Doc 9869

AN/462

Manual on Required
Communication
Performance (RCP)

Approved by the Secretary General

and published under his authority

First Edition — 2008

International Civil Aviation Organization

 Doc 9869
AN/462

Manual on Required
Communication
Performance (RCP)

Approved by the Secretary General

and published under his authority

First Edition — 2008

International Civil Aviation Organization

Published in separate Arabic, Chinese, English, French, Russian and Spanish editions by the
INTERNATIONAL CIVIL AVIATION ORGANIZATION
999 University Street, Montréal, Quebec, Canada H3C 5H7

For ordering information and for a complete listing of sales agents

and booksellers, please go to the ICAO website at www.icao.int

First edition 2008

ICAO Doc 9869, Manual on Required Communication Performance (RCP)

Order Number: Doc9869
ISBN 978-92-9231-127-8

© ICAO 2008

All rights reserved. No part of this publication may be reproduced, stored in a

retrieval system or transmitted in any form or by any means, without prior
permission in writing from the International Civil Aviation Organization.
 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 Entered by No. Date Entered by

(iii)
 Table of Contents

Page

Chapter 1. INTRODUCTION............................................................................................................................... 1-1

1.1 Background............................................................................................................................................ 1-1

1.2 Purpose of manual................................................................................................................................. 1-2
1.3 Explanation of terms .............................................................................................................................. 1-2

Chapter 2. Overview of RCP ............................................................................................................................. 2-1

2.1 General .................................................................................................................................................. 2-1

2.2 The RCP concept .................................................................................................................................. 2-1
2.3 Determining an RCP type ...................................................................................................................... 2-3
2.4 Prescribing an RCP type........................................................................................................................ 2-4
2.5 Complying with an RCP type ................................................................................................................. 2-4
2.6 RCP application ..................................................................................................................................... 2-5

Chapter 3. DETERMINING AN RCP TYPE ........................................................................................................ 3-1

3.1 RCP type ............................................................................................................................................... 3-1

3.2 RCP types – general application............................................................................................................ 3-1
3.3 Assessing operational communication transactions in the context of the ATM function ........................ 3-3
3.4 Selecting the RCP type.......................................................................................................................... 3-7

Chapter 4. PRESCRIBING AN RCP TYPE ........................................................................................................ 4-1

4.1 Determine requirements ........................................................................................................................ 4-1

4.2 RCP type allocation ............................................................................................................................... 4-3

Chapter 5. COMPLYING WITH AN RCP TYPE ................................................................................................. 5-1

5.1 Evidence of compliance ......................................................................................................................... 5-1

5.2 Validate assumptions and analyse actual performance ......................................................................... 5-2

List of Appendices

Appendix A – Glossary of terms ............................................................................................................................. APP A-1

Appendix B – Checklist for RCP Application .......................................................................................................... APP B-1

Appendix C – Example of determining an RCP type .............................................................................................. APP C-1

(v)
(vi) Manual on Required Communication Performance (RCP)

Page

List of Tables

Table 3-1 Recommended RCP types................................................................................................................ 3-1

Table C-1 Environmental characteristics ........................................................................................................... APP C-2

Table C-2 Operational communication transaction ............................................................................................ APP C-3
Table C-3 Overview of operational hazards....................................................................................................... APP C-5
Table C-4 Safety objectives ............................................................................................................................... APP C-6
Table C-5 Safety requirements .......................................................................................................................... APP C-6
Table C-6 Performance objectives..................................................................................................................... APP C-7

List of Figures

Figure 3-1 Determining RCP type for an ATM function ...................................................................................... 3-4
Figure 3-2 Communications capabilities and performances related to separation assurance............................ 3-5

Figure 4-1 Prescribing an RCP type within an airspace (single means of communication)................................ 4-1
Figure 4-2 Prescribing an RCP type within an airspace (normal and alternate means of communication) ........ 4-2
Figure 4-3 Template for typical data RCP type allocation .................................................................................. 4-4
Figure 4-4 Template for typical voice RCP type allocation ................................................................................. 4-4

Figure 5-1 Overview of complying with an RCP type ......................................................................................... 5-2

Figure C-1 Sequence of operating steps ............................................................................................................ APP C-4

_____________________
 Chapter 1

INTRODUCTION

1.1 BACKGROUND

1.1.1 In 1983, the Council of the International Civil Aviation Organization (ICAO) established the Special
Committee on Future Air Navigation Systems (FANS) which was tasked with studying, identifying and assessing new
technologies, including the use of satellites, and making recommendations for the future development of air navigation
for civil aviation. The FANS Committee determined that it would be necessary to develop new systems that would
overcome the limitations of conventional systems and allow Air Traffic Management (ATM) to develop on a global scale.

1.1.2 In September 1991, 450 representatives from 85 States and 13 international organizations gathered at
ICAO Headquarters in Montréal, Canada, for the Tenth Air Navigation Conference to consider and endorse the concept
for a future air navigation system as developed by the FANS Committee that would meet the needs of the civil aviation
community well into the next century. The FANS concept, which came to be known as the communications, navigation,
surveillance/air traffic management (CNS/ATM) systems concept, involves a complex and interrelated set of tech-
nologies, dependent largely on satellites.

1.1.3 The endorsement of the CNS/ATM systems concept reached at the Tenth Air Navigation Conference
signalled the beginning of a new era for international civil aviation and paved the way for the many activities related to
the planning and implementation of new systems around the world.

1.1.4 The fourth meeting of the Aeronautical Mobile Communications Panel (AMCP/4) (Montréal, April 1996)
recognized the absence of objective criteria to evaluate communication performance requirements. The objective criteria
needed were a set of values for parameters which would be based on the operational requirements for communication
systems in the various phases of flight. The meeting agreed that there was an urgent need to assess the existing
technical options of communication systems against such a set of parameter values. The term RCP type is used to
denote a set of values for these parameters.

1.1.5 When reviewing the report of AMCP/4 in 1997, the Air Navigation Commission tasked the Automatic
Dependent Surveillance Panel (renamed in 2000 as the Operational Data Link Panel — OPLINKP) to develop the
operational concept of Required Communication Performance (RCP).

1.1.6 In 2001, the OPLINKP completed its document entitled Concept of Required Communication Performance,
and the Air Navigation Commission (ANC) solicited comments thereon from ICAO Contracting States. The comments
received indicated broad support for the RCP concept. In light of the comments received, in 2002 the ANC amended the
OPLINKP work programme to develop a Manual on Required Communications Performance (RCP) and, as necessary,
Standards and Recommended Practices (SARPS) and procedures relating to the use of RCP in the provision of air
traffic services.

1.1.7 In 2003, the Eleventh Air Navigation Conference endorsed recommendations to:

a) continue the development of SARPs, procedures and guidance material on RCP; and

b) investigate areas for further work including determining the relationship of the RCP concept to
separation studies and interoperability, standardizing RCP types and allocations, ensuring the

1-1
1-2 Manual on Required Communication Performance (RCP)

adequacy of air traffic service (ATS) functions and procedures for new CNS/ATM environments, as
well as establishing requirements for safety performance monitoring.

1.2 PURPOSE OF MANUAL

The purpose of this guidance material is to explain the concept of RCP, identify RCP requirements applicable to the
provision and use of air traffic services, and provide a basis for the application of RCP in a specified airspace.

1.3 EXPLANATION OF TERMS

The development and explanation of RCP rely on the understanding of terms which are included in Appendix A.

_____________________
 Chapter 2

OVERVIEW OF RCP

2.1 GENERAL

2.1.1 The continuing growth of aviation places increasing demands on airspace capacity and emphasizes the
need for the optimum utilization of the available airspace. These factors, allied with the requirement for operational
efficiency within acceptable levels of safety, have resulted in the need for a performance-based airspace system.

2.1.2 The transition to a performance-based airspace system is a critical aspect of the evolution to a safe and
efficient global air traffic management (ATM) environment. As ATM evolves, it will be necessary to ensure acceptable
operational performance, taking into account changing technologies.

2.1.3 ATM is the aggregation of the airborne functions and ground-based functions (air traffic services, airspace
management and air traffic flow management) required to ensure the safe and efficient movement of aircraft during all
phases of operations.

2.1.4 ATM is achieved through the collaborative integration of humans, information, technology, facilities and
services, and is supported by communication, navigation and surveillance capabilities that are dependent on each other.
For instance, the communication and surveillance capabilities and performance required to meet a given operational
capability, which in this document is referred to as an ATM function, will depend on the capabilities and performance of
the available navigation and other air traffic management functions, including those on the aircraft. Therefore, to
determine the capability and performance requirements of the ATM system, it will be necessary to consider the system
in its overall context, taking into account all its interdependencies.

2.1.5 To meet the demands on airspace capacity and operational efficiency, the operational communication
capability is playing an increasingly essential role in air traffic management using a mixture of data and voice
communication. For example, data link can provide for the integration of air traffic management functional capabilities on
the aircraft and at the ATS units, and for more direct controller-pilot communications enabling user-preferred and
dynamic re-routing and intervention capabilities in reduced separation environments where alternative communications
are more cumbersome.

2.1.6 The RCP concept provides a means to ensure the acceptable performance of communications within a
complete ATM system.

2.2 THE RCP CONCEPT

2.2.1 The RCP concept characterizes the performance required of communication capabilities that support ATM
functions without reference to any specific technology and is open to new technology. This approach is essential to the
evolution of operational concepts that use emerging technologies. An ATM function is an individual operational
component of air traffic services. Examples of ATM functions include the application of separation between aircraft, the
re-routing of aircraft, and the provision of flight information.

2-1
2-2 Manual on Required Communication Performance (RCP)

2.2.2 The RCP concept assesses operational communication transactions in the context of an ATM function,
taking into account human interactions, procedures and environmental characteristics.

2.2.2.1 The contribution of the human can be significant to RCP. Communication is the accurate transfer between
sender and receiver of information which can be readily understood by both.

2.2.2.2 An operational communication transaction is the process a human uses to send an instruction, a clearance,
flight information, and/or a request, and is completed when that human is confident that the transaction is complete.

2.2.3 The RCP concept is based upon “operationally significant” benchmarks which when attained assure
confidence that the operational communications supporting the ATM functions will be conducted in an acceptably safe
manner.

2.2.4 The basis for the development of the RCP concept was the need for objective operational criteria, in the
form of an RCP type, to evaluate a variety of communication technologies. Once these criteria have been set and
accepted, a specific implementation of an ATM function including its technical and human performance may have its
viability assessed against acceptable operational criteria.

2.2.4.1 An RCP type is a label (e.g. RCP 240) that defines a performance standard for operational communication
transactions. Each RCP type denotes values for communication transaction time, continuity, availability and integrity
applicable to the most stringent operational communication transaction supporting an ATM function.

2.2.4.2 The RCP concept is not based on technology; however, it is not intended to promote an unrestricted
number of alternative communication technologies for one ATM function. Whilst RCP types will be prescribed on the
basis of regional consultation within the ATM community, so too will be the aircraft equipage requirements for
communications. Interoperability and cost considerations will be major items to contend with during such consultations.

2.2.5 Several factors may affect States’ decisions as to when an RCP type will be prescribed. These factors are
based on the ATM functions that an air traffic services (ATS) provider chooses to implement within that airspace. In
cases where a safety-related change, including the implementation of a reduced separation minimum or a new
procedure, is predicated on communication performance, an RCP type should be prescribed. The approval of this
change should include showing that the requirements and assumptions defined by the RCP type have been met.

2.2.6 It is anticipated that most aircraft, operating in airspace for which RCP has been prescribed by States or on
the basis of a regional air navigation agreement, will carry a mixture of voice and data communication equipment. The
carriage of voice and data communication equipment may even be required in some regions or States to perform certain
ATM functions. In order to receive approval to operate in such environments, the combined communications equipment
should be required to provide at least the capabilities and features (or their equivalents) applicable to the appropriate
RCP type.

2.2.7 Data communication capabilities allow for the integration of air traffic management functional capabilities to
exchange information between air traffic management facilities and aircraft. For some ATM functions, to comply with its
performance requirements, it may be necessary to introduce data communication capabilities that allow for automatically
loading flight and navigation information data into the aircraft’s flight management system or an ATS provider’s flight
data processor.

2.2.8 Additionally, data communication capabilities that meet the prescribed RCP type can provide the capability
to communicate clearances and instructions without the need for a voice read-back.

2.2.9 The application of data communication capabilities in various parts of the world has already been shown to
provide a number of advantages over voice communication. Among these advantages are:

a) reduced separations;
Chapter 2. Overview of RCP 2-3

b) routine in-flight re-routes;

c) direct controller-pilot communications;

d) reduced frequency congestion and a capping of the need for additional spectrum; and

e) automatic exchange of flight information between aircraft and the ATS unit.

2.2.10 There is a need to ensure consistent definition and use of communication capabilities to apply the RCP
concept on a global basis to achieve the benefits that are advantageous to States, ATS providers and users.

2.2.11 The RCP concept applies to the performance of the communication capabilities required for an ATM
function and therefore affects the provision of air traffic service and the operator’s use, including aircraft equipage. The
RCP concept is intended to characterize the communication capability and its performance through a statement of the
communication performance (RCP type) to be achieved in order to perform the ATM function.

2.2.12 The RCP concept seeks to manage the performance of communications supporting evolving ATM
concepts and emerging technologies. This is achieved by:

— determining an RCP type for the communication capabilities supporting an ATM function; then

— prescribing the RCP type(s) related to the communications system(s) supporting the ATM functions
within that airspace; and

— complying with the prescribed RCP type(s) through analysis, operational assessments and
performance monitoring of the communication systems.

2.3 DETERMINING AN RCP TYPE

2.3.1 To enable ATM functions within a performance-based airspace, it will be necessary to characterize the
performance required for the applicable communication (C), navigation (N) and/or surveillance (S) elements. RCP will be
used in conjunction with RNP and other performance-based measures. Chapter 3 provides guidance for determining an
RCP type for an ATM function.

2.3.2 For a particular ATM function, an increase or decrease in the required performance for any single element
(i.e. C or N or S) may allow a trade-off in required performance of some or all of the other elements, provided the target
level of safety is maintained.

2.3.3 It is important that the States globally harmonize RCP type for the same or similar ATM functions to reduce
training requirements and errors resulting from confusion in operations across airspace boundaries.

2.3.4 The Manual on Airspace Planning Methodology for the Determination of Separation Minima (Doc 9689),
outlines considerations for assessing the risk of collision when determining separation minima within an acceptable
target level of safety. The risk of collision is a function of navigation performance, route configuration, traffic density,
surveillance, communication and air traffic control. Determination of separation minima allows for trade-offs among these
considerations to ensure that the target level of safety is achieved. An RCP type can be used to specify the performance
requirements for the communication capability to implement separation minima.
2-4 Manual on Required Communication Performance (RCP)

2.4 PRESCRIBING AN RCP TYPE

2.4.1 After an RCP type has been determined, it may be prescribed for an airspace based on the ATM functions
that an airspace planner or authority chooses to implement within that airspace. Potential airspace to which RCP may be
applied includes:

a) a defined airspace, such as North Atlantic minimum navigation performance specifications (MNPS)
airspace;

b) a fixed ATS route, such as between Sydney, Australia, and Auckland, New Zealand;

c) random track operations, such as between Hawaii and Japan;

d) a volume of airspace, such as a block altitude on a specified route.

2.4.2 When an RCP type is prescribed based on the intended ATM function provided in a given airspace, the
RCP type(s) will indicate the requirements for qualification and approval of the procedures, aircraft equipage and
airspace infrastructure.

2.4.3 Ideally, airspace should have a single RCP type; but multiple RCP types may be prescribed within a given
airspace. An example would be to prescribe one RCP type appropriate for the controller’s ability to intervene in a conflict
situation given the separation minima and another RCP type to perform a specific procedure, such as an in-trail climb or
dynamic re-route, within that airspace.

2.4.4 Different RCP types may be prescribed for different airspace depending on the ATM functions. As an
example, an RCP type in terminal area airspace may be different from the RCP type for en-route or oceanic airspace.
Chapter 4 provides guidance for prescribing an RCP type for an airspace.

2.5 COMPLYING WITH AN RCP TYPE

State requirements

2.5.1 Since RCP is a statement of operational communication performance, there is an obligation on the part of
the State to provide the necessary equipment, procedures and training to achieve and maintain the required
communication performance.

2.5.2 The State should ensure that changes to services that rely on communication performance within a given
airspace maintain safe separation.

2.5.3 The State should ensure that aircraft operators intending to operate in airspace where an RCP type is
prescribed are qualified and approved for RCP operations.

2.5.4 It should be noted that compliance with an RCP type can be achieved in many different ways, and the
State may provide guidance on acceptable means through which the ATS provider and the aircraft operator can show
how RCP is achieved.

Aircraft operator requirements

2.5.5 The concept of RCP is based on the expected communication performance of all relevant communication
capabilities used within an airspace. This in turn places demands on manufacturers of aircraft and aircraft operators to
Chapter 2. Overview of RCP 2-5

achieve the communication performance required for a specific RCP type. The RCP concept may also require different
aircraft functional capabilities for different RCP types. As an example, one RCP type may be related to functional
requirements for automatic loading of flight data into the aircraft’s flight management system, whereas another RCP type
may only relate to ATC communications.

2.5.6 Since RCP is a statement of operational communication performance, there is an obligation on the part of
the operator to provide the necessary procedures and training within its operations and ensure that aircraft equipage and
related communication services comply with the required communication performance.

Monitoring communication performance

2.5.7 Monitoring provides objective operational data to determine that the ATM system continues to meet the
RCP type. Monitoring includes data collection on a routine basis and as problems or abnormalities arise.

2.5.8 Monitoring is performed by organizations in control of or responsible for a part of the ATM system in
operation, and a data collection point resides within that part. Chapter 5 provides guidance for complying with an RCP
type.

2.6 RCP APPLICATION

A checklist to aid in determining, prescribing and complying with an RCP type can be found at Appendix B.

_____________________
 Chapter 3

DETERMINING AN RCP TYPE

3.1 RCP TYPE

3.1.1 In order to simplify the RCP type naming convention and to make the required communication transaction
time readily apparent to airspace planners, aircraft manufacturers and operators, the RCP type is specified by the value
for the communication transaction time associated with the ATM function.

3.1.2 An RCP type comprises values assigned to the following parameters: communication transaction time,
continuity, availability and integrity.

3.1.3 RCP type parameters

3.1.3.1 Communication transaction time. The maximum time for the completion of the operational communication
transaction after which the initiator should revert to an alternative procedure.

3.1.3.2 Continuity. The probability that an operational communication transaction can be completed within the
communication transaction time.

3.1.3.3 Availability. The probability that an operational communication transaction can be initiated when needed.

3.1.3.4 Integrity. The probability of one or more undetected errors in a completed communication transaction.

3.2 RCP TYPES – GENERAL APPLICATION

3.2.1 Table 3-1 specifies RCP types envisaged for general application.

Table 3-1. Recommended RCP types

Transaction Continuity Availability Integrity

RCP type time (sec) (probability/flight hour) (probability/flight hour) (acceptable rate/flight hour)

RCP 10 10 0.999 0.99998 10-5

RCP 60 60 0.999 0.9999 10-5

-5
RCP 120 120 0.999 0.9999 10

RCP 240 240 0.999 0.999 10-5

0.9999 (efficiency)
(See Note 3)
-5
RCP 400 400 0.999 0.999 10

3-1
3-2 Manual on Required Communication Performance (RCP)

Note 1.— Further information on RCP 240 and RCP 400 is contained in RTCA DO-306/EUROCAE ED-122,
Safety and Performance Standard for Air Traffic Data Link Services in Oceanic and Remote Airspace (Oceanic SPR
Standard). RCP types will be validated by a safety assessment, data collection and/or other means prior to the first time
they are used.

Note 2.— When a unit of measure other than the “per flight hour” is used to specify RCP type values for
continuity, availability and integrity, the conversion process will need to be validated. For example, when data are
analysed on a “per transaction” basis, or on a “per sector” basis, the average number of transactions per flight hour or
the average number of flight hours per sector hour, respectively, will need to be validated for the specific implementation.

Note 3.— The values for availability are based on a safety assessment, taking into account assumptions
about the environment, such as the mitigating procedures for failed communication and contingencies. For RCP 240, an
additional more stringent value has been assigned, based on the operational effect of frequent losses of the service on
providing an efficient and orderly flow of air traffic. The two values are intended to support decision processes States will
use to determine corrective action when the service availability degrades below the assigned value. The corrective
action may vary depending on whether the criterion is for safety or for efficiency.

3.2.2 RCP types other than those provided in Table 3-1 may be established as experience is gained in RCP
implementation.

3.2.3 RCP 10 may be applied to controller intervention capability supporting separation assurance in a 5 NM
radius environment.

3.2.4 In combination with the RCP 10 in a 5 NM radius environment, RCP 60 may be applied to routine
communications on a data link system to offload the voice communication system.

3.2.5 RCP 120 may be used for controller intervention capability supporting separation assurance in a 15 NM
radius separation environment.

3.2.6 RCP 240 is (at the time of publication) being investigated as a basis for controller intervention capability
supporting separation assurance in a reduced separation environment, i.e. less than or equal to 50 NM longitudinal and
less than or equal to 30 NM lateral separation minima.

3.2.7 RCP 400 may be used for controller intervention capability supporting separation assurance in current
environments where separations are greater than 30 NM lateral or greater than 50 NM longitudinal, and alternative
technologies are planned for providing normal means of communication, e.g. Iridium voice or HF data link in lieu of HF
voice. RCP 400 might also be used to specify the performance required for the alternative means of communication that
is not HF voice, when an independent alternative is required in combination with the normal means of communication,
for which RCP 240 is specified.

Note 1.— RCP types were derived from intervention capabilities that exist today, aircraft performance
characteristics, conflict detection and resolution capability, PANS-ATM (ICAO Doc 4444), RTCA/EUROCAE Standards,
and other factors.

Note 2.— An example of the process and results related to determining an RCP type can be found at
Appendix C.
Chapter 3. Determining an RCP Type 3-3

3.3 ASSESSING OPERATIONAL COMMUNICATION TRANSACTIONS

IN THE CONTEXT OF THE ATM FUNCTION

Operational communication transaction in the ATM function context

3.3.1 Figure 3-1 provides an overview of determining RCP type for an ATM function. An RCP type is determined
from an assessment of operational communication transactions in the ATM function context. The ATM function
components include:

— airspace characteristics, such as separation minima, spacing criteria and capacity limits;

— operational capabilities, such as a dynamic arrival procedure, crossing flight paths, or in-trail
climb/descent procedure; and

— CNS/ATM system performance, such as navigation, surveillance, flight management, flight data
processing, and decision support tools for the controller and the flight crew.

3.3.2 It is important to note that the RCP type needs to be determined in the context of the relevant airspace
characteristics, operational capabilities and overall CNS/ATM system performance. Trade-offs can be and are made to
take advantage of existing fleet equipage and air navigation service provision. For example, when implementing a
50/50 NM separation minima, if the operator/aircraft is qualified for RNP 4 operations, the interval for ADS-C periodic
position reports is 32 minutes. If an operator/aircraft were only qualified for RNP 10 operations, the separation minima
can still be implemented, but the interval for ADS-C periodic position reports is 27 minutes, which increases the number
of position reports and associated costs, but the operator would not have to incur costs to upgrade to RNP 4 operations.
The service provision would need to allow for variations in these performance trade-offs.

3.3.3 Given the airspace characteristics and other capabilities and performances, the RCP type is used to
characterize the communication capability and performance that needs to exist for the controller to intervene and resolve
a potential conflict. It is not intended to imply that all communication needs to meet the RCP type. However, in addition
to the RCP type determined for the intervention capability, other RCP types may be appropriate for specific operations
that may have different performance characteristics. This dependency may be related to, for example:

— functional differences in the means of communication, such as between voice, which provides an
interactive capability, and data, which provides an air-ground automation integration capability;

— an increase in communications due to an increase in airspace capacity. For example, when increasing
airspace capacity, the controller depends on a data link system to maintain an acceptable workload
and suitable performance of the VHF voice communication to intervene in time-critical situations; and

— a contingency procedure in the event the primary communication system fails. For example, when
implementing a 30/30 separation minima, the contingency procedure requires an alternate means of
communication that enables the controller to establish communications with an aircraft after the
normal means fails.

3.3.4 In such cases, it may be necessary to establish specific operational criteria using a different RCP type for
the alternate means of communication to ensure that it performs as expected and to convey its performance
characteristics to the controller and flight crew for proper use. This RCP type is different from the RCP type established
for the communications capability the controller uses to intervene and resolve a potential conflict.
3-4 Manual on Required Communication Performance (RCP)

ATM function (x) context

• Air traffic management Operational communication transaction #...

• Navigation
• Communication Operational communication transaction #2
• Surveillance
Operational communication
transaction #1 (most stringent)

Determining RCP type

• Define ATM function components

• Balance capabilities and performances required of communication,
navigation, surveillance, air traffic management
• Determine RCP type based on an assessment of operational
communication transaction(s) to support ATM function (x)

ATM function (x) context

Operational communication transaction (most stringent)

Send/receive instruction, clearance,
Reacting Send/receive response, when required
flight information and/or request

A Z
Human is confident
Human initiates transaction is
transaction satisfactorily complete
RCP type [for
ATM function (x)]

Figure 3-1. Determining RCP type for an ATM function

3.3.5 The specific operational criteria for a communication system may include an RCP type. In addition to the
RCP type, the criteria may include other functional and performance criteria, for example:

— a specific message set or phraseology, transaction types and intended use;

— the interactive capability of voice communication;

— the air-ground integration capability of data communication;

— times to indicate for contingency and non-compliant performance;

— positive assurance of the flight crew’s receipt/understanding of an instruction, clearance or request or

the controller’s receipt/understanding of a request/flight information; and

— party-line and/or broadcast capability, multiple recipients of the same instruction, clearance or
information, e.g. such as transmitting and receiving on guard frequencies.
Chapter 3. Determining an RCP Type 3-5

Communication transaction time

3.3.6 There may be multiple operational communication transactions that support an ATM function. These
transactions are assessed to determine the most stringent. The value for the communication transaction time parameter
is based on the time needed to complete the most stringent transaction.

3.3.7 The assessment would take into consideration the time needed to safely execute the contingency
procedure and can include simulations, demonstrations, operational trials and analysis of empirical data applicable to
the operational communication transaction times needed to support the ATM function.

3.3.8 Separation assurance is an ATM function for which the operational communication transaction time can be
determined by collision risk modeling. Collision risk modeling considers the operational communication transaction times
in the communications and controller intervention buffer supporting separation assurance. Figure 3-2 illustrates the
operational communication transaction in the context of communications and controller intervention buffer.

ATM functional
capabilities
Flight crew

Navigation

Aircraft

Surveillance
Surveillance Communication Communication

ATM functional
capabilities

ATS unit

ATM context Operational communication ATM context

transaction
A Z
Human is confident
Human initiates
that transaction is
transaction
satisfactorily complete

RCP type

Communications and controller intervention buffer

Figure 3-2. Communications capabilities and performances

related to separation assurance
3-6 Manual on Required Communication Performance (RCP)

Continuity

3.3.9 The value for the continuity parameter is selected based on the results of an operational hazard
assessment.

3.3.9.1 The operational hazard assessment should include a severity-of-effects analysis of detected errors within
the communication transactions in the context of the ATM function. Detected errors include, but are not limited to:

— detecting that the transaction has exceeded the communication transaction time;

— detecting that one or more messages within the transaction are corrupted, misdirected, directed out-of
sequence or lost, and cannot be corrected to complete the transaction within the operational
communication transaction time; and

— detecting loss of the communication service or aircraft capability to use the service whilst transactions
are pending completion.

3.3.9.2 An acceptable probability should be determined for the likelihood of occurrence of communication
transactions with detected errors based on the severity-of-effects analysis.

3.3.10 The value for the continuity parameter is based on the acceptable probability of detected anomalous
behaviours of the communication transaction.

Availability

3.3.11 The value for the availability parameter is selected based on the results of an operational hazard
assessment. The operational hazard assessment should include a severity-of-effects analysis of the detected loss of the
system which prohibits the initiation of a communication transaction needed to support the ATM function. Detected loss
includes, but is not limited to:

— detecting loss of the communication service, which affects multiple aircraft; and

— detecting loss of the aircraft capability needed to use the communication service, which affects a
single aircraft.

3.3.11.1 An acceptable probability should be determined for the likelihood of occurrence of an inability to initiate a
transaction based on the severity-of-effects analysis.

3.3.12 The value for the availability parameter is based on the acceptable rate of detected inability to initiate a
transaction.

Integrity

3.3.13 The value for the integrity parameter is selected based on the results of an operational hazard assessment.
The operational hazard assessment should include a severity-of-effects analysis of communication transactions with
undetected errors in the context of the ATM function. Undetected errors include, but are not limited to:

— undetected corruption of one or more messages within the transaction;

— undetected misdirection of one or more messages within the transaction;

Chapter 3. Determining an RCP Type 3-7

— undetected delivery of messages in an order that was not intended;

— undetected delivery of a message after the communication transaction time; and

— undetected loss of service or interruption in a communication transaction.

Note.— Undetected loss of service is associated with integrity because it is “undetected.” In some
operational scenarios, it is conceivable that a network could have failed with no indication provided to the users of the
system.

3.3.14 An acceptable probability should be determined for the likelihood of occurrence of communication
transactions with undetected errors based on the severity-of-effects analysis.

3.3.15 The value for the integrity parameter is the acceptable probability of communication transactions with
undetected errors.

3.4 SELECTING THE RCP TYPE

3.4.1 Once all the safety and operational requirements have been determined, the RCP type which meets these
requirements is selected from Table 3-1.

3.4.2 Separate analyses of different ATM functions may result in a number of different RCP types being
determined for the different ATM functions. See Chapter 4 for guidance on prescribing an RCP type in these situations.

_____________________
 Chapter 4

PRESCRIBING AN RCP TYPE

4.1 DETERMINE REQUIREMENTS

4.1.1 An RCP type may be used to prescribe operational communication requirements for an airspace based on
the ATM functions that an airspace planner or ATS provider needs to implement within that airspace. However, in
practice this is likely to be an iterative process and it is likely that, in defining the ATM functions to be used in a particular
airspace, consideration will be given to the capabilities and avionics equipage of aircraft likely to use that airspace.

4.1.2 Figure 4-1 provides an overview of a single means of communication that supports multiple ATM functions
with different RCP types in multiple airspaces and within a single airspace. For example, the communication system may
be used to provide for intervention to support implementation of a technology, such as Iridium, which is different from
current HF voice requirements to maintain 100 NM/15 min separations, but meets RCP 400.

ATM function (x) ATM function (y) ATM function (z)

Capabilities and performances Capabilities and performances Capabilities and performances
are established are established are established
RCP type [for ATM function (x)] RCP type [for ATM function (y)] RCP type [for ATM function (z)]

International Prescribing RCP type Aeronautical

Standards Information Service
• Define ATM functions provided, coverage, times
Operator/aircraft available, interoperability Airspace requirements
requirements for • Establish RCP type(s) for means of communications
RCP type(s) (x, y, z) • Establish operator/aircraft requirements
• Establish monitoring requirements

Airspace planning
Airspace supported by Airspace supported by
ATM functions (x, z) ATM function (y)

Operator/aircraft Operator/aircraft
requirements for requirements for
RCP type(s) (x, z) RCP type (y)

MEANS OF COMMUNICATION
RCP type(s) (x, z) supporting ATM functions (x, y, z) RCP type (y)

ATS provision requirements ATS provision requirements

for RCP type(s) (x, z) for RCP type (y)

Figure 4-1. Prescribing an RCP type within an airspace (single means of communication)

4-1
4-2 Manual on Required Communication Performance (RCP)

4.1.3 Figure 4-2 provides an overview of a normal means of communication and an alternate means of
communication with different performance characteristics, both of which support an ATM function in the same airspace.
Each means of communication has an RCP type associated with it to ensure that each means of communication
performs as expected and to convey its performance characteristics to the controller and flight crew for proper use. For
example, VHF voice communication may be used to provide for more time-critical communications, whereas data link
communications may be used for more routine communication of a less time-critical nature.

4.1.4 Other scenarios can be formulated using combinations of the two scenarios portrayed in Figure 4-1 and
Figure 4-2. For example, where separations are 30 NM longitudinal/30 NM lateral, HF voice and/or data communication
may provide an alternate means of communication to meet RCP 400, while controller-pilot data link communications
(CPDLC) may be the normal means of communication, using SATCOM, to meet RCP 240. Where separations are 5 NM
radius, the same CPDLC, using VDL Mode 2, may be used for routine communications associated with RCP 60, while
VHF voice is used for intervention and more time-critical communications associated with RCP 10.

4.1.5 In order to prescribe an RCP type (or types) applicable to an airspace, it is first necessary to identify the
functions that will be required to support ATM in any particular airspace. These functions will have been separately
established, and it is likely that separate RCP types will have been identified that are necessary to achieve particular
performance levels of a function. For example, if aircraft separations are being considered it is likely that a more
stringent RCP type will be needed to implement a 3 NM terminal area separation minima compared to that needed to
implement a 30/30 NM oceanic separation minima.

ATM function (y)

Capabilities and performances are established

RCP type(s) y1 and y2 [for ATM function (y)]

International Prescribing RCP type Aeronautical

Standards Information Service
• Define ATM functions provided, coverage, times
Operator/aircraft available, interoperability Airspace requirements
requirements for • Establish RCP type(s) for means of communications
RCP type(s) (y1, y2) • Establish operator/aircraft requirements
• Establish monitoring requirements

Airspace planning
Airspace supported by ATM function (y)
Operator requirements for
RCP type(s) (y1, y2)

NORMAL MEANS OF COMMUNICATION RCP type y1

supporting ATM function (y)
ALTERNATE MEANS OF COMMUNICATION RCP type y2
supporting ATM function (y)

ATS provision requirements

for RCP type(s) (y1, y2)

Figure 4-2. Prescribing an RCP type within an airspace

(normal and alternate means of communication)
Chapter 4. Prescribing an RCP Type 4-3

4.1.6 Once the ATM functions and the associated RCP type(s) for a particular airspace have been established,
these should be published in the appropriate local documentation (e.g. AIP, regional guidance material). Care should
also be taken to ensure that any potential users of the airspace are provided with an unambiguous definition of the
procedures, aircraft equipage and training requirements necessary to operate in that airspace as well as the
performance monitoring criteria.

4.1.7 In order to ensure that problems do not arise when these requirements are introduced, it is recommended
that early liaison in the appropriate forum take place between ATS providers and operators.

4.1.8 When an RCP type(s) is prescribed in a given airspace, the RCP type(s) will provide the basis for
qualification and approval of the procedures, aircraft equipage and airspace infrastructure. The basis for each type of
approval is provided in the form of an RCP type allocation.

4.2 RCP TYPE ALLOCATION

4.2.1 RCP type allocation is the process of apportioning the various RCP type values to the various parts of the
system. The results of this process are RCP type allocations that are used to:

a) assess viability of different technologies to meeting operational requirements;

b) approve the provision of air traffic services supported by communication systems;

c) determine when to initiate contingency procedures;

d) design, implement and qualify communication services;

e) design, implement, qualify and approve aircraft type designs;

f) approve aircraft operators for RCP operations; and

g) operationally monitor, detect and resolve non-compliant performance.

4.2.2 RCP type allocations may need to be established by States or on the basis of regional air navigation
agreements. However, in such cases, States should initiate appropriate action to document the RCP type allocations
appropriate for each RCP type in international standards.

4.2.3 RCP type allocations are documented in ICAO manuals or industry-developed minimum aviation system
performance standards which specify allocations for various communication system elements. Figure 4-3 and Figure 4-4
provide templates for allocating capability and performance to data and voice communication, respectively.
4-4 Manual on Required Communication Performance (RCP)

Typical data communication transaction

RCP type (transaction time, continuity, availability, integrity)

Initiator
performance Initiator
Monitored performance
performance
Technical Technical
performance Responder performance
performance

ATS unit Comm Aircraft Aircraft Comm ATS unit

allocation 1 allocation 2 allocation 1 allocation 1 allocation 2 allocation 1

Human machine Technical Human machine Reacting to Human machine Technical Human machine
interaction communication interaction message interaction communication interaction

A D G I K M P Z
Initiator Initiator Responder Responder Responder Responder Initiator Initiator
acts to acts to receives an acts to acts to acts to receives an completes
compose send indication display compose send indication actions to
message message of incoming message message message of incoming display
message message message

Note 1.— A controller -initiated transaction is shown. ATS unit and aircraft allocations are transposed for a pilot-initiated transaction.
Note 2.— The aircraft and ATS unit allocations include HMI and a portion of the technical communication to provide a basis for the
different types of approvals.

Figure 4-3. Template for typical data RCP type allocation

Typical voice communication transaction

RCP type (transaction time, continuity, availability, integrity)

Monitored performance

Initiator, responder, and Responder Initiator, responder, and

technical performance performance technical performance

Human machine interaction Human machine interaction

Reacting to
Technical communication message Technical communication
Human machine interaction Human machine interaction
A I K Z
Initiator Responder Responder Initiator
acts to completes acts to completes
speak hearing speak hearing
message message message message

Figure 4-4. Template for typical voice RCP type allocation

_____________________
 Chapter 5

COMPLYING WITH AN RCP TYPE

5.1 EVIDENCE OF COMPLIANCE

5.1.1 There is an obligation on the part of the State and the aircraft operator to show that the procedures, aircraft
equipage and airspace infrastructure comply with the RCP type. This compliance is performed as part of different
approval types. The different approval types are the ATS provider approval, aircraft operator approval, and aircraft type
design approval. These separate and distinct types of approvals collectively define the conceptual “ATM system
approval.” In cases for which there is no regulatory basis for approval of a part of the ATM system, “approval” denotes
the activities that take place to show compliance with the requirements allocated to that part of the ATM system.

5.1.1.1 Aircraft operator approval is the authorization granted to an aircraft operator to use the air traffic services,
aircraft equipage, communication services procured by the aircraft operator, and related internetworks with the ATS
provider’s communication services. It is supported by information provided by the aircraft type design approval and ATS
provider approval.

5.1.1.2 Aircraft type design approval is the approval granted to an aircraft manufacturer or modifier to indicate that
the type design of the aircraft equipage complies with applicable airworthiness requirements. It includes information to
support operator operational approval.

5.1.1.3 Approval is granted to an ATS provider for the provision of ATS within an airspace. It includes approval of
the procedures, technical system and the communication services procured by the ATS provider.

5.1.2 Figure 5-1 provides an overview of complying with an RCP type. To comply with an RCP type, all
communication systems that support the ATM function are considered. Actual communication performance (ACP) is the
dynamic assessment of the operational performance of the communication path, with human performance and technical
performance included in the assessment. Human performance considers such factors as training, procedures and
human-machine interaction (HMI). Technical performance comprises the installed elements of communication perform-
ance operating together and is used to demonstrate that the technical part of the operational communication system
meets the intended function. ACP is assessed in the same terms and parameters as the RCP type.

5.1.3 Initially, for aircraft type design approval and ATS provider approval, the expected ACP is determined
based on validating any assumptions and demonstrating with representative elements of the complete system that the
aircraft’s or ATS unit’s actual performance complies with its RCP type allocation. For the operational approvals, the ACP
is determined based on measurements of actual performance characteristics of a specific implementation of the ATM
function, initially, and in continued operations.

5.1.4 The results of these activities are provided as evidence of compliance, which is used to qualify for the
different types of approvals.

5-1
5-2 Manual on Required Communication Performance (RCP)

• Airspace
requirements
• State regulatory
Complying with RCP type
requirements
• Validate assumptions
• Assess ACP(s) i nitially and continued
• Monitor parts whose actual performance Evidence of
cannot be determined/predicted compliance
• Make adjustments as necessary

Initial approvals Continued operational approvals

Aircraft type design approval Aircraft operator approval

Monitoring for
• Assumptions RCP type(s)
Aircraft • Actual aircraft
requirements Aircraft
compliance performance Operator
for RCP type(s) • ACP(s) (expected) Aircraft • Assumptions
requirements
operator • ACP(s)
for RCP type(s)
Representative ATS provision compliance

ATS provision operational approval

Representative aircraft
• Assumptions
ATS provision ATS provision • Actual ATS provision Monitoring for
requirements compliance performance RCP type(s)
for RCP type(s) • ACP(s) (expected)

Figure 5-1. Overview of complying with an RCP type

5.2 VALIDATE ASSUMPTIONS AND ANALYSE ACTUAL PERFORMANCE

Operational considerations

5.2.1 States should provide information and guidance related to responsibilities of ATS providers, aircraft
operators, and manufacturers and modifiers of aircraft, for monitoring, alerting and reporting requirements related to
communication performance. The following types of monitoring and alerting should be considered:

a) Real time monitoring. For all RCP operations, communication systems should be designed to monitor
for compliance to the RCP type. Should performance fall below the parameter values for the RCP
type, the flight crew and the controller should be notified of the non-compliance within acceptable time
limits.

b) Alerts. For all RCP operations, in the event of system failure or the performance degrading to below
that specified by the RCP type, alerts should be provided to the controller and flight crew to, as
necessary, enable reversion to alternative means of communication or commence contingency
procedures.

c) Statistical monitoring. For continued operations, organizations should statistically monitor to detect
performance degradations due to capacity loading and other non-deterministic effects. Procedures
should be established to conduct cause-and-effect analysis, notify appropriate parties and coordinate
timely and effective corrective action. The following statistical monitoring objectives should be met:
Chapter 5. Complying with an RCP Type 5-3

1) Operations and procedures are included in performance assessments;

2) Potential problems are identified early. Information concerning identified problems is disseminated
to operators and ATS providers to raise awareness and facilitate problem resolution. Status
reports and problem reports are generated on a periodic basis by all concerned and are based on
data collected and analysed, including the reason problems or abnormal events occurred;

3) Problem resolutions are identified, including interim operational procedures and operating
constraints, which mitigate the effects of the problems until such time as a longer term solution is
implemented. Problem resolutions are traced from when the problem was encountered to its
resolution;

4) Problems affecting safety or flight operations are resolved in a timeframe acceptable to the
approval authority. Problem resolutions may require retraining; revision of training procedures to
ensure compliance with existing procedures or operational constraints; changes to operational
data (including operations specifications); and changes to systems including design, performance
and interoperability.

5) System performance is assessed; and ACP is monitored and the data are analysed in regard to
the RCP type.

Communication transaction time

5.2.2 Allocation of the operational communication transaction time to the various parts of the system facilitates
detection and resolution of anomalies during operations.

5.2.3 Design. Allocations of the operational communication transaction time can be used to introduce indications
or alerts into the system design so the initiator or responder may perform contingency procedures. These allocations can
also provide a basis for the design of the HMI with respect to the time required by the human to complete the
communication process.

5.2.4 Management of configuration of an operational system, including network and/or frequency management,
priority selection criteria of subnetworks, and changes to the system, expedites isolation and resolution of anomalies
inherent in change activity.

5.2.5 Monitoring, measurement and analysis of the normal time in which operational transactions are completed
during demonstrations, operational trials, and in continued operations are required. Monitoring and measurement are
necessary when actual times cannot be accurately predicted with an acceptable level of confidence, and the potential
variability is significant to the required performance.

5.2.5.1 The normal time target is typically defined as the time at which 95 per cent of all transactions that are
initiated are, in fact, completed. The normal time is related to the operational communication transaction time and
continuity (probability of completing the transaction) only to the extent that the probability distribution function can be
accurately predicted.

5.2.5.2 The normal time target is predetermined based on the operational communication transaction time
requirement, the continuity requirement, and an analysis to determine the statistical distribution of the operational
communication transaction time. Accuracy in predicting the distribution of transaction times and building an acceptable
level of confidence can be attained through demonstrations, operational trials, and management of system configuration
during continued operations.
5-4 Manual on Required Communication Performance (RCP)

5.2.5.3 Actual normal time may be determined based on analysis of statistical measures that include only portions
of the operational communication transactions over a predetermined period of time. The portions are measured and the
period of time is determined, locally or regionally, based on analysis of the distribution and degree of variability
determined from a sufficient sample of data collected.

Note.— The data collected need not include transactions that were initiated, but the initiating message was
never sent, as can occur in data communication, or where the message was “disregarded” by the initiator, as can occur
in voice communications. If the data exclude messages not delivered after the initiating message was sent, then
additional targets need to be established to assess actual non-delivery rates.

5.2.5.4 Analysis of data collected combined with assumptions of the portions not measured is used to support
compliance for initial use and detect anomalies for corrective action.

Continuity

5.2.6 Allocation of continuity to the various parts of the system facilitates detection and resolution of anomalies
during operations.

5.2.7 Design. Allocations of continuity can be used as a basis for ensuring that the design of a part of the system
can allow the part to meet its time allocation with an acceptable probability. These allocations can also provide a basis
for the design of the HMI with respect to the continuity.

5.2.8 Management of configuration of an operational system, including network and/or frequency management,
priority selection criteria of subnetworks, and changes to the system, expedites isolation and resolution of anomalies
inherent in change activity.

5.2.9 Monitoring, measurement and analysis of actual probability that transactions meet the operational
communication transaction time during demonstrations, operational trials, and in continued operations are required.
Monitoring and measurement are necessary when actual continuity cannot be accurately predicted with an acceptable
level of confidence, and the potential variability is significant to the required performance.

5.2.9.1 Actual continuity may be determined based on analysis of statistical measures that include only portions of
the operational communication transactions over a predetermined period of time. The portions are measured and the
period of time is determined, locally or regionally, based on analysis of the distribution and degree of variability
determined from a sufficient sample of data collected.

Note.— The data collected need not include transactions that were initiated, but the initiating message was
never sent as can occur in data communication, or where the message was “disregarded” by the initiator, as can occur
in voice communications. If the data exclude messages such as those not delivered in data communications after the
initiating message was sent, then additional targets need to be established to assess actual non-delivery rates.

5.2.9.2 Analysis of data collected combined with assumptions regarding the portions not measured is used:

a) to support compliance for initial use; and

b) to detect anomalies and take the corrective action needed to continue to meet the acceptable
probability (continuity) at which the operational communication transaction is completed.

Availability

5.2.10 Allocation of availability to the various parts of the system facilitates detection and resolution of anomalies
during operations.
Chapter 5. Complying with an RCP Type 5-5

5.2.11 Design. Allocations of availability can be used as a basis for ensuring that the design of a part of the
system supports the overall availability requirement.

5.2.12 Management of configuration of an operational system, including network management, priority selection
criteria of subnetworks, and changes to the system, expedites isolation and resolution of anomalies inherent in change
activity.

5.2.13 Monitoring, measurement and analysis of actual availability during demonstrations, operational trials, and
in continued operations is necessary when actual availability cannot be accurately predicted with an acceptable level of
confidence and the potential variability is significant to the required performance.

5.2.13.1 Actual availability may be determined based on analysis of statistical measures that include only portions
of the operational communication transactions over a predetermined period of time. The portions are measured and the
period of time is determined, locally or regionally, based on analysis of the distribution and degree of variability
determined from a sufficient sample of data collected.

Note.— Detected loss of the communication service whilst transactions are pending completion contributes
to monitoring, measurement and analysis for compliance assessment of the continuity.

5.2.13.2 Analysis of data collected combined with assumptions regarding the portions not measured is used:

a) to support compliance for initial use; and

b) to detect anomalies and take the corrective action needed to continue to meet the acceptable
probability that an operational communication transaction can be initiated when needed.

Integrity

5.2.14 Compliance to the integrity value of the RCP type is typically shown by analysis, design and system
architecture for the technical parts of the system. For the human, compliance to the integrity value of the RCP type is
typically shown by evaluations of HMI, system design and capabilities, training/qualification, and operational judgment.

Note.— The integrity value of the RCP type is usually not monitored, although an analysis of operational
data collected over large periods of time could reveal undetected errors and their effects.

_____________________
 Appendix A

Glossary of terms

Actual Communication Performance (ACP). The dynamic assessment of the operational performance of the
communication path, with human performance and technical performance included in the assessment.

Air Traffic Control (ATC) service. A service provided for the purpose of:

a) preventing collisions:

1) between aircraft; and

2) on the manoeuvring area between aircraft and obstructions; and

b) expediting and maintaining an orderly flow of air traffic.

Air Traffic Management. The aggregation of the airborne functions and ground-based functions (air traffic services,
airspace management and air traffic flow management) required to ensure the safe and efficient movement of
aircraft during all phases of operations.

Aircraft. Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of
the air against the earth’s surface.

ATM function. An individual operational component of air traffic services. Examples of ATM functions include the
application of separation between aircraft, the re-routing of aircraft, and the provision of flight information.

Availability. The probability that an operational communication transaction can be initiated when needed.

Communication transaction time. The maximum time for the completion of the operational communication transaction
after which the initiator should revert to an alternative procedure.

Continuity. The probability that an operational communication transaction can be completed within the communication
transaction time.

Integrity. The probability of one or more undetected errors in a completed communication transaction.

Operational communication transaction. The process a human uses to send an instruction, a clearance, flight
information, and/or a request. The process is completed when that human is confident that the transaction is
complete.

Qualification. The process through which a State, approval authority and applicant ensure that a specific
implementation complies with applicable requirements with a specified level of confidence.

RCP type. A label (e.g. RCP 240) that represents the values assigned to RCP parameters for communication
transaction time, continuity, availability and integrity.

App A-1
App A-2 Manual on Required Communication Performance (RCP)

RCP type allocation. The process of apportioning the various RCP type values to the various parts of the system.

Required communication performance (RCP). A statement of the performance requirements for operational
communication in support of specific ATM functions.

_____________________
 Appendix B

Checklist for RCP Application

1. Establish RCP Implementation Team.

Identify all stakeholders: the regulator, air navigation technical department, air traffic service provider, airspace
users, safety department and communications service provider.

2. Develop an RCP plan.

Define the operational requirements.

Develop an introduction plan and schedule for the introduction of RCP.

Identify required regulator changes.

3. Define procedures, airspace and ATS requirements.

Develop operational use policy, separation minima required, and ATC procedures for RCP implementation.

4. Identify the ATM functions and environment.

Determine what ATM functions will be performed in the airspace and either select predetermined RCP types or
perform the analysis to determine the necessary RCP type.

The evaluation of the ATM function will include the following:

— evaluate navigational and surveillance capability, route structure, and airspace congestion in the area of
implementation;

— identify the most stringent communication requirements;

— conduct safety analysis and assess risk; and

— select an RCP type that satisfies the communication requirement subject to the risk analysis.

5. Develop guidance material.

Develop procedures, including contingencies, covering the operational approval of RCP.

Establish requirements for ATM/avionics approvals, pilot training and certification, ATS training and certification.

6. Develop a system of post-implementation reviews and monitoring.

To ensure the safe and effective introduction of RCP operations, develop procedures for problem review and
monitoring of the ongoing performance of the ATM system.

App B-1
App B-2 Manual on Required Communication Performance (RCP)

7. Prescribe the required RCP type.

Publish the RCP type in the appropriate local documentation (e.g. AIP, regional guidance material).

8. Qualification/Certification/Operational approval.

Identify all involved parties and their association with the demarcation points within the communication system.

Identify the performance requirement allocation for a given RCP type for all parties involved and conduct
qualification test.

9. Execute the introduction plan.

Introduce the RCP operations including post-implementation reviews and monitoring.

_____________________
 Appendix C

Example of determining an RCP type

The ATM Function in this example is routine ATC communications on a data link system to offload the voice
communication system which is used to maintain separation assurance in the terminal control area (TMA).

Separation assurance is achieved by providing the air traffic services necessary to maintain separation minima to an
acceptably safe level. The separation minima that are implemented are based on many factors, including the quality of
information available to ATC and the flight crew, flight planning and navigation capabilities, surveillance, and the ability
of the controller to intervene when a loss of separation is detected.

In this example, it is desired to allow in the TMA an increase in air traffic of 20 per cent over current air traffic demand.
However, to maintain separation minima at an acceptably safe level, the current air traffic demand is at the maximum
when considering controller workload and congestion on the VHF voice communications. The air traffic demand could be
increased by implementing an air-ground data link system which can be used to perform some of the less time-critical
ATC communications, thereby maintaining an acceptable intervention capability using the VHF voice communications.
Additionally, with proper integration into the controller’s workstation, the data link system will enable the controller to
maintain an acceptable level of workload with the increase in air traffic.

RCP 10 is decided upon for the intervention capability based on the performance characteristics of the current VHF
voice communication system in the TMA. Using this assumption, we need to determine an RCP type for the data link
system to ensure that when air traffic demand is increased, a sufficient amount of ATC communications is performed
using the data link system to ensure that the VHF voice communication maintains a performance level (i.e. assumed to
be RCP 10) that provides a capability suitable for the intervention capability in the TMA.

The transaction time for the data link system can be determined using an iterative process to determine the allowable
increase in air traffic demand, the amount of ATC communications performed using the data link, and viable options
offered by the enabling technologies and implementations. Analysis of empirical data and simulations can determine the
types and volume of transactions. The continuity, availability and integrity can be determined based on severity-of-
effects analysis, using the criteria provided in Chapter 3 of this manual.

The scenario involves the use of data communications by the controller to ensure an acceptably safe separation
minimum with an increase in air traffic density. The choice of the medium to be used to communicate clearances is
determined by the controller based on the controller’s training on the data link system capabilities, how the controller
would expect the data link system to perform, and the controller’s operational judgment of the time between recognition
of the need to communicate and the action taken to complete the manoeuvre associated with the clearance.

The tasks associated with the operational communication transaction for sequential communications (i.e. CPDLC) follow.

To determine the RCP type one should:

a) Define the ATM function components

i) describe the environmental characteristics, operational capabilities, and other CNS/ATM system
performance (communications, navigation, surveillance, traffic density, etc.) of the airspace in which the
function will be performed;

App C-1
App C-2 Manual on Required Communication Performance (RCP)

ii) describe the operational communication transaction associated with that function;

b) Balance capabilities and performances required of communication, navigation, surveillance, air traffic
management by:

i) determining the operational performance expectations associated with performing that function;

ii) determining any safety requirements associated with the effects of failures arising during the performance
of the function;

iii) determining the values for the RCP parameters associated with performing the function; and

c) Select the RCP type based on the determined values.

Define the ATM function components

To describe the environmental characteristics of the airspace within which the function is to be applied, determine the
items contained in:

Table C-1. Environmental characteristics

TMA

Airspace type Class A, B, C, D and E

Communication capability VHF voice for intervention capability

data for routine ATC communications

Surveillance capability 5 second updates

Navigation capability RNAV/RNP 1

Horizontal Separation Minima 3 NM

2.5 to 6 NM on final approach

Vertical Separation Minima 1 000 ft

Sector density 70 aircraft per hour

(with 70 per cent aircraft data Maximum of 35 aircraft per controller at any given time
link equipped)

Traffic complexity Predominately vectoring with a complex ATS route structure

spaced less than or equal to 8 NM between centrelines

To describe the operational communication transaction, list the steps in which things occur to perform the function in the
sequence they are performed (Table C-2). Include any items that occur outside the operational communication
transaction for separation assurance in the TMA which may trigger the function to be initiated.
Appendix C. Example of determining an RCP Type App C-3

Table C-2. Operational communication transaction

Step Operating Steps

1 The surveillance or automation function provides information that requires the controller to
initiate communications for assuring separation.

2 The controller sends a clearance message to the flight crew initiating the operational
communication transaction.

3 The flight crew is notified when the aircraft system receives the message.

4 The flight crew accesses the message on a display and reacts to the message.

5 The flight crew may respond with a STANDBY, WILCO or UNABLE.

6S Upon ATS unit receipt of the STANDBY, the controller is notified.

Note.— The STANDBY response does not close the communication transaction.

5W The flight crew responds to the message with a WILCO and initiates the manoeuvre requested.

6W Upon ATS unit receipt of the WILCO, the controller is notified.

The ATS unit updates the flight plan consistent with the clearance, if applicable.
Note.—The WILCO response closes the dialogue.

5U If the flight crew is unable to comply with the contents of the message, an UNABLE response is
sent and the primary communications method is initiated.

6U Upon ATS unit receipt of the UNABLE, the controller is notified.

Note.— The UNABLE response closes the dialogue.

7 The controller monitors execution of the manoeuvre to assure separation is maintained.

Figure C-1 provides a pictorial reference of the time sequence that occurs during the steps used to complete the
operational communication transaction for routine ATC communications using the data link system in the TMA. It is
illustrated across the elements of the environment. When air-ground messages are exchanged, the numbers shown in
the diagram map to steps described in Table C-2.

Balance capabilities and performances required of communication, navigation,

surveillance and air traffic management

In this example, the analyses considered that the only change to the existing environment was the introduction of the
data link system that could relieve the VHF voice channel congestion and enable an increase in sector capacity. Under
these conditions and based on simulations and analysis, it was concluded that if 70 per cent of the aircraft were
equipped with data link, and the data link capability was used in cases where up to 60 seconds to complete the
transaction could be tolerated, VHF congestion would be relieved and a 20 per cent increase in capacity in the TMA
would be enabled.

The continuity, availability and integrity were assessed based on severity-of-effects analysis, considering the operational
hazards that can occur during the operational communication transaction for routine ATC communications using the
data link system in the TMA and their effects. These operational hazards and their effects are shown in Table C-3. The
hazards were generalized to the worst possible case to determine the hazard level. Thus, any type of transaction for
which the controller or pilot may use the data link system is considered for each hazard.
App C-4 Manual on Required Communication Performance (RCP)

ATS provider

ATS unit

Flight crew Aircraft Comm Ground Controller

HMI system service system HMI

Uplink
Uplink message
message requiring
requiring response
response
2
3/4

Standby
response
Standby
5S response
6S

Response
message
Response
5W/U message
6W/U

Figure C-1. Sequence of operating steps

Appendix C. Example of determining an RCP Type App C-5

Table C-3. Overview of operational hazards

Operational Hazard
Hazard Operational Effect Classification

Loss of ability The flight crew tries to send message and determines that CPDLC is minor
to provide the unavailable prior to sending message; and/or the ATS unit tries to send
message messages to several aircraft and determines that CPDLC is unavailable.
Slight increase in flight crew and/or ATS provider workload due to reversion
to voice communication and procedures to re-establish CPDLC.
Slight reduction in air traffic control capability.

Detected late Responder realizes received message is late or expired; aircraft system minor
or expired presents expired message as such or discards message and notifies
message sender.
Slight increase in sender and receiver workload due to reversion to voice
communication.

Detected Responder realizes message is not appropriate. Message intent is not minor
misdirection executed.
of a message The aircraft or ATS unit that was supposed to receive the message does not
receive it; equivalent to loss of the service.
Slight increase in flight crew and controller workload for the flight crew or
controller receiving the detected misdirected clearance.

Undetected A clearance, clearance response, or aircraft report is received by an major

misdirection of unintended aircraft/ATS unit.
a message This can be equivalent to receipt and execution of an erroneous clearance.
used for The aircraft that was supposed to receive the message does not receive it;
separation equivalent to loss of the service.
Possibly a significant increase in flight crew workload for both intended and
unintended recipients.
Possibly a significant reduction in separation for both intended and
unintended recipients.
Possible physical distress on passengers due to corrective manoeuvres for
both intended and unintended recipients.

Detected Recipient realizes message is corrupted. minor

corruption of a Message is discarded and sender informed.
message Slight increase in flight crew and controller workload due to reversion to
voice.

Undetected If the corruption is in a clearance, this could result in the acceptance and major
corruption of a execution of an erroneous clearance.
message used If the corruption is in a flight crew response to a clearance or report, results
for separation in the flight crew and ATS unit being out of synch.
Possibly a significant increase in flight crew workload.
Possibly a significant reduction in separation.
Possible physical distress on passengers due to corrective manoeuvres.

Undetected out Flight crew could accept and execute an erroneous clearance. major
of sequence Possibly a significant increase in flight crew workload.
message used Possibly a significant reduction in separation.
for separation Possible physical distress on passengers due to corrective manoeuvres.
App C-6 Manual on Required Communication Performance (RCP)

Table C-4 presents typical safety objectives associated with the hazards classified in Table C-3 for operational
communication transaction for routine ATC communications in the TMA.

Table C-4. Safety objectives

The likelihood of a loss of ability to provide messages for one or several aircraft shall be no greater than
probable.

The likelihood of late or expired message delivery shall be no greater than probable.

The likelihood of misdirection of a message shall be no greater than probable.

The likelihood of undetected misdirection of a message used for separation shall be no greater than remote.

The likelihood of undetected corruption of a message used for separation shall be no greater than remote.

The likelihood of undetected out of sequence messages used for separation shall be no greater than remote.

Table C-5 presents examples of the safety requirements resulting from the hazard assessment performed on the
sequential operational communication transaction for separation assurance in the TMA.

Table C-5. Safety requirements

When a clearance requires execution of more than one manoeuvre to be done in a specific sequence, the
clearances shall be put in the order that they are to be executed in a single uplink message.

Each message shall be time stamped.

The time stamp shall indicate the time that the message is released by the initiator for onward transmission.

Any processing (data entry/encoding/transmitting/decoding/displaying) shall not affect the intent of the
message.

The receiver shall reject messages not addressed to its end system.

The initiating system shall be capable of indicating to the user when a required response is not received
within the required time.

When a received message contains a time stamp that indicates that the time has been exceeded, the
receiving system shall either discard the message and inform the initiator or display the message to the
receiver with an appropriate indication.

When the controller/flight crew is informed that a response has not been sent within the required response
time, the controller/flight crew shall clarify the status of the message (e.g. using voice).

The ATS unit shall prevent release of a clearance without controller action.

The aircraft system shall prevent release of an operational response without flight crew action.

The recipient shall be capable of detecting a corrupted message.

Messages shall be transmitted/received in the order that they are sent.

Appendix C. Example of determining an RCP Type App C-7

The performance objectives associated with operational communication transaction for separation assurance in the TMA
are shown in Table C-6. This table only considers performance objectives for major hazards.

Table C-6. Performance objectives

Description of parameter Value

Unexpected interruption of a transaction 10-5 per aircraft per flight hour

Loss of communication transaction 10-5 per aircraft per flight hour

Loss of service 10-5 per aircraft per flight hour

-5
Undetected corrupted transaction 10 per aircraft per flight hour

Select the RCP type

Based on the results of the simulations, empirical data and analyses, as indicated in Table 3-1 of Chapter 3, the RCP
type applied to routine communications on the data link system in the TMA is RCP 60.

— END —