Chapter 1

PBCS Concepts
(4 ac. hours)
Instructor: MSc. Nguyen Thi Linh Phuong
 Contents
An introductory Outlines the evolution of PBCS, from early ICAO initiatives to its role in
history modernizing global air traffic management with emerging technologies.

PBCS framework Describes the structured approach to implementing Performance-Based

Communication and Surveillance (PBCS); Explains how aviation standards
now focus on measurable outcomes rather than rigid rules, enabling
flexible, efficient operations.

Relationship with outlines how states must align PBCS with safety management systems
SSM responsibilities (SMS) to meet ICAO compliance and monitor operational risks.

RCP and RSP Explains the concept of RCP and RSP, defining how communication
specifications and surveillance capabilities are measured and monitored to meet
required performance levels in air traffic management.
 1
An introductory history

Outlines the evolution of PBCS, from early ICAO

initiatives to its role in modernizing global air
traffic management with emerging technologies.
An introductory history
An introductory history
An introductory history
An introductory history
 An introductory history
● In 2017, ICAO published the second edition of the Performance-Based
Communication and Surveillance (PBCS) Manual – Doc 9869.

Second Edition is the current

version
Published June 2017
Supersedes Manual On RCP,
previous draft versions, and
other guidance documents
 An introductory history
• The PBCS Manual provides guidance and information
concerning PBCS operations and is intended to facilitate uniform
application of Standards and Recommended Practices
contained in:
○ Annex 6 —Aircraft Operations
○ Annex 10 —Aeronautical Telecommunication
○ Annex 11 —Air Traffic Services
• The provisions in the Procedures for Air Navigation Services —
Air Traffic Management (PANS-ATM, Doc 4444)
• And when necessary, the Regional Supplementary Procedures
(Doc 7030).
Global Operational
Data Link Document
 2
PBCS Framework
Describes the structured approach to implementing
Performance-Based Communication and Surveillance
(PBCS); Explains how aviation standards now focus on
measurable outcomes rather than rigid rules, enabling
flexible, efficient operations.
Performance-based approach
 Why do we need PBCS?
 PBCS is needed to ensure operator systems and
infrastructure meet global required performance;
 Operational improvements using CPDLC and ADS-C
depend on the intended and expected communications,
surveillance, and navigation requirements;
 Responsibility has been identified to ensure safety and
performance targets are met;
 PBCS provides the required framework to quantify
system performance.
 PBCS Manual (Doc 9869)
Primary Objectives:
To provide objective operational criteria for evaluating different
and emerging communication and surveillance technologies. These
technologies are intended for evolving Air Traffic Management
(ATM) operations.
Once established and accepted, a specific ATM operation (including
its technical and human performance) can be evaluated against these
criteria to assess its viability.
The PBCS concept and guidelines are applicable to any Air Traffic
Services (ATS) system change predicated on communication and/or
surveillance performance.
 Doc 9869 Chapter foreword
• Intended to improve safety and maximize operational benefits by
promoting the PBCS concept and its general application to emerging
technologies for communication and surveillance supporting ATM
operations.
● The PBCS concept is primarily intended for emerging
technologies, not traditional ones. (Examples of traditional
technologies include HF voice communication or radar)
● This edition of the manual has considered controller-pilot data link
communications (CPDLC), automatic dependent surveillance —
contract (ADS-C), and SATVOICE technologies.
● The manual may be revised to apply to other technologies, such as
automatic dependent surveillance – broadcast (ADS-B), as
experience is gained.
 PBCS Concept: Alignment with
Performance-based Navigation (PBN)
● The PBCS concept is aligned with Performance-based Navigation
(PBN).
● The PBN concept applies required navigation performance (RNP)
and area navigation (RNAV) specifications to the navigation
element.
● The PBCS concept applies required communication performance
(RCP) and required surveillance performance (RSP) specifications
to communication and surveillance elements, respectively.
● Each RCP/RSP specification includes allocated criteria among the
components of the communication and surveillance systems involved.
Performance-based CNS/ATM Model

Balances capability and

performance of:
- Navigation (RNP, RNAV)
- Communication (RCP)
- Surveillance (RSP)
ICAO Global Air Navigation Plan and ATM
 PBN – current definition Annex 6 & 11
Performance-based navigation (PBN) – Area navigation based
on performance requirements for aircraft operating along an
ATS route, on an instrument approach procedure or in a
designated airspace.

Note.— Performance requirements are expressed in

navigation specifications (RNAV specification, RNP
specification) in terms of accuracy, integrity, continuity,
availability and functionality needed for the proposed
operation in the context of a particular airspace concept.
 PBC – ICAO OPLINKP amend Annex 6 & 11
Performance-based communication (PBC) – ATS
communication services and capability based on performance
requirements for air traffic service provision, aircraft and flight
operations along an ATS route, on an instrument approach
procedure or in a designated airspace.

Note.—Communication performance requirements tare allocated to

system components in an RCP specification in terms of
communication transaction time, continuity, availability, integrity,
safety and functionality needed for the proposed operation in the
context of a particular airspace concept.
 PBS – ICAO OPLINKP amend Annex 6 & 11
Performance-based surveillance (PBS) – ATS surveillance
services and capability based on performance requirements for air
traffic service provision, aircraft and flight operations along an
ATS route, on an instrument approach procedure or in a
designated airspace.

Note.—Surveillance performance requirements tare allocated to system

components in an RSP specification in terms of surveillance data
delivery time, continuity, availability, integrity, accuracy of the
surveillance data, safety and functionality needed for the proposed
operation in the context of a particular airspace concept.
Key Differences between PBCS and PBN
(Part 1)
● Allocation of Criteria:
○ The PBCS concept applies RCP and RSP specifications,
which allocate criteria to:
■ ATS provision (including communication services)
■ Aircraft capability
■ Aircraft operator
○ The PBN concept applies RNP/RNAV specifications, which
allocate criteria only to:
■ Aircraft capability
■ Aircraft operator
Key Differences between PBCS and PBN
(Part 2
● Monitoring Programs:
○ The PBCS concept includes post-implementation monitoring
programs, on a local and regional basis, with global exchange
of information.
○ The PBN concept includes real-time monitoring and alerting
functionality in the aircraft capability.

Note: PBCS real-time alerts (e.g., when a communication

transaction expires or a position report is overdue) are
conceptually different than PBN alerts (e.g., RNP UNABLE).
 Impact of the PBCS Concept on Air
Traffic Services
● The PBCS concept applies to communication and surveillance
capability performance.
● It therefore affects the provision of air traffic services and the
aircraft operator’s use of these services, including associated
aircraft equipage.
● The concept aims to characterize the communication and
surveillance capability, as well as its performance, through RCP
and RSP specifications, and ensure that systems meet these
specifications.
 3
Relationship with SMS responsibilities

Outlines how states must align PBCS with safety

management systems (SMS) to meet ICAO
compliance and monitor operational risks.
 Relationship with SMS responsibilities
State Safety Programme (SSP):
● Annex 19 requires States to establish and maintain a State Safety
Program (SSP).
● The SSP aims to proactively manage safety, supporting the
continuous improvement of safety performance.
● The PBCS concept supports States in managing safety performance
by providing an effective means of implementing the SSP and safety
oversight system.
 Relationship with SMS responsibilities

Safety Management System (SMS) for Service Providers:

• In accordance with Annex 19, States are required to ensure that

specific service providers (Approved training organizations -
ATOs, operators, manufacturers, ANSPs, aerodromes) under their
responsibility implement a SMS.
• These providers must also manage their interfaces with other
organizations contributing to the safety of their products or
services.
 Relationship with SMS responsibilities
Evaluating Compliance and Managing Safety Performance:
● States can utilize the RCP and RSP specifications to evaluate
the initial and ongoing compliance of communication and
surveillance systems.
● The specifications help ensure that involved entities commit to
managing and monitoring the safety performance of
communication and surveillance systems.
● This commitment contributes to achieving an acceptable level
of safety performance for the State.
 Relationship with SMS responsibilities

PBCS Monitoring Programmes and Safety Risk Management:

● The PBCS monitoring programs, which are an integral part of
the concept, support:
○ Hazard identification.
○ Safety risk assessment and management.
○ Exchange of safety information on both a regional and
global basis.
 Relationship with SMS responsibilities
Interface Management and Contractual Arrangements:
● The PBCS concept highlights the importance of interface
management for ANSPs and aircraft operators.
● When communication and surveillance services are negotiated, the
ANSP and aircraft operators should establish proper mechanisms
(e.g., administrative and legal arrangements).
● These mechanisms ensure the initial and ongoing compliance by
the contracted Communication Services Providers (CSPs) and
Satellite Service Providers (SSPs) with the functional, safety, and
performance requirements described in the RCP and RSP
specifications.
Relationship with SMS responsibilities
Collision Risk Assessment and Trade-offs in Performance:
● This manual outlines considerations for assessing the risk of
collision when determining separation minima within a target
level of safety.
● The risk of collision for a particular ATM operation is
affected by numerous factors, such as navigation
performance, route configuration, traffic density, surveillance,
communication, and air traffic control.
● Therefore, trade-offs in required performance among the
CNS elements are evaluated, and practical and technological
constraints are considered to achieve the target level of safety.
State Safety Oversight Framework
 4
RCP and RSP Specifications
Explains the concept of RCP and RSP, defining how
communication and surveillance capabilities are
measured and monitored to meet required performance
levels in air traffic management.
RCP and RSP Specifications: Functional,
Safety, and Performance Requirements
● The RCP and RSP specifications are key elements of the PBCS
concept.
● They prescribe functional, safety, and performance
requirements for all components of communication and
surveillance systems.
● These components include:
○ The provision of air traffic services (including contracted
communication and surveillance services).
○ The aircraft operator.
○ The aircraft systems.
 Global Harmonization of RCP/RSP
Specifications

● An RCP/RSP specification is globally harmonized.

● The goal is to reduce training requirements and errors
resulting from confusion in operations across airspace boundaries.
● Global harmonization also facilitates the application of an
RCP/RSP specification to components of the system that are
global in nature. Examples include aeronautical mobile satellite
services and ground-ground networks.
 RCP – ICAO OPLINKP amend Annex 6, 11
Required communication performance (RCP) specification – A set of
requirements for air traffic service provision, aircraft capability, and
operations needed to support performance-based communication within a
defined airspace.

Note: The term RCP is now used in context of a specification that is applicable
to the prescription of airspace requirements, qualification of ATS provision,
aircraft capability and operational use, including post-implementation
monitoring (e.g. RCP 240 refers to the criteria for various components of the
operational system to ensure an acceptable intervention capability for the
controller is maintained).
 RCP – Required communication performance
● 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 communications capabilities
supporting ATM function; then
○ Prescribing the RCP type(s) related to the communication
system(s) supporting the ATM functions within that airspace; and
○ Complying with the prescribed RCP type(s) through initial
qualification, operational assessments, and post implementation
monitoring/analysis/corrective action of the communication
systems.
 Operational parameters of RCP
a) RCP transaction time. The maximum time for the completion of the
operational communication transaction after which the initiator
should revert to an alternative procedure;
b) RCP continuity. The minimum proportion of operational
communication transactions to be completed within the specified RCP
transaction time, given that the service was available at the start of the
transaction;
c) RCP availability. The required probability that an operational
communication transaction can be initiated; and
d) RCP integrity. The required probability that an operational
communication transaction is completed with no undetected errors.
Provides allocations to the ATSP, CSP, aircraft operator and aircraft system.
 RSP – ICAO OPLINKP amend Annex 6, 11

Required surveillance performance (RSP) specification – A set of

requirements for air traffic service provision, aircraft capability, and
operations needed to support performance-based surveillance within a
defined airspace.

Note: The term RSP is used in the context of a specification that is

applicable to the prescription of airspace requirements, qualification of
ATS provision, aircraft capability and operational use, including post-
implementation monitoring (e.g. RSP 180 refers to the criteria for
various components of the operational system to ensure an acceptable
surveillance capability for the controller is maintained).
 RSP – Required surveillance performance
● RSP concept seeks to manage the performance of surveillance
supporting evolving ATM concepts and emerging technologies. This
is achieved by:
○ Determining an RSP type for the surveillance capabilities
supporting ATM function; then
○ Prescribing the RSP type(s) related to the surveillance system(s)
supporting the ATM functions within that airspace; and
○ Complying with the prescribed RSP type(s) through initial
qualification, operational assessments, and post implementation
monitoring/analysis/corrective action of the surveillance systems.
 Operational parameters of RSP
a) RSP surveillance data transit time. Maximum time for the reception of
the surveillance data after which the controller should revert to an
alternative procedure;
b) RSP continuity. The minimum proportion of surveillance data delivery to
be completed within the specified RSP surveillance data delivery time,
given that the service was available at the start of the delivery;
c) RSP availability. The required probability that surveillance data can be
provided; and
d) RSP integrity. The required probability that surveillance data delivery is
completed with no “undetected” errors.

Provides allocations to the ATSP, SSP, aircraft operator and aircraft system.
 Managing Communication &
Surveillance Performance
The performance of communication and surveillance capabilities is
managed by:
● Developing an RCP/RSP specification for one or more capabilities on
a global basis.
● Applying an RCP/RSP specification related to one or more
communication and surveillance system(s) within a specific airspace.
● Complying with a prescribed RCP/RSP specification through initial
compliance of different system components individually, and
through local and regional monitoring programs. This includes
ongoing assessments of actual performance and corrective action.
 Developing an RCP/RSP Specification
The process:
● ICAO, in coordination with industry partners (e.g.,
RTCA/EUROCAE), develops new or revises existing RCP/RSP
specifications.
● The purpose is to provide a set of operational requirements for
communication and surveillance capabilities that are adequate for a
new ATM operation.
● ICAO may also revise an existing RCP/RSP specification to
provide a new set of allocations to system components as new
technologies emerge.
Figure 1-3: provides an overview of RCP/RSP specification
development.
Developing an RCP/RSP specification
Basis of Operational Requirements:
● The operational requirements provided by an RCP/RSP
specification are based on an assessment of operational
communication transactions and operational surveillance data
delivery for a specific ATM operation.
● This assessment takes into account human interactions,
procedures, and environmental characteristics.
● These operational requirements address the functions,
performance, and safety of a complete system comprising
interoperable system components.
Developing an RCP/RSP specification
Technology Dependencies and Flexibility:
● The operational requirements of an RCP/RSP specification are not
based on technological dependencies.
○ However, it is assumed that compliance of capabilities to
prescribed interoperability standards is in place.
● Allocations to system components, also provided in an RCP/RSP
specification, do take into account technological dependencies.
● An RCP/RSP specification is designed to be as flexible as
practicable, considering aircraft equipage, operator requirements,
interoperability, and cost.
Overview RCP/RSP specification development
 Applying an RCP/RSP specification
Methods for Applying RCP/RSP Specifications:
● a) Prescription: Of an RCP specification for a communication capability
and/or an RSP specification for a surveillance capability, which is required
for ATS provision in a particular airspace. In accordance with Annex 11,
PANS-ATM, Regional Supplementary Procedures (Doc 7030), and/or the
Aeronautical Information Publication (AIP).
● b) Operational approval: To file the flight plan RCP/RSP capabilities,
including aircraft equipage. In accordance with Annex 6, where RCP and/or
RSP specifications are prescribed for the capabilities supporting ATS
provision.
● c) Local and regional monitoring programs: To assess actual
communication performance (ACP) and actual surveillance
performance (ASP) against RCP and RSP specifications. Thereby
determining corrective action, as applicable, for the appropriate entity.
 Applying an RCP/RSP specification
Roles and Requirements:
● ICAO identifies an appropriate RCP/RSP specification to develop
Standards and procedures for new ATM operations.
● States apply an RCP/RSP specification to support applicable ATM
operations.
● Application of an RCP/RSP specification also requires:
○ Safety oversight of air traffic services.
○ Operational approval.
○ Aircraft system design approval.
○ Post-implementation monitoring.

Figure 1-4: provides an overview of RCP/RSP specification application.

Overview of RCP/RSP specification application
 Applying an RCP/RSP specification
State Prescription of RCP/RSP Specifications:
● States should prescribe an RCP and/or RSP specification based on
the ATM operations chosen for implementation within that airspace
by an ATS provider.
● In cases of safety-related changes (e.g., reduced separation minima
or new procedures) predicated on communication and surveillance
performance, RCP and RSP specifications are prescribed.
● The approval of such a change demonstrates that the criteria
defined by the RCP and RSP specifications have been met.
● Prescription can be local or based on bilateral, multilateral, or
regional air navigation agreements.
 Applying an RCP/RSP specification
Prescribing Single or Multiple RCP/RSP Specifications:
● The application of a given separation minimum within a volume of
airspace may require that a single RCP and/or single RSP be specified.
● However, a State can prescribe multiple RCP and RSP specifications
within a given airspace.
○ Example: Prescribing one RCP for the normal means of
communication (supporting controller intervention) and another
RCP for a new communication technology (supporting an
alternative means if normal means fail).
● Different RCP and RSP specifications can be prescribed for different
airspace (e.g., terminal area versus en-route or oceanic airspace)
depending on ATM operations.
 Applying an RCP/RSP specification
Combining Communication and Surveillance Capabilities:
● To perform certain ATM operations, States may require a
combination of voice/data communication and surveillance
capabilities applicable to the prescribed RCP and RSP specifications.
● Data communication and surveillance capabilities enable the
integration of operational capabilities to exchange information
between an ATS unit’s system and an aircraft system.
● They can also provide functional integration (e.g., loading CPDLC
messages on the flight deck and ATS conformance monitoring using
ADS-C reports) with the aircraft’s system or an ATS unit’s system.
 Complying an RCP/RSP specification
General Requirements:
● When a State prescribes an RCP/RSP specification for
communication or surveillance capability, the ANSP and the aircraft
operator should demonstrate compliance.
● This demonstration ensures that the provision of air traffic services
and the use of the service achieve and maintain the required
communication and surveillance performance.
● Compliance may be achieved in various ways, with the State
providing policies and guidance on acceptable means for both initial
and continued operations, to support approvals.
Figure 1-5: provides an overview of RCP/RSP specification compliance.
 Complying an RCP/RSP specification
Initial Compliance Determination: Initial compliance with RCP and RSP specifications
occurs at different times for each system component. The processes for these approvals
and the parties involved are distinct.
● ANSP Compliance: The ANSP complies by demonstrating that the necessary
procedures and training, systems, and related contracted services comply with the RCP
and RSP specifications appropriate for the specified ATM operations and airspace.
● Aircraft Operator Compliance:
○ The aircraft operator complies by demonstrating that the necessary procedures and
training, aircraft systems, maintenance, and related contracted services comply
with the RCP and RSP specifications for specified aircraft types/systems in its
fleet.
○ For the aircraft system, compliance is shown by presenting a certificate of
approval obtained from the manufacturer (State of Design) or via
bilateral/multilateral airworthiness agreements.
Note: "State of the Operator" applies to commercial air transport operations, while "State
of Registry" applies to general aviation operations.
 Complying an RCP/RSP specification
• ANSPs implement monitoring programs to verify ongoing
compliance, with participation from operators and service
providers (CSPs/SSPs).
• Monitoring programs analyze operator-specific data,
including aircraft, systems, and infrastructure factors, to
assess communication/surveillance performance.
• Monitoring programs report non-compliance to
responsible parties for corrective actions.
Overview of RCP/RSP specification compliance
PBCS – Continuous performance improvements
PBCS – Continuous performance improvements
 PBCS – RCP/RSP – ICAO Flight Plan

● ICAO Flight Plan makes provision for RCP allocation in Item

10 with reserved designators.
● Asia/PAC ICAO 2012 guidance specifically states that ATSP
should process reserved RCP designators without error.
● No similar provision with reserved designators was made for
RSP allocation in Item 10 but does make mention of use of
SUR/ in Item 18.
 PBCS – RCP/RSP – ICAO Flight Plan
● Item 10a
P1 RCP 400 (See note 7)
P2 RCP 240 (See note 7)
P3 RCP 150 (See note 7)
P4-P9 Reserved for RCP (See note 7)

Note 7. – Guidance material on the application of performance-based communication, which

prescribes RCP to an air traffic service in a specific area, is contained in the performance-
based communication and surveillance (PBCS) Manual (Doc 9869).
● Item 10b
If the descriptor D1 is used, the performance-based surveillance level that can be met are specified
in Item 18 following the indicator SUR/. Guidance material on the application of performance-based
surveillance, which prescribes RSP to an air traffic service in a specific area, is contained in the
performance-based communication and surveillance (PBCS) Manual (Doc 9869).
 RCP/RSP – tactical indication in aircraft
● Aircraft provides the flight crew with alerts in case of
equipment/capability failures, e.g.
○ Communication Means failure (e.g. SATCOM FAULT)
○ Definitive connectivity loss (e.g. VHF3 DATALINK FAULT)
○ Failure of ATC Data link (e.g. ATC DATA LINK FAULT)

BUT

● There is no RCP/RSP indication directly displayed to the flight

crew.
Note: Appropriate procedures (refer to GOLD) and associated
training is required to ensure failure notifications to ATSP.
RCP/RSP – tactical indication in controller
● ATM ground system automation provides the controller with alerts in
case of equipment/capability failures, e.g.
○ Communication failure (e.g. ACARS FAULT)
○ CPDLC transaction timeouts (e.g. NO RESPONSE RECEIVED)
○ ADS-C periodic reports overdue.
Note: If ground system provides indication to controller for action then
controller can assess suitability of the communications and surveillance
for continued application of ATS service based on workload.
BUT
● There is no RCP/RSP indication directly displayed to the flight crew.
Note: Appropriate procedures (refer to GOLD) and associated training is
required for equipment/capability failures e.g. SATCOM failure?
 Enabling Benefits with PBCS
In summary, the performance-based approach is seen as a means to:

● expedite and maximize operational benefits gained from an

existing fleet of data link capable aircraft;
● to expand the provision and use of data link capabilities, where
beneficial;
● ensure global harmonization and operational seamlessness of
data link implementations;
● take into account the overall operational capability and
performance needed for the intended operations.
 Thanks!
Do you have any questions?
phuongntlp@[Link]
[Link]

FACULTY OF AVIATION OPERATIONS