Lithuanian Airspace Management In Times of Crisis and War

By Antanas Jucius*

I. Introduction dressed is compatibility with ICAO1, and Defence as a military authority as well. NATO systems and procedures. Such an idea brings in the requirements Since 1991 has moved rap- In October 2000 a new Law on Avia- for interdependence and close co-opera- idly to modernise and improve civil and tion was adopted in Lithuania. Accord- tion between these two authorities in re- military communications, navigation, ing to it, “the Government is responsible gard to airspace management in peacetime surveillance, and Air Traffic Management for efficient organisation, assignment and and especially in times of crisis and war. (ATM) equipment and systems. On the management of Lithuanian airspace, in The purpose of this article is to ana- military side, progress has been signifi- order to achieve effective use of airspace lyse the Lithuanian Airspace Management cantly slower, constrained by limited by civilian aircraft considering airspace system in order to determine its adequacy budgets and deliberations over ATM al- needs for national security of Lithuania.”2 in time of crisis and war and to recom- ternatives and their impacts on cockpit However, the responsibilities concerning mend its further development. equipment. An important problem is the development of communications, naviga- The increased demand for airspace use incompatibility between civil and mili- tion, surveillance, and ATM equipment from all airspace user groups3 is expected tary systems, which restricts military op- and systems, have to be assigned for both to continue. The existing ATM system in erations and impacts training. Another the Civil Aviation Administration (CAA) Lithuania is unlikely to cope with this significant problem that must be ad- as a civil authority and the Ministry of demand. One of the main areas for change

* Maj Antanas Jucius, a graduate of the Baltic Defence College, is currently with the Staff of the Lithuanian .

51 concerns the organization and use of air- • Airspace Management (ASM), which structures and assignment of airspace re- space. A major obstacle to produce more assigns airspace efficiently to its main us- quires close co-operation between all air- airspace capacity is that the effective use ers (civil and military). space users. From the military point of of Lithuanian airspace has not been Thus, in order to analyse Lithuanian view, the efficient design, assignment and optimised to date. The requirements of Airspace Management we have to answer control of airspace have a decisive impact all airspace user groups and ATM provid- the question what Airspace Management on airspace surveillance, detection of air- ers are the main driving forces in further System has to be developed to ensure a craft and defence of sovereignty of the development of airspace management strat- proper flow of traffic and national secu- country. In order to fulfil this mission, egy, which shall be oriented towards rity in Lithuanian airspace in times of military forces require freedom of action optimizing and simplifying the airspace crisis and war. for their assets in the air to conduct proper structure. Furthermore, future national This article does not explain the ICAO training in peacetime. This freedom is es- ATM strategies cannot realistically be or NATO requirements, standards and pro- pecially essential in time of crisis and war. developed in isolation, as each individual cedures in detail because of limitations in This chapter provides general informa- state is an integral element of the European size of the article. However, all necessary tion about the airspace use concept imple- ATM system. references to original documents are pro- mented by most of the European coun- vided. Moreover, this article does not in- tries, including the current Lithuania’s air- From the ICAO approach, ATM con- clude any assessments in terms of the finan- space design and the ASM system. Further- sists of three functions: cial costs required, as it suggests possible more, it provides an analysis of what au- • Air Traffic Control (ATC), which is solutions but not an implementation plan. thority shall have responsibility for the air responsible for sufficient separation be- traffic control in Lithuania in time of peace, tween aircraft in the air and between air- II. Legislation and crisis and war, and what are the Lithua- craft and the ground, to avoid collisions, responsibilities of the nian Armed Forces’ demands on ATC. while ensuring a proper flow of traffic. authorities • Air Traffic Flow Management Flexible use of airspace (ATFM), which regulates the flow of air- The objective of ASM is to achieve the craft as efficiently as possible to avoid the most efficient use of airspace based on The document “The Concept of the congestion at certain control sectors. actual needs. A proper design of airspace Flexible Use of Airspace” (the FUA Con-

52 cept) has been developed by the more closely into line with the military military air combat exercises and military EUROCONTROL4 for the European Air operational requirements. flight training. The military Regulator is Traffic Control Harmonisation and Inte- responsible for establishing the rules and gration Programme (EATCHIP) Project Airspace structure standards for military flights within a TSA. Board and the NATO Committee for According to the ICAO definition, Officers in the Air Force (Fighter Con- European Airspace Co-ordination controlled airspace is divided into four trollers) normally control flights within a (CEAC). In June 1994 the FUA document different parts: Control Zone (CTR), Ter- TSA. An important consideration has to was endorsed by the 4th Meeting of the minal Area (TMA), Control Area (CTA) be given to flight safety standards on sepa- European Ministers of Transport. and Temporary Segregated Area (TSA). ration between flights within and flights The basis for the FUA Concept is that The FUA Concept provides that nor- outside a TSA. “airspace should no longer be designated mally both the civil and military airspace as either military or civil airspace but users have access to CTR, TMA and CTA. Assigning airspace should be considered as one continuum In principle the ICAO standards, such as According to the FUA Concept, a na- and used flexibly on a day-to-day basis. separation minima, required equipment, tional order for assigning airspace has to Consequently, any necessary airspace seg- flight safety requirements etc., apply to be established. This order must be in ac- regation should be only of a temporary all traffic. Any other national standards cordance with law (Law on Aviation). In nature ”5 It is of importance that the can be established via the Law on Avia- order to reassess a national airspace, to application of the FUA Concept is ad- tion and published in the Aeronautical establish new flexible airspace structures vantageous for both civil and military Information Publication (AIP). Further- and to introduce the procedures for the airspace users, because it will lead to an more, in the integrated ASM system the allocation of these airspace structures on increase in ATC capacity, more efficient Regulator of military aviation can, day-by-day basis, a high-level National ways to separate Operational and General through the Regulator of civil aviation, Airspace Policy Body with representatives Air Traffics (OAT/GAT), improved real- establish national standards for military from the civil and military authorities time civil-military co-ordination and a ATC. should be established. The high-level civil/ significant reduction in airspace segrega- TSAs are established for activities of a military national body “formulates the tion needs as well as the use of Tempo- temporary nature, which need specific national ASM policy and carries out the rary Segregated Areas (TSA) being brought protection. Normally they are used for necessary strategic planning work, taking

53 into account national and international lished for controlling reached the TMA, handed over to the ATC airspace users requirements ”6 Other air- during the intercept missions and tacti- of that specific airbase for landing. space users (e.g. firing ranges) must have cal training flight exercises in peacetime In air policing scenario, when a mili- guaranteed influence on the airspace struc- and for the air combat missions in war- tary aircraft is conducting the mission to ture. For that purpose they shall be called time. identify and/or take other actions towards as members of the national airspace policy A typical scenario for a military train- an unknown aircraft, the flight can be body when issues within their field of ing flight in the integrated ATM system handed over to the fighter controller at interests are decided. can be described as follows: a military air- an earlier stage in order to conduct the For the daily allocation and promul- craft is departing from a military airbase interception in an optimal way. By close gation of the flexible airspace structures for a mission and is first handled by the co-operation between the ACC and/or the and for communication of the airspace ATC of this particular airbase. When leav- ATC of the airbase and the fighter con- status to the (a so-called ing the Terminal Area (TMA), the flight troller in the CAOC, flight safety stand- Centralised Airspace Data Function is handed over to the Area Control Cen- ards will be maintained during all phases (CADF)), a national Airspace Management tre (ACC) for the en-route phase of the of the flight. Cell (AMC) should be established. Au- flight. When the flight reaches the TSA thorisation, responsibilities for manning allocated for the mission, the aircraft is Current situation in Lithuania and relevant instructions must be issued handed over to a fighter controller (lo- and described in such a manner, that the cated in the Combined Air Operations The present Lithuanian ASM system is decision-making levels can be identified Centre (CAOC)) who will be controlling designed in accordance with two main easily by every responsible authority, and the exercise within the TSA. During this legal acts – The Law on Aviation of Lithua- in a manner, that can guarantee levels of phase of the mission there is a close co- nia from 17 October 2000 and The De- influence for both the military and civil operation between the ACC and the cree of the Government of the Republic airspace users. fighter controller in the CAOC regard- of Lithuania on the approval of the Air ing information on flight safety issues. Space Structure of the Republic of Lithua- Fighter control Finally, when the exercise is completed, nia from 22 January 1997. All relevant Not being part of the ATM system, a the aircraft is handed over to the ACC information as well as other regulations fighter control system normally is estab- for the flight back to a base and, having and requirements of air navigation are

54 published in AIP of the Republic of field in Kazlu Ruda was closed in 2001, try of Transport is the Regulator and Lithuania issued by the Civil Aviation but restricted areas (R) related to it still Supervisor for civil aviation, while the Administration (CAA). “The Rules of the exist, as well as several D areas above the governmental enterprise “Air Navigation Air and procedures applicable to air traf- firing grounds, which are not in use Services” is the Provider. The Ministry fic in the territory of the Republic of anymore. At the same time, the main Air of National Defence plays the role of a Lithuania conform to Annex 2 – Rules of Force base in ¨iauliai has only one small Regulator, Provider and Supervisor for the Air and Annex 11 – Air Traffic Serv- R area to conduct military flight train- military aviation, however the “Air Navi- ice to the Convention of International ing. These simple examples show that the gation Services” usually provide support Civil Aviation and to the Regional Sup- Airspace Structure has to be reviewed and for the military users in peacetime as well. plementary Procedures applicable to the all necessary changes have to be done in The main problem to be solved is that at European Region.”7 co-operation between civil and military present time, due to the Lithuanian avia- According to the Aeronautical Infor- airspace users. tion sector’s size and available resources mation Publication, the Lithuanian Air- Concerning responsibilities of the au- as well as the already established structure, space Structure includes Controlled Air- thorities for ASM, which are stated in the the involved authorities are not able to space, Air Traffic Services (ATS) Route, above-mentioned legal acts as well, the fully carry out their responsibilities. Danger Area (D), Restricted Area (R) and Lithuanian aviation sector system is based Regarding the above-mentioned prob- Prohibited Area (P). The Controlled Air- on the conceptual structure of a Regula- lem, there is a need for improvements and space or ATS Airspace, respectively, in- tor, Provider and Supervisor. In such a reorganisations in the Lithuanian ASM cludes CTA, TMA and CTR. ATS airspaces structure the Regulator is responsible for system. It is necessary to mention here are classified as Class A to G. setting standards and regulations, the Pro- that in order to achieve the more effi- Airspace restrictions - D, R, and P Ar- vider’s task is to serve the customer in cient use of airspace by both the civil and eas - are mainly related to various mili- accordance with standards and regulations military users and to increase the capac- tary activities in peacetime, therefore a set by the Regulator and the Supervisor ity of the air traffic, the Lithuanian ASM proper design and use of them are very has to monitor that the Provider applies system is under continuous development important. However, there are some in- standards and regulations set by the Regu- and modernization in close co-operation accuracies and areas to be changed in the lator. According to the Law on Aviation between responsible civil and military structure. For example, the military air- of Lithuania, the CAA under the Minis- authorities. The latest results of the co-

55 operation show that one of solutions is a matic and guarantees the uninterrupted Forces, has to be established. This ap- development of an Integrated Civil/Mili- functioning of the ASM system during proach will ensure a strong influence by tary Airspace Management System in all the above-mentioned phases. Prepara- the upon ASM, Lithuania. The integrated system shall, tion and planning must be made by the thus meeting all requirements for national wherever relevant, be based on the Airspace Management Cell (AMC) and security. The Government should define EATCHIP “Concept of the Flexible Use other responsible authorities in peacetime subordination structure during raised of Airspace”. to ensure that ASM continues during cri- alert or under war conditions through ses and can be adapted to a possible war its decrees. Any other details of such situ- A responsible air traffic control situation. Good examples for such a prepa- ations should be regulated by various (ATC) authority in Lithuania in ration are military war planning, training inter-agency agreements. peacetime, crisis and war for special war tasks and development of The effect of transferring responsibil- special equipment and procedures for mili- ity is that the Air Traffic Management Efficient Airspace Management (ASM) tary purposes. The Lithuanian Armed Forces (ATM) elements and services would cease is essential for successful and safe tactical would set the tactical demands, however the to exist as a part of the civil structure. missions during different levels of raised CAA shall conduct some of these prepara- Equipment and facilities would be trans- alert or war situations. For that reason it tion tasks, the remaining tasks being respon- ferred to the military structure, and civil- is necessary to decide how the overall re- sibility of the Lithuanian Air Force. A sys- ian employees would become subordi- sponsibility for providing ATC shall be tem, which ensures necessary military influ- nated to the military staff. ATM would distributed during various alert or war ence and division of responsibilities between continue uninterruptedly in the same situations. It is of importance that a trans- the authorities, should be established via manner as before the transfer and there fer point is defined and stated in a law agreements at different levels. would be no necessity to replace either similar to other laws entering into force the employees or equipment. The ATC’s under such circumstances. The responsi- Responsibility transfer system function at military airbases would con- bilities should be regulated via legislation In order to achieve the above-men- tinue providing services to both the mili- and agreements through the high-level tioned objective, a system, in which the tary and civil customers under control of civil/military national airspace policy responsibility during crisis and war is the Lithuanian Armed Forces, while con- body. By doing so, the transfer is auto- transferred to the Lithuanian Armed currently the ATC units not located at

56 the military airbases would continue pro- Ministry of Transport for distribution • Establishment of an organisation, or viding services to all aviation under sub- of costs for investments in training, nec- assigning of a part of an already existing ordination of the Lithuanian Armed essary infrastructure and procurement of organisation within the Lithuanian Forces as well. equipment according to the special de- Armed Forces, to hold responsibility of Since the system of transferring respon- mands set by the Lithuanian Armed preparing for the wartime ATM duties. sibility is usually prepared in advance and Forces. Those agreements will be based on interacts with similar laws for war situa- the principle that the Ministry of National Demands of the Lithuanian tions, the transfer would be automatic and Defence accepts to share or compensate Armed Forces on air traffic not affecting the services provided to ei- costs for the special services, equipment, management ther military or civil aviation. buildings and facilities necessary for the military purposes. An integrated ATM system is designed Areas for agreements and contracts • Establishment of a system where the to give civil and military aviation an in- With the system of transferring respon- air traffic controllers at military facilities tegrated access to controlled airspace dur- sibility the ATM elements, such as equip- can fulfil specific military duties. If the ing raised alert and war. At the same time, ment and facilities, and service provid- air traffic controllers are to be transferred it ensures tactical freedom for defence ing employees would become a part of to serve in the Lithuanian Armed Forces, aviation flights during exercises, for inci- the Lithuanian Armed Forces after the probably a reservists system should be dent readiness flights and in wartime. transfer and would be subordinated to established for that purpose. Additional Different parts of the aviation sector in- the Lithuanian Air Force. In this case there costs for exercise and training of the re- teract with each other in accordance with are a number of areas, which need to be servists should be part of the financial the same principles in peacetime as well as regulated through different agreements agreements between the Ministry of Na- during raised alert and war. To ensure an and contracts between the above-men- tional Defence and the Ministry of Trans- uninterrupted and well-functioning ATM tioned parties. port. system during raised alert, when the CAA • Establishment of working procedures is maintaining responsibility, as well as Examples of such areas are: between different relevant organisations during war, when responsibility is trans- • Financial agreements between the to ensure an uninterrupted transition ferred to the Lithuanian Armed Forces, a Ministry of National Defence and the from peacetime to a war situation. Regulation on ATM for war should be

57 established. This regulation should cover has to be immediately transferred to the tally different nature where special skills a number of different areas during the Lithuanian Armed Forces, and the ATM of the ATM personnel are useful to the two different phases and include items such personnel shall act in accordance with what defence. The purpose is to ensure required as readiness, airspace organization and has been planned in advance. quality, flexibility and continuity of com- classification, and ATM organization. The airspace organisation has to en- mand and control at fighter control units, It is important that the Lithuanian Air sure the priority to and safety of combat airbases, headquarters, Area Control Cen- Force should have an incident readiness flights. In wartime, a priority to combat tre (ACC) and Combined Air Operations at all times. Moreover, the ATM person- flights is an imperative, however it can Centre (CAOC). Another important task nel at airbases have to be a part of this also be given to important civil transpor- is a co-ordination with air defence units readiness as well. If the Government raises tation flights on defence missions. Air- to ensure their ability to perform their alert for whatever the reason, the ATM space classification definitions in accord- duties and prevent accidental fire at personnel shall remain employees of the ance with the AIP are valid through all friendly aircraft. Those tasks require an CAA until the transferring point. Dur- phases of raised alert and war, therefore ATM organisation that is properly ing this phase, orders concerning ATM any changes of airspace classification have equipped and trained. At wartime all should be passed from the Lithuanian to be planned by the Airspace Manage- flights shall have the best possible service Armed Forces to them for execution. Af- ment Cell, in close co-operation between as long as possible. Therefore peacetime ter the transferring point the ATM per- the Lithuanian Armed Forces and the investments have to be adapted whenever sonnel will become employees of the CAA. The planning and implementation possible to wartime demands as well as Lithuanian Armed Forces or conscripts. of changes to airspace classification has planning and development have to secure The important consideration here is that to be done taking into account the Land the ability to adapt to war. Moreover, the CAA has to be ready to take back the Force and Navy air defence assets as well. recruitment and training of personnel responsibility when alert level is decreased The ATM organisation has to be able have to meet the necessary military re- or war is terminated. If the State authori- to provide professional services adapted quirements and, in order to have an effi- ties have not declared a state of war, but to the requirements of the Lithuanian cient military organisation, the ATM per- there is war de facto, it should be consid- Armed Forces for civil and military avia- sonnel shall be prepared to fulfil not only ered as an automatic state of war. In such tion as well as a number of special tasks. their professional duties but also other, a situation, the responsibility for ATM Those tasks mean duties of partly or to- defence related ones, as well.

58 neutral air. ASC provides a commander for ASC in the area. The ACA is to plan, Wartime airspace management with the operational flexibility to effec- coordinate and organise the Airspace considerations tively employ forces ”8 . Control System (ACS) and to be respon- The keystone document for ASC is sible for its operation in order to sup- Modern warfare is characterised by the NATO ATP-40(B) “Doctrine for Airspace port the higher commander’s campaign fact that all military forces become air- Control in Times of Crisis and War”. The objectives. All other commanders are to space users either to a full or certain ex- doctrine is designed for all NATO forces integrate all their weapon systems within tent. This leads to high level of complex- as well as PfP nation’s forces. Therefore, the Airspace Control Plan (ACP), which ity of ASM not only in peacetime but the suggested Lithuanian regulation on has to be approved by ACA. also especially in times of crisis and war. wartime ATM, which was discussed in the The examples of combat operations when previous chapter, should be designed in Planning of the airspace control aircraft are engaged by their own air de- accordance with the requirements of this system fences or inadvertently damaged by doctrine. The following is not a detailed In order to reach the effective ASC friendly fire prove this fact. In order to description of the doctrine, but a sum- during the military operations the re- minimise the risks of losing air assets being mary of the main principles and areas quirements of all commanders should be engaged by friendly fire on the one hand covered by the document. considered during the ASC planning and to maximise their freedom of action process. Therefore, “each commander who in combat on the other hand, special Airspace control authority operates aerial vehicles, weapons systems measures have to be taken. These measures The doctrine provides a command or electronic means to perform his as- are known as Airspace Control (ASC). structure for all kind of military opera- signed mission within the ASC-Area, must “The objective of ASC is to maximise the tions, chain of command as well as clear participate in planning the use of that effectiveness of military operations by pro- responsibilities of each commander. The airspace ”9 . Furthermore, the require- moting the ability of air, land, and mari- most important principle for command ments for civilian aircraft flights and any time forces to operate in efficient, inte- and control is that one commander - Air- other host nation military and civil avia- grated and flexible manner with minimum space Control Authority (ACA) should tion impacts must be taken into account. mutual interference and without undue be designated for each area of operations The results of the ASC planning must be restraint and risk to friendly forces and and should assume overall responsibility implemented into ACP. The ACP will list

59 the responsibilities of the authorities, rules where necessary, identify additional of engagement (ROE), instructions and means as well. Conclusion any specified procedures for ASC, and As mentioned before, in order to max- will detail the boundaries of the ASC-Area imise operational effectiveness, friendly As it is mentioned in this chapter there and any sub-areas. Finally, the ACA will air assets must be able to operate with a are some indicators that the present Lithua- implement the ACP by issuing the Air- minimum risk of engagement by own nian ASM system has to be modernised space Control Orders (ACO), which by air defences. Furthermore, those air de- and developed in order to achieve more their character may be standing or based fences must be able to identify friendly efficient use of airspace by both civilian on the threat, operations tempo or other air assets in order to engage the hostile and military users. The most adequate planning factors. ones. To achieve these aims, the opera- solution is to develop an integrated civil/ tional commander must ensure that an military ASM system. This system shall, Structure and methods of the airspace appropriate system of ASC exists. Two wherever relevant, be based on the control main methods are used for exercising EATCHIP “Concept of the Flexible Use All airspace users and their control- ASC – positive ASC and procedural ASC. of Airspace”. ling elements should possess interoperable The positive method relies on positive In accordance with the FUA Concept, communications, information systems identification and control of an aircraft entire airspace is considered to be one and equipment to fulfil their duties in by electronic means, while procedural continuum and is designated as both the ACS. The whole of airspace control relies on a combination of previously military and civil airspace. This approach facilities, communications and automa- agreed orders and procedures. Opera- is advantageous for both types of users, tion capabilities, surveillance and iden- tional situations, however, in general because the airspace is used flexibly on a tification resources, and procedures is could demand a mixture of those two day-by-day basis with necessary airspace known as Airspace Control Means methods. It is of importance that, when segregation being of temporary nature (ACM). The ACA is responsible to se- the control of an aircraft is transferred only. Establishment of the TSAs, which lect, in coordination with subordinate between two control authorities in com- should replace or modify, wherever pos- commanders, those ACM, which are bat, the responsibility assuming author- sible, the D, P and R areas currently used most suitable for the ASC-Area and ac- ity must positively identify the aircraft in Lithuania, would bring the ASM sys- complishment of the mission. He may, as friendly. tem more closely into line with the mili-

60 tary operational requirements. Therefore eas, areas of personnel training, establish- as military defence of the airspace have to a high-level national airspace policy body ment of facilities, procurement of systems be developed to fulfil this mission. The with representatives from the civil and and equipment, establishment of common Air Surveillance is purely a military func- military airspace authorities needs to be regulations and procedures. Therefore, a tion and, as such, is not part of ATM. established. Furthermore, a National Air- regulation on wartime ATM, which shall This function normally does not imply space Management Cell needs to be set up cover readiness, airspace and ATM organi- controlling air traffic but rather deals with to serve all users in the daily allocation of zation and other military demands, has identification and tracking of aircraft the airspace structures. to be produced. within the Area of Operations (AOO). The main principle of an integrated In wartime, Lithuania must combine The air surveillance in crisis or wartime ASM system is that the provider’s respon- defence resources and means from vari- is a mission for detection and identifica- sibility is given to one authority. This ous levels - national, regional, and multi- tion of the aircraft, particularly the Iden- has to be regulated through the high-level national. That requires a close co-opera- tification of Friend or Foe (IFF). civil/military national airspace policy tion between all the participants. Thus the The following chapter provides a gen- body at different levels of raised alert and Lithuanian ASM system in times of crisis eral description of the requirements for in war situations. Because responsible and war has to be developed in accord- the identification systems, which are used authorities are different in peacetime and ance with the NATO requirements for by the ICAO and NATO countries, as well wartime, it is of importance to establish a ASC, which are prescribed in NATO ATP- as interrelations between them. The system of transferring the responsibility 40 (B) “Doctrine for Airspace Control in proper development of the identification of ATM, which guarantees the uninter- Times of Crisis and War”. capabilities of air defence assets and air rupted provision of services during cri- surveillance systems is a crucial issue in sis and war. A transfer point has to be III. Air surveillance terms of risk to friendly forces and neu- clearly defined by the Government and tral aircraft being engaged by own air stated in a law coming into force under One of the top priorities for the defences or damaged by friendly fire. such a situation. The successful transfer Lithuanian Air Force is exercising con- Furthermore, this chapter provides a requires close co-operation between civil trol over Lithuanian airspace. Efficient air description of capabilities of the current and military authorities through agree- surveillance above all territory, territorial Lithuanian Air Surveillance System and ments and contracts in legal, financial ar- waters and at all altitudes of flights as well introduces a so far quite well developed

61 and still ongoing co-operation between trol Radar Beacon System (ATCRBS). The tion to NATO Air Defence authorities all three Baltic countries in regional air- Mode S ground sensors periodically trans- that will aid compilation of the Recog- space surveillance – the BALTNET10 . The mit ATCRBS Mode A identity and Mode nised Air Picture (RAP); to be able to areas for improvement of the Air Sur- C altitude interrogations and, vice versa, assume management and control of the veillance System and the BALTNET are the Mode S transponders will respond to civil ATM system in times of crisis. discussed in this chapter as well. interrogations from the ATCRBS ground NATO Mode S requirements are de- sensors. Mode C is a common civil/mili- fined by STANAG11 4193 “Technical The ICAO and NATO tary mode that allows an aircraft to re- Characteristics of IFF Mk XA and Mk XII requirements for identification port its altimeter-reported altitude. Interrogators and Transponders” Part IV In previous years NATO saw no mili- – Technical Characteristics of Mode S in ICAO Mode S tary requirement for Mode S procurement Military Interrogators and Transponders. The latest development and the ICAO as a military IFF system. This view was NATO recommendations can be summa- requirement for identification systems is taken, because Mode S is a civil ATS sys- rised as follows: a Mode S capability. Mode S is a beacon tem that would not meet the military • Tactical fixed and rotary wing aircraft system used for aircraft surveillance in operational requirement for a question that do not make regular use of controlled terminal areas as well as for en-route traf- and answer component of the NATO Iden- airspace are to be fitted to Mode S level 2 fic. It has several features that represent tification System. Specifically, Mode S is (Basic Surveillance functionality). significant capability improvements (e.g. neither secure nor jam-resistant. • Fixed and rotary wing aircraft that azimuth accuracy, separation of responses Nevertheless, NATO recognises that are regular users of the civil route struc- from two very close aircraft) over the military aircraft and authorities will have ture are to be fitted to meet the require- current system. As it is a beacon system, to make use of Mode S for the following ments of ICAO Europe; these have yet to there is a ground sensor transmitting in- reasons: to enable the military to access/ be finalized. terrogations to a special transponder, car- penetrate the civilian route structure or • Aircraft addresses should be easily ried on an aircraft. The transponders for- terminal control areas; to facilitate the safe changeable by ground crews prior to mulate replies that are transmitted to the coordination of military/civilian air traf- flight. ground sensor. The Mode S system is com- fic; to facilitate the use of civil airfields • Mode S transponders must be at least patible with the current Air Traffic Con- by military aircraft; to provide informa- on-off selectable from the cockpit or ap-

62 propriate aircrew station while in flight. is used in support of both military and progresses along its journey, this infor- Where technically feasible, aircrew should civil ATC. Mode 4 is a crypto-secure mode mation will allow the ATC centres to fol- be able to control the Level of Mode S of Mk XII IFF that is used to provide a low its flight trough the FIR for which being transmitted from their aircraft to high confidence, beyond visual range, they are responsible and to hand it over Level 2 Basic Surveillance functionality. identification of friendly aircraft to avoid to its neighbouring FIR. misidentification. IFF systems may also NATO is developing a new IFF system, NATO IFF support Mode C operations. known as IFF Mode 5. All Mode 4 avionics NATO requires the use of compatible Mode 4 transponders can provide a will be updated when IFF Mode 5 is fielded. IFF systems in support of ATC and NATO valid reply only if they and the interro- STANAG 4193 Mk XIIA Parts V and VI Integrated Air Defence (NATINADS) gator are properly keyed. Interrogator define Mode 5 and the document has been operations. All aircraft participating in systems interface with a KIR-1C released for ratification so far. NATO operations and/or flying in cryptographic computer. Transponder NATO member airspace must be equipped systems interface with a KIT-1C Lithuanian air surveillance with NATO-compatible IFF equipment. cryptographic computer. To insure the system and the BALTNET National air defence elements of security of the encryption, the variables NATINADS and military ATC systems (keys) that are used in the encryption and Lithuanian air surveillance system must be equipped with appropriate IFF decryption processes are changed daily. Together with the development of the interrogator sets to interact with the air- For ATC purposes, the non-secure air- airborne part of identification capabili- borne elements. craft identification codes (modes 1, 2 and/ ties, the ground-based part of the system NATO requires IFF systems to support or 3) should be included in the flight has to be taken into account as well. The operations in modes 1, 2, 3 and 4. Tech- plan information (route, height, speed, first step of such development is to reach nical characteristics of these modes are time of arrival, etc.) provided to military the proper and efficient coverage of area defined in STANAG 4193, Part I – Gen- and/or civilian ATC centres located across by air surveillance sensors (radars). Cur- eral Description of the System. Modes 1 flight information region (FIR) bounda- rently, the military radars used are the and 2 provide a non-encrypted, military- ries. All ATC centres that will have respon- radar types P-18, P-37, P-40, “Jawor” and only identification of aircraft. Mode 3 sibility for the flight need to know the “Korenj” as well as altimeters PRV-11 and corresponds to the civilian Mode A and relevant identity code. As the aircraft PRV-16. These radars are deployed

63 throughout the country. The P-18 and P- BALTNET it should be connected to the NATINADS 37 medium range radars are used for The BALTNET project was conceived as well as other early warning systems. The medium and high altitude air surveillance. from the U.S. sponsored Regional Air- USA, Denmark, Norway and Poland have The P-18 radars have an extractor fitted space Initiative (RAI) to the Central Eu- been actively supporting the project. that digitises the signal, while the P-37 ropean countries. Officially, the RASCC radars have major system upgrades was inaugurated on June 1, 2000. Since Conclusion planned. As a result their digitised signals then, it has been serving the airspace sur- can be used within the BALTNET. veillance for 24 hours per day. The In order to reach control over Lithua- Against low (300 m above the ground BALTNET objective is to produce a Rec- nian airspace, an efficient air surveillance level, AGL) flying aircraft the military ognized Air Picture (RAP) over the Bal- and defence systems have to be developed. radar sites in Lithuania provide good tic states and their approaches and to com- ICAO and NATO requirements clearly coverage over the western half of the coun- municate it to the national air surveil- outline the common civil/military inter- try, but limited coverage in the east. lance centres in , and Lithua- est in this area. NATO requires the use Lithuania has 3 primary civilian radars nia, and, if needed, also to other states as of compatible IFF systems in support of that are integrated with the military radars. may be agreed. It will allow the ATC and NATINADS operations. All air- At higher altitudes the radars provide to survey effectively and co-ordinate their craft participating in NATO-led opera- continuous radar coverage over the en- sovereign air space and to ensure safety tions must be equipped with NATO-com- tire country, but have limited radar cov- of the air traffic. patible IFF equipment while air defence erage beyond the south-eastern border. The BALTNET system consists of na- elements and military ATC systems must Information from the radars flows into tional air surveillance centres in Estonia, be equipped with appropriate IFF inter- the Airspace Control Centre (ACC) of Latvia and Lithuania, an internationally rogators to interact with the airborne el- the Lithuanian Airspace Surveillance and staffed RASCC (the core of the system) ements. The goal of taking such measures Control Command (ASCC) and the Re- in Karmelava, near , Lithuania as is to minimise the risks to the air assets gional Air Surveillance Coordination well as communication lines and air sur- from friendly fire while at the same time Centre (RASCC) of the BALTNET veillance radars. maximising freedom of action. through a microwave communication and The BALTNET has been designed as a The current Lithuanian Air Surveillance information network in real time. NATO-interoperable system. In the future and Control System provides a complete

64 coverage over Lithuania against aircraft duce the effectiveness of hostile air ac- The following chapter provides a de- flying at high altitudes, however signifi- tion”12 . As it was already mentioned, all scription of active and passive AD meth- cant parts of eastern Lithuania are left military forces in modern warfare become ods as well as NATO requirements for the without coverage against aircraft at low- airspace users either to a full or certain AD planning, employment of the AD as- level altitude. Therefore further develop- extent, which leads to high level of com- sets, co-ordination and control of the AD ment of the system is required. An effi- plexity of above-mentioned measures. missions in times of crisis and war. This cient system might be reached through Development and implementation of chapter also covers several issues, which modernisation of existing assets, procure- more sophisticated AD weapons is aimed should be taken into consideration by the ment of new ones, as well as through en- at increasing defence effectiveness on the Lithuanian Armed Forces’ authorities, in hanced cooperation with the civil ATM one hand, but, on the other hand, has order to develop the appropriate regula- and the Navy by using their air surveil- raised the risk to neutral or friendly forces tions for integrating current and planned lance assets as well. being engaged by their own air defences. air, naval and land AD assets. Regional cooperation between the three Furthermore, air assets, both fixed and Air defence methods Baltic states in order to improve air sur- rotary wing, manned and unmanned, are veillance capability is extremely important not only at risk from the AD weapons There are two main methods of air to Lithuania. The BALTNET is a tool for aimed at them, but also from inadvertent defence: active AD and passive AD. Ac- developing regional security and national contact with rounds from surface-to-sur- defence capability. The project is an ex- tive AD operations are conducted to de- face weapons. Therefore, these systems ample of a successful implementation of tect, identify, intercept and destroy hos- should be regarded as additional users of foreign military assistance and co-opera- tile airborne vehicles, which threaten airspace and should also be considered tion between the Baltic states, between the friendly forces or installations. Passive AD during airspace planning. It is essential that civil and military ASM, and between the includes all measures, other than active all users of the airspace are aware of these Baltic states and NATO. AD, taken to minimise the effectiveness problems. As for the Lithuanian Armed of hostile air action. IV. Air , which are at the very beginning of the development of its AD capability, it is Active air defence Air defence (AD) is defined by NATO of importance to consider proper design Active AD is direct defensive action as “all measures designed to nullify or re- and management of the AD system. taken to nullify or reduce the effective-

65 ness of hostile air action. It is conducted tion, mobility of forces, emission con- eral summary of NATO requirements for using aircraft, AD weapons and missile trol, monitoring for nuclear, biological, the AD operational considerations. systems, electronic warfare, ground-based chemical (NBC) contamination and de- or airborne surveillance systems, sup- contamination. All above-mentioned and Air defence planning ported by secure and highly responsive any other possible measures are taken to Although the AD planning process is communications. In peacetime, active AD provide the maximum protection for conducted in accordance with standard involves continuous surveillance of coun- friendly assets and to complicate the en- planning procedures at all levels of com- try’s airspace and its approaches, lines of emy’s targeting process. mand, there are several specific areas to sea communications and hostile forces in be taken into consideration. On the basis order to provide early warning of attack Air defence planning, of air threat analysis, the adversary’s of- and to deny enemy’s freedom to conduct co-ordination and control fensive capabilities as well as own resources reconnaissance and harassment missions and the geographical characteristics of the over the sovereign territory. In wartime, It is of importance for all command- area, a commander should decide the active AD operations are conducted, to- ers of all forces to understand the com- structure and the type (area, point or self- gether with offensive counter air opera- plexity of the AD operations. “Air de- defence) of AD. Here an early warning tions, to achieve air superiority. fence is conducted through the whole capability plays a vital role, because it depth of airspace, within which other defines reaction time available for own Passive air defence types of aircraft operate and missiles and forces. The enemy should be detected as During the war it is seldom possible guns are fired”13 . Thus, in order to max- early as possible and engaged as far for- to stop hostile air actions completely, but imise efficiency and safety, the various AD ward as possible. Therefore characteristics passive defence measures taken by all mili- weapon systems must not only be inte- of the own AD weapons have to be taken tary forces will lessen the impact of such grated with each other, but must also be into account. Hostile air targets may be actions. These measures include dispersal, fully co-ordinated with all other airspace engaged by aircraft or surface-to-air weap- the use of protective constructions for users. The main principles and procedures ons (missiles or guns). personnel and material, Airfield Damage are prescribed at NATO ATP-40(B) “Doc- Aircraft, because of their flexibility and Repair (ADR) capability, tone-down and trine for Airspace Control in Times of high mobility, can be used to protect very camouflage, physical and electronic decep- Crisis and War”. The following is a gen- large areas or they can be concentrated

66 rapidly for point defence if required. On alert is “that status in which aircraft on way of using them is point air defence. the other hand, aircraft may have limited the ground/deck are fully serviced and In wartime, in order to exploit the capa- employment since they cannot be re- armed, with combat crews in readiness to bilities of ground-based air defence sys- armed, re-crewed or serviced in the air, take off within a specified short period tems to the maximum possible extent, the except of an air-to-air refuelling (AAR) of time (usually 15 minutes) after receipt decisions about their employment and possibility. However, “no single weapons of a mission order”15 . CAP is “an aircraft command and control should normally system can fulfil effectively all the require- patrol provided over an objective area, be delegated to the levels as close as possi- ments of air defence. Therefore, to meet over the force protected, over the critical ble to the commanders of fire units. the full range of the enemy air threat a area of a combat zone, or over an air de- balance of weapon types must be de- fence area, for the purpose of intercept- Control and co-ordination ployed”14 . ing and destroying hostile aircraft before In order to ensure the optimum use Consequently, the commander makes they reach their target”16 . CAP may be of resources available against the air threat, a decision on AD and integrates it into the best way of using fighters when there all the various elements of the weapons the Airspace Control Plan (ACP), which is no early warning. and detection systems should be integrated has to be approved by a higher authority Another task for interceptors can be into a co-ordinated entity by a proper – the Airspace Control Authority (ACA) an air escort for offensive air missions, control and co-ordination system. Usu- in the airspace control area. air reconnaissance, evacuation, and com- ally, the Joint Force Commander (JFC) bat search and rescue (CSAR). designates one commander - the Air De- Air defence assets employment Surface-to-air defences consist of sur- fence Commander (ADC) - responsible It is obvious, that different AD assets face-to-air missiles (SAM) and anti-aircraft for integrating all available assets. If the can be employed in different ways. Nor- artillery (AAA) and may be used for the area for defence is large, a number of de- mally, an air defence weapon system will AD missions as the assets at a very high fence sectors can be established. In this consist of two components: fighter air- state of readiness with a quick response case a Sector Commander may be desig- craft and surface-to-air defences. AD fight- capability to the whole spectrum of the nated for each sector. He is responsible ers basically can be employed from ground air threat. However, in comparison with for sector AD and reports to the ADC. or deck alert as well as for the Combat , they have limited range Where applicable, co-ordination with the Air Patrol (CAP) missions. Ground/deck and often low mobility, therefore the best NATINADS and the Regional Air Defence

67 Commander (RADC) may be required as systems may only be fired in self defence defence of strategically important object well. or in response to a formal order; “Weap- by using AAA guns. The Lithuanian Navy All levels of commanders should be ons Tight” – weapon systems may be fired has ships with the AD capability (SAM provided with suitable command and only at targets recognised as hostile; and and AAA) as well. control systems to enable them to exer- “Weapons Free” – weapon systems may be Certainly, all the necessary regulations cise the AD. Normally the composition fired at any target not positively recog- for airspace management, Rules of Engage- of the system includes control agencies nised as friendly. It is of importance to ment (ROE), command and control rela- and components with appropriate staff. exercise WCS between every air, land and tions regarding these missions are made It will include a communications and in- maritime user of airspace. and approved by respective authorities. formation processing equipment as well However, so far there is no common as situation display facilities. If it is re- Air defence development policy or doctrine covering the princi- quired functionally, it may also include considerations for Lithuania ples, requirements and regulations for the active and passive sensors for identifica- AD missions when several forces are in- tion, air surveillance and weapons con- Although in accordance with the tar- volved. That becomes a vital issue in times trol. The number and size of the systems get force structure17 the Lithuanian of crisis or war as soon as, on the one may be different for different areas and Armed Forces possess a quite well devel- hand, several services employ the AD as- depends on the nature of the task and oped AD capability, it is necessary here sets and, on the other hand, the interna- number of force components involved in to discuss several practical issues, which tional forces are involved. the AD. the Lithuanian Armed Forces are facing Development of the AD capability of In times of crisis or war, in order to in reality at present time. the Reaction Brigade of the Lithuanian provide control of the weapon systems, The air surveillance and identification Land Forces, which is a top priority at the Weapons Control Order (WCO) has requirements and functions were already present time, definitely requires an estab- to be issued. The WCO promulgates the discussed in the previous chapter. Moreo- lishment of appropriate regulations for Weapons Control Status (WCS). The fol- ver, the Lithuanian Air Force currently employment of the procured AD assets. lowing WCS’ are used to communicate is carrying two missions related to AD – Therefore, the regulations on wartime the criteria an AD unit must use to en- a limited air policing function using light ATM should cover all demands on inte- gage a target: “Weapons Hold” – weapon and a function of point grating the air, naval and land AD assets,

68 air surveillance as well as command and Complexity of the AD operations re- crisis and war and to recommend further control systems into a co-ordinated entity. quires efficient allocation of the AD development of the system. Therefore, the weapon systems, which normally consist number of relevant factors such as legisla- Conclusion of two complementary components - tion and responsibility of authorities for fighter aircraft and surface-to-air defences. airspace management, potential threats for Air defence consists of important meas- The designated ADC is responsible for Lithuania’s sovereignty, air surveillance ures taken by all forces to certain extent, prioritising and integrating all of the as- and air defence were analysed. The fol- in order to protect themselves or others sets available for a particular AD opera- lowing is a summary and final conclusion against any kind of an air threat. The aim tion as well as co-ordinating them within of this analysis as well as recommendations of developing more efficient AD weapon the ACP. for development of ASM system for systems is to increase the effectiveness of Since the Lithuanian Armed Forces have Lithuania in times of crisis and war. this protection. Such development, how- moved rapidly to develop their AD capa- ever, has raised the risk for own air assets bility, it is of great importance that all units Summary being engaged by friendly air defences. involved in the AD operations are aware This ambivalent situation requires proper of the requirements and regulations for Analysis of the present Lithuanian ASM planning, employment, co-ordination and these operations. Therefore, the regulations system shows that there is a need to estab- control of the AD assets. on wartime ATM should be developed as lish a more efficient and flexible ASM NATO has issued publications, which well as respective education and training system in the country. The principal rec- define basic characteristics, principles, should be done prior to procuring any ommendations for a design of such a sys- requirements and procedures for the AD modern AD weapon systems. tem can be summarised as follows: operations conducted by NATO forces. • Establish an integrated civil/military Every commander who is involved in an V. Summary and ASM system with divided areas of respon- AD operation should be familiar with the Way Ahead sibilities according to the conceptual prin- requirements of these documents and to ciples of “Regulator, Provider and Super- follow them when integrating the AD as- The purpose of this article is to ana- visor”. One authority (the CAA of the sets of his unit into the Airspace Control lyse Lithuanian ASM system in order to Republic of Lithuania) shall fulfil the Plan (ACP) of a higher authority. determine its conformability for times of mission of providing ATM for all the

69 users in peacetime. Responsibility for a national Airspace Management Cell gration of new ones, and co-operation providing ATM during crisis or war, should be established. with the Navy and civil ATC. however, shall be transferred from the • Develop a regulation on ATM for • Develop the Identification Friend or CAA to the Lithuanian Armed Forces (Air war, which would cover legal aspects of Foe (IFF) capability of both ground sen- Force) at a specific time point defined by the airspace organisation, ASM, readiness, sors and flying assets in order to fulfil an the Government. air surveillance and defence, command and air surveillance mission in times of crisis • The organisation and use of airspace control, co-ordination between the de- and war. The IFF system should be com- shall, wherever relevant, be based on the fence forces’ components, and co-opera- patible with the ICAO standards and European Air Traffic Control Harmoni- tion with international forces. interoperable with NATO to be able to sation and Integration Programme • The Airspace Control (ASC) shall be interact with ATC and the NATINADS. (EATCHIP) “Concept of Flexible Use of based on NATO ATP-40 (B) “Doctrine • Improve regional security and na- Airspace” (FUA Concept), which has been for Airspace Control in Times of Crisis tional air defence capability through co- supported by the EUROCONTROL and and War”. Development of the Lithua- operation with the Baltic states and inter- NATO Committee for European Airspace nian Airspace Control Means (ACM) in nationally. The BALTNET should remain Co-ordination and implemented in Eu- accordance with above-mentioned docu- the chief tool for this development, and ropean countries. The implementation of ment is a keystone of success on the way it should be integrated into the the FUA Concept should start with the of developing NATO compatible and NATINADS and other early warning sys- establishment of a national high-level air- interoperable communications, informa- tems in the future. space policy body. This body should be tion systems and equipment for ASM in • Establish a common AD policy and tasked with the reassessment of national times of crisis and war, especially when relevant doctrines. These regulations airspace, the progressive establishment of defence of country’s sovereignty requires should meet the requirements for ASM, new flexible airspace structures and the involvement of international forces. AD planning, employment of the AD as- introduction of procedures for the allo- • Improve surveillance of Lithuanian sets, co-ordination and control of air de- cation of these airspace structures on a airspace, especially the low-level coverage. fence set by NATO air doctrines. All de- day-by-day basis. Furthermore, for the The Air Surveillance System shall continue fence forces’ components should integrate daily allocation of the airspace structures developing through modernisation of air their weapons and detection systems into and real-time civil/military co-ordination, surveillance assets, procurement and inte- a co-ordinated entity. Therefore, a proper

70 command and control system should be The main players in the implementa- In order to start and effectively run developed. tion process, however, are the governmen- the implementation process, the first im- tal agencies, particularly the Ministry of mediate step should be an assignment of Recommendations for National Defence and the Ministry of personnel from the concerned state au- implementation Transport, and the appropriate Depart- thorities for the establishment of a na- ments of under these authorities. Their tional high-level airspace policy body. This The suggested Lithuanian ASM system responsibility should be the development organisation should investigate what de- development covers quite wide areas of of requirements and implementation cisions to take in the main areas of the influence and responsibility of different plans, agreements between different au- implementation process as well as what authorities within the Lithuanian Armed thorities, and internal regulations and resources to allocate. The following is a Forces and outside them domestically and instructions within the areas of their re- suggested summary of the areas for the even internationally. This fact makes the sponsibilities. Therefore, in order to short-term actions: system implementation relatively complex. achieve the above-mentioned objectives, • Reassessment of national airspace and Therefore, during the implementation the suitable committees and working the design of the Airspace Structure. process different levels of authority and groups, consisting of representatives of • Review of both military and civil means of their execution should be ap- the parties concerned as well as independ- aviation structures concerning ASM. plied. Certainly, all levels are coherent and ent experts, should be established. • Review of laws and regulations related shall interact with each other. Furthermore, NATO membership will to ASM and development of necessary The highest authority of the State, the have a huge, if not a decisive, impact on changes. of Lithuania, legislates internally the implementation process. As soon as • Development of international co-op- and ratifies international agreements if Lithuania becomes a member of NATO, eration plans in the ASM area. required. The Government sets regula- new tasks or responsibilities may emerge, • Assignment of responsibilities and tions following from laws, approves State consequently necessitating a review of areas to be developed by state authorities authorities, delegates power or responsi- priorities and development plans. On the and their departments. bility to States authorities, and approves other hand, the membership will certainly • Preparation of agreements between their decisions and agreements between simplify many areas for decisions, actions the state authorities. them. and developments to be implemented. • Development of an implementation plan.

71 Actions recommended in a long-term 12 Allied Administrative Publication APP-6 (V). perspective should cover identification of 1998. Glossary of Terms and Definitions Used in NATO Documents and Publications. NATO MAS. Page 2-A-5. long-term political decisions, areas related 13 Allied Tactical Publication ATP-33 (B). 1986. to international co-operation, and long NATO Tactical Air Doctrine. NATO MAS. Page 4- term plans and financial agreements be- 10. tween the governmental agencies on mod- 14 Ibid. Page 4-7. 15 Allied Administrative Publication APP-6 (V). ernisation and procurement of efficient 1998. Glossary of Terms and Definitions Used in NATO airspace control means. Documents and Publications. NATO MAS. Page 2-G-2. 16 Allied Administrative Publication APP-6 (V). 1 ICAO – International Civil Aviation Organi- 1998. Glossary of Terms and Definitions Used in NATO sation Documents and Publications. NATO MAS. Page 2-C-6. 17 2 Law on Aviation of Lithuania, No VII-2066, Target force structure of the Lithuanian Armed 17 Oct, 2000 Forces is not presented in this article. 3 “Airspace user group” is used to denote ALL users of airspace, including military air, sea and ground forces, airlines, civil aviation organisa- tions and sport aviation. EUROCONTROL – European Organization for the Safety of Air Navigation 5 EACHIP ASM Handbook. 1996. EURO-CON- TROL. Page 2-1 6 EACHIP ASM Handbook. 1996. EUROCONTROL. Page 2-3 7 Aeronautical Information Publication. Repub- lic of Lithuania. General Rules. ENR 1.1. 8 ATP-40(B). 1998. Doctrine for Airspace Control in Times of Crisis and War. NATO MAS. Page1-1. 9 Ibid. Page 3-1. 10 BALTNET - Baltic Air Surveillance Network. 11 STANAG – NATO Standardization Agree- ment

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