Department of Defense
INSTRUCTION
NUMBER 5030.36
April 24, 2014
Incorporating Change 2, August 31, 2018
USD(A&S)
SUBJECT: Emergency Security Control of Air Traffic (ESCAT)
References: See Enclosure 1
1. PURPOSE. In accordance with the authority in DoD Directives 5134.01 and 5030.19
(References (a) and (b)), this instruction reissues DoD Instruction 5030.36 (Reference (c)) to
update established policy, assigned responsibilities, and prescribed procedures and provide
guidance for the security control of civil and military air traffic in all U.S. territorial airspace and
other airspace over which the Federal Aviation Administration (FAA) has air traffic control
jurisdiction by international agreement when various emergency conditions exist.
2. APPLICABILITY. This instruction applies to OSD, the Military Departments, the Office of
the Chairman of the Joint Chiefs of Staff and the Joint Staff, the Combatant Commands, the
Office of the Inspector General of the Department of Defense, the Defense Agencies, the DoD
Field Activities, and all other organizational entities within the DoD (referred to collectively in
this instruction as the “DoD Components”).
3. POLICY. It is DoD policy that:
a. DoD programs and initiatives are aligned to provide defense and aviation security. As a
result of fulfilling its mission sets, DoD makes extensive use of the U.S. National Airspace
System (NAS) in support of National Security Presidential Directive-47/Homeland Security
Presidential Directive-16 (Reference (d)), the National Strategy for Aviation Security
(Reference (e)), and Executive Order 12656 (Reference (f)).
b. Policies and procedures for the ESCAT will be in compliance with part 245 of Title 32,
Code of Federal Regulations (Reference (g)).
c. Due to the significant impact ESCAT procedures have on NAS users and civil industry,
ESCAT will not be implemented unless the urgency and breadth of control of airspace necessary
make normal airspace control measures (ACM) coordination protocols ineffective.
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d. ESCAT will not be considered for Defense Support of Civil Authorities events such as
hurricanes, earthquakes, or other disasters unless conducted in association with a hostile act.
4. RESPONSIBILITIES. See Enclosure 2.
5. PROCEDURES. See Enclosure 3.
6. RELEASABILITY. Cleared for public release. This instruction is available on the
Directives Division Website at http://www.esd.whs.mil/DD/.
7. SUMMARY OF CHANGE 2. This change reassigns the office of primary responsibility for
this instruction to the Under Secretary of Defense for Acquisition and Sustainment in accordance
with the July 13, 2018 Deputy Secretary of Defense Memorandum (Reference (h)).
8. EFFECTIVE DATE. This instruction is effective April 24, 2014
Alan F. Estevez
Acting Under Secretary of Defense for
Acquisition, Technology, and Logistics
Enclosures
1. References
2. Responsibilities
3. Procedures
4. EATPL
5. ESCAT Test Procedures
Glossary
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TABLE OF CONTENTS
ENCLOSURE 1: REFERENCES ...................................................................................................5
ENCLOSURE 2: RESPONSIBILITIES .........................................................................................6
ASSISTANT SECRETARY OF DEFENSE FOR ACQUISITION (ASD(A)) ........................6
UNDER SECRETARY OF DEFENSE FOR POLICY (USD(P)) ............................................6
ASSISTANT SECRETARY OF DEFENSE FOR HOMELAND DEFENSE AND GLOBAL
SECURITY (ASD(HD&GS)) ..............................................................................................6
DoD COMPONENT HEADS....................................................................................................6
COMMANDER, NORAD (CDRNORAD), AND COMMANDER, USPACOM
(CDRUSPACOM) ...............................................................................................................6
CDRNORAD .............................................................................................................................7
ENCLOSURE 3: PROCEDURES ..................................................................................................8
GENERAL .................................................................................................................................8
GEOGRAPHIC BOUNDARIES AND JURISDICTION .........................................................9
Continental United States (CONUS) ...................................................................................9
Alaska ..................................................................................................................................9
Sector AOR ..........................................................................................................................9
IMPLEMENTATION AUTHORITY .....................................................................................10
NORAD AOR ....................................................................................................................10
USPACOM AOR ...............................................................................................................10
SITUATIONS WARRANTING ESCAT ................................................................................11
IMPLEMENTATION PROTOCOLS .....................................................................................11
AUTHENTICATION ..............................................................................................................12
ESCAT TESTS ........................................................................................................................12
APPENDIX
DOT/FAA AND DHS/TSA ESCAT ACTIONS ...............................................................13
ENCLOSURE 4: EATPL .............................................................................................................14
SITUATION ............................................................................................................................14
INTENTION ............................................................................................................................14
POLICY FOR APPLICATION OF EATPL............................................................................14
Verifying the Mission ........................................................................................................14
Filing the Flight Plan .........................................................................................................14
Other Situations .................................................................................................................14
Exceptions to the EATPL ..................................................................................................14
PROCEDURES FOR MOVEMENT OF AIR TRAFFIC UNDER ESCAT ...........................15
Priorities 1 or 2...................................................................................................................15
Priorities Other Than 1 or 2 ...............................................................................................15
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Aircraft in Recovery ..........................................................................................................15
Flight Plans, Transponder, and Radio Requirements .........................................................16
EATPL PRIORITIES...............................................................................................................16
Priority 1 ............................................................................................................................16
Priority 2 ............................................................................................................................16
Priority 3 ............................................................................................................................17
Priority 4 ............................................................................................................................17
Priority 5 ............................................................................................................................17
Priority 6 ............................................................................................................................18
Priority 7 ............................................................................................................................18
Priority 8 ............................................................................................................................18
APPENDIX
FLIGHT OPERATIONS PROTOCOLS ...........................................................................19
ENCLOSURE 5: ESCAT TEST PROCEDURES ........................................................................21
PURPOSE ................................................................................................................................21
ESCAT TEST RESTRICTIONS .............................................................................................21
PROCEDURES........................................................................................................................21
AUTHENTICATION ..............................................................................................................22
GLOSSARY ..................................................................................................................................23
PART I: ABBREVIATIONS AND ACRONYMS ................................................................23
PART II: DEFINITIONS ........................................................................................................25
TABLES
1. NORAD/USPACOM and ARTCC Alignment ...................................................................10
2. NORAD and USPACOM Sector Contact Information ......................................................15
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ENCLOSURE 1
REFERENCES
(a) DoD Directive 5134.01, “Under Secretary of Defense for Acquisition, Technology, and
Logistics (USD(AT&L)),” December 9, 2005, as amended
(b) DoD Directive 5030.19, “DoD Responsibilities on Federal Aviation,” September 13, 2013
(c) DoD Instruction 5030.36, “Plan for the Security Control of Air Traffic and Air Navigation
Aids (Short Title: SCATANA),” April 24, 1980 (hereby cancelled)
(d) National Security Presidential Directive-47/Homeland Security Presidential Directive 16,
“Aviation Security Policy,” June 22, 2006
(e) Office of the White House, “National Strategy for Aviation Security,” March 26, 2007
(f) Executive Order 12656, “Assignment of Emergency Preparedness Responsibilities,”
November 18, 1988, as amended
(g) Part 245 of Title 32, Code of Federal Regulations
(h) Deputy Secretary of Defense Memorandum, “Establishment of the Office of the Under
Secretary of Defense for Research and Engineering and the Office of the Under Secretary
of Defense for Acquisition and Sustainment,” July 13, 2018
(i) Government of Canada, TP 1258E, “Emergency Security Control of Air Traffic (ESCAT)
Plan,” October 2009
(j) Office of the Chairman of the Joint Chiefs of Staff, “DoD Dictionary of Military and
Associated Terms,” current edition
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ENCLOSURE 2
RESPONSIBILITIES
1. ASSISTANT SECRETARY OF DEFENSE FOR ACQUISITION (ASD(A)). Under the
authority, direction, and control of the Under Secretary of Defense for Acquisition, Technology,
and Logistics, the ASD(A):
a. Provides policy recommendations and oversight of DoD interactions with the FAA on
NAS matters as identified in Reference (b).
d. Supports the guidance in References (d), (e), and (f) to align DoD aviation security
programs and initiatives in a comprehensive and cohesive national effort to provide active
layered aviation security and in-depth defense for the United States.
2. UNDER SECRETARY OF DEFENSE FOR POLICY (USD(P)). The USD(P) provides
oversight and guidance on policy matters as they pertain to this instruction.
3. ASSISTANT SECRETARY OF DEFENSE FOR HOMELAND GLOBAL SECURITY
(ASD(HD&GS)). Under the authority, direction, and control of the USD(P), the ASD(HD&GS):
a. Provides policy recommendations and oversight with respect to defense of the homeland,
including the air domain, and defense policy issues beyond the purview of the ASD(A).
b. Provides policy recommendations and oversight of DoD interaction with the FAA and
other federal partners related to the security and defense of the homeland in the air domain,
particularly, but not exclusively, as they pertain to:
(1) The implementation of References (d), (e), and (f).
(2) Homeland air defense operations conducted by the North American Aerospace
Defense Command (NORAD), U.S. Pacific Command (USPACOM), and other Combatant
Commands, as required.
4. DoD COMPONENT HEADS. The DoD Component heads ensure their personnel are trained
and follow provisions and procedures contained in this instruction and Reference (g).
5. COMMANDER, NORAD (CDRNORAD), AND COMMANDER, USPACOM
(CDRUSPACOM). In addition to the responsibilities in section 4 of this enclosure, the
CDRNORAD and CDRUSPACOM:
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a. Coordinate and implement ESCAT in their respective areas of responsibility (AOR) in
accordance with Reference (g).
b. Develop command-specific supplements to this instruction as needed.
c. Ensure ESCAT training and tests are conducted at all levels in their respective commands,
in accordance with Reference (g).
6. CDRNORAD. In addition to the responsibilities in sections 4 and 5 of this enclosure, the
CDRNORAD, acting for DoD, will process and distribute administrative and organizational
changes to the ESCAT plan as they occur, in accordance with Reference (g).
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ENCLOSURE 3
PROCEDURES
1. GENERAL
a. When ESCAT is implemented, a system of traffic priorities may be required to make
optimum use of airspace that is consistent with air defense requirements. ESCAT should not be
implemented when normal ACM coordination or implementation through the FAA may
successfully provide the needed airspace control.
b. In accordance with Reference (g), the Secretary of Defense (SecDef) is the primary
official with the authority to approve ESCAT implementation. Every effort will be made to
obtain SecDef approval prior to ESCAT declaration. The military authorities empowered to
direct ESCAT implementation (see section 3 of this enclosure) are authorized to initiate ESCAT
without SecDef approval only when the situation warrants an immediate response, and time and
circumstances do not allow SecDef approval. At times when ESCAT is implemented without
SecDef approval, the SecDef will be notified as soon as possible through the Chairman of the
Joint Chiefs of Staff.
c. Rules and procedures governing special use airspace (SUA) will remain in effect unless or
until notified otherwise by the appropriate military authority. The appropriate military authority
will address SUA use in any ESCAT activation message and notice to airmen (NOTAM).
d. Flight operations vital to national defense, as determined by appropriate military
commanders (see section 3 of this enclosure), will be given priority over all other military and
civil aircraft.
e. ESCAT may be implemented in phases to facilitate a smooth transition from normal air
traffic identification and control procedures to the more restrictive identification and control
procedures specific to the situation. Interference with normal air traffic should be minimized.
f. Once ESCAT is implemented, the appropriate military authority (see section 3 of this
enclosure) will consult regularly with the Department of Transportation (DOT) (through the
FAA administrator or designee) and the Department of Homeland Security (DHS) (through the
Transportation Security Administration (TSA) administrator or designee) as appropriate,
regarding any changes in the air traffic management, airspace, and security measures required.
See the appendix to this enclosure for DOT/FAA and DHS/TSA actions.
g. Depending on the situation, ESCAT may be implemented throughout the United States or
in smaller specified areas such as a State or a defined geographic area of U.S. territorial airspace.
The U.S. ESCAT Plan in Reference (g) and the Canadian ESCAT Plan (Reference (i)) are
synchronized to provide common North American procedures. Both plans can be implemented
individually or concurrently as warranted. Familiarization with Reference (i) is required before
flight operations in Canada.
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h. Specific ACM within the NORAD area of operations or USPACOM AOR will be defined
by CDRNORAD or CDRUSPACOM, respectively. ACM will be implemented through national
air traffic control (ATC) agencies’ NOTAMs. These procedures apply to all U.S. territorial
airspace, including U.S. sovereign airspace delegated to Canada and other nations or independent
states for ATC purposes.
2. GEOGRAPHIC BOUNDARIES AND JURISDICTION
a. Continental United States (CONUS)
(1) Headquarters (HQ) NORAD coordinates and approves ESCAT.
(2) The CONUS NORAD Region (CONR) applies ESCAT based on Air Route Traffic
Control Center (ARTCC) and national boundaries through the FAA Air Defense Liaison Officer
(ADLO) to the FAA Air Traffic Control System Command Center (ATCSCC).
(3) If CONR cannot contact ATCSCC or the HQ Domestic Event Network (DEN) is not
available, CONR may contact ARTCC directly.
b. Alaska
(1) HQ NORAD coordinates and approves ESCAT.
(2) The Alaskan NORAD Region (ANR) coordinates ESCAT ACM with the Alaskan
ARTCC. The FAA ADLO will serve as the point of contact between ANR and ATCSCC or HQ
DEN for ESCAT declaration and implementation.
(3) If ANR cannot reach the FAA ADLO, ANR may contact ARTCC directly.
c. Sector AOR. Sector AOR boundaries do not align with ARTCC boundaries in CONR, so
an ARTCC may lie within two or more sectors. Accordingly, for coordination purposes, FAA
ARTCC combined centers and radar approach controls (CERAPs) are aligned as shown in Table
1.
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Table 1. NORAD/USPACOM and ARTCC Alignment
REGION/SECTOR
ARTCCs
CONR Eastern Air Defense Sector
Atlanta, Boston, Chicago, Cleveland,
Houston, Indianapolis, Jacksonville,
Kansas City, Memphis, Miami,
Minneapolis, New York, Washington
CONR Western Air Defense Sector
Albuquerque, Chicago, Denver, Fort
Worth, Houston, Kansas City, Los
Angeles, Memphis, Minneapolis,
Oakland, Salt Lake City, Seattle
ANR 176 Air Control Squadron
Anchorage
USPACOM
Honolulu Control Facility, Guam
CERAP, Oakland, Anchorage
3. IMPLEMENTATION AUTHORITY
a. NORAD AOR. CDRNORAD is the appropriate military authority authorized to direct
ESCAT within the NORAD AOR.
(1) CDRNORAD may delegate ESCAT implementation authority to region commanders
when contact with higher authority is not possible, and the situation warrants an immediate
response.
(2) Region commanders may delegate military authority to sector commanders when
contact with higher authority is not possible and the situation warrants an immediate response.
Region commanders will stipulate sector commander delegations in their respective region
ESCAT supplements.
(3) Geographically, the appropriate military authorities are:
(a) Contiguous 48 U.S. States and Alaska – CDRNORAD or designees.
(b) Puerto Rico and U.S. Virgin Islands – CDRNORAD or designees.
b. USPACOM AOR. CDRUSPACOM is the appropriate military authority authorized to
direct ESCAT within the USPACOM AOR.
(1) The USPACOM AOR includes Hawaii, Guam, Wake Island, the Commonwealth of
Northern Mariana Islands, other U.S. Pacific territories, and Pacific oceanic airspace over which
the FAA has ATC jurisdiction by international agreement.
(2) CDRUSPACOM may delegate ESCAT implementation authority to a designated
area air defense commander when contact with higher authority is not possible and the situation
warrants an immediate response.
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4. SITUATIONS WARRANTING ESCAT. ESCAT may be implemented:
a. By CDRNORAD when an event results in the declaration of an air defense emergency
(ADE) by appropriate military authority or by CDRUSPACOM when a defense emergency (DE)
is declared by appropriate military authority.
(1) Notification and approval by the SecDef will be sought as directed.
(2) Even under an ADE or DE scenario, coordination with DOT/FAA and DHS/TSA
will take place before implementation. Although DOT and DHS approval is not required, their
respective agencies’ workforces implement the needed ACM, so prior coordination is
appropriate.
b. When an adjacent Combatant Command is under attack and an ADE or DE has not yet
been declared. Under this condition, if ESCAT is warranted and agreed on by DoD, DHS, and
DOT, the appropriate NORAD or USPACOM authority may implement ESCAT within the
applicable area(s).
c. When other emergency conditions exist that either threaten national security or interests
vital to the United States or Canada, but do not warrant declaration of ADE or DE. Under these
conditions, if ESCAT is warranted and agreed on by DoD, DHS, and DOT, appropriate NORAD
and USPACOM authorities may implement ESCAT for their own geographic areas individually.
5. IMPLEMENTATION PROTOCOLS. The appropriate military authority will take these
actions:
a. Coordinate, as appropriate, the extent of implementation or termination of ESCAT with
the FAA, TSA, Transport Canada (TC), and NAV CANADA.
b. Direct ESCAT implementation through the ATCSCC and Canadian Forces Integrated
Command Center (CFICC), and delineate the extent of ACM to be implemented. This
information will also be disseminated through Mardam-Bey Internet Relay Chat, Defense
Messaging Service or Automatic Digital Network System message, and NOTAMs, as
appropriate.
(1) NORAD will not disseminate ESCAT notice via the DEN without earlier
coordination with the FAA.
(2) In the event the ATCSCC or CFICC cannot be reached, or are unable to comply,
implementation instructions should be passed directly to the affected ARTCC/CERAP, the NAV
CANADA Operations Centre (NOC), or the affected Canadian Air Control Centre (ACC), in that
order.
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c. Coordinate subsequent ACM generated by NORAD regions or through the NORAD and
U.S. Northern Command (USNORTHCOM) Command Center (N2C2) before implementation.
d. Generate and disseminate an ESCAT message immediately after specific ACM have been
identified.
e. Determine when restrictions have been fully implemented, and monitor feedback from
ATCSCC, CFICC, and NOC on the impact of those restrictions.
f. Revise or remove ACM and security restrictions as the tactical situation permits.
6. AUTHENTICATION. If possible, the appropriate military authority will direct ESCAT
implementation via secure communications to the ATCSCC and CFICC. Subsequent
dissemination of ESCAT implementation information may be accomplished by non-secure
means.
7. ESCAT TESTS
a. ESCAT tests will be conducted at least every 2 years, normally in conjunction with HQ
NORAD and regional exercises.
b. ESCAT tests will validate communications and notification procedures only. See
Enclosure 5 for appropriate terminology and instructions.
Appendix
DOT/FAA and DHS/TSA ESCAT Actions
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APPENDIX TO ENCLOSURE 3
DOT/FAA AND DHS/TSA ESCAT ACTIONS
1. GENERAL. Specific DOT/FAA and DHS/TSA responsibilities are outlined in Reference (g).
2. DOT/FAA. Civil and military ATC facilities will:
a. Maintain current information on the status of restrictions imposed on airspace and air
traffic.
b. Process flight plans in accordance with instructions received from the appropriate ARTCC
or ACC. Ensure that all flights comply with ACM in effect, and meet ESCAT Air Traffic
Priority List (EATPL) or security control authorization (SCA) requirements.
c. Disseminate instructions and restrictions to airborne traffic as directed by the ARTCC or
ACC.
d. Implement ACM as directed.
e. Provide notification through the ATCSCC or NOC to the appropriate military authority as
to when ACM have been implemented, and provide feedback on the impact of those measures.
f. Disseminate ESCAT implementation instructions to all civil and military ATC facilities
within their jurisdiction, and advise adjacent ATC facilities (national and international) that may
be affected.
3. DHS/TSA. DHS/TSA will maintain liaison with Combatant Commands with AORs that
include TSA geographic areas of authority through the appropriate Federal Security Directors
(FSDs) or other Field Offices. The Transportation Security Operations Center (TSOC) will
direct appropriate FSDs and field offices to implement the ESCAT restrictions specified by the
appropriate military authority. When directed to implement ESCAT, FSDs and field offices will:
a. Advise appropriate military authority when restrictions have been implemented, and
provide feedback, through the TSOC, on the impact of those restrictions.
b. Impose restrictions on civil aviation as directed by DOT and DHS.
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ENCLOSURE 4
EATPL
1. SITUATION. When ESCAT is implemented, a system of traffic priorities may be required to
make optimum use of airspace consistent with air defense requirements. The EATPL is a list of
pre-determined priorities that may be used in conjunction with the ESCAT Plan for the
movement of air traffic in a defined area. This system will be used in extreme situations as a
supplement to other ACM and may be further supplemented by SCA requirements.
2. INTENTION. The EATPL is intended to establish priorities for the movement of air traffic
when ESCAT has been implemented and provide policy guidance for the practical application of
the system.
3. POLICY FOR APPLICATION OF EATPL
a. Verifying the Mission. The originator of an aircraft flight operation under the EATPL
will be responsible for determining and verifying that the mission meets the appropriate
definition and priority in accordance with the EATPL and ensuring a security check of crew,
cargo, and aircraft has been completed before takeoff.
b. Filing the Flight Plan. The individual filing the flight plan will be responsible for
including the priority number, as determined by the originator of the aircraft flight operation, in
the remarks section of the flight plan.
c. Other Situations. Situations may occur that cannot be related to the EATPL, e.g., aircraft
emergencies and inbound international flights that have reached the point of no return, such as
foreign air carrier flights en route to safe haven airports in accordance with specific international
agreements. These events will be treated individually through coordination between ATC and
appropriate military authorities in consideration of the urgency of the in-flight situation and
existing tactical military conditions.
d. Exceptions to the EATPL
(1) Aircraft in priorities 3 through 7 of section 4 of this enclosure that do not meet
EATPL restrictions may request an SCA requirement exemption from the appropriate military
authority. For the contiguous 48 U.S. States, Alaska, Puerto Rico, U.S. Virgin Islands, and
Canada, SCA requests will be submitted directly to the appropriate NORAD region. For Hawaii,
Guam, Wake Island, the Commonwealth of Northern Mariana Islands, and other U.S. Pacific
territories, SCA requests will be submitted directly to the USPACOM Joint Operation Center.
(2) For federal, State, provincial, and local government agencies and aircraft not meeting
the approved EATPL, an SCA may be granted on a case-by-case basis. Requests for SCAs will
be coordinated through the TSA. The TSA will forward requests that it recommends for
approval to the appropriate military authority. Aircraft with an SCA must have a security
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assurance check before takeoff. Refer to specific SCA procedures provided in a separate
agreement among the NORAD, USPACOM, TSA, and the FAA for requirements.
(a) Direct inquiries regarding EATPL and SCA requests to the appropriate NORAD
or USPACOM joint operation center or region in accordance with Table 2. Refer to Table 1 for
region alignment with FAA ARTCCs.
(b) Refer to NORAD sectors when contact with a region is not possible.
Table 2. NORAD and USPACOM Sector Contact Information
HQ/Region Sector/Center/Office Phone
Defense Switched
Network (DSN)
NORAD/
CONR
Eastern Air Defense Sector,
Airspace Management
(315) 334-6311
Secure Terminal
(315) 334-6304
523-6311
523-63
NORAD/
CONR
Western Air Defense Sector (253) 982-4675 382-4675
NORAD/
ANR
176 Air Control Squadron (907) 552-6119 317 552-6119
USPACOM Joint Operation Center
Director
(808) 477-7377 477-7377
NORAD HQ N2C2
Cheyenne Mountain Air
Force Station
(719) 554-7336
(719) 474-3387/2578
692-7336
268-3387/2578
4. PROCEDURES FOR MOVEMENT OF AIR TRAFFIC UNDER ESCAT
a. Priorities 1 or 2. Aircraft assigned an EATPL number 1 or 2 will not be delayed, diverted,
or rerouted Commanders. However, commanders may recommend that this traffic be rerouted to
avoid critical or critically threatened areas.
b. Priorities Other Than 1 or 2. Aircraft assigned an EATPL number other than 1 or 2 may
be delayed, diverted, or rerouted Commanders to prevent degradation of the air defense system.
c. Aircraft in Recovery. Aircraft being recovered will be expedited home or to an alternate
base. Search and rescue aircraft may be expedited on their missions. Such aircraft may be
diverted to avoid critical areas or takeoff may be delayed to prevent saturation of the airspace.
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d. Flight Plan, Transponder and Radio Requirements. Aircraft will file instrument flight
rules (IFR), visual flight rules (VFR), or defense visual flight rules (DVFR) flight plans, be
assigned a discrete transponder code, and must be in direct radio communication with ATC. The
appropriate EATPL or SCA number will be entered in the remarks section of the flight plan. The
EATPL or SCA number will be passed with flight plan data from one ATC facility to the next,
and to the appropriate air defense control facilities. See the appendix to this enclosure for flight
operations protocols.
5. EATPL PRIORITIES. Precedence will be from Priority 1 to Priority 8. There is no
precedence within each priority.
a. Priority 1
(1) The President of the United States, Prime Minister of Canada, and respective cabinet
or staff members essential to national security, and other members as approved or designated by
the SecDef and Canada’s Chief of Defence Staff (CDS).
(2) Aircraft engaged in active continental defense missions including anti-submarine
aircraft, interceptors, air refueling tanker aircraft, and airborne early-warning and control aircraft
(e.g., E-3, E-2, and P-3).
(3) Military response aircraft, including direct tanker support aircraft, executing strategic
missions.
(4) Airborne command elements that provide backup to command and control systems
for the combat forces.
(5) Anchor annex flights.
b. Priority 2
(1) Forces being deployed or in direct support of military offensive and defensive
operations, including the use of activated Civil Reserve Air Fleet (CRAF) aircraft as necessary,
and/or other U.S. and foreign flag civil air carrier aircraft under mission control of the U.S.
military.
(2) Aircraft operating in direct and immediate support of strategic missions.
(3) Search and rescue aircraft operating in direct support of military activities.
(4) Aircraft operating in direct and immediate support of special operation missions.
(5) Federal flight operations in direct support of homeland security, such as law
enforcement agencies (LEAs), and aircraft performing security for high-threat targets such as
nuclear power plants, dams, chemical plants, and other areas identified as high-threat targets.
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c. Priority 3
(1) Forces being deployed or performing pre-deployment training or workups (e.g., Navy
field carrier landing practice) in support of the emergency situation.
(2) Aircraft deployed in support of CONUS installation or base defense, that is aircraft
operating in direct and immediate security support, or deploying ground forces for perimeter
defense.
(3) Search and rescue aircraft not included in Priority 2.
(4) Flight inspection aircraft flights in connection with emergency restoration of airway
and airport facilities in support of immediate emergency situations.
(5) CONUS airborne reconnaissance for damage assessment (CARDA) missions in
support of immediate emergency situations.
d. Priority 4
(1) Dispersal of tactical military aircraft.
(2) Dispersal of U.S. civil air carrier aircraft allocated to the CRAF Program.
(3) Repositioning of FAA, DoD, TC, and NAV CANADA flight inspection aircraft.
(4) Flight inspection activity in connection with airway and airport facilities.
(5) Specific military tactical pilot currency or proficiency in support of homeland
defense.
(6) Military tactical aircraft post-maintenance test flights.
(7) Federal aircraft post-maintenance check flights in support of homeland security.
e. Priority 5
(1) Air transport of military commanders, their representatives, DoD and Department of
National Defence (DND)-sponsored key civilian personnel, non-DoD and DND or other federal
key civilian personnel that are of importance to national security.
(2) Dispersal of non-tactical military aircraft for their protection.
(3) Aircraft contracted to and/or operated by federal agencies.
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f. Priority 6
(1) State and local LEAs directly engaged in law enforcement missions.
(2) Flight operations in accordance with approved federal and State emergency plans.
(3) LIFEGUARD and medical air evacuation flight (MEDEVAC) aircraft in direct
support of emergency medical services.
(4) Flight operations essential to the development, production, and delivery of
equipment, personnel, materials, and supplies essential to national security.
(5) Other essential CARDA missions not covered in Priority 3.
g. Priority 7. Other military flight operations.
h. Priority 8. Other flight operations not specifically listed in Priorities 1 through 7.
Appendix
Flight Operations Protocols
DoDI 5030.36, April 24, 2014
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APPENDIX TO ENCLOSURE 4
FLIGHT OPERATIONS PROTOCOLS
Flight operations in an ESCAT environment require that specific coordination protocols, such as
EATPL or SCA, be used. There may be delays to sorties as a result of ESCAT flight plan and
coordination requirements. The pilot in command will take action in accordance with this
appendix as soon as possible after being made aware that ESCAT has been implemented.
a. The pilot in command will:
(1) Familiarize him or herself with provisions outlined in this appendix before flight in
areas where ESCAT has been implemented.
(2) Review NOTAMs.
(3) Ensure flight complies with approved EATPL or receives an SCA.
(4) Ensure EATPL and SCA numbers are reflected in the remarks section of the flight
plan.
(5) Direct all ESCAT, EATPL, and SCA inquiries to the appropriate NORAD region or
USPACOM joint operation center as appropriate in accordance with Enclosure 3.
(6) If airborne, comply with the instructions issued by the appropriate aeronautical
facility.
(7) If not airborne:
(a) File an IFR, VFR, or DVFR flight plan as required in accordance with ESCAT
restrictions.
(b) Obtain a discrete transponder code from ATC.
(c) Be in direct radio communication with ATC before takeoff.
(d) Comply with any additional instructions issued by the appropriate aeronautical
facility transmitted via radio or NOTAM.
b. Before or after the declaration of an ADE, DE, or national emergency, there may be a
requirement to disperse military aircraft for their own protection. In such cases, the ESCAT plan
requirements will have priority over dispersal plan requirements already in place.
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c. Aircraft that are not radio-equipped or are incapable of transmitting a discrete transponder
code assigned by ATC may not file a flight plan, and will not be permitted to operate in areas
affected by ESCAT.
DoDI 5030.36, April 24, 2014
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ENCLOSURE 5
ESCAT TEST PROCEDURES
1. PURPOSE. The purpose of establishing training and test procedures is to specify procedures
that will allow all participants to determine the time required and ensure the capability to notify
all agencies and personnel, down to the lowest action level that ESCAT has been implemented.
To ensure the proper level of participation, the appropriate military authority will provide, at a
minimum, 30-days’ notice of a test to the appropriate civil agencies. Testing will be conducted
at least annually.
2. ESCAT TEST RESTRICTIONS
a. Aircraft will not be grounded or diverted.
b. Test messages will not be broadcast over air or ground frequencies.
c. Radio communications will not be interrupted.
d. Navigational aids will not be affected.
3. PROCEDURES
a. For ESCAT testing, the responsible military commander will notify HQ FAA and use one
or both of these sample statements:
(1) “Exercise, Exercise, Exercise, this is CONUS NORAD region with a NORAD
exercise message for [exercise name]. Simulate implementing ESCAT for [specified area and
altitudes]. The following airspace control measures are being implemented: [specified ACMs,
such as flight restricted zones, temporary flight restrictions, or other specific ACMs for
operators]. All aircraft not previously mentioned as exemptions are restricted from flight in the
affected area until further notice.” And/or,
(2) “EATPL Priorities [priority number] through [priority number] are being
implemented.”
b. HQ FAA will advise the appropriate military commander when the affected FAA ATC
facilities have reported simulating ESCAT.
(1) FAA System Operations Security through ATCSCC will notify the ARTCC(s) and
CERAP(s).
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(2) The ARTCC(s) and CERAP(s) will notify all appropriate U.S. civil and military
approach control facilities and flight service stations. On completion of all actions, the
implementation completion time will be forwarded to the ATCSCC.
(3) The ATCSCC will provide completion times to the appropriate military authority.
c. Tests should normally be conducted in conjunction with scheduled HQ NORAD-approved
exercises. Individual NORAD regions and sectors may conduct tests when test objectives are
local in nature and prior coordination has been effected with the ATCSCC.
d. The ATCSCC will prepare a narrative summary of each test and copies will be sent to the
appropriate military authority. Each military authority will, in turn, forward copies of the
summary to HQ NORAD and DHS.
4. AUTHENTICATION. Authentication will be accomplished via secure communications
means between the appropriate military authority and the ATCSCC for the implementation of
ESCAT. Implementation will be validated with a call back via secure communications to the
appropriate military authority. Further dissemination of information may be accomplished over
non-secure communications.
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GLOSSARY
PART I. ABBREVIATIONS AND ACRONYMS
ACC
Area Control Centre (Canadian)
ACM
airspace control measures
ADE
air defense emergency
ADLO
Air Defense Liaison Officer
ANR
Alaskan NORAD Region
AOR
area of responsibility
ARTCC
Air Route Traffic Control Center
ASD(A)
Assistant Secretary of Defense for Acquisition
ASD(HD&GS) Assistant Secretary of Defense for Homeland Defense and Global
Security
ATC
air traffic control
ATCSCC
Air Traffic Control System Command Center
CARDA
CONUS airborne reconnaissance for damage assessment
CDRNORAD
Commander NORAD
CDRUSPACOM
Commander USPACOM
CDS
Chief of the Defence Staff (Canadian)
CERAP
combined center and radar approach control
CFICC
Canadian Forces Integrated Command Center
CONR
Continental United States NORAD Region
CONUS
continental United States
CRAF
Civil Reserve Air Fleet
DE
defense emergency
DEN
Domestic Event Network
DHS
Department of Homeland Security
DND
Department of National Defence (Canadian)
DOT
Department of Transportation
DSN
defense switched network
DVFR
defense visual flight rules
EATPL
ESCAT air traffic priority list
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ESCAT
emergency security control of air traffic
FAA
Federal Aviation Administration
FSD
Federal security director
GPS
Global Positioning System
HQ
headquarters
IFR
instrument flight rules
LEA
law enforcement agency
MEDEVAC
medical air evacuation flight
NAS
National Airspace System
NOC
NAV CANADA Operation Centre (Canadian)
NORAD
North American Aerospace Defense Command
NOTAM
notice to airmen
N2C2
NORAD and USNORTHCOM Command Center
SCA
security control authorization
SecDef
Secretary of Defense
SUA
special use airspace
TSA
Transportation Security Administration
TC
Transport Canada
TSOC
Transportation Security Operations Center
USCG
United States Coast Guard
USD(P)
Under Secretary of Defense for Policy
USNORTHCOM
United States Northern Command
USPACOM
United States Pacific Command
VFR
visual flight rules
VHF
very high frequency
DoDI 5030.36, April 24, 2014
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PART II. DEFINITIONS
Unless otherwise noted, these terms and definitions are for the purpose of this instruction.
ACM. Airspace and/or flight restrictions that may be issued in support of national defense or
homeland security initiatives.
air defense. Defined in the DoD Dictionary of Military and Associated Terms (Reference (j)).
ADE. An emergency condition that exists when an attack on CONUS, Alaska, Canada, or U.S.
installations in Greenland by hostile aircraft or missiles is considered probable, is imminent, or is
taking place.
ADLO. An FAA representative at a NORAD air defense facility (NORAD HQ, region or
NORAD air defense sector).
ATCSCC. The FAA command center responsible for the efficient operation of the NAS,
ensuring safe and efficient air travel within the United States.
anchor annex flight. Classified DoD mission, need to know only.
appropriate military authority. The military commander with the authority to direct the
implementation of ESCAT.
Those with the authority to implement the U.S. plan are: CDRNORAD and designees;
NORAD region commanders; and NORAD sector commanders when so delegated by region
commanders.
Those with the authority to implement the Canada Plan are: CDS; CDRNORAD or Deputy
Commander, NORAD; Commander or Deputy Commander, Canadian NORAD Region; or
Commander, Canadian Air Defence Sector.
ACC. NAV CANADA agency responsible for a particular flight information region.
CDS. Commander responsible for the command, control, and administration of the Canadian
Forces and military strategy, plans, and requirements. The CDS is the senior military advisor to
the Canadian Government as a whole.
CRAF. Defined in Reference (j).
Commander, Canadian NORAD Region. The operational commander of the Canadian NORAD
region who reports to the CDRNORAD, and is responsible for the effective employment of air
defense forces within Canadian airspace.
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Commander, Canadian Air Defence Sector. The operational commander of the Canadian Air
Defence Sector who reports to the Commander, Canadian NORAD region, and is responsible for
the effective employment of air defense forces within Canadian domestic airspace.
CONUS. Defined in Reference (j).
contingency operations. A situation requiring military operations in response to natural disasters,
terrorists, subversives, or as otherwise directed by appropriate authority to protect U.S. interests.
DE. Defined in Reference (j).
DVFR. Flight rules that are used when operating within an Air Defense Identification Zone.
DVFR differs from VFR in that the pilot is required to notify ATC before deviating from a
DVFR plan and must maintain two-way radio communication.
DEN. A 24-hours-per-day-7-days-per-week interagency unclassified telephonic conference
dedicated to real-time coordination of NAS security. Information is shared via the DEN so that
federal, State, tribal, and participating local government agencies from different backgrounds can
come together jointly to analyze an incident and form a collaborative interagency response on
how to manage a NAS event or incident
EATPL. A list composed of 8 priorities designed to provide a system of traffic priorities to make
optimum use of airspace, consistent with air defense requirements when ESCAT has been
implemented.
ESCAT. The process for regulating air traffic in a defined airspace where air defense activities
need to take place in order to provide for the ready identification of aircraft, security of
individuals, defended assets, or vital infrastructure.
flight information region. Within Canada, an area of defined dimensions extending upwards
from the surface of the earth, within which flight information service and alerting service are
provided.
liaison officer. FAA or TSA representative at a NORAD air defense facility.
LIFEGUARD. Civil air ambulance flights.
MEDEVAC. Air ambulance flights.
NAS. The overall environment for the safe operation of aircraft that are subject to the FAA’s
jurisdiction. It includes:
Air navigation facilities, equipment and services, and airports or landing areas.
Aeronautical charts, information, and services.
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Rules, regulations and procedures, technical information, and manpower and material.
Included are system components used by the DoD.
national emergency. Defined in Reference (j).
NAV CANADA. The private sector corporation that owns and operates Canada’s national civil
air navigation services. NAV CANADA provides ATC, flight information, weather briefings,
airport advisory services, and electronic aids to navigation.
navigational aids. Include, but not limited to, Global Positioning System (GPS), tactical air
navigation, very high frequency (VHF) omni directional range, VHF omni directional
range/tactical air navigation, and radar. GPS also includes Federal Government-provided
augmentations, such as the FAA Wide Area Augmentation System and Local Area
Augmentation System, United States Coast Guard (USCG) Maritime Differential GPS, and
USCG Nationwide Differential GPS.
NORAD. Defined in Reference (j).
NORAD region. A geographical subdivision of the NORAD AORs.
NORAD sector. A geographical subdivision of a NORAD air defense region.
SCA. Authorization for federal, State, local government agencies and aircraft not in the
approved EATPL to conduct flight operations when ESCAT has been implemented. SCA
requests will be coordinated among FAA, TSA, and the appropriate NORAD region or designee.
security assurance check. Measures taken by DoD or DHS, as appropriate, to ensure aircraft,
cargo, and crew security has not been compromised by hostile organizations or individuals who
are or may be engaged in espionage, sabotage, subversion, terrorism, or other criminal activities.
SUA. Airspace of defined dimensions identified by an area on the surface of the earth wherein
activities must be confined because of their nature, or wherein limitation may be imposed upon
aircraft operations that are not part of those activities. Types of special use airspace include
military operations areas, prohibited areas, restricted areas, and warning areas.
TC. The Canadian regulatory body that implements, through NAV CANADA, the restricted
airspace in support of ESCAT.
