Policy Regarding Datalink Communications Recording Requirements, 11108-11111 [2015-04158]

Agencies

• Federal Aviation Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 80, Number 40 (Monday, March 2, 2015)]
[Rules and Regulations]
[Pages 11108-11111]
From the Federal Register Online via the Government Printing 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 https://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 
https://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: 
tim.shaver@faa.gov.
    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: 
Karen.Petronis@faa.gov.

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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