate authorities that 
there is an emerging air-related problem or incident within the CONUS.
    ESCAT air traffic priority list (EATPL). A list comprised of eight 
priorities designed to control the volume of air traffic when ESCAT has 
been implemented.
    National Airspace System (NAS). The NAS consists of the overall 
environment for the safe operation of aircraft that are subject to the 
FAA's jurisdiction. It includes: air navigation facilities, equipment 
and services, airports or landing areas; aeronautical charts, 
information and services; rules, regulations and procedures, technical 
information, and manpower and material. Included are system components 
used by the DoD.
    National emergency. A condition declared by the President or the 
Congress by virtue of powers previously vested in them that authorize 
certain emergency actions to be undertaken in the national interest. 
Actions to be taken may include partial, full, or total mobilization of 
national resources.
    Navigational aids (NAVAIDs). Aids to navigation, including but are 
not limited to, Global Positioning System (GPS), Tactical Air 
Navigation (TACAN), VHF Omnidirectional range (VOR), VHF 
Omnidirectional range/Tactical Air Navigation (VORTAC), Radar, and Long 
Range Navigation (LORAN). GPS also includes its Federal government-
provided augmentations, i.e., the FAA Wide Area Augmentation System 
(WAAS) and Local Area Augmentation System (LAAS), United States Coast 
Guard (USCG) Maritime Differential GPS (MDGPS) and USCG Nationwide 
Differential GPS (NDGPS).
    North American Aerospace Defense Command (NORAD). A combined 
military command established by the Governments of Canada and the 
United States responsible for North American aerospace warning and 
control. Headquartered in Colorado Springs, CO, NORAD is subdivided 
into three geographic regions: Alaska NORAD Region (ANR), Canadian 
NORAD Region (CANR) and the CONUS NORAD Region (CONR).
    Security assurance check. Measures taken by DoD/DHS, as 
appropriate, to ensure aircraft, cargo and crew security has not been 
compromised by hostile organizations or individuals who are or may be 
engaged in espionage, sabotage, subversion, terrorism or other criminal 
activities.
    Security control authorization (SCA). Authorization for an EATPL 
category eight aircraft to take off when ESCAT has been implemented, 
which will be coordinated between DHS and the appropriate military 
authority.
    Special Use Airspace (SUA). Airspace of defined dimensions 
identified by an area on the surface of the earth wherein activities 
must be confined because of their nature, and/or wherein limitation may 
be imposed upon aircraft operations that are not part of those 
activities. Types of special use airspace include Military Operations 
Areas, Prohibited Areas, Restricted Areas and Warning Areas.
    State and regional disaster airlift (SARDA). The plan for using 
civil aviation resources to support State and regional emergency 
response operations.


Sec.  245.6  Abbreviations and acronyms.

AADC--Area Air Defense Commander
ADE--Air Defense Emergency
ADIZ--Air Defense Identification Zone
ADLO--Air Defense Liaison Officer
AMC--Air Mobility Command
ANR--Alaska NORAD Region
AOR--Area of Responsibility
ARTCC--Air Route Traffic Control Center
ATC--Air Traffic Control
ATCSCC--Air Traffic Control System Command Center
CARDA--Continental U.S. Airborne Reconnaissance for Damage Assessment

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CDS--Chief of the Defence Staff (Canada)
CERAP--Center-RAPCON
CJCS--Chairman, Joint Chiefs of Staff
CONR--CONUS NORAD Region
CONUS--Continental United States
CRAF--Civil Reserve Air Fleet
DEN--Domestic Event Network
DHS--Department of Homeland Security
DND--Department of National Defence (Canada)
DoD--Department of Defense
DOT--Department of Transportation
EATPL--ESCAT Air Traffic Priority List
E.O.--Executive Order
ESCAT--Emergency Security Control of Air Traffic
FAA--Federal Aviation Administration
IFR--Instrument Flight Rules
LEA--Law Enforcement Agencies
LIFEGUARD--Civilian air ambulance flights
LNO--Liaison Officer
MEDEVAC--Medical air evacuation flight
NAS--National Airspace System
NEADS--Northeast Air Defense Sector (NORAD)
NORAD--North American Aerospace Defense Command
PACAF--Pacific Air Forces
SARDA--State and Regional Disaster Airlift
SCA--Security Control Authorization
SEADS--Southeast Air Defense Sector (NORAD)
SUA--Special Use Airspace
TSA--Transportation Security Administration
USNORTHCOM--U.S. Northern Command
USPACOM--U.S. Pacific Command
VFR--Visual Flight Rules
WADS--Western Air Defense Sector (NORAD)

Subpart C--The ESCAT Plan


Sec.  245.8  Purpose.

    This part establishes responsibilities, procedures, and 
instructions for the security control of civil and military air traffic 
in order to provide effective use of airspace under various emergency 
conditions.


Sec.  245.9  Authority.

    (a) E.O. 12656, 18 November 1988, which assigns emergency 
preparedness functions to Federal departments and agencies.
    (b) E.O. 13074, Amendment to E.O. 12656, February 9, 1998.
    (c) E.O. 13286, Amendment of E.O. 13276, 13274, 13271, 13260, 
13257, 13254, and 13231, and Other Actions, in Connection With the 
Transfer of Certain Functions to the Secretary of Homeland Security, 
February 28, 2003.
    (d) Title 10 U.S.C.--Armed Forces.
    (e) Title 49 U.S.C., Subtitle VII--Aviation Programs.
    (f) Communications Act of 1934, as amended.
    (g) Aviation and Transportation Security Act of 2001 (Pub. L. 107-
71), establishes the TSA and transfers civil aviation security 
responsibilities from FAA to TSA.
    (h) Homeland Security Act of 2002 (Pub. L. 107-296), establishes 
DHS and transfers the transportation security functions of the DOT and 
Secretary of Transportation and the TSA to DHS.
    (i) DoD Directive 5030.19,\1\ ``DoD Responsibilities on Federal 
Aviation and National Airspace System Matters,'' outlines DoD/ NORAD 
responsibilities for the development of plans and policies in concert 
with the DOT, FAA and USCG for the establishment of a system for 
identification and emergency security control of air traffic.
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    \1\ Copies may be obtained at http://www.dtic.mil/whs/directives/corres/dir2.html.
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Sec.  245.10  Scope.

    This part applies to all U.S. territorial airspace and other 
airspace over which the FAA has air traffic control jurisdiction by 
international agreement.


Sec.  245.11  General description of the ESCAT plan.

    The part defines the authorities, responsibilities, and procedures 
to identify and control air traffic within a specified air defense area 
during air defense emergencies, defense emergency, or national 
emergency conditions.
    (a) For the purpose of this part, the appropriate military 
authorities are as follows:
    (1) Contiguous 48 U.S. states, including Washington, DC; Alaska; 
and Canada--Commander NORAD or individual NORAD Region/Sector 
commanders.
    (2) Hawaii, Guam, Wake Island, other U.S. Pacific Territories, and 
Pacific oceanic airspace over which FAA has air traffic control 
jurisdiction by international agreement--Commander, U.S. Pacific 
Command (USPACOM) or designated AADC.
    (3) Puerto Rico and U.S. Virgin Islands--Commander, NORAD.
    (b) This part provides for security control of both civil and 
military air traffic. It is intended to meet threat situations such as:
    (1) An emergency resulting in the declaration of an Air Defense 
Emergency by the appropriate military authority. Under this condition, 
NORAD and USPACOM Commanders have authority to implement ESCAT and may 
consider executing this part.
    (2) An adjacent Combatant Command is under attack and an Air 
Defense Emergency has not yet been declared. Under these conditions, 
NORAD and USPACOM Commanders may direct implementation of ESCAT for 
their own AORs individually, if airspace control measures are warranted 
and agreed upon by DoD/DHS/DOT.
    (3) Emergency conditions exist that either threaten national 
security or national interests vital to the U.S., but do not warrant 
declaration of Defense Emergency or Air Defense Emergency. Under these 
conditions, NORAD and USPACOM Commanders may direct implementation of 
ESCAT for their own AORs individually, if airspace control measures are 
warranted and agreed upon by DoD/DHS/DOT.


Sec.  245.12  Amplifying instructions.

    (a) Prior to any formal ESCAT implementation, the appropriate 
military authority will consult with DOT through the FAA Administrator 
and DHS through the TSA Administrator to discuss the air traffic 
management, airspace and/or security measures required. Every effort 
will be made to obtain the approval of the Secretary of Defense prior 
to ESCAT declaration, time and circumstance permitting. Any ESCAT 
implementation will be passed as soon as possible through the Chairman 
of the Joint Chiefs of Staff to the Secretary of Defense.
    (b) ESCAT may be implemented in phases to facilitate a smooth 
transition from normal air traffic identification and control 
procedures to the more restrictive identification and control 
procedures specific to the situation.
    (c) Once ESCAT is implemented, the appropriate military authority 
will consult regularly with DOT (through the FAA Administrator) and DHS 
(through the TSA Administrator) as appropriate, regarding any changes 
in the air traffic management, airspace, and/or security measures 
required.
    (d) Interference with normal air traffic should be minimized.
    (e) The process for implementation of measures for mitigation of 
hostile use of NAVAID signals, when required, will be subject to 
separate agreement between DoD and other Departments and Agencies.
    (f) Upon the formal declaration of ESCAT, the appropriate military 
authority has the final authority regarding the extent of measures 
necessary for successful mission completion.
    (g) The rules/procedures governing Special Use Airspace (SUA) will 
remain

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in effect until notified by the appropriate military authority. The 
appropriate military authority will address SUA use in the ESCAT 
activation message.
    (h) Appropriate Combatant Commanders, in conjunction with their FAA 
and TSA Liaisons, will prepare supplements to this part for their area 
of responsibility. These supplements are to consider the special 
requirement of organized civil defense and disaster relief flights, 
agricultural and forest fire flights, border patrol flights, and other 
essential civil air operations so that maximum use of these flights, 
consistent with air defense requirements, will be made when ESCAT is in 
effect.
    (i) Flight operations vital to national defense, as determined by 
appropriate military commanders, will be given priority over all other 
military and civil aircraft.
    (j) Prior to or subsequent to the declaration of an Air Defense 
Emergency, Defense Emergency, or National Emergency, there may be a 
requirement to disperse military aircraft for their protection. If such 
dispersal plans are implemented when any part of this part has been 
placed in effect, operations will be in accordance with the 
requirements of that portion of the ESCAT plan that is in effect. If 
any part of the ESCAT plan is ordered while dispersal is in progress, 
dispersal operations will be revised as required to comply with ESCAT.
    (k) Direct communications are authorized between appropriate 
agencies and units for the purpose of coordinating and implementing the 
procedures in this part.
    (l) To ensure implementation actions can be taken expeditiously, 
ESCAT tests will be conducted periodically, but at least annually in 
accordance with Sec.  245.31 of this part.
    (m) The area of responsibility of the appropriate military 
authority does not always align with ARTCC boundaries, especially in 
the NORAD area where one ARTCC's boundaries may lie within two or more 
CONUS NORAD Sectors. For NORAD and USPACOM, the FAA ARTCCs/CERAPs are 
aligned as follows:

------------------------------------------------------------------------
    Command/region/sector                       ARTCC's
------------------------------------------------------------------------
CONR South East Air Defense    Atlanta, Fort Worth, Houston,
 Sector (SEADS).                Indianapolis, Jacksonville, Kansas City,
                                Memphis, Miami, Washington, San Juan
                                CERAP.
CONR North East Air Defense    Boston, Chicago, Cleveland, Minneapolis,
 Sector (NEADS).                New York, Indianapolis, Kansas City,
                                Atlanta, Memphis, Washington.
CONR Western Air Defense       Albuquerque, Denver, Los Angeles,
 Sector (WADS).                 Oakland, Salt Lake City, Seattle, Fort
                                Worth, Houston, Kansas City,
                                Minneapolis.
ANR (Alaskan NORAD Region)...  Anchorage.
PACOM........................  Honolulu CERAP, Oakland, Anchorage.
------------------------------------------------------------------------

    (n) Commander NORAD, acting for the DoD, will process and 
distribute administrative and organizational changes as they occur; 
however, this part will be reviewed at least once every two years by 
DHS/TSA, DOT/FAA, and DoD and reissued or changed as required. 
Recommended changes should be forwarded to: Headquarters North American 
Air Defense Command, Commander NORAD/J3, ATTN: NJ33C, 250 Vandenberg 
Street, Suite B106, Peterson AFB, CO 80914-3818.


Sec.  245.13  Responsibilities.

    (a) The NORAD and USPACOM Commanders will:
    (1) Establish the military requirements for ESCAT.
    (2) Implement the plan as appropriate by declaring ESCAT (including 
the timing and scope) within their AOR.
    (3) Terminate the plan as appropriate by discontinuing ESCAT 
(including the timing and scope) within their AOR.
    (4) Coordinate with the Secretary of Defense or his designee, the 
CJCS, other Combatant Commands, the Department of Transportation, the 
Department of Homeland Security and the Canadian Minister of National 
Defence, as appropriate, regarding procedures for ESCAT implementation.
    (b) The DOT (through the FAA Administrator) will:
    (1) Establish the necessary FAA directives/plans including special 
ATC procedures to implement this part.
    (2) Maintain liaison with Combatant Commands whose AORs include FAA 
areas of authority through the appropriate LNO, or FAA ADLO offices.
    (3) Administer this part in accordance with established 
requirements.
    (4) Ensure authorized FAA ADLO positions at NORAD facilities are 
staffed.
    (5) Publish a common use document describing ESCAT and its purpose 
for use by civil aviation.
    (6) Ensure FAA participation with the Combatant Commands in the 
testing of this part.
    (7) Ensure the FAA Air Traffic Organization Service Units will:
    (i) Disseminate information and instructions implementing this part 
within their AORs.
    (ii) Place in effect procedures outlined in this part.
    (iii) Assist appropriate military authorities in making 
supplemental agreements to this part as may be required.
    (iv) Ensure each ARTCC/CERAP has a plan for diverting or landing 
expeditiously all aircraft according to the ESCAT priorities imposed 
upon implementation of ESCAT. Ensure a review and verification of the 
diversion plan is accomplished each calendar year.
    (8) Ensure the ATCSCC/ARTCC/CERAPs will:
    (i) Participate with Combatant Commanders in the training/testing 
of this part at all operational level.
    (ii) Ensure dissemination of information and instructions 
implementing this part within their AORs.
    (iii) Place in effect procedures outlined in this part.
    (iv) Develop a plan for diverting or landing expeditiously all 
aircraft according to the ESCAT priorities imposed upon implementation 
of ESCAT. Review the diversion plan each calendar year.
    (c) The DHS (through the TSA Administrator) will:
    (1) Establish the necessary TSA directives/plans including special 
security procedures to implement this part.
    (2) Maintain liaison with Combatant Commands whose AORs include TSA 
geographic areas of authority through the appropriate Federal Security 
Directors or other field offices.
    (3) Administer this part in accordance with established 
requirements.
    (4) Ensure authorized TSA liaison positions at NORAD facilities are 
staffed.
    (5) Issue security directives describing ESCAT and its purpose for 
use by airport and aircraft operators.

[[Page 61893]]

    (6) Ensure TSA participation with the Combatant Commands in the 
testing of this part.
    (7) Ensure TSA Federal Security Directors and field offices:
    (i) Disseminate information and instructions implementing this part 
within their AOR.
    (ii) Implement procedures outlined in this part.
    (iii) Assist appropriate military authorities in making 
supplemental agreements to this part, as necessary.
    (d) The Commanders of Combatant Commands will:
    (1) Ensure that departing North American strategic flights are 
coordinated with appropriate NORAD and FAA/NAVCANADA authorities.
    (2) Ensure training/testing of this part at all levels within their 
command, as appropriate.

Subpart D--Procedures for Implementation of ESCAT


Sec.  245.15  Appropriate military authority.

    Appropriate military authority will take the following actions:
    (a) Notify or coordinate, as appropriate, the extent or termination 
of ESCAT implementation with DOT and DHS.
    (b) Disseminate the extent of ESCAT implementation through the 
Noble Eagle Conferences and the FAA DEN.
    (c) Specify what restrictions are to be implemented. Some examples 
of restrictions to be considered include:
    (1) Defining the affected area.
    (2) Defining the type of aircraft operations that are authorized.
    (3) Defining the routing restrictions on flights entering or 
operating within appropriate portions of the affected area.
    (4) Defining restrictions for the volume of air traffic within the 
affected area, using the EATPL, paragraph 245.22 of this part) and 
Security Control Authorizations, as required.
    (5) Setting altitude limitations on flight operations in selected 
areas.
    (6) Restricting operations to aircraft operators regulated under 
specified security programs (e.g., the Aircraft Operator Standard 
Security Program (AOSSP), and the Domestic Security Integration Program 
(DSIP).
    (d) Revise or remove restrictions on the movement of air traffic as 
the tactical situation permits.


Sec.  245.16  ATCSCC.

    ATCSCC will direct appropriate ARTCCs/CERAPs to implement ESCAT 
restrictions as specified by the appropriate military authority. 
ARTCCs/CERAPs will take the following actions when directed to 
implement ESCAT:
    (a) Provide the appropriate military authority feedback through the 
ATCSCC on the impact of restrictions and when the restrictions have 
been imposed.
    (b) Impose restrictions on air traffic as directed.
    (c) Disseminate ESCAT implementation instructions to U.S. civil and 
military air traffic control facilities and advise adjacent air traffic 
control facilities.


Sec.  245.17  U.S. civil and military air traffic control facilities.

    U.S. civil and military air traffic control facilities will:
    (a) Maintain current information on the status of restrictions 
imposed on air traffic.
    (b) Process flight plans in accordance with current instructions 
received from the ARTCC. All flights must comply with the airspace 
control measures in effect, the EATPL, or must have been granted a 
Security Control Authorization.
    (c) Disseminate instructions and restrictions to air traffic as 
directed by the ARTCCs.


Sec.  245.18  Transportation security operations center (TSOC).

    TSOC will direct appropriate FSDs and field offices to implement 
ESCAT restrictions as specified by the appropriate military authority. 
FSDs and field offices will take the following actions when directed to 
implement ESCAT:
    (a) Provide the appropriate military authority feedback through the 
TSOC on the impact of restrictions and when the restrictions have been 
implemented.
    (b) Impose restrictions on civil aviation as directed by DOT/DHS.
    (c) Disseminate ESCAT implementation instructions to U.S. civil 
aircraft operators and airports.

Subpart E--ESCAT Air Traffic Priority List (EATPL)


Sec.  245.20  Purpose.

    When ESCAT is implemented, a system of traffic priorities may be 
required to make optimum use of airspace, consistent with air defense 
requirements. The EATPL is a list of priorities that may be used for 
the movement of air traffic in a defined area. Priorities shall take 
precedence in the order listed and subdivisions within priorities are 
equal.


Sec.  245.21  ESCAT air traffic priority list.

    (a) Priority One. (1) The President of the United States, Prime 
Minister of Canada and respective cabinet or staff members essential to 
national security, and other members as approved or designated by the 
Secretary of Defense and Chief of the Defence Staff.
    (2) Aircraft engaged in active continental defense missions, 
including anti-submarine aircraft, interceptors, air refueling tanker 
aircraft, and airborne early-warning and control aircraft (e.g., E-3, 
E-2, P-3).
    (3) Military retaliatory aircraft, including direct tanker support 
aircraft, executing strategic missions.
    (4) Airborne command elements which provide backup to command and 
control systems for the combat forces.
    (5) Anchor annex flights.
    (b) Priority Two. (1) Forces being deployed or in direct support of 
U.S. military offensive and defensive operations including the use of 
activated Civil Reserve Air Fleet (CRAF) aircraft as necessary, and/or 
other U.S. and foreign flag civil air carrier aircraft under mission 
control of the U.S. military.
    (2) Aircraft operating in direct and immediate support of strategic 
missions.
    (3) Search and rescue aircraft operating in direct support of 
military activities.
    (4) Aircraft operating in direct and immediate support of special 
operations missions.
    (5) Federal flight operations in direct support of homeland 
security, e.g., Law Enforcement Agencies (LEA) and aircraft performing 
security for high threat targets such as Nuclear Power Plants, Dams, 
Chemical Plants, and other areas identified as high threat targets.
    (c) Priority Three. (1) Forces being deployed or performing pre-
deployment training/workups (e.g., Navy Field Carrier Landing Practice) 
in support of the emergency condition.
    (2) Aircraft deployed in support of CONUS installation/base 
defense, i.e., aircraft operating in direct/immediate security support, 
or deploying ground forces for perimeter defense.
    (3) Search and rescue aircraft not included in Priority Two.
    (4) Flight inspection aircraft flights in connection with emergency 
restoration of airway and airport facilities in support of immediate 
emergency conditions.
    (5) Continental U.S. Airborne Reconnaissance for Damage Assessment 
(CARDA) missions in support of immediate emergency conditions.
    (d) Priority Four. (1) Dispersal of tactical military aircraft.
    (2) Dispersal of U.S. civil air carrier aircraft allocated to the 
CRAF Program.
    (3) Repositioning of FAA/DoD/DND flight inspection aircraft.
    (4) Flight inspection activity in connection with airway and 
airport facilities.

[[Page 61894]]

    (5) Specific military tactical pilot currency or proficiency in 
support of homeland defense.
    (6) Military tactical aircraft post-maintenance test flights.
    (7) Federal aircraft post maintenance check flights in support of 
homeland security.
    (e) Priority Five. (1) Air transport of military commanders, their 
representatives, DoD/DND-sponsored key civilian personnel, non-DoD/DND 
or other Federal key civilian personnel who are of importance to 
national security.
    (2) Dispersal of non-tactical military aircraft for their 
protection.
    (3) Aircraft contracted to and/or operated by Federal agencies
    (f) Priority Six. (1) State and local LEA directly engaged in law 
enforcement missions.
    (2) Flight operations in accordance with approved Federal and State 
emergency plans.
    (3) LIFEGUARD and MEDEVAC aircraft in direct support of emergency 
medical services.
    (4) Flight operations essential to the development, production, and 
delivery of equipment, personnel, materials, and supplies essential to 
national security.
    (5) Other essential CARDA missions not covered in Priority Three.
    (g) Priority Seven. Other military flight operations.
    (h) Priority Eight. Other flight operations not specifically listed 
in priorities 1 through 7.


Sec.  245.22  Policy for application of EATPL.

    (a) The originator of an aircraft flight operation under the EATPL 
shall be responsible for determining and verifying that the mission 
meets the appropriate definition and priority in accordance with the 
list described in Sec.  245.22 of this part , and ensuring a security 
check of crew, cargo and aircraft has been completed prior to take off.
    (b) The individual filing the flight plan will be responsible for 
including the priority number as determined by the originator of the 
aircraft flight operation, in the remarks section of the flight plan.
    (c) Situations may occur that cannot be controlled by the EATPL. 
Aircraft emergencies and inbound international flights that have 
reached the point of no return, including foreign air carrier flights 
en route to safe haven airports in accordance with specific 
international agreements are examples of such situations. These events 
must be treated individually through coordination between ATC and 
appropriate military authorities in consideration of the urgency of the 
in-flight situation and existing tactical military conditions.
    (d) Priorities for air traffic clearances required under the ESCAT 
plan are not to be confused with civil priorities assigned to general 
aviation civil aircraft under the State and Regional Disaster Airlift 
(SARDA) plan. SARDA priorities are designed to provide for controlled 
use of civil aircraft capability, and they have secondary significance 
when the EATPL for the movement of aircraft is in effect.
    (e) Exceptions to EATPL. (1) DoD aircraft in priorities three 
through seven that do not meet EATPL restrictions may request an 
exemption from the appropriate military authority. For the contiguous 
48 U.S. states, Alaska, Puerto Rico, U.S. Virgin Islands and Canada, 
requests shall be submitted to the appropriate NORAD Sector. For 
Hawaii, Guam, Wake Island, other U.S. Pacific Territories, and Pacific 
oceanic airspace over which FAA has air traffic control jurisdiction by 
international agreement, requests shall be submitted to the designated 
AADC.
    (2) For Federal, State, local government agencies and aircraft in 
priority eight, a Security Control Authorization may be granted on a 
case-by-case basis. Requests for SCAs will be coordinated through TSA. 
TSA will forward those requests that it recommends for approval to the 
appropriate military authority. Aircraft with a SCA shall have a 
Security Assurance Check prior to take off. Refer to specific SCA 
procedures provided in separate agreement between the appropriate 
military authority and TSA.

Subpart F--Procedure for Movement of Air Traffic Under ESCAT


Sec.  245.24  Aircraft assigned an EATPL number 1 or 2.

    Aircraft assigned an EATPL number 1 or 2 will not be delayed, 
diverted, or rerouted by Combatant Commanders. However, commanders may 
recommend that this traffic be rerouted to avoid critical or critically 
threatened areas.


Sec.  245.25  Aircraft assigned an EATPL number other than 1 or 2.

    Aircraft assigned an EATPL number other than 1 or 2 may be delayed, 
diverted, or rerouted by Combatant Commanders to prevent degradation of 
the air defense system.


Sec.  245.26  Aircraft being recovered.

    Aircraft being recovered will be expedited to home or an alternate 
base. Search and Rescue aircraft may be expedited on their missions. 
Such aircraft may be diverted to avoid critical areas or takeoff may be 
delayed to prevent saturation of airspace.


Sec.  245.27  Data entry.

    Aircraft will file IFR or VFR flight plans, assigned a discrete 
transponder code, and must be in direct radio communication with ATC. 
The appropriate EATPL number will be entered in the remarks section of 
the flight plan. The EATPL number will be passed with flight plan data 
from one ATC facility to the next, and to the appropriate air defense 
control facilities.

Subpart G--Test Procedures


Sec.  245.29  Purpose.

    The purpose of establishing training/test procedures is to specify 
procedures that will allow all participants to determine the time 
required and assure the capability to notify all agencies/personnel, 
down to the lowest action level, that ESCAT has been implemented. To 
ensure the proper level of participation, the appropriate military 
authority will provide, at a minimum, 30 days notice of a test to the 
appropriate civil agencies. Testing shall be conducted at least 
annually.


Sec.  245.30  ESCAT test procedures restrictions.

    (a) Aircraft will not be grounded or diverted.
    (b) Test messages will not be broadcast over air/ground 
frequencies.
    (c) Radio communications will not be interrupted.
    (d) Navigation Aids will not be affected.


Sec.  245.31  ESCAT test.

    For ESCAT testing, the responsible military commander will notify 
the ATCSCC using the following sample statement:
    (a) Exercise, Exercise, Exercise, this is CONUS NORAD Region with a 
NORAD exercise message for ------ (State exercise name) ------.
    Simulate implementing ESCAT for ------ (Specified Area) ------.
    The following air control measures are being implemented. (Some 
examples are: Flight restricted zones, Temporary Flight Restrictions, 
and/or other specific air control measures for operators.) ----------, 
----------, ----------, ----------.
    All aircraft not previously mentioned as exemptions are restricted 
from flight in the affected area until further notice.

     and/or

    EATPL Priorities -------- through -------- are being implemented.
    ATCSCC will advise the appropriate military commander when the 
affected

[[Page 61895]]

FAA ATC facilities have reported simulating ESCAT.
    This is an exercise message for ------ (State exercise name) ----
--. Exercise, Exercise, Exercise.
    (b) ATCSCC will notify ARTCC(s)/CERAP(s).
    (c) ARTCC(s)/CERAP(s) will notify all appropriate U.S. civil and 
military approach control facilities and FSS. Upon completion of all 
actions, the implementation completion time will be forwarded to the 
ATCSCC.
    (d) ATCSCC will provide completion times to the appropriate 
military authority.
    (e) Tests should normally be conducted in conjunction with 
scheduled headquarters NORAD approved exercises. Individual NORAD 
Regions and Sectors may conduct tests when test objectives are local in 
nature and prior coordination has been effected with the ATCSCC.
    (g) A narrative summary of each test will be prepared by the ATCSCC 
and copies sent to the appropriate military authority. Each military 
authority will, in turn, forward copies of the summary to HQ NORAD and 
DHS.

Subpart H--Authentication


Sec.  245.33  Approval.

    Authentication will be accomplished via secure communications means 
between the appropriate military authority and the ATCSCC for the 
implementation of ESCAT. Implementation will be validated with a call 
back via secure communications to the appropriate military authority. 
Further dissemination of information may be accomplished over non-
secure communications.

    Dated: October 11, 2006.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, DoD.
[FR Doc. E6-17179 Filed 10-19-06; 8:45 am]
BILLING CODE 5001-06-P