[Federal Register Volume 80, Number 40 (Monday, March 2, 2015)]
[Rules and Regulations]
[Pages 11108-11111]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-04158]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 91, 121, 125, and 135
[Docket No. FAA-2015-0289]
Policy Regarding Datalink Communications Recording Requirements
AGENCY: Federal Aviation Administration (FAA), Department of
Transportation (DOT).
ACTION: Policy update and clarification; request for comments.
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SUMMARY: This policy statement updates and clarifies how the FAA
determines when datalink communications must be recorded as a function
of the cockpit voice recorder operational regulations. This policy
update eliminates unneeded limitations in current policy, and restates
the FAA's intent that the requirement function as a performance-based
regulation.
DATES: Effective March 2, 2015. Comments must be received by June 1,
2015.
ADDRESSES: Send comments identified by docket number FAA-2015-0289
using any of the following methods:
Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
Fax: Fax comments to Docket Operations at (202) 493-2251.
Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.
Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or Docket Operations in Room W12-140 of the
West Building Ground Floor at 1200 New Jersey Avenue SE., Washington,
DC, between 9 a.m. and 5 p.m., Monday through Friday, except Federal
holidays.
FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this action contact Tim Shaver, Flight Standards Service, Aircraft
Maintenance Division--Avionics Maintenance Branch, AFS-360, Federal
Aviation Administration, 800 Independence Avenue SW., Washington, DC
20591; telephone: (202) 267-1675, Fax: (202) 267-1813, email:
[email protected].
For legal questions concerning this action contact Karen Petronis,
Senior Attorney, Regulations Division, AGC-200, Office of the Chief
Counsel, Federal Aviation Administration, 800 Independence Avenue SW.,
Washington, DC 20591; telephone: (202) 267-8018, email:
[email protected].
SUPPLEMENTARY INFORMATION:
Background
In 2008, the FAA promulgated several amendments to the flight
recorder regulations of Title 14 of the Code of Federal Regulations (73
FR 12542, March 7, 2008; Docket No. FAA-2005-20245). Those regulations
amended the requirements for cockpit voice recorders (CVR) and digital
flight data recorders (DFDR) and affected certain air carriers,
operators, and aircraft manufacturers. In amending the regulations, the
FAA
[[Page 11109]]
increased the duration of certain CVR recordings; increased the data
recording rate for certain DFDR parameters; required the physical
separation of the DFDR and CVR; required improved reliability of the
power supplies to both the CVR and DFDR; and required that datalink
communications to or from an aircraft be recorded if datalink
communication (DLC) equipment is installed. The changes were based on
recommendations issued by the National Transportation Safety Board
(NTSB) following its investigations of several accidents and incidents,
and included other revisions the FAA determined necessary. These
changes to CVR and DFDR systems were intended to improve the quality
and quantity of information recorded and retained for accident and
incident investigations.
When the rule was promulgated, the FAA recognized that emergent DLC
technology was changing the equipment and means used by pilots to
communicate. While the 2008 regulations did not mandate the
installation of datalink communication equipment, the FAA recognized
the value of the data communications on the aircraft equipped with DLC,
and the need for communicated data to be recorded.
In the preamble to the 2008 final rule, the FAA discussed a range
of comments received about datalink communications, including
compatibility with international standards, compliance time, recording
capacities, and the application of the requirement to existing datalink
capabilities. Many of the FAA's responses to those comments indicated
that the requirement to record would depend on the dates of
certification, whether the certification was at manufacture or was a
retrofit, the extent of equipment installation and functionality, the
scope of the message set and changes made to it. In retaining the
installation of DLC as optional, but making recording mandatory at
installation, the FAA expected that the expansion of datalink
technology and its increasing value to operators would result in
routine recordation of the communications.
Since 2010, implementation of the Controller Pilot Data Link
Communications (CPDLC) recording requirement has become more complex
than anticipated. The FAA has been presented with a greater number of
discrete aircraft equipment installations than expected when the rule
was promulgated. As such, individual decisions on whether the recording
rule applied have become difficult to make consistently within the
scope of our original guidance. At issue are aircraft that were
manufactured before the effective date of the rule (December 6, 2010)
that require widely varying levels of additional CPDLC equipment or
software to be fully functional.
Regulatory Basis
The regulation requires recordation of the data on the CVR, and was
added to the CVR sections of various operating rules in 14 CFR. These
regulations were linked to the certification regulations for the
particular aircraft, which refer to an approved data message set that
must be recorded from the communications unit that translates the
signal into data usable by the flight crew (in most cases the flight
management system). Rather than define a specific message set, the FAA
intended that the requirement be performance based to account for the
differing needs and equipage of operators and the evolution of data
capabilities.
There are two guidance documents that apply to datalink
communications. First, Advisory Circular, AC 20-160--Onboard Recording
of Controller Pilot Data Link Communication (CPDLC) in Crash Survivable
Memory, identifies CPDLC messages that may be approved for inclusion in
an approved message set. We regularly review this document as new DLC
systems and capabilities are developed, the need for specific
information changes, and coordination with other international
regulating entities occurs.
The second guidance document is an FAA information bulletin, InFO
10016, released August 16, 2010, which was intended to present in more
detail the circumstances that make the recordation requirement
applicable to a specific aircraft. When applied to individual aircraft,
however, the guidance documents raised unanticipated questions
regarding when the requirement would apply, including the effect of
equipment changes, and whether the timing of certain changes could
alter the applicability of the recording requirement.
For example, while the FAA recognized that there were aircraft with
DLC system design approvals established before the effective date of
the rule, the question arose whether simple activation of the same
system (such as by a software modification) would make recording
mandatory. Since the system designs were approved prior to the rule,
they would not have included DLC recording as part of the initial
certification requirements, either for the system or the message set.
The InFO included guidance on upgrading existing aircraft with DLC
recording capability, which included a decision process requiring
consideration of multiple factors, such as the date of manufacture of
the aircraft, whether installation of both a CVR and a flight data
recorder were required, the date of installation of any datalink
equipment on the aircraft, whether the datalink equipment had an
approved message set, whether a supplemental type certificate was
required to install or activate the datalink equipment, and whether a
software change alone was sufficient to make the data link recording
requirement applicable to a particular aircraft.
Current Operating Environment
Since the 2008 rules were promulgated, domestic CPDLC has expanded
and evolved, and is poised to become a significant means to enhance
safety, efficiency and capacity in the domestic national airspace
system (NAS). The FAA is now actively promoting the use of this
technology, and has invested in the Data Communications Program (Data
Comm) to provide more robust DLC services between pilots and air
traffic controllers. Data Comm will provide a data link between the
ground and flight deck avionics for safety-of-flight air traffic
control clearances, instructions, traffic flow management messages,
flight crew requests, and reports. Data Comm has also become a core
component of NextGen, as Data Comm provides needed enhancements for
communication infrastructure. Data Comm is expected to reduce the
impact of ground delays that result from airport reconfigurations,
weather, and congestion; reduce communication errors; improve
controller and pilot efficiency through automated information exchange;
enable broader use of NextGen services (e.g., enhanced re-routes,
trajectory operations); and increase controller productivity, leading
to increased NAS capacity.
The FAA is developing data communications capability in two phases.
Segment 1 Phase 1 (S1P1) will deploy the CPDLC departure clearance
capability in the tower domain. Segment 1 Phase 2 (S1P2) will deliver
data communications services to the en route domain (such as airborne
reroutes, transfer of communications/initial check-in, and direct-to-
fix routing). A second segment enhancing these services is also
planned. Collectively, these services will contribute to a reduction in
flight delays, reduced environmental impacts, and more efficient routes
for aircraft resulting in increased operational efficiency, added
flexibility, and enhanced safety. In order
[[Page 11110]]
to realize the benefits of Data Comm in the NAS domestically,
additional aircraft beyond those that currently support Data Comm in
the Oceanic airspace are needed.
As part of the equipage initiative to support Data Comm, operators
seeking to incorporate DLC equipment through the FAA-sponsored Data
Comm program have reported that current interpretations of the rule and
the guidance materials have resulted in an inconsistent determination
of when DLC recordation is required on individual aircraft. The
resulting uncertainty has delayed the installation of DLC equipment,
with operators reporting significant costs to modify aircraft to record
this data if the aircraft is not already equipped with the necessary
wiring and upgraded information management systems. The difficulties
and inconsistencies in application of the recordation criteria are
reducing industry participation in the Data Comm program. As part of
the NexGen Implementation Working Group (NIWG) activities in 2014,
industry representatives noted that their declining participation in
the Data Comm program was the result of the additional cost of the
recording equipment, further delaying the goal of the fleet size needed
to make the system effective.
In 2014, the NIWG recommended that the Performance-based Operations
Rulemaking Committee (PARC) develop a recommendation on the recording
rule and present it to the FAA. The PARC is an FAA-sponsored rulemaking
committee that has both the FAA and aviation community at large among
its members, and which makes recommendations to FAA management on the
issues it addresses. Since 2005, the PARC has maintained a
Communications Working Group (CWG) to address the implementation of
aeronautical communications systems. In 2012, the PARC CWG began a
review of airborne datalink recording capabilities.
The interplay of the recording regulation and the implementation of
NextGen were confirmed by the findings of the PARC in its report it
submitted to the FAA in October 2014. The FAA met with the PARC CWG and
the Data Comm program participants and came to the conclusions already
discussed--that determining whether datalink recording is required on
individual aircraft manufactured before the effective date of the rule
is difficult, resulting in confused and inconsistent decision making;
and that the Datalink Recording (DLR) equipage policy defined in the
current InFO 10016 leaves questions as to whether certain equipment
changes and revisions to DLC systems and certification documentation
caused the recordation requirement to apply.
Cost of Modification
Since datalink recording itself was still optional under the 2008
regulation, and the use of datalink communication was still limited,
neither the recording requirement nor the guidance focused on the cost
of the installing recording equipment or on the safety benefits of DLC
use. The optional installation and varied use on in-service aircraft
left the FAA unable to estimate whether, when, or how many existing
aircraft would install DLC systems with CPDLC functionality. The FAA
anticipated that the economic benefits of DLC to an operator would be
the determining factor in a decision whether to install it at all. With
the recent input of the NIWG and the PARC, the economic impact of
installing a required DLC recording system is becoming better
understood. Cost data have been collected from the airline partners
that are participating in the Data Comm program and the PARC. The
reported cost for installing the recording functions is $135,000 per
aircraft. The costs associated with equipping an aircraft manufactured
before 2010 with datalink recording were approximated as follows:
CVR Hardware--$18,000
CVR Control Panel--$7,000
Non-Recurring Engineering (CVR)--$10,000
New Communications Management Unit (CMU) (recording capable)--
$35,000
New CMU software that enables datalink recording--$10,000
Non-recurring Engineering (CMU)--$10,000
Installation Kits (CVR/CMU combined)--$10,000
Installation Labor--$15,000
Aircraft out of service costs (wiring run and access
required)--$20,000
Datalink Communication Safety Benefits
While the efficiency benefits of CPDLC had been projected and
quantified in several studies that were available at the time of the
rulemaking, the safety benefits had not been the subject of similar
study. In 2012, the FAA began a preliminary analysis on the potential
safety benefits arising from the implementation of two systems, the
Future Air Navigation System (FANS 1/A) CPDLC and Automatic Dependent
Surveillance--Contract (ADS-C), and presented the results to the North
Atlantic Safety Analysis Reduced Separation Implementation Group (NAT
SARSIG) in 2012. As the summary of discussions and conclusions of the
meeting states, ``These preliminary results indicated a significant
potential for enhancing safety in the International Civil Aviation
Organization North Atlantic Region (ICAO NAT) Region, particularly in
the vertical dimension.'' (See Appendix L to the Summary of Discussions
of the NAT SARSIG Sixteenth Meeting, October 2012, included in the
docket for this notice). The NAT SARSIG indicated that projected safety
benefits include improved conformance monitoring and intervention
capability through early detection and resolution of errors via
integrated FANS 1/A CPDLC and ADS-C; a reduction in errors associated
with manual pilot data entry of clearances resulting from the ability
to load data link clearances directly into the Flight Management System
(FMS); and a reduction in the duration of loss of communication between
aircraft and air traffic control (ATC) when transferring ATC contact by
using a reviewable message.
The ability to send reviewable messages is expected to
significantly reduce several communications errors, such as read-back
and hear-back errors, lack of read-back and hear-back, and audio
interruptions. These types of communications errors impact ATC
operations. As an example, failure to comply with an assigned altitude
may result from not hearing the communication, hearing it incorrectly,
or ATC not hearing a reply.
In its report, the PARC recommended first that the FAA clarify its
guidance material to indicate that the recordation requirement does not
apply to certain cases of datalink retrofit including those aircraft
(1) that have an existing certified datalink capability; (2) that can
activate a datalink capability that was certified before the effective
date of the rule; and (3) that modify installation modifications to
certified data link capability that do not change the FANS 1/A or ATN
B1 interoperability. The PARC also recommended that the FAA go further
and revise the regulations to exclude any aircraft manufactured before
the effective date of the rule from the requirement to record datalink
communications messages, regardless of the date of installation of the
DLC equipment. Finally, the PARC recommended that the FAA work with the
European Aviation Safety Agency and ICAO to continue harmonizing data
link recording rules, their applicability, and timelines.
[[Page 11111]]
FAA Analysis
The FAA has reviewed the PARC report and discussed the issue with
various aviation organizations. Based on the data and recommendations
received, the FAA concluded that a significant need for clarification
and revision of current policy exits. The agency and the industry have
made significant investment in data communications. These systems are
expected to reduce communication errors and improve safety in the NAS
as they enhance NAS efficiency and capacity.
The FAA better understands the cost of installing DLR systems on
aircraft that were designed and manufactured before the regulation was
promulgated and no provisions for DLC recording were available. Most
aircraft produced after the effective date of the rule have the base
mechanisms for DLC already installed at manufacture, which
significantly decreases the cost and impact of incorporating a
recording component. Accordingly, the policy changes announced in this
document are applicable to aircraft that were manufactured before
December 6, 2010 (or April 6, 2012, if complying with part 91).
The FAA agrees that the complexity of the current guidance has
resulted in inconsistent application of the rule. The recording
regulation was not intended to discourage the installation of datalink
capability, and its applicability should not depend on the subjective
interpretation of factors as minor as the day a previously installed
system was turned on or the scope of changes to a previously approved
DLC system. In order to maximize the safety and efficiency benefits of
DLC use in the NAS, the FAA is simplifying its guidance regarding the
applicability of the recording requirement for aircraft that were
manufactured before the effective date of the rule.
The target aircraft for this policy change represent approximately
30% of the current U.S. fleet operating under parts 121 and 135, as
reported by the PARC. These 2,116 aircraft were manufactured prior to
2010 and had a certified DLC system that was available before the
recordation rule became effective. This number will gradually decrease
as these older aircraft are retired and replaced. Since DLC recordation
was not required when these aircraft were manufactured, none of the
messages associated with those certified systems were identified,
making application of the regulation difficult and inconsistent. The
FAA forecasts that by 2020, 34% of the U.S. fleet (approximately 2,200)
will consist of aircraft manufactured after 2010 that have DLC
recording capability.
Comments Requested
While this policy update is effective on publication, the FAA seeks
comment from interested persons regarding the application of the policy
to affected operators. We are particularly interested in comments
identifying the make/model/series of aircraft that had a certified DLC
design approval prior to the effective date of the rule, and any
information regarding the economic impacts of the prior and revised
polices, and descriptions of circumstances for which application of the
regulation remains unclear following this policy update.
Updated Policy
Datalink recording requirements are found in the operating
regulations of Title 14 of the Code of Federal Regulations (14 CFR),
specifically in Sec. 91.609, effective April 6, 2012; and in
Sec. Sec. 121.359, 125.227 and 135.151, effective December 6, 2010.
These regulations each require that the subject airplanes or rotorcraft
that install datalink communication equipment on or after [the
effective date of the rule], must record all datalink messages as
required by the certification rule applicable to the aircraft.
This policy statement clarifies how the FAA defines the phrase
``install datalink communication equipment'' for purposes of the
recordation requirement. Clarification of this policy and FAA guidance
material is intended to assist FAA personnel and aircraft operators in
determining when datalink recording is required.
Definition of Datalink Communication Equipment
The term ``datalink communication equipment'' as used in these
regulations, means all of the components installed on the aircraft that
are necessary to complete data communications. The equipment may vary
for individual aircraft, but could include the Flight Management
Computer; Communications Management Unit (CMU), or equipment with an
equivalent function that hosts an approved message set (e.g., CPDLC
application), the datalink router (e.g., hosted in the CMU) that routes
the messages to the radios, any radios (e.g., VHF, HF Datalink, Satcom)
that are used to transmit the messages using an approved message set,
and any antennas associated with these radios.
Applicability
In applying this regulation, aircraft are divided into two groups:
Those manufactured on or after the effective date of the rule, and
those manufactured before that date.
Those airplanes or rotorcraft manufactured on or after the
effective date, must record all datalink communications when both of
the following conditions are met:
The aircraft is required to have both a cockpit voice
recorder and a flight data recorder; and
The aircraft has datalink equipment installed that uses an
approved message set (see FAA Advisory Circular 20-160).
Those airplanes or rotorcraft manufactured before the effective
date of the rule must record all datalink communications when both of
the following conditions are met:
The aircraft is required to have both a cockpit voice
recorder and a flight data recorder; and
The MAKE/MODEL/SERIES of the aircraft did not have any
certified DLC equipment installation design approval (providing one or
more of the messages identified in AC 20-160) prior to the effective
date of the rule.
The FAA InFO 10016 dated August 16, 2010 is cancelled. A revised
InFO reflecting the policy changes noted here is under development and
will be posted on the FAA Web site when completed.
Issued in Washington, DC, on February 23, 2015.
John S. Duncan,
Director, Flight Standards Service.
[FR Doc. 2015-04158 Filed 2-25-15; 11:15 am]
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