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2I ssued by the SESAR Consor t ium fo r the SESAR Def in i t i on Phase Pro jec t co- funded by the European Commiss ion and EUROCONTROL

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Issued by the SESAR Consor t ium fo r the SESAR Def in i t i on Phase Pro jec t co- funded by the European Commiss ion and EUROCONTROLDecember2006

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Preface.......................................................................................005

Executive Summary................................................................006

1 Introduction ........................................................................012

2 The 2020 Vision Of The Air Transport Industry .........014

2.1 Introduction ......................................................................014

2.2 Societal Expectations & Needs ...........................................016

2.3 Vision of Air Transport in 2020...........................................0172.3.1 Market Development ............................................................0172.3.2 The Air Space Users Value Chain ..........................................0192.3.3 Airspace Users’ Requirements for Air Traffic Services

from the ATM System ..........................................................021

2.4 Vision of the Future Management Frameworkof the European ATM System for 2020...............................0242.4.1 Overview .............................................................................0242.4.2 Business Management Framework of Future ATM System......0242.4.3 ATM Institutional & Regulatory Framework.............................0322.4.4 Subjects of Common Interest................................................035

3 Performance Framework And Targets.........................041

3.1 Introduction ......................................................................041

3.2 Application of a Performance-Based Approach ...................0423.2.1 Background on ICAO Approach.............................................0423.2.2 European Context ................................................................0443.2.3 SESAR Performance Framework ...........................................044

3.3 A Vision for Improved Performance Levels ..........................049

3.4 Initial Indicative Strategic Design Performance Objectivesand Targets.......................................................................0493.4.1 Cost Effectiveness................................................................0503.4.2 Capacity ..............................................................................0513.4.3 Efficiency.............................................................................0523.4.4 Flexibility .............................................................................0533.4.5 Predictability........................................................................0543.4.6 Safety .................................................................................0553.4.7 Security...............................................................................0563.4.8 Environmental Sustainability .................................................0573.4.9 Access and Equity................................................................0593.4.10 Participation ......................................................................0603.4.11 Interoperability ...................................................................061

3.5 Conclusions ......................................................................062

4 Short-Term Improvements Baseline.............................063

4.1 Short-term Context............................................................063

4.2 Capacity ...........................................................................0644.2.1 Airspace ..............................................................................0644.2.2 Airport .................................................................................065

4.3 Efficiency & Predictability...................................................0664.3.1 Airspace ..............................................................................0664.3.2 Airport .................................................................................066

4.4 Cost Effectiveness.............................................................067

4.5 Interoperability ..................................................................068

4.6 Safety...............................................................................068

4.7 Environment......................................................................069

4.8 Security ............................................................................070

4.9 Expected Performance Improvements.................................071

4.10 Conclusion ......................................................................072

5 Principles for the Way Forward To 2020.....................073

5.1 Introduction ......................................................................073

5.2 The Societal Expectations of ATM.......................................0735.2.1 The Environmental Aspects of ATM .......................................0735.2.2 The Security Aspects of ATM ................................................074

5.3 The Performance Framework .............................................074

5.4 The ATM Business Management Framework .......................075

5.5 The ATM Institutional & Regulatory Framework ...................0765.5.1 The ATM Institutional Framework - The Joint Undertaking ......0765.5.2 The Regulatory Framework of ATM........................................0775.5.3 The Safety Legislative/Regulatory Framework of ATM.............078

5.6 Subjects of Common Interest .............................................0795.6.1 The ATM Standardisation Process .........................................0795.6.2 The ATM Financing Aspects..................................................079

5.7 The Future Architecture of ATM..........................................0815.7.1 Principles for the Future ATM Architecture.............................0815.7.2 Safety Approach to the SESAR Architecture Activities .............0815.7.3 Performance Requirements ..................................................081

5.8 The Role of the Human in ATM ..........................................0825.8.1 Social Factors and Change Management ..............................0835.8.2 Human Factors ....................................................................0845.8.3 Recruitment, Training, Competence and Staffing ....................085

6 List of References.............................................................086

7 List of Abbreviations and Terminology ........................087

8 List of Figures & Tables ...................................................093

Annexes .....................................................................................094ANNEX I - Solution Risks ..........................................................094ANNEX II - Specific Process Assessment in D2..........................096

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The SESAR Consortium joins the forces and expertise of 29 companies and organisations together with 20 associated partners: from Airspace Users, Air Navigation Service Providers, Airports, Supply Industry and many others,

including Safety Regulators, Military, Pilots & Controllers Associations and Research Centres as well as significant expertise

from EUROCONTROL.

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The SESAR programme is the European Air TrafficManagement (ATM) modernisation programme. It willcombine technological, economic and regulatoryaspects and will use the Single European Sky (SES)legislation to synchronise the plans and actions of thedifferent stakeholders and federate resources for thedevelopment and implementation of the requiredimprovements throughout Europe, in both airborneand ground systems.The first phase of SESAR, the Definition Phase, is co-funded by EUROCONTROL and the EuropeanCommission under Trans European networks. Theproducts of this Definition Phase will be the result of a2-year study awarded to an industry wide consortiumsupplemented by EUROCONTROL’s expertise. It willultimately deliver a European ATM Master Plan cove-ring the period up to 2020 and the accompanyingProgramme of Work for the first 6 years of the subse-quent Development Phase.

The SESAR Definition Phase will produce 6 mainDeliverables over the 2 years covering all aspects ofthe future European ATM System, including its suppor-ting institutional framework. The scope of the 6Deliverables (Dx) are:• D1: Air Transport Framework – The Current

Situation • D2: Air Transport Framework – The Performance

Target• D3: Definition of the future ATM Target Concept• D4: Selection of the “Best” Deployment Scenario• D5: Production of the ATM Master Plan• D6: Work Programme for 2008 -2013

The SESAR Consortium has been selected to carryout the Definition Phase study, which for the first timein European ATM history has brought together themajor stakeholders in European aviation to build theATM Master Plan. The SESAR Consortium drawsupon the expertise of the major organisations withinthe aviation industry. This includes Airspace Users, AirNavigation Service Providers (ANSPs), AirportOperators and the Supply Industry (European andnon-European), plus a number of Associated Partners,including safety regulators, military organisations, staffassociations (including pilots, controllers and engi-neers) and research centres which work together withthe significant expertise of EUROCONTROL. This isconsidered to be a major achievement.

The second Deliverable, D2, has been produced inaccordance with its Milestone Objective Plan (MOP)[Ref 1] and the inputs of the eighteen Task deliverableswhich are providing the substantiating information andwhich are identified within the SESAR WorkBreakdown Structure. It is subsequently approved andaccepted by all project Participants.

The SESAR Consortium members:

AEA (Association of European Airlines), ADP (Aéroports deParis), AENA (Aeropuertos Espanoles y NavegacionAérea), AIRBUS, Air France, Air Traffic Alliance E.I.G /G.I.E, Amsterdam Airport SCHIPHOL, Austro ControlGmbH, BAA (British Airports Authority, BAE Systems, DFSDeutsche Flugsicherung GmbH, Deutsche Lufthansa AG,DSNA (Direction des Services de la Navigation Aérienne),EADS (European Aeronautic and Space Company), ENAVS.p.A. (Società Italiana per l'Assistenza al Volo), ERA(European Regions Airline Association), FRAPORT, IAOPA(International Council of Aircraft Owner and PilotAssociations), IATA (International Air TransportAssociation), Iberia, INDRA Sistemas SA, KLM (KLMRoyal Dutch Airlines), LFV (Luftfartsverket), LVNL(Luchtverkeer Nederland), Munich International Airport,NATS (National Air Traffic Services), Navegaçao Aérea dePortugal (NAV), SELEX Sistemi Integrati, THALES ATM,THALES AVIONICS.

The SESAR Associated Partners:

ATC EUC (Air Traffic Controllers European UnionsCoordination), Boeing, CAA UK (Civil Aviation AuthorityUK), ECA (European Cockpit Association), ETF (EuropeanTransport Workers’ Federation), EURAMID (EuropeanATM Military Directors), IFATCA (International Federation ofAir Traffic Controllers’ Associations), IFATSEA (InternationalFederation of Air Traffic Safety Electronics Association),Honeywell, Rockwell-Collins, Dassault (representingEBAA). Research Centres: AENA (Aeropuertos Espanolesy Navegacion Aérea), DFS Deutsche FlugsicherungGmbH, DLR (Deutsches Zentrum für Luft – undRaumfahrt), DSNA (Direction des Services de laNavigation Aérienne), INECO (Ingenieria y Economia delTransporte, S.A.), ISDEFE (Ingenieria de Sistemas para laDefensa de Espana), NLR (Stichting Nationaal Lucht-enRuimtevaartlaboratorium), SICTA (Sistemi Innovativi per ilControllo del Traffico Aereo), SOFREAVIA (SociétéFrançaise d’Etudes et de Réalisations d’EquipmentsAéronautiques).

Preface


December2006


� Air Transport - a continuously growing demand facing challenges

Air Transport is a vital element of people’s lives around the world.It stimulates national economies, global trade and tourism. Itbrings people together, face to face, as friends & families and faci-litates business opportunities. It responds to these human needsas no other manner of communication can. This is the main rea-son, together with the expected increase of the worldwide GrossDomestic Product (GDP), for a sustainable growth demand in AirTransport. Furthermore the military element of air transportenables States to support their defence and security policies.

As a result of the growing GDP, the annual European trafficdemand - if unconstrained - is forecast to reach at least 18 MillionIFR (Instrument Flight Rules) flights by 2020. All existing civil airs-pace users segments are expected to grow in volume but thecomposition of the market segments will change due to access toair transport being affordable to all citizens. The military volume oftraffic will remain stable but new generation of aircraft with increa-sed capabilities will need access to larger blocks of airspace. Inaddition new types of air vehicles will emerge such as Very LightJets (VLJs) and Unmanned Aerial Vehicles (UAVs).

� European Air Traffic Management System - operating close to its limit

These market developments are challenged by two main factors:

• The current Air Traffic Management (ATM) System wasdesigned decades ago and is based on an operational concept and technologies which are reaching their limits.

• The existing airport infrastructure cannot fully accommodate the increasing demand. While this could be partially mitigated by e.g. the use of secondary airports and an intermodaltransport system, additional airport infrastructure will still be required.

� SESAR - Key for Success

In response to the ATM challenge, the European Commission (EC)launched the SESAR programme, with the objectives, as expres-sed by Vice-President Jacques Barrot, to achieve a futureEuropean ATM System for 2020 and beyond, which can, relativeto today's performance:

• Enable a 3-fold increase in capacity which will also reduce delays, both on the ground and in the air,

• Improve the safety performance by a factor of 10,• Enable a 10% reduction in the effects flights have on the

environment and • Provide ATM services at a cost to the airspace users which is

at least 50% less.

� ATM - SESAR Vision

The SESAR Milestone Deliverable D1 concluded that“Business as usual is not an option”.

The proposed SESAR Vision is to achieve a performancebased European ATM System, built in partnership, to bestsupport the ever increasing societal and States’, includingmilitary, expectations for air transport with respect to thegrowing mobility of both citizens and goods and all otheraviation activities, in a safe, secure, environmentally sustai-nable and cost-effective manner.

Central to achieving this Vision, is the concept of placing the bestoverall outcome of individual flights at the heart of the ATM net-work. The SESAR Vision is dependent upon three distinct ATM fra-meworks, to which all stakeholders have to commit and operate :• The “Performance Framework”• The “Business Management Framework”• The “Institutional and Regulatory Framework”.

Executive Summary

The Performance TargetSESAR Def in i t i on Phase - M i les tone De l i ve rab le 2


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An ATM performance based approach is considered essential todrive management decisions towards achieving the Vision.

The present air traffic service performance assessment mainlyaddresses the performance of ANSPs. As this structure has pro-ven its value, it can form the basis for the evolutionary develop-ment of a Performance Framework extended to include all ATMstakeholders.

The SESAR Consortium has started to address the definition of the2020 performance by setting initial targets. These will be conti-nuously refined within the lifetime of the ATM Master Plan.

� The ATM Performance Targets for 2020

ATM performance covers a very broad spectrum of aspects, whichare represented through eleven Key Performance Areas (KPAs).The diagram below is illustrative of the KPAs and how they coulddevelop towards the 2020 targets.

Four KPAs, directly linked to EC objectives and the achievement ofthe proposed SESAR Vision are described below.

The other seven KPAs (Efficiency, Flexibility, Predictability, Security,Access and Equity, Participation, Interoperability) are addressed inChapter 3 of this document.

The KPA targets represent initial indicative values (workingassumptions), subject to further analysis and validation. All KPAsare interdependent and will be the basis for impact assessmentand consequent trade-off analysis for decision-making in the sub-sequent SESAR Milestone Deliverables.

The Performance Framework

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Predictability

Participation

Environment

Efficiency

Cost Effectiveness

Capacity

Access/Equity

Security

Safety

Flexibility

Interoperability LEGENDBaseline 2006Observed Year xTarget 2020

I l l us t ra t i on o f KPAs Per fo rmance Targe ts Deve lopment

Capacity - Traffic will grow.

In accordance with the political vision and goal, the ATM targetconcept should enable a 3-fold increase in capacity which willalso reduce delays, both on the ground and in the air (en-routeand airport network), so as to be able to handle traffic growth wellbeyond 2020.

The deployment of the ATM target concept should be progressive,so that only the required capacity is deployed at any time.

The target for Capacity deployment is that the ATM System canaccommodate by 2020 a 73% increase in traffic from the 2005baseline, while meeting the targets for safety and quality of ser-vice KPAs (Efficiency, Flexibility, Predictability).

Safety - Proactively manage safetywith the goal of no ATM related accidents.

The SESAR safety performance objective builds on theATM2000+ Strategy objective: "To improve safety levels by ensu-ring that the numbers of ATM induced accidents and serious orrisk bearing incidents (includes those with direct and indirect ATMcontribution) do not increase and, where possible, decrease".

Considering the anticipated increase in the European annual traf-fic volume, the implication of the initial safety performance objec-tive is that the overall safety level would gradually have toimprove, so as to reach an improvement factor of 3 in order tomeet the safety objective in 2020 (based on the assumption thatsafety needs to improve with the square of traffic volumeincrease).

In the longer term (design life of the concept) safety levels wouldneed to be able to increase by a factor 10 to meet a possiblethreefold increase in traffic.

Environment - ATM will deliver itsmaximum contribution to the environment.

As a first step towards the political objective to enable a 10%reduction in the effects flights have on the environment:

• Achieve the implicit emission improvements through the reduction of gate-to-gate excess fuel consumption addressedin the KPA Efficiency. However no specific separate target could be defined at this stage for the ATM contribution toatmospheric emission reductions.

• Minimise noise emissions and their impacts for each flight to the greatest extent possible.

• Minimise other adverse atmospheric effects to the greatest extent possible. Suitable indicators are yet to be developed.

• The aim is that all proposed environmentally related ATM constraints would be subject to a transparent assessment with an environment and socio-economic scope; and, following this assessment the best alternative solutions from a European Sustainability perspective are seen to be adopted.

• Local environmental rules affecting ATM are to be 100%respected (e.g. aircraft type restrictions, night movement bans, noise routes and noise quotas, etc.). Exceptions are onlyallowed for safety or security reasons.

Cost-Effectiveness – Halve the total directATM costs.

The working assumption for the Cost Effectiveness target is tohalve the total direct European gate-to-gate ATM costs from€800/flight (EUROCONTROL Performance Review Report 2005)to €400/flight in 2020 through progressive reduction.Notwithstanding this 2020 target, continuing cost improvementshould be sought after 2020.


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BusinessFramework

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PerformanceFramework

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Its objective is to ensure that new Operational Concept will be fullyimplemented in a consistently organized manner throughout allphases of the European ATM System lifecycle, including ATM stra-tegic planning starting with the ATM Master Plan.

In order to achieve this objective the stakeholders, including airs-pace users, airport operators and air navigation service providers(ANSPs) will have to establish an ATM Performance Partnership.This will define roles and responsibilities based on a shared set ofvalues, priorities, and network interactions.In particular joint decision-making and coordinated business plan-ning must be the basis of the ATM Master Plan, the economic andfinancial analysis of the ATM Master Plan. The introduction of thisframework represents a paradigm shift for each stakeholder fromthe present fragmented decision making process to the executionof a common ATM strategic planning.

In the ATM Performance Partnership, Functional Airspace Block(FAB) initiatives are strongly supported and seen as one of themain vehicles to improve ATM performance, reducing the impactof fragmentation on the cost of air traffic service provision. Thesewill initially develop through regional arrangements betweenStates and ANSPs and lead to further ANSP cooperation, alliancesor mergers, including the appropriate regulatory structures.

The financing and funding of the future ATM System will dependupon the options chosen for the business model of the ATMPerformance Partnership, while avoiding an increase in the unitrate due to peak investment costs. Several options are to be stu-died to support the transition, from a fully capital market drivenpre-financing scheme to a reasonable mix between chargingscheme and financial market pre-financing, including possiblePublic Private Partnership (PPP) models.

This “Performance Framework” provides a common basis toensure the effectiveness of the ATM System and links the othertwo ATM frameworks - the “Business Management Framework”and the “Institutional and Regulatory Framework” together which

are balancing general public and industry interests in a “dynamicworking relationship”, that addresses how the safety, security,environmental, design and financial aspects are managed andregulated.

The ATM Business Management Framework

Futu re European ATM Sys tem

Its objective is to ensure societal expectations are met and toenable the development, operation and growth of a sustainableEuropean air transport system, through the Business Framework.

It needs to have a simple and well-structured set of regulationsand regulatory actions allocated at global, European or nationallevel, whilst continuing to rely on Member States for enforcement.It will respond to States requirements and work closely with indus-try to ensure rules are fair, proportionate and to safeguard a levelplaying field.

The SESAR Joint Undertaking (JU), as the first European ATM PPP,is seen as an important move forward and an initial step tomanage the development of SESAR. It is considered as an initialstructure capable of maintaining the ATM Master Plan, managingthe R&D programme of technical activities, and monitoring itsdeployment.

The ATM Institutional and Regulatory Framework has to be flexibleso it easily adapts to business and societal changes. Although out-side the scope of the SESAR project, the modernisation of this fra-mework is considered to be urgent by the industry.

The ATM Institutional and Regulatory Framework


December2006


New Operational Concept - The Goal

It has been acknowledged that the primary objective of theConcept is to get the “best overall outcome” for a flight – this cha-racteristic of the Concept is referred to as the “BusinessTrajectory”.

The “Business Trajectory” is the representation of an airspaceuser’s intention with respect to a given flight. It is aimed at gua-ranteeing the best outcome for the flight as seen from the airspaceuser’s perspective. At the airspace user’s discretion this outcomemay be with respect to the minimum time for the flight, the mini-mum cost, or any other characteristic of the trajectory. Althoughperhaps not as obvious as for commercial airlines, business avia-tion, general aviation and the military also have their own “busi-ness” intention. The emphasis is on “intention” and naturally, allmust be carried out in a manner which guarantees the safety oflife and takes into account the need to meet environmental andsecurity requirements.

It is the basis for all partners in the ATM System design, planningand operation to enable the optimal performance of the flight,resulting in optimization of the whole European network perfor-mance.

The notion of a business trajectory will be used, replacing the flightplan in use today. The business trajectory is based on a 4-D flighttrajectory supplemented with additional information describing thebusiness attributes of the flight, under the overall coordination ofa network wide traffic management.

The performance of the future ATM System will then be builtaround delivery of air traffic services which enable these trajecto-ries, with all partners in ATM working to a common time referenceand a common set of values and goals. The functional design ofthe System will have a coherent system-wide information mana-gement to facilitate the collaborative decision-making. The Systemwill deliver air traffic services, which allow seamless en-route-to-

en-route operations, integrating gate-to-gate performance and theairport turn-around process for best overall ATM System perfor-mance.The future ATM System will be designed and operated to providea quality of service, which maximises predictability and minimisesthe amount of variability within the constraints of the availableinfrastructure.

Short term Improvements – first step in theright direction

The first SESAR Milestone Deliverable (D1) identified the mostrelevant blocking points in the airspace and airport areas for whichpromising and mature initiatives have been further analysed.

• For Cost-effectiveness and Capacity these initiatives appearto have the potential for operational savings of approximately€0.5-1 Billion/year by increasing capacity. At least one third isderived from a more efficient use of existing airspace and airportresources.

The recommended short term improvements will be significant forthe medium fast growing airports. The large European airportshave already implemented these solutions and should look atmore efficient use of Collaborative Decision Making (CDM) toenhance capacity under all conditions. Some short term improve-ment at some locations might be difficult to achieve due to localpolitical considerations.

• Safety – Meeting the challenge of maintaining and where pos-sible improving safety levels in the short term will require thedeployment of a consistent approach to improving safety manage-ment in Europe. The European Safety Programme is considered tobe the most suitable vehicle to generate the necessary changes.

This is to be complemented on the airport side with theImplementation of Advanced Surface Movement Guidance andControl Systems (A-SMGCS) coordinated with the European ActionPlan for the Prevention of Runway Incursions.

Improved Operations to meet the Performance Targets



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Irrespective of any future vision the human will remain the mostflexible and creative element to direct the performance of the ove-rall ATM System including the management of threats, errors andunpredictable events. In order to meet the challenge of the perfor-mance objectives of the future ATM System, the Concept ofOperations will evolve and will benefit from greater support fromautomation and an increased integration of airborne and groundcapabilities.

It is identified that the changes in the operation of the future ATMSystem will involve a change in the human roles which requires anextensive change management process that integrates HumanFactors, Social Dialogue and all relevant aspects of recruitment,training, competence verification and staffing proactively andthroughout the entire process of system development, design andimplementation.

The European Civil Aviation Sectorial Social Dialogue Committee isconsidered as a first promising step to have a European social dia-logue, which could be expanded to cover more social provisions byway of collective agreements if social partners (at European level)so desire.

Continuous social dialogue between management and operationalstaff at a working level should be established as one importantmeans in an advanced change and transition management pro-cess to identify and address the social impacts of introducedchanges. A better awareness and understanding of the SocialDialogue practices and processes can be created. Its effectivenessand impacts on ATM performance should be further investigatedduring the SESAR Development and Deployment Phase.

• Environment – abatement procedures and techniques, basedon existing technical enablers in current aircraft should be furtherimplemented to improve flight efficiency and help to minimiseaviation’s impact footprint. It is essential that stakeholders areseen to adopt and deliver challenging and robust environmentalsustainability policy. At airports in particular, a more pro-activeapproach is expected, including adoption of CollaborativeEnvironmental Management (CEM) process between ANSPs, usersand airport operators, and supported by effective engagementwith local communities.

• Security – Improvements will be achieved through the collabo-rative support of the ATM System with relevant civil and militaryauthorities, using agreed information and communication techno-logy security components. The NATO/EUROCONTROL ATMSecurity Coordination Group (NEASCOG) has set up a Programmeof Work to enhance ATM Security including several actions appli-cable for the short-term.

The Role of the Human in ATM

For the long-term economic development of Europe and its airtransport system, States and the European air transport industrystakeholders must adopt the Vision and agree on the ATM Systemperformance targets to meet the expectations. This will require thecommitment and support of all stakeholders and a willingness toparticipate in emerging new structures.

It is anticipated that growth at some high-density airports will belimited, despite operational mitigations to improve their utilisation.Therefore additional airport infrastructure will be required forEurope to maintain its competitiveness.

The present European air traffic service provision must transitiontowards a performance-based approach. A firm ATM PerformancePartnership is essential, in which all stakeholders have the sharedunderstanding of the need to optimise collectively the ATM Systemperformance and agree on targets and trade-offs. For example theeffectiveness of SESAR will be critically dependent on reinforcingthat air traffic management is an integral part of airspace users’and airport operators’ businesses.

The European air transport industry must act collectively, on envi-ronmental sustainability. Moreover the ATM Partners, must fostertheir contribution to the protection of the environment by conside-ring noise and atmospheric impacts. It is vital that sustainability iswoven into ATM decision making. Present efforts of the EuropeanAir Transport Industry on improving environmental efficiencyshould be accelerated by implementing all relevant measuresrapidly.

The Business Trajectory concept will ensure the best outcome forall individual flights; all stakeholders have to acknowledge theirresponsibility towards the enabling of an effective operation of theATM System, including the safety, environmental sustainability andsecurity aspects associated with the transportation of public andgoods and all aeronautical activities.

Performance Partnership is Key!

Conclusions


December2006


The SESAR Milestone deliverable D1 identified the Air TransportFramework - The Current Situation and concluded that thenature and scope of the European ATM System had to change. Itrecommended that all ATM aspects throughout the wider air trans-port industry should be brought together to function as one sys-tem and be managed by one management framework as shown

in Figure.1-1. This fundamental conclusion from D1 and the asso-ciated recommendations made within it form the basis from whichD2 has been developed.

Air Transport Framework – The Performance Target (theSESAR Milestone Deliverable D2) provides the economic outlookfor the air transport industry in 2020 with an associated visionhow this outlook will shape the future European ATM System tomeet the performance required for 2020 and beyond.

The ATM System covers specifically the operational and technicalaspects, including the principal functional elements making up the

System’s architecture and the information needed to flow betweenthem [Ref.21]. The management framework is defined to be theoutline structure needed to coherently and consistently manage allof the aspects needed to make it perform as a single ATM Systemin the widest sense.It means bringing those aspects of ATM, which exist today in the

scope of the airspace users’ and airports’ industries into one sys-tem and one management framework. This management frame-work will require governance arrangements to achieve a balancebetween the growing needs of the aviation industry and respectingthe needs of society as a whole. These governance arrangementswill consist of a representation from all major stakeholder groups,including State/Governmental bodies as appropriate.

1 Introduction

NON-EUROPEANASPECTS OF

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ATMASPECTS OFAIRPORTS

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F igure 1-1 Out l i ne o f the fu tu re f ramework fo r the European ATM Sys tem



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It is proposed that the management framework covering the futureEuropean ATM System is explicitly partitioned into a businessmanagement framework and an institutional/regulatory manage-ment framework, both of which operate according to the sameoverall performance framework as shown in Figure 1-2. However,a “Dynamic Working Relationship” should exist between themanagement frameworks, not only to ensure the appropriatetransparency of their activities, but also to facilitate them underta-

king co-operative working practices that are driven by the com-mon aim of realising benefits for the air transport industry and theEuropean society as a whole.

The structure of this document is as follows:

Chapter 2 – THE 2020 VISION OF THE AIR TRANSPORT INDUS-TRY identifies and characterises the vision of the Air TransportIndustry in 2020 and the framework for the future European ATMSystem. This vision addresses the business management aspects,the institutional/regulatory aspects and provides an outline of theorganisational arrangements, which link the principal manage-ment functions to be performed within and between these twomain areas.Chapter 3 – PERFORMANCE FRAMEWORK AND TARGETS cha-racterises in detail the performance framework, which will be usedto define, measure and manage the performance of the futureATM System. This includes the definition of the performance tar-gets, which will be used to scope the design of the future ATMSystem, especially the future Target Concept.

Chapter 4 – SHORT-TERM IMPROVEMENTS BASELINE identifiesand recommends short-term improvements (in the timescale bet-ween 2008 and 2013). These short-term improvements respondto some of the weaknesses of the current ATM System, whichwere identified in D1. They will be harnessed and used to informand scope the more rigorous assessment of on-going initiativeswhich will be included in the SESAR milestone deliverable D4.Chapter 5 – PRINCIPLES FOR THE WAY FORWARD TO 2020 iden-

tifies a number of principles, guidelines and aspects of “best prac-tice” which are associated with the major subject areas. These willbe used to steer, govern, enable and/or direct the design anddevelopment of the future ATM System framework. They havebeen derived from the strengths of the current situation as identi-fied in D1 and are considered to be qualitative requirements whichshall be taken forward for consideration in the future.

Notwithstanding the snapshot of the current situation described inD1 as well as the vision and, plus performance targets, outlined inthis D2 document, it is acknowledged that very few of the envisa-ged change proposals can take place, nor most of the major bene-fits can be realised without a significant, coherent change andcontinuous political will to deliver it throughout Europe today. Thisis needed to make some fundamental changes to the governancestructures and, the values, which steer the approach taken tomaking decisions about air transport, and the way in which airtraffic is managed at present.

DynamicWorking

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BusinessFramework

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F igure 1-2 Re la t i onsh ip be tween Ins t i tu t i ona l /Regu la to r y, Bus iness & Per fo rmance F rameworks


December2006


The air transport industry aims to meet the needs of other indus-tries and society as a whole by offering products and services,which facilitate achieving mobility by air. Figure 2-1 shows thisrelationship in very simple terms, together with its ensuing rela-tionship with the future European ATM System. Overall the ATMSystem aims to meet the needs of all airspace users and airport

operators by supplying services, which expedite the safe and effi-cient movement of aircraft throughout the airspace and airports’infrastructure.

In this chapter a brief outline of society’s future needs and expec-tations of the air transport industry is given. This is followed by theoutline of a vision for the air transport industry in 2020 and

beyond, together with a vision for the future European ATM Systemto accompany it. Throughout the description of these visions thebinding thread will be the:

1 - Notion of the demand for and supply of air traffic services(as depicted in outline terms in Figure 2-2).

2 - Conduct of ATM in accordance with the seven ATM Operational Concept Components defined by ICAO [Ref.21].

3 - Whole being driven by an ATM performance framework based upon the eleven key performance areas (KPAs) asdefined by ICAO [Ref.21].

2 The 2020 Vision ofthe Air Transport Industry

2.1 Introduction

SOCIETY

AIR TRANSPORTINDUSTRY

FUTUREEUROPEAN

ATM SYSTEM

Air Transport Industryí sneeds & requirements

of the FUTURE EUROPEANATM SYSTEM

Society’sneeds & expectationsof the AIR TRANSPORT

INDUSTRY

ATM services deliveredby the FUTURE EUROPEAN

ATM SYSTEM to meetneeds & requirements

Products offered tosociety by the

AIR TRANSPORT INDUSTRYto meet needs &

expectations

F igure 2-1 Pr inc ipa l re la t i onsh ips be tween Soc ie ty, A i r Transpor t I ndus t r y and ATM Sys tem



015

Figure 2-2 shows the principal relationships between the airspaceusers, airport operators and the future provision of air traffic ser-vices from the ATM System. The relationship is dictated by an ATMbusiness model, which is derived from the models of the individualstakeholders models and where joint decisions are required regar-ding the performance of the ATM System. Airspace users placedemand for capacity upon airports in terms of the infrastructure(e.g. runways and terminal facilities). Airport operators provide theairspace users with the amount of infrastructure they can supply.Airspace users place the demand for the capacity of airspaceupon the ATM System and, together with the airport operators, thedemand for the provision of air traffic services as a whole. TheATM System supplies the access to airspace in conjunction withthe provision of the appropriate air traffic services with the princi-pal aim of maximising the use of the available infrastructure in themost efficient and cost effective manner to the benefit of all the

stakeholders. In addition, common challenges such as safety,environment, and security require an ATM partnership within asupportive and harmonising framework in order to deliver the mostcost effective solutions and avoid unnecessary constraints. It isthis tripartite relationship, which will form the basis of the visionfor the future European ATM System.

The vision for the management framework of the future EuropeanATM System will develop the relationship shown in Figure 1-2,addressing explicitly the business and institutional/regulatoryaspects. Whilst SESAR is addressing the institutional and regula-tory aspects of ATM, it must be remembered that almost allaspects of the air transport and wider aviation industry are subjectto regulation in a variety of forms. The overall aim is to maintaincoherence with these, where appropriate.

DEMAND FORCAPACITY OF AIRSPACE

& PROVISION OF AIRTRAFFIC SERVICES

FUTURE EUROPEANATM SYSTEM

AIRSPACEUSERS AIRPORTS

AIR NAVIGATIONSERVICE

PROVIDERS

DEMAND FORPROVISION

OF AIR TRAFFICSERVICES

DEMAND FOR CAPACITYOF AIRPORT INFRASTRUCTURE

PROVISIONOF AIRPORT INFRASTRUCTURE

SUPPLY OFAIRSPACE CAPACITY &AIR TRAFFIC SERVICES

F igure 2-2 Out l i ne o f P r inc ipa l Re la t i onsh ips w i th European ATM Sys tem


December2006


Today, aviation is a fundamental pillar of global society. Society’sexpectations from aviation are, therefore, not only to achieve grea-ter mobility through the provision of safe and environmentallyacceptable air transport services, but to achieve greater globalstability in terms of peace and security, whilst allowing, in princi-ple, access to all through the promotion of all forms of aviation toachieve a higher “quality of life”. This encompasses not only thosewho have a commercial interest in providing air transportationmeans, but also military organisations who have an obligation toprovide defence and security services and those who wish to pur-sue aviation related activities for increasing knowledge, leisureand enjoyment.

The global environment affecting the demand for air transport overthe next two decades is expected to continue to vary in line withthe fluctuations in Gross Domestic Product (GDP) growth.However, short-term events can easily create competing pressu-res between the ease with which the means to supply air trans-port can be obtained and the ability to meet the changing natureof the demand. Consequently, although the trend is expected to befor steady growth as economic globalisation continues, the peaksand troughs of the fluctuations, together with their timing willalways create uncertainty.

The pace and extent of globalisation will continue to be the predo-minant driver for World economic growth. Between 2006 and2020, the global GDP is forecast to grow at an average annualrate of 3.5%, but this will not be uniformly distributed geographi-cally. Of the major developed economies, the United States, atalmost 3%, is expected to outpace both the European Union, ataround 2%, with Japan struggling to reach 1%.

The fastest growth is anticipated to be from the developing eco-nomies in Asia, especially those of China and India. This shift willresult in Asia taking a greater share of Global GDP, rising fromaround 35% in 2005 to slightly over 43% by 2020. During thesame period Europe’s contribution is thought to fall slightly fromabout 21% in 2005 to 19% by 2020.

In addition, expectations are for:

• Populations to shift towards living in cities.• An increase in the average age of the World’s population.• Increased tourism, with:

� Traditional destinations still able to accommodatesignificant growth.

� Emerging markets opening up new destinations.� A wider group from society as a whole having larger

disposable incomes.

Cargo is a fundamental part of the air transport industry and abouthalf the intercontinental volume is carried in passenger aircraft.Demand is concentrated between and/or within the 3 main pillarsof the World’s economy, namely Asia-Pacific, North America andEurope, with typically around 60% of the World’s freight tonne kilo-metres (FTKs) moving within the United States. Naturally increa-sing commerce and further globalisation will create demand forsuch air cargo services, these being aligned with the growth figu-res outlined above.

2.2 Societal Expectations and Needs

Growth in GDP• Average of ~3.5% per annum• Rate highest for developing economies un Asia

Demographics of Population• Major proportion of people living in cities• Average age increasing

Evolution of Tourism• Traditional destinations not yet saturated• New destinations being opened• Greater disposable incomes across wider societal

groups will fuel demand• Growth rate expected to be between ~2% per

annum (Europe, N America, W Africa) & ~7.5% per annum (Far East, Middle East, S Africa)

Global Trends

Mobility demand & modal spilt• Share of passenger air traffic expected to increase

from 8% in 2000 to 11% in 2020

Revenue Passenger Kilometers (RPK)• Expected to increase by ~4.4% per annum

Market segmentation & Fleet Development• More very small jets & more very large aircraft• Different growth rate across different segments

Overall demand for flight movements• Expected to increase by ~4.2% per annum

Network adjustment due to constraints• Lack of infrastructure at airports may constrain

growth to ~3.4% per annum

Trends in Europe



017

Stimulated by this economic growth there will clearly be an increa-sing demand for air transport services overall, with continual pres-sure on air transport operators to offer these at competitively lowerprices. End customer value is reflected in the quality of the airtransport services offered and received. In general, the characte-ristics of mobility, frequency, punctuality, accessibility and connec-tivity, coupled with confidence in the degree of safety and securityunderpinning the service, plus the approach being taken to meetother societal aspirations in a responsible manner (e.g. the impactproviding the service has upon the environment) all determine thequality. However, it is the value for money embodied within theprice of the product (and hence, the cost effectiveness of delive-ring the service) that will prevail.

In addition to being subjected to pressures from the end custo-mers for “more for less”, air transport operators will also find itmore difficult to control variability in their direct operating costs, beable to respond quickly to short-term fluctuations in demand andcreate a sustainable business. The price of crude oil is forecast toremain above US$50 per barrel for the next 25 years and beyond.The overall demand for energy will increase, as a result of econo-mic growth, and the fluctuations in the price of crude oil are ine-

vitable. This may slow economic growth, since a long-termincrease of US$5 per barrel can typically result in a 0.3% reduc-tion in GDP growth. Furthermore, global risks, such as terroristattacks, will affect the air transport market at different levels. Last,but by no means least, there will be an increasing pressure on allair transport stakeholders to minimise the impact aviation has onthe environment. To create a long-term sustainable aviation indus-try the air transport operators need to have a more detailedunderstanding of their respective business models to identify thepressures, which can be applied throughout their various valuechains, including the ATM value chain.

While air transport makes a significant positive contribution tosociety’s quality of life, prosperity and culture, society presentlyexpects as well that the increasing socio-economic costs of avia-tion’s adverse environmental impacts are minimized. Advances intechnology and/or environmental performance are expected to besignificant, but policy response to those opposing interests mayinclude further constraints on the ATM system and ATM shouldtherefore pursue every opportunity to support aviation in becomingmore sustainable and achieving the optimum balance betweensocial, economic and environmental imperatives.

2.3.1 Market Development

The EUROCONTROL long term forecast 20041 has been selectedas the reference [Ref.25] for studying the future of air traffic inEurope at the 2020 horizon. However, it must be remembered thatit forecasts only the number of IFR flights, not air traffic demandas a whole, but due consideration will be given to all of the maincategories of flight, as appropriate.

The forecast considers four main scenarios, namely :

• Scenario A : Greater globalisation and rapid economic growth,with free trade and open skies agreements encouraging growth in flights at the fastest rate.

• Scenario B : Business as usual, with moderate economic growth and no significant change from the status quo andcurrent trends (Note: EU expansion is at its fastest in thisscenario).

• Scenario C : Strong economies and growth, but with strong government regulation to address growing environmental issues. As a result noise and emission costs are higher, which encourages a move to larger aircraft and more hub-and-spoke operations. Trade and air traffic liberalisation is more limited.

• Scenario D : Greater regionalisation and weaker economies leading to increased tensions between regions, with knock-on effects limiting growth in trade and tourism. Consequently,

there would be a shift towards increased short haul traffic.Security costs increase further beyond 2010, with the price of fuel being at its highest in this scenario, it reaching close to 40% of the airline operating costs by 2020 and beyond.

In order to consider the most demanding criteria which could beplaced upon the future ATM System by the most optimistic ofexpectations for global economic growth, Scenario A has beentaken as the basis for the development of the future air transportvision and the setting of the performance targets for the System.

Based upon the economic forecasts outlined in section 2.2, thetotal added value of air transport to the European GDP could be upto €470Bn by 2020. Clearly this equates to the largest expectedincrease in the amount of air traffic, with the overall European ave-rage annual growth in the number of IFR flights for the period2006-2020 forecast to be around 4.2%2/year. However, withoutmajor expansion plans, airports will constrain this growth toaround 3.4%/year.

In 2020, traffic demand is forecast to be around two times higherthan in 2005. With 9.1 Mn flights having taken place in Europe in2005, this translates into approximately 18 Mn in 2020. SomeEuropean airports will struggle to accommodate such growth andin 2020 around 60 airports are expected to be congested whilethe top 20 airports are saturated for 8-10 hours/day3.

2.3 Vision of Air Transport in 2020

1 - With updates from the 2006 version to be released in December 20062 - The forecast from D1 is a 4.4% average per annum over the period from 2005 to 2025, expressed in revenue passenger kilometres (RPK). This is consistent with the 4.2% figure for the unconstrained demand in the number of flights.3 - ECAC/EUROCONTROL Challenges to Growth Study 2004.


December2006


The effect of the lack of airports’ infrastructure in constraining thedemand is shown in Figure 2-3. The expectation is that the growthin air traffic will be constrained to be about 1.7 times higher thanin 2005, resulting in the ability to accommodate only about 16 Mnflights. If airports’ capacity fails to meet demand, there could be a

potential yearly loss to Europe of about €50Bn of added value in2020 growing to €90Bn and up to 1.5 Mn jobs in 2025.

As 70% of the 50 largest European airports have reached theirsaturation points today, a clear vision is needed of how to bothcreate more capacity to ensure the European economy overallremains competitive and to ensure the best operations.

The obvious solution would be to simply build more runways andthis must certainly be strongly progressed. However ecologicaland land management considerations within Europe prevent newrunway capacity to be added easily. Therefore complementarymeasures must also be taken to mitigate against the potential impactof a lack of airport capacity. These measures should include:

• Developing new technologies and procedures that can optimizethe use of the available airport capacity commensurate with meeting the environmental performance requirements, which will surely accompany them.

• Improve the coordination during the tactical flight planning process of the departure and arrival times between airports tominimise the potential loss of capacity due to real-time changesin circumstances throughout the tactical flight planning process.

• The airspace users’ decision to change their business model

to maximise the benefits, which can be realised from the circumstances being presented at any one time (e.g. redistributingthe demand to airports which do have spare capacity).

• Enhancing the All Weather capability of the system to maintainthe capacity of airports under all conditions.

• Other possibilities to provide and/or secure additional airport capacity should include measures such as engagement with local communities, improved and enforced land-use protection,as well as an increased joint civil-military use of military airfieldsand/or a transformation of airfields abandoned by the military.

• Establishing an inter-modal transport structure within which air transport and railway industries can compete on an equallycompetitive basis, providing complementary services to their customers through interconnecting international airports,regional airports and highly populated cities.

Traffic growth is forecasted to be at its strongest outside ofEurope. This means inter-continental traffic flows will make up alarger portion of the overall traffic.

Figure 2-4 summarises, for scenario A, this overall expectedgrowth in IFR flights, showing the geographical distribution of theprincipal traffic flows.

2.3 Vision of Air Transport in 2020 (continued)

5

Effect of airport constraintsin the highest

growth scenario (A)

Effect in the lowestgrowth scenario (D)

0

1970

IFR

FLIG

HTS

PER

YEAR

IN E

SRA

(MIL

LION

)

1980

Actual

1990 2000 2010 2020 2030

15

10

25

202.5

2.1

1.71.6

1.0

Scenario AScenario BScenario CScenario D

F igure 2-3 E f fec ts o f A i rpor t Cons t ra in ts on Growth Scenar ios



019

It is expected that some types of demand will, at times, grow fas-ter than others. This is summarised as follows:• The market share of low-cost airlines could reach 25% within

the next 6 to 7 years, but the distinction between low-cost airlines and other carriers is likely to diminish in the longer term.

• Business aviation is forecast to grow substantially, with its fleetexpected to increase by 1000 aircraft in Europe within the next15 years. EBAA reported a steady growth at around 5%/year.

• According to IAOPA, GA (mostly VFR) traffic is expected to growsteadily at an average of 2%/year up to 2020.

• Global RPKs of those European carriers, which operate intercontinental services, can increase faster than their RPKs in European airspace.

• New types of demand may emerge, such as:� Air taxis providing more personalised types of air

transport service using very light jets (VLJs).� Unmanned aerial vehicles (UAVs) being used, for example,

more extensively by the military, police, and for the carriageof freight.

� The range of aircraft sizes will expand, with micro-jets appearing at one end of the scale and ultra-large jets at theother.

� The number of military air movements is not expected to increase greatly. However, the size of airspace required andthe need for flexible routing options will change due to the need to operate new types of aircraft, evaluate increasinglysophisticated weapon systems and exercise their associatedtactics.

As tourist destinations change, and as the service-based economyof Europe increasingly shows its ability to shift geographically, it isaviation, more than any other transport mode, which is recognised

as being able to service the changing demand. In the future air-craft operators must be able to reconfigure their network to meetthe demand wherever it may be.

2.3.2 The Airspace Users Value Chain

The airline industry is recovering from one of its worst crises.Several airlines have gone out of business and in certain regionssome are still facing bankruptcy. This situation raises fundamentalquestions about the financial sustainability of the so-called “legacycarriers” and of their associated traditional business model.

Air transport creates value, both externally to its customers and inter-nally to those stakeholders within the air transport value chain, butinvestors in the industry need a satisfactory return to justify their invest-ments. Some sectors within the chain are able to cover the cost of theircapital [Ref.2], but currently the airspace users are not. A number ofissues have been identified [Ref.2] that affect today’s performance and,potentially, constrain the ability of the air transport system to organiseand operate at maximum effectiveness in the future. These relate to:• Achieving financial sustainability.• Managing the expectations of the end customers when the

pressure from them is for “more for less” in a liberalised,competitive market for the supply of air transport services.

• Continually managing the price of the end product with respectto their costs.

• Maximising the use of some infrastructures, which are locally saturated.

• Having to interact with today’s ATM System, which is veryfragmented [Ref.2].

• Having to meet regulatory obligations, which often overlap andalso are unharmonised.

AVERAGE ANNUALGROWTH IFR FLIGHTS2003-2025

More than 5%4% to 5%3% to 4%

Scenario A : Globalisation and Rapid Economic Growth(Thicker arrows have more traffic)

North Atlantic

Others

Far East

SouthernAfrica

NorthAfrica

Mid & SouthAtlantic

Mediterranean

East

North West

ESRA

Former CIS Region

Middle East

F igure 2-4 Growth by Tra f f i c F lows expec ted in the EUROCONTROL S ta t i s t i ca l Re fe rence Area (ESRA)

D1 concluded that some changes are needed to strengthen thevalue chain to the benefit of society as a whole, the end customersand the air transport stakeholders. The specific time when air traf-fic will be double that of today might be uncertain, but the aimmust be to design the future ATM System to accommodate suchgrowth. Because the current System functions, within some cor-ners there might be a resistance to change. However, to preparefor the future it is in everyone’s interest to start initiating the nee-ded changes.

It is unlikely, nor indeed necessary, to alter all parts of the airtransport value chain. Neither may it be possible to directly affectsome parts of it. It is considered that the best approach to streng-then it would be to alter the institutional environment (i.e., regula-tions, how it operates and the financial framework) in which the airtransport system responds with new models to deliver the needsof the end customers.

The following summarises the main aspects that are considered tobe of importance to the principal airspace user groups whenconsidering how to shape the vision of the future ATM System.

2.3.2.1 Commercial Airlines

The liberalisation of world markets and the rise of the Internet inthe last decade has had a fundamental impact on the global eco-nomy and the airline industry. The resulting increased competitionhas created customer expectations for lower prices and conse-quently, reduced the pricing power of the industry. To survive thischange legacy carriers had to react by significantly reducing theircosts and customising their products to meet customer needs.Between 1990 and 2000 average yields fell by about a third inreal terms and the airline industry responded by increasing its pro-ductivity by typically 45%. Despite this effort the operating profitnever exceeded 2.9%, and ranged as low as -3.9% in 2001.

Commercial airlines order aircraft according to the future marketforecasts for air transport services, but in many cases, operatewithin the capacity constraints of the available infrastructure atairports and the wider ATM System. This “disconnect” needs to beaddressed such that the planning and implementation of thefuture infrastructure needed responds to the needs of the market.

To cater for the different needs of the market, and according to theinfrastructure capability available, different air transport businessmodels have evolved, resulting in different values. Further evolu-tion of these will be inevitable, but the main characteristics andfuture expectations for each are summarised as follows:

• Legacy carriers:� The products offered by the major airlines are adapted to

all types of passenger, but the core of their business is the

business traveller, with last-minute bookings, open tickets and catering for long-haul and short-haul journeys.

� The hub and spoke style of operation is, and will remain,a necessity for carriers with an air transport network. This isparticularly important for long-haul services when managingthe different types of customers whilst keeping farescompetitively low. However, if hub airports are unable to accommodate the growth needed, the network will distort,with a possible loss of less profitable (mainly short-haul) markets.

� Driven by competition and continuing liberalisation of the market, the future consolidation of legacy carriers is a continuingexpectation through business failures, mergers and alliances.Today 3 major Worldwide alliances exist which have a strong European dimension – British Airways/Oneworld,Lufthansa/Star, Air France-KLM/Skyteam. The total worldwidemarket share of alliances today is ~55% in terms of RPK and ~50% in terms of revenue. With new members expected,these figures will increase to ~61% and ~60% respectively.

� On short haul, the flight itself is more of a commodity. The main differentiation is made through the ground service,with network services sold at a premium.

• Regional carriers:� The product tailored to the small business, short-haul market,

or can be used by legacy airlines as a feeder to a hub.� Although on a different scale to the legacy carriers, the same

pressures and values prevail regarding short-haul operations.� In a competitive environment it is not possible to serve a

selected market without a minimal number of flights (and this number decreases with distance). For example, on short haul, it is not possible to compete against rail or roadwithout having a sufficient frequency in the number of flights. This will become an increasing problem unless sufficientairspace and airport infrastructure is available in the future.

• Low-cost carriers:� The product has been created to provide point-to-point,

short-haul services aimed at the individual traveller who is able to define their journey very early before departure.

� Their business model is based on a high fleet utilisation through short turn around time and strict passengers policiesas well as minimum overheads.

� Similar pressures and values prevail regarding short-haul operations, but the point-to-point nature enables greater flexibility to open and close routes to respond to rapid changesin demand.

� Driven by competition and continuing liberalisation of the market, the future consolidation of low-cost carriers is a continuing expectation, primarily through business failures,mergers and take-overs.


December2006





021

• Charter and “on–demand” flights:� Some traditional carriers have become “squeezed” between

changes to the products offered by legacy carriers and those offered by the low-cost carriers, with some creating low-cost carrier products in order to capture a share of the market.

� A continuing significant demand for seasonally driven (e.g.to established holiday destinations), very short-term driven (e.g. to major sporting events) and “new product” driven (e.g. day trips to popular historic cities and places) capacitybeing sold to groups.

� Expectations are for a trend towards more longer distance flights than has been generally the case in the past.

� Some aspects and behaviours are very similar to those of General Aviation.

2.3.2.2 General Aviation and Business Aviation

General Aviation (GA), and Business Aviation (BA) (in this documentGA and BA should be understood to include rotorcraft, aerial workand sports aviation) enable people and goods to move in an “ondemand” manner, which is quick, flexible and efficient over distan-ces ranging from very local flight activities to intercontinentalflights. Since GA and BA have a low requirement on ground infra-structure, they can operate not only at the main international air-ports, but also the more remote regional aerodromes. People andgoods are transported for a wide variety of both commercial andprivate purposes. Since GA and BA aircraft can be used in a veryflexible manner, in effect offering a more “personalised” form of airtransport, it is expected to become increasingly more valuable tosociety, commerce and individuals.

In developing States such aviation is typically State-sponsored,whilst in States with a more developed economy, greater relianceis upon funding from private enterprise. For example, the businessmodel of a GA commercial enterprise is a small company, ownedby less than 4 or 5 persons, operating typically less than ten air-craft and delivering a wide range of services as outlined above.This model is not expected to change in the next two decades. InEurope, GA, whether commercial or non-commercial, is basedupon private investment and private funds for operation. However,in some States the fuel is tax-free and some support aviation clubsas they are considered of social and cultural value. While GA inEurope has stagnated over some decades because of rising costsof fuel, maintenance and regulation and because the fleet of GApower driven aircraft is aging, new aircraft types are now in pro-duction. With the advent of highly fuel-efficient engine types andadvanced airframes it is expected that GA will develop at a rate of~2 %/year up to 2020 and BA at a rate of ~5%/year. However,this will to a large extent depend on a reduction of the cost ofregulation and taxation.

GA activities will continue to need large portions of the airspace inwhich to operate, particularly in the low altitude structure, and to

be able to gain access to airports located in closely controlled airs-pace, either to operate into major airports, or to peripheral, so-cal-led reliever airports. For BA in particular, having a future ATMSystem, which allows access to airspace and airports withoutdelay, will be fundamental for the viability, health and growth ofthis sector.

2.3.2.3 Military Aviation

The strategic objectives of military stakeholders are determined byNational security and defence policies, international security anddefence commitments and the resulting political decisions.Consequently, the drivers and values are different from those ofthe other air transport stakeholders.

Expectations are that EU Member States, whilst more closely coor-dinating their needs for air traffic services from a future EuropeanATM System, will continue to retain full responsibility for theirnational infrastructure, plus base their requirements upon andmake decisions from a sovereign national perspective. However,major enhancements in civil-military co-operation and co-ordina-tion to facilitate meeting simultaneously military and civil needsare expected to occur to the maximum extent possible in thefuture. In particular, the future defence and security environmentwill require a more standardised and flexible ATM System wherenew mission profiles can be efficiently accommodated and wheremilitary contributions to the air transport value chain are fully reco-gnized. The enhanced civil-military co-operation and co-ordinationmust develop new mechanisms, criteria and structures to improveATM efficiency and cost effectiveness through a more integratedcivil-military management of the European airspace, reducingfragmentation and duplication of infrastructure.

2.3.3 Airspace Users’ Requirements for Air Traffic Services from the ATM System

From the characteristics, values, drivers and expectations high-lighted in section 2.3.2, it is clear that in order for airspace usersto capture the future market for air transport services in a sustai-nable manner and meet the needs of an increasingly sophistica-ted end customer who has greater choice, influence and purcha-sing power over these services, they will need to put greater pres-sure on their suppliers to provide “value for money”.

Despite the broadening of the customer base and the divergingnature apparent in some of their needs, the need from the airportoperators and future ATM System are quite common – more capa-city in terms of access to airspace and airports’ infrastructure, anda more capable ATM System than exists today.

In order to bring together, in a more detailed manner, the variouscharacteristics of the airspace users’ needs, the notion of a so-called “business trajectory” has emerged as being central to theway in which they envisage the future ATM System performing.


December2006


The ““business trajectory” is “the representation of the businessintention of an airspace user with respect of a given flight. It isaimed at guaranteeing the best business outcome for the flight asseen from the airspace user’s perspective. At the airspace user’sdiscretion this outcome may be with respect to the minimum timefor the flight, the minimum cost, or any other characteristic of thetrajectory. Although perhaps not as obvious as for commercial air-lines, business aviation, general aviation and the military also havesome kind of “business” intention, even if the detailed terminologyto define it, and the criteria upon which it is based, are different.Notwithstanding such differences, the accent is on “intention” andnaturally, all must be carried out in a manner which guaranteesthe safety of life and takes into account the need to meet environ-mental and security requirements.” [Ref.3]

Being able to fly the flight profile, which is embodied within thistrajectory, is the ultimate goal and consequently, the airspaceusers require the future ATM System to enable them to do so. Theinitial trajectory intention should no longer be constrained bylegacy airspace divisions.The business trajectory will, by guaranteeing “the best businessoutcome”, maximise the value for the airspace users and thus,strengthen the whole air transport value chain. It will also be sup-

ported by the business management and institutional and regula-tory frameworks of the ATM System, which are structured, andincentivised to achieve the same aim.

Although all airspace users have different business models, theirexpectations on the provision of air traffic services and the (air-side) performance of airport operators is principally focused“equally” on access, cost effectiveness, efficiency, capacity andsafety. However, flexibility and predictability expectations can varydepending upon the applicable business model. These differenceswould be expressed in the “business trajectories” and, of course,depend upon the capabilities of the aircraft being used.

The structure and scope the airspace users’ needs as well as thecharacteristics embodied within the “business trajectory” aretranslated into the performance requirements of the future ATMSystem. These are expressed by the 11 KPAs as developed byICAO [Ref.21]. Table 2.1 lists the KPAs and gives an explanation ofhow they will be considered and used to scope, define targets forand manage the performance of the future ATM System. There areinteractions between KPAs that may result in new and revisedrequirements than the consideration of a single KPA at a time.

Access & Equity The future ATM System should provide an operating environment to ensurethat all airspace users have the right of access to the necessary ATM resources needed for them to fulfil their specific requirements in a safe manner.

Although not a direct characteristic of the operating performance of the futureATM System, it is a principle, which enables the relevant performance to beachieved in other areas.

Capacity The future ATM System should provide the capacity to meet the demandat the times when and where it is needed.

This is a key operational performance area which must be considered inconjunction with the need for efficiency, flexibility, and predictability, whilst, inparticular, ensuring that there are no adverse impacts on performance in the areas of safety and environmental sustainability.

Cost Effectiveness The price of the air traffic services provided by the future ATM System shouldbe cost-effective with respect to meeting the individual needs of the relevantairspace user.

Efficiency Efficiency addresses the operational and economic cost-effectiveness of flightoperations from a single-flight’s perspective and will be central to achievingthe environmental performance targets, which will be placed upon the futureATM System.

Clearly it is a key area for assessing operational performance and is at the heart of being able to achieve success through flying the business trajectory.

In addition to single flight perspective, the overall network efficiency isconsidered as well.

Environmental Sustainability The lack of a high level of environmental sustainability performance could impact stakeholders’ reputation.

The future environmental system performance will be a requirement and the future ATM System must meet their obligations in this respect. Although not a direct characteristic of the operating performance of the future ATM System,performance criteria will be defined as part of the requirements placed uponaviation as a whole and therefore, the contribution that the ATM System must make, and should be seen to make, to minimise the impact.

Key Performance Areas Airspace Users’ Expectations of the Future ATM SystemTable 2.1 : Characterisation of Airspace Users Expectations




023

Flexibility Flexibility addresses the ability of all airspace users to modify the requirements they place on the future ATM System in a dynamic manner.

Clearly it is a key area for assessing operational performance and is also at the heart of being able to achieve success. In this case it is having theability to make changes to the business trajectory, thereby permitting operational opportunities to be exploited as they occur.

Interoperability The functionality and design of the future European ATM System must be based upon the use of global standards and uniform principles to ensure technical and operational interoperability of ATM Systems can be achieved.

Although not a direct characteristic of the operating performance of the future ATM System, it is a principle, which enables the relevant performance to beachieved in other areas since, for example, failing to do this will clearly havea financial impact on aircraft equipage and hence, investment costs.

Participation As changes to factors which will affect the performance of the future ATM System, either directly or indirectly, are identified, all stakeholders must maintain acontinuous involvement in the identification, scoping, planning andimplementation activities to ensure the air traffic services provided remain“fit for purpose”.

Although not a direct characteristic of the operating performance of the future ATM System, it is a principle which enables the relevant performance to beachieved in other areas, especially with respect ensuring future changes tothe ATM System are identified, scoped, planned and implemented in a manner which ensure its performance will be to the maximum benefit of all stakeholders.

Predictability Predictability refers to the ability of the future ATM System to enable the airspace users to deliver consistent and dependable air transport services. It is essential to airspace users as they develop and operate their business trajectories.

Clearly it is a key area for assessing operational performance and is also at the heart of being able to achieve success by offering a high quality of serviceto the end customers.

Safety Safety is afforded the highest priority in aviation and the provision of air trafficservices plays a key role in ensuring overall aviation safety.

Society will always expect zero accidents from the aviation industry as a whole and performance from this perspective sets the end customers’ confidence in air transport. The lack of a high level of safety performance would impactstakeholders’ reputation and thus, influence customer choice. Improvements in safety will also impact the cost of air transport.The safety performance of the future ATM System must play a key part in enabling aviation to meet society’s expectation and therefore, it is a key area of overalloperational performance.

Uniform safety standards, risk assessments and safety management practices must be applied rigorously and systematically to the design and performance of the future ATM System to deliver high quality products.

Security Security aspects can be considered in a very similar manner to the way in which safety has been considered. Security refers to the protection against both direct and indirect threats, attacks and acts of unlawful interference to the ATM System. Unlawful interference can occur via direct interference with aircraft, or indirectly through interference with ATM service provision (e.g. via attacks compromising the integrity of ATM data or services) Society will always expect zero accidents and incidents due to breaches of security from the aviation industry as a whole and performance from this perspective will also set the end customers’confidence in air transport. The lack of a high level of security performance would impact stakeholders’ reputation and thus, influence customer choice. Improvements in security will also impact the cost of air transport.

The performance of the future ATM System must contribute to ensuring a high level of security is achieved by the aviation industry as a whole. Expectations are that this can be achieved not only by ensuring that the infrastructure which makes up the ATM System is itself resilient to attack, but that the System will provide information which can be used by other organisations who can also act to protect air transport and aviation as a whole.

Key Performance Areas Airspace Users’ Expectations of the Future ATM System


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2.4.1 Overview

The overall vision for 2020 is of a European ATM System beingmanaged by a single management framework, which underpins acommon understanding of the System, how it must operate and aperformance framework, which determines what it must deliver.Figure1-2 gave a high-level outline of this vision and Fig. 2-5shows in more detail the principal functions, which need to beundertaken within the management framework. The proposed fra-

mework is composed of two parts: one covering the businessaspects (shown as “Operations” and “System design, planning andimplementation”); and the other covering the institutional/regula-tory aspects (shown as “Policy and Legislation” together with“Regulation”). Each part will be described in more detail in sec-tions 2.4.2 and 2.4.3 respectively. A single performance frame-work structured around the 11 KPAs described in section 2.3.3will govern the performance of the System and the managementframework as a whole.

The ATM Master Plan will be the sole vehicle, which contains theR&D activities and all other activities needed to implement allchanges in the European ATM to achieve the 2020 vision. It willalso be used to manage the evolution of the System beyond thisdate. The principles upon which the ATM Master Plan will bemanaged are as follows:

• A common reference against which the business framework will deliver the air traffic services and the regulatory frameworkwill manage compliance.

• Subjected to a process of regular review by the relevant stakeholders.

• The sole reference against which all future European ATMactivities are assessed.

2.4.2 Business Management Frameworkof the Future ATM System

2.4.2.1 Business Relationships

The overall SESAR vision for 2020 is of a coherent business manage-ment framework, which manages all aspects throughout the full sys-tem lifecycle of the future European ATM System. Relative to today’ssituation, the major changes envisaged are as follows:

• An ATM Performance Partnership will be created as a basis to manage the performance-driven ATM System. This partnershipwill be built upon a shared set of values, priorities, air transport network interactions and an agreed set of common “rules”.

• A major restructuring of air traffic service provision with the development of FABs and a new, stronger co-operativeframework between ANSPs.

• The progressive development of capacity to deliver air traffic services to meet the demand placed upon the ATM System and the performance enhancements required in all of the 11 KPAs.

Thus, the vision is of a significant enhancement in the degreeof co-operative working, bringing together airspace user opera-tions (AUO) and aerodrome operations (AO). This to enable theATM System to achieve ATM service delivery (ASD) that meets theperformance targets set for it in each of the KPAs. As today, ATM’sprimary purpose will be to ensure flight safety by contributing toand enabling aircraft separation (i.e. through performing conflictmanagement (CM)) and the expeditious flow of traffic (i.e., manifesttoday as sequencing, metering and managing queues) by performingtraffic synchronisation (TS) together with demand/capacity balan-cing (DCB) and airspace organisation and management (AOM).

2.4 Vision of the Future Management Framework of the European ATM System for 2020

Policy and Legislation

Regulation

Operations System design, planning& implementation

Implementation

CommonPan-European services

Core services FABs

Support services

Enforcement Oversight Support to rule making

CNS AIS MET

F igure 2-5 Pr inc ipa l func t ions o f the European ATM Sys tem management f ramework



025

ATM will continue to comprise:• Air traffic services (including ATC, traffic information, advisory

and alerting (such as support to search and rescue) for area,approach and aerodrome).

• Airspace management and air traffic flow and capacity management (ATFCM)”.

• Supporting services (CNS, MET and AIS services).

However, migration to the vision will require a significant changeto the way in which such services will be organised and managed.

2.4.2.2 ATM System Operating Model for Air Transport Network

In an ideal world, one would wish to envisage air transport opera-ting as a perfectly smooth network with sufficient capacity hea-droom both at airports and in the airspace, plus minimal differen-ces between planned and actual operations. The future vision for

2020 is to get as close to this ideal world as possible, driven bythe need to enable air transport to meet the unconstrained endcustomer demand outlined in section 2.3. However, it is envisagedthat the network will also need to cope with continuing to operatein a manner constrained by limitations relating to the amount ofairspace and airports available, plus having to deal with somevariability in timekeeping. This will require demand and capacitybalancing to be performed throughout the network. This situation

is depicted in Figure 2-6, which shows an outline qualitative des-cription of how it might operate under such constrained circums-tances, albeit consistently across the six constituent aspects.

The circumstances that prevail for each aspect are as follows:

• Airport Capacities � A sizeable percentage of traffic (~50%) operating to and

from congested airports, affecting timekeeping andconsequently, a need for the ATM System to collaboratively manage variability.

• Schedule Visibility� Network-wide traffic management, accommodating business

trajectories, geared to streaming of traffic flows around major airports.

� A co-ordinated collective schedule / daily plan for the

busiest areas where throughput, as defined by the“performance partnership agreement”, predominates over individual business trajectories.

� Airports, both those which are constrained and those with headroom, would be part of a co-operative network schedulingactivity to agree scheduling levels to underpin the scheduleintegrity of the overall air transport network.

High % trafficfrom congested

airports

Dynamicco-ordinationmechanism

Network-wide trafficmanagement geared

to streaming formajor termini

Limited headroom -remains designedaround demand

Minimise variabilityassociated with flight& passenger handling

to meet overall schedule

Continued needto managebunching

Airspace UserOperatingVariability

TrafficSmoothness

& Prioritisation

ScheduleVisibility &Integration

ATS capacity

Civil-MilitaryCo-ordination

AirportCapacities

F igure 2-6 ATM Sys tem Opera t ing in a cons t ra ined A i r Transpor t Ne twork


December2006


• Airspace user Operating Variability� Limited possibility to reduce variability associated with

flight and passenger handling to ensure these are optimisedwith respect to meeting the overall schedule.

• Civil-military Co-ordination� Enhanced to more effectively deal with tactical allocation

around an optimised strategic allocation.

• Traffic Smoothness and Prioritisation� All participants in the operation of the ATM System will work

collaboratively to prioritise activities and resources with the aim of smoothing traffic flows and “repairing” the network schedule where airspace and airport capacity headroom permits.

• ATS Capacity� Airspace capacity essentially remains designed around

demand patterns, although the use of some new ATM concepts and technological solutions reduces the need to trade-off capacity with flight efficiency (i.e. more flights canbe executed at a higher level of efficiency, so increasing overall network performance).

The challenge to the design and development of the future ATMSystem is to meet the needs of the future air transport network byfinding solutions that recognise the limitations and trade-offsshown in Figure 2-6. These solutions then need to be evaluatedagainst stakeholder expectations for an optimised solution to beagreed and form the basis of the ATM Master Plan.

A performance driven ATM System must be built on a performanceframework that reflects a shared view of the value priorities of therespective stakeholders and their inter-relationships within the air

transport network. A tri-partite performance “agreement” needs toset performance objectives across the design, planning and ope-rational aspects of the future ATM System. Currently there is noexplicit and broadly agreed expression of the “rules” by which theATM industry operates with respect to its customers. The futurevision is to address this shortcoming by establishing an ATMPerformance Partnership built upon fundamental principles,which are universally understood and agreed between the variousparties. Embodied within this “agreement” should be a commonunderstanding of the demand-capacity relationship, of each par-ties “levers” of control and behaviours, and of a coherent set ofvalue trade-offs and performance expectations.

The vision is for a “partnership” that enables the airspace users’to realise their business trajectory, recognising that different airs-pace users have different aims and planning horizons. In effect,the proposal is for a “super CDM” process that meets the perfor-mance objectives required through a significant increase (relativeto that used today) in the amount and exchange of business andflight information. However, it does not imply the need for onerouscommercial and/or legal arrangements to be put in place, butbuilds a common understanding of a common set of “rules”.

Building upon the high-level relationship outlined in Figure 2-2,Figure 2-7 illustrates the key aspects pertinent to the 3 main stake-holder groups across the 3 main time horizons for designing, plan-ning and operating the future ATM System. All of this then adds up todeliver overall performance, which meets the expectations of all.These are the aspects against which the performance objectives andtargets for the future ATM System need to be scoped.

In summary, today’s ATM System aims to deliver value to the airtransport value chain by maximising throughput throughout the air

• Business Trajectory to define Requirement

• (Early) declaration of Business Trajectories• Declare demand on airport and ATM System

• Business Trajectory conformance (at various stages)• Turn-around process

• Capability of infrastructure

Management of:• Stands• Runways & Taxiways• Turn-around process

• Capability of ATM System • ATS delivery (airspace)• ATS delivery (airports)

• Declare airport capacity

• Declare ATM System Capacity

FlexibilityEfficiencyPredictabilityCapacity

Design

Overall Performance

AirspaceUser

AirportOperator

ATMProviders

Planning

+

+

=

Operations

F igure 2-7 Bas is o f Fu tu re ATM Opera t iona l Per fo rmance Par tnersh ip



027

transport network. It also assumes that a significant enhancementof value from major predictability improvements can only comefrom a more deterministic and rigid approach by airspace users totheir operations. However, such rigidity would impose severe limi-tations to their commercial freedoms and significantly add to ope-rating costs in order to strictly adhere to it. Clearly these areconflicting needs.

For the future ATM System to deliver maximum value to the airtransport value chain it must perform to meet the requirements ofits users in as optimum a manner as possible, these being expres-sed through the 11 KPAs and described in more detail in chapter 3.

2.4.2.3 Some First Thoughts on Future ATM Target Concept

Following on from consideration of the vision outlined above, somekey consequences emerge which must be taken into considera-tion when designing the SESAR Future ATM Target Concept. Theseare included here to ensure they form the basis of the detailedperformance requirements the future ATM System must meet.Ways must be found to:

• Enhance the flexibility and adaptability of the ATM System’s capacity to meet demand such that a degree of headroom canbe provided in a cost-effective manner.This is of critical importanceto minimise the trade-offs between the operational KPAs.

• Determine how to deal with business trajectories in the strategic,(pre-) tactical and operational phases of preparing and executingflights.

• Be able to manage within the physical constraints of the infrastructure available at any time. That is, it must be able to accommodate the:� Anticipated lack of capacity headroom at congested airports.� Inherent “natural difficulties of the physical world”

associated with maintaining schedules in daily operations.� Current aircraft speed envelope, which is anticipated to

remain as is today through to 2020 and beyond.• Optimise operations overall to minimise the impact on the

environment.• Determine the desired level of operating robustness with respect

to coping with disruptive circumstances, such as the effects ofbad weather.

• Determine the desired degree of resilience needed to the provisionof the air traffic services and the degree of contingency required,so setting the System’s availability and leading to the architecturaldesign requirements and the cost of providing them.

Building upon these considerations, the following are a set of sta-tements, which indicate some first thoughts as to what needs tobe the foundation for the future concept of operations within thefuture ATM target Concept. It is considered that these are neededto underpin the ATM Performance Partnership and the way thefuture ATM System would operate, as outlined above:

• The ATM System would be designed around the notion of a business trajectory:� Business trajectories reflect the business intention of the

airspace users. Business trajectories are specified and agreed in a “contract” between the air and the ground. The“contract” takes into account the constraints.

� The trajectory agreed as a basis for use by the ATM System equals the user’s optimum business trajectory.Changes are made to it only when it is necessary to complywith unavoidable airspace/airport constraints or other externalconstraints (e.g., weather), but the user’s preference remains as the main driver.

� Aircraft fly the FMS trajectories (where relevant), negotiatedand updated in real-time.

• Increase in traffic is managed safely using:� Aircraft derived 4-D trajectories (which accurately reflect

the future aircraft positions and intentions)� Delegated/distributed conflict management.� Automated assistance to decision making.

• The ATM System is flexible, continuously matching traffic demand by:� Optimising airspace usage.� Minimising ATC, airport operator and airspace user related

restrictions.� Maximising airport throughput (e.g. operating closer to the

maximum runway and gate capacity).• The ATM System operates in a collaborative manner:

� Airspace users, air traffic service providers and airport operators are integrated into the ATM decision-making processto ensure decisions best meet the requirements of allstakeholders in the System.

� All actors have access to all relevant information necessaryfor efficient decision-making.

• The concept of operations around which the future ATM System is designed shifts from a philosophy of “management by tactical intervention” to a more strategic “management by planning and tactical intervention by exception”� However, to allow for some operational flexibility, and given

that only a proportion of actual operations are known at thestrategic phase of planning, an estimation of short notice/last minute operations has to be recognised and appropriate provisions made during strategic planning. Thiswill permit actual traffic flows to be optimised and in-flight trajectory modifications to be made reflecting the user needs in real-time.

• The ATM System makes full use of the capabilities of modern aircraft� Integrating the airborne and ground capabilities for maximum

efficiency and safety of the total network.� Considering the characteristics, capabilities and limitations of

its human operators, including their interaction with the systemsoverall.


December2006


• The ATM System should be robust and resilient� Negotiated 4-D trajectories should be flexible enough to

absorb slight perturbations due, for example, to weather variations.

� Robust solutions should be provided for degraded modes of operation as well as for prevention and mitigation of errors.

� The ATM System should be trusted by society and nationalgovernments that it is secure, resilient and well protected against any unlawful activities that could potentially cause disruption to air transport.

• Air traffic flying into capacity constrained airports is synchronisedwell before the destination� This to avoid holding, manage variability and smooth the

overall flow of traffic.• Global interoperability is ensured at the technical systems level

as well as the procedure level.• Improvements in ATM security will be achieved through the col

laborative support of the ATM System with the relevant civil andmilitary authorities, using agreed information and communicationstechnology security components in the design of the ATM System.

• The management of conflicts is performed in accordance withthe ICAO Global ATM Operational Concept [Ref.21].

• Airspace and airports are managed and operated as onecontinuum.

• The basis of the ATM System’s Operating Model will be to maximise flexibility and minimise restrictions throughout the airtransport network, since these are paramount to meeting the requirements.

• All airspace users are afforded access to and use of airspace� This will be facilitated by affordable and cost-beneficial

airborne equipage, in order to enable the safe and effectiveperformance of their particular type of operation.

• Enlargement of controlled airspace� When addressing this aspect, especially in the vicinity of

major airports, GA’s need for access is fully taken into account in the decisions.

• Requirements for communications and surveillance equipmentto be carried on aircraft engaged in GA VFR and IFR operations.

2.4.2.4 Main Tasks of the Business Management Framework

Building upon the “Operations” and “System design, planning andimplementation” blocks identified in Figure 2-7, it is envisagedthat the business management framework and the managementactivities within it will be structured to perform the following prin-cipal functions with respect to the future ATM System:

• System Planning - the main objectives of this function are to:� Specify and maintain the performance requirements of the users of the System.� Ensure the System meets the performance requirements.

� Build and maintain a common ATM Master Plan, which can gain the commitment of all stakeholders at all levels ofthe future governance regime.

� Ensure the synchronisation of the deployment of componentparts within the System can be achieved to assure maximumefficiency and benefits can be realised.

� Address issues related to the fragmentation of the current systems and ease future evolution.

� Coordinate and plan research and validation activities.� Coherently align the changes needed to implement the

System with the approach needed to pre-finance them, andvice versa.

In performing this function a number of constraints and assump-tions are considered to apply and these are as follows:• Safety considerations must be fully incorporated within the

planning approach.• A co-operative approach must be taken which balances

the political needs, the social aspects and the business driversand constraints, through the setting of the performance targetsfor each of the 11 KPAs.

• Global interoperability must be maintained.• The wider aspects of aviation as a whole, and especially

those of the military and non-commercial aviation, will be part of the System.

The principal roles and responsibilities associated with performingthis function are to meet the above objectives, whilst managingwithin the constraints and continuously testing the assumptions toensure the planning remains appropriate to meeting the businessneeds of the users of the future ATM System. This must be doneby ensuring stakeholder-wide consultation, buy-in and agreementis achieved to the maximum extent possible with respect to theATM Performance Partnership agreement. All ATM stakeholdersare expected to participate in this function, with the resulting planbeing passed to the Regulator for agreement and approval asappropriate.

• System Design and Co-ordination - the objectives of this functionare to:� Create conditions for the ATM System to evolve in an efficient

and effective way through the use of a single, open architectureand a set of common standards to which all sub-systems and equipment must comply.

� Address fragmentation and ease future evolution.� Design sub-systems that meet the needs and constraints

of particular stakeholder groups within the overall ATM Performance Partnership and through the ATM System as awhole, proposing and coordinating ATM R&D accordingly.



029

In performing this function a number of constraints and assumptions are considered to apply and these are as follows:• Safety remains the paramount consideration.• Environmental impact needs to be considered.• Interoperability must be fully incorporated.• A great deal of concept refinement and procedure

development is still taking place, which makes the system design an iterative and continuously adaptive process.

• A design must be used which enables the supply of technicalsupport services (e.g., such as CNS, AIS, MET) to be based upon a competitive procurement approach wherever and whenever possible.

• The architectural design of the future ATM System will be sufficiently detailed and robust since the integration of the various sub-systems will be a key critical challenge.

• The design of the future ATM system architecture shall be managed centrally.

• There will be a need for strong coordination of the design and development of common products.

• States will be flexible in resolving civil/military allocation issues in the interests of maintaining maximum network efficiency, provided their core mission requirements are secured and their training conditions satisfactory.

• High level airspace design rests at the policy/legislative levels.• Significant levels of resources and effort will be required

to validate and prove system design proposals are robust before they are submitted to the Regulator.

• Close coordination with international standards bodies will be required.

• Research activities need to be closely managed and coordinated,making the most efficient use of industry and public funds.

The nature of the principal roles and responsibilities of this func-tion are very similar to those for the planning function, especiallywith regards to ensuring all stakeholders are involved.

• Implementation of ATM System changes - the key challenge ofthis function is to build and deploy changes in a consistent andcoherent manner, which is synchronised with delivering the benefits required by its users. This will require significant coordination and an extremely high programme management capability.

In performing this function a number of constraints and assump-tions are considered to apply and these are as follows:• The system(s), which will make up the overall ATM System, will

need to be certified against the appropriate performancerequirements.

• Putting the changes into operational service in a timely manner will be a significant challenge and due considerationof this extremely difficult aspect must be at the centre of the programme management.

• In conjunction with the above, the training of staff will also be a critical issue.

• Legacy systems can be an issue, particularly for the Military and GA.

• Integration will be a major challenge, especially when interfacing to and/or incorporating legacy systems - particularlythose related to fulfilling the needs of the Military and GA.

• Regulatory authorities (e.g., EASA, civil and military NSAs) will be responsible for certification.

• Regulation authorities are responsible for the licensing of services.

Production and deployment are clearly the principal roles and res-ponsibilities associated with this function. However, the costs andrisks are principally borne by the air transport industry as a whole.The significant issue of coordinating deployments coupled with thepotential constraints imposed by individual State processes maypoint towards the need to use an impartial, expert body to act asa “conductor” in order to facilitate the timely integration of newfunctionality and the roll-out of the detailed changes needed toimplement the future ATM System in a synchronised manner.

• Operating Functions of the ATM System - the operations function of the future ATM System covers all of the aspects associated with providing the air traffic services and the necessary technicalsupport services from the infrastructure, which makes up the System. These can be segmented into three main types ofoperations, namely:� Common air traffic services from the ATM System and

technical support services within it. These relate to, for example, demand and capacity balancing (DCB), airspace organisation and management (AOM) and system-wide information management such that the objectives would include operating:

* An optimum airspace structure throughout Europe.* A pan-European process balancing of demand and

capacity.� Core services optimised, for example, within specific

airspace blocks.� The remaining technical support services needed to

underpin the provision of the common and core services (such as those related to AIS, MET and CNS - for example -using a pan-European satellite navigation information service).

All such services will be defined in more detail as part of the deve-lopment of the overall SESAR Future ATM Concept, this being thesubject of the SESAR Milestone Deliverable D3.

In performing this function a number of constraints and assump-tions are considered to apply and these are as follows:• Safety considerations will be paramount.• Consideration of the environmental implications will play

an increasingly important role.• All services are provided at fair4 market rates.

4 - Definition of the term “fair” will be part of the performance requirements.


December2006


In line with the other aspects outlined above, it is reasonable toassume that the air transport industry as a whole will fulfil theroles and responsibilities commensurate with performing the ope-rations function. However, in the case of certain common or pan-European functions currently performed by public bodies5, furtheranalysis is required. Conflicts of interest clearly need to be avoi-ded and there are issues concerning “neutrality” and the provisionof services for holistic benefits, rather than for individual benefit.In addition there are issues of guarantee of service, liabilities andunderwriting in cases of corporate insolvency or crisis situations.

In cases where services are likely to be subject to “competition forthe market”, rather than “competition in the market”, optionsshould not preclude public bodies from operating such services ifthey can offer levels of performance which are competitive withthose which can be provided by industry. Other managementstructures could include the use of joint public/private manage-ment structures and/or concessions to industry. The creation of aform of operating company as currently foreseen in article 2.5 ofthe EUROCONTROL revised convention, or a JU like body shouldalso be considered.

2.4.2.5 A Possible Vision of Restructuring of ATS provision

Driven by the need to meet performance targets set for the 11KPAs, the following outlines a vision for the possible restructuringof air traffic service provision in the future.

FABs, established as part of the SES initiative, are seen as one ofthe main vehicles to improve ATM System performance, so redu-cing the impact of fragmentation on the cost of air traffic serviceprovision. These will initially develop through regional arrange-ments between States and ANSPs, but leading to further ANSPcooperation, alliances and/or mergers. Ultimately FABs are usedas the basis for establishing agreements as part of the ATMPerformance Partnership between the ANSPs, airspace users andairport operators.

Consequently, a vision of air traffic service provision restructuringcould be as follows:

• The 34 National ANSPs providing services in the FABs will havebeen combined into a small number of ATS consortia.

• From the existing en-route and approach ATC units of today, asmaller number of units (for which the optimal size and numberwill still be the subject of further studies) will deliver the economiesof scale and improved flight efficiency through the delivery of air traffic services using (in terms of today’s airspace structure)flow-oriented sectors and routes which are optimal in their design and thus, (potentially) independent of national boundaries.

• From the plethora of the various technical systems which are in-service today, the future ATM System will be based on the use of a small number (typically 3 or 4) highly interoperable,modularly expandable technical platforms.

• Further economies of scale will be realised through moving away from the nationally-oriented ANSP-based approach, to the provisionof demand driven (e.g., on a regional or pan-European basis) communications, navigation and surveillance (CNS) infrastructure enabled by the development of new technologies. These technical support services could be provided by a limited number of regionaland pan-European CNS suppliers.

• In order to overcome the defragmentation issue in Europe it isessential that the coordination of ATM System design, planningand coordination of implementation is achieved through a singlefunction ensuring full consideration of civil and military interest.

2.4.2.6 Some Aspects of Future Vision

The following addresses some aspects of subjects within thefuture vision for ATM, which outline how they are likely to be sco-ped and managed in order to meet performance targets set in the11 KPAs:

Safety

It is envisaged that the way in which the future ATM System per-forms will be regulated and managed as follows:

• In terms of safety performance, clearly defined and validated “design targets” will be established, together with performanceindicators for measuring this aspect of the ATM System.

• A clear regulatory structure will exist which has anorganisational hierarchy with an associated set of clear objectives.This will be accompanied by an appropriate, consistent and integrated set of regulations, which have been formulated incorporating stakeholder consultation on achievability and cost.

• Global safety management capability indicators will beestablished. A continuous process of improving the safety management systems and safety culture of air traffic serviceproviders’ will be reflected in a continuous improvement in their maturity levels, commensurate with meeting the targets set for these indicators.

The proactive approach to managing safety requires that ATM sta-keholders develop and share a deeper understanding of potentialprocess failures to allow vulnerabilities to be anticipated and des-igned out. This is of particular importance since the future ATMTarget Concept is likely to involve a greater degree of automatedsystem support to the tasks being performed by humans. Thevision is of a System that minimises the occurrence of errors(through the use of appropriate HMIs, procedures, automationtools support, etc.), but recognises the continued scope forhuman-errors and ensures that they do not lead to accidents.Thus, the future ATM Target Concept design must focus on solu-tions, which eliminate known sources of error and identify mitiga-tion for potential sources of future errors. Comprehensive inde-pendent safety nets to help safeguard against potential losses inaircraft separation are likely to play an increasingly important role.

5 - CRCO, CFMU



031

Human aspects

In order to meet the performance targets set for the future ATMSystem, it is envisaged that the future ATM Target Concept willshift from an approach, which is based upon a “management bytactical intervention” approach, to a more strategic one, which is“management by planning and tactical intervention by exception”.Making this shift will need a greater degree of automation and anincreased integration of airborne and ground roles, functions andtechnologies. However, the human will remain the most flexibleand creative element to manage the overall System, including res-ponding to threats, errors and unpredictable events.

The above mentioned changes will be accompanied by an exten-sive change management process that proactively integrateshuman factors, social dialogue and all relevant aspects of recruit-ment, training, competence and staffing throughout the entire pro-cess of system developments and their implementation. All of thiswill be reflected and firmly embedded in European social policyand legal structures with the full involvement of social partners atall levels.

Security

Society and especially National governments must have a highdegree of confidence that the future ATM System is secure, resi-lient and well protected against any unlawful activities that couldpotentially cause disruption to air transport.

The vision for 2020 and beyond is that this will be explicitly achie-ved through the following goals:

• The general goal of ATM security, being a part of aviation security, is to determine effective mechanisms and proceduresto enhance the prevention and response of ATM to major security threats that have been assessed as to how their effect on flight operations.

• Enhancing the security of the ATM System will have a positive effect, both on the prevention of incidents and on the ability to respond to acts of unlawful interference. It includes security measures adopted by all parts of the ATM System, both technical and operational. In particular, they include fostering of security awareness, improving thedissemination of security information, developing ATM security standards and procedures and addressing all securityrequirements in especially the Communication, Navigation and Surveillance (CNS) domains and for the ATM infrastructure.

• More effective co-operation between ATM and the relevant civil and military authorities should be achieved. This to be done by the enhancement of procedures and communication,whilst complying with national security and defencerequirements.

Environment

ATM shall support society as a whole, delivering its maximumcontribution to European sustainability by achieving the optimumbalance between social, economic and environmental imperatives.In order to deliver this vision up to 2020 and beyond, a number ofrequired changes have been identified.

There is an urgent need for the European aviation industry inclu-ding ATM to speak with one co-ordinated voice on environmentalissues, inside the overall sustainability balance. This collaboration,harmonisation and spreading of best practice is facilitated by apan European cross industry process for driving aviationsustainability. This process consists in a consolidation of existingaviation sustainability initiatives. This collaborative arrangementprovides agreed positions on key sustainability issues and formsthe vehicle for effective communication of these positions to regu-lators (e.g. EC, EASA) and international bodies (e.g. ICAO, othernon European States). The ICAO Balanced Approach6 will be fullyreflected in all measures taken.

In the context of increasing societal mobility demand for air trans-port services, societal sensitivity to impact of noise, local air qua-lity and climate change issues will continue to grow. Airport ope-rators, airspace users, manufacturers and ANSPs will have to workcollaboratively at the local level to build trust and support amongairport neighbouring communities. These communities should befully integrated in aviation decision making processes.Environmental sustainability in aviation is to be defined through a‘licence to operate agreement7’ between the aviation industryand society.

ACARE gives objectives for future aircraft delivered around2020 and for which JTI "clean sky" initiative is proposedwithin FP7. The scientific community must work to resolve theremaining uncertainties about the industry’s impact in terms ofnoise, local air quality and climate change (e.g. contrails). Therewill then be certainty in terms of measurement of ATM impacts,which will ensure transparent decision making that accounts forall likely sustainability outcomes.

Aviation is expected to become a carbon neutral industry, throughits inclusion in a global emissions trading scheme. The inclusion ofCO2 costs will increase the cost of air travel per passenger km;ATM will have to deliver more efficient point to point routes andvertical profiles to ensure that the industry as a whole canreduce costs and make air transport affordable to the society thatdemands its services. The harmonised implementation of flexibleuse of airspace in the whole ECAC area will enable more directroutes.

6 - Also captured in EU Directive 2002/30/EC7 - The license is to be interpreted as “Having reached the conditions to operate without restrictions, because all stakeholders (airports, airspace users, manufacturers and ANSPs) work collaboratively and communities are in

the decision making process, avoiding various oppositions and then constraints.


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ATM will provide harmonised implementation of advancedlow noise routings and techniques (with local flexibility inimplementation) as a method of reducing the impact of noise oncommunities to the greatest extent possible. These low noise rou-tings will have to be designed with the trade-offs between noiseand emissions and will have to be supported by an effective andconsistent land use planning system that is fully integrated withairport development policies.

Despite growth in air traffic, the number of people exposedto aircraft noise is expected to decrease. The aviation industry,through active participation in ICAO CAEP, secures challengingnew noise stringencies reflecting aviation external environmentalregulation and noise/emission technology achievements, includingspecific ATM aspects, bearing in mind that in addition focusedR&D will accelerate reduction of aircraft/engine noise and emis-sion ‘at source’.

All ATM stakeholders will implement an environmentalmanagement system.

The market demand for air transport will grow and ATM, throughSESAR implementation (and globally), will deliver correspondingservice enhancement in response, and key ATM decisions will besubject to transparent impact assessment to select the most sui-table option.

2.4.3 ATM Institutional and Regulatory Framework

This section starts with a look ahead at possible evolutions of theEU (regulatory) landscape followed by a description of the func-tions to be covered by the future regulatory framework. Finally therequirements of the future safety and security regulatory functionsare described in more detail.

2.4.3.1 Future EU landscape

When developing a long-term vision of regulatory and oversightsynergies in Europe, it is useful to consider briefly possible miles-tones for the future landscape of the EU up to 20208. In sum-mary, it can be said that the EU in 2020 will probably not bevery different from the EU of today:

• An enlargement of the EU to 30 or more Member States ispossible, and it is expected that non-Member States will also apply the SES regulations.

• It is to be expected that gradual institutional changes will takeplace, eventually on the basis of some revised EU Constitution.If any such Constitution was implemented it is not expected tohave a severe impact on SESAR, but its terms should be bornein mind when developing institutional scenarios for 2020.

• Assuming that the EU will not be a federal state by 2020,defence will still mainly be a competence of Member States.National States will probably further increase co-operation at European level with a view to improve defence capacities andsynergies between national armies, in particular through commondevelopment projects carried out by the European Defence Agency (EDA). Additionally, a "gradual communitarisation" of certain aspects of aviation security policy may be possible.Nevertheless the responsibility for ATM for the air forces of Member States will most probably remain an exclusive nationalcompetence. Consequently, co-ordination at European level willbe dealt with only through purely intergovernmental mechanisms,(i.e. based on unanimous voting and with a limited involvementof the European Commission). Even though civil-military coordination is essential regulation of civil and military ATM in2020 might still be based on different legal instruments.

2.4.3.2 Regulatory and Oversight functions in 2020

Within the overall European Community context as outlined above,it is now analysed how regulatory and oversight functions maydevelop over the coming years at national and EU level.

Regulation

At national level, it should be recalled that in all Member States thebody of administrative law grew exponentially after the SecondWorld War, which led to overregulation in many cases. For this rea-son, de-regulation became an objective of national legislation inorder to ensure that regulation is only adopted where it is absolu-tely necessary. Additionally, self-regulation of certain sectors wasintroduced in many Member States.

Recent trends

Another trend affecting regulation in certain sectors (such asTelecom) that can be expected to continue up to 2020 is theprogressive liberalisation of activities, which historicallyhave been performed by state-owned monopolies. In order toavoid the abuse of significant market power and to ensure socie-tal expectations, it was necessary to introduce sector-specificregulation, often of a very technical nature. Sometimes, this hasresulted in the need for additional technical regulation, supportedby the establishment of regulatory bodies.

The ATM context

The current trend in ATM is that public bodies are increasinglyconcentrating on the role of regulator and relying on corporatisedentities to assume the responsibilities of investment, safety mana-gement development and service provision. While some Statesconsidered the opportunity to privatize these corporatised serviceproviders, other States consider that these entities shall remain inthe public sector.

8 - It is realised that elements of EU law can be applied anywhere but unless a State is a member of the EU it is not subject to the whole EU legislation.



033

The current status is that SES recognises a functional separation9

between regulation and service provision and enables trans-natio-nal service provision10. Whilst noting that further liberalisation ofATS is anticipated by some stakeholders, it is recognised that theprovision of ATS is connected with the exercise of the powers of apublic authority, which are not of an economic nature justifying theapplication of the Treaty rules of competition11.

Regulatory Oversight

It is to be examined how regulatory oversight will develop up to2020. In this context, it should be reiterated that the Communitycan impose sanctions if its rules are violated and that "enforce-ment shall be governed by the rules of civil procedure in force inthe State in the territory of which it is carried out12". The EC doesnot have its own police force and no criminal court exists at EClevel.

Classic forms of regulatory oversight will therefore continueto depend on the cooperation between the EU and itsMember States, even if the rule making itself will be increa-singly shifted to the European level, with the Member Statesbeing held responsible for the application of the EU law.

Finally, it is to be expected that alternative forms of regulatoryoversight will be further developed in the EU. In particular conces-sion contracts, as used for the Galileo system, could be used toensure the fulfilment of public policy objectives. These concessioncontracts could contain incentive and penalty schemes, whichwould allow for a more efficient achievement of public goals.

Assignment of functions to the layers of regulatory organisation

As the future ATM System develops the requirement for nationalregulation will also need to change. For instance, if ANSPs mergeinto organisations providing services in the airspace over morethan one State, the national regulatory organisations ofthose States would have to co-operate or merge in someway to avoid duplication. This would be particularly importantif the ANSP providing a service had no physical base on theground within the State where the service is being provided (thismight be possible using space based CNS infrastructure).Alternatively, if the ANSP activities are unbundled into service pro-vision and equipment provision elements then the situation couldarise where one service provider could use the equipment of seve-ral infrastructure providers in several different States and oneequipment provider could provide CNS services to several serviceproviders. This situation would favour a European confor-mance assurance process for the service provision and ele-ments of a national oversight function for the equipment providers.

The conclusion is that the ideal institutional arrangementsfor ensuring conformance with ATM regulatory require-

ments for ANSPs are likely to evolve as the ANSP industryevolves. The institutional framework will therefore need tobe adaptable.

EC Workshop on the future of Aviation Regulation

The most recent contributions to this debate are the EC orienta-tions as expressed in the conclusions of the EC Workshop13 on thefuture of Aviation Regulation.

As a conclusion I [Mr. Barrot] would advance the view that weneed to continue to work towards a comprehensive EU aviationsystem, where the EU institutions including the Commission, wor-king closely with the Member States, take overall responsibility forthe public interest. I see the EU’s role resting on four pillars:• EASA – in partnership with the Member States - is to

develop into the ultimate safety authority following a “Total system approach” to aviation.

• EUROCONTROL is to develop, under the EU umbrella, into the overall centre of expertise for the aviation system,supporting the Commission and States.

• As has been the case in SESAR, cooperative industry structures should be encouraged, wherever possible, to take responsibility for the operation of parts of the aviation system that require strong coordination, under clear mandates to be given by the EU and under the watchful eye of a “design authority” to ensure consistency.

• Member States and associated European countries, working individually or in groups, will continue not only to work within the EU in developing the regulatory framework, but also to ensure its effective application through their proximity to the operators.

While the SESAR Consortium views on regulatory aspects areaddressed in chapter 2, it is not the purpose of D2 to elaborate onthe above conclusions. The interpretation and further developmentof these conclusions are being considered and followed-up by theEC high-level group, composed of representatives from the avia-tion community.

2.4.3.3 Tasks of the ATM regulatory function

The objective of the “Regulation function” is to propose regulation thatbalances society expectations with the need to develop, operateand grow a sustainable European air transport system. Theexpectation is that the “Regulation function” would set rules, as neces-sary, in order to achieve the key performance objectives.

An important aspect will be the interface and dialogue with the“Operations function” and the “System Planning andImplementation function” (refer to Figure 2-5). In such a techni-cally complex area, this is challenging and is further complicatedby the large numbers of actors with competing and potentiallydiverging views.

9 - See Regulation (EC) No 549/2004 {Framework Regulation} Article 4.10 - See Regulation (EC) No 550/2004 {Service Provision Regulation} Article 7.6.11 - See Regulation (EC) No 550/2004 {Service Provision Regulation} Recital 5.12 - See European Economic Area Agreement Article 11013 - See http://ec.europa.eu/transport/air_portal/2006_09_20_conference_en.htm


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In addition the “Regulation function” would, in coordination withthe “Operational function” and the “System Planning andImplementation function”, propose the overall system framework14

of the future ATM System.

Additional areas for regulation over and above the safety andsecurity regulatory functions, which are detailed in sections2.4.3.4 and 2.4.3.5 are:

Economics: To support the Economic regulation of ATM serviceprovision. The level of support will depend on the level of delega-tion from the Policy and Legislative function. As a minimum itwould be expected to:• Support and set measures to assist the implementation of the

ATM Master Plan by all stakeholders including the policy for charging and incentives.

• Propose structural changes to the ATM Performance Partnership in order to increase system performance andefficiencies including the advice to the EC.

Operational Performance15: To propose the development of ANS per-formance measures, including target setting, to the “Policy andLegislative function” (see Figure 2-5) for evaluating performance. ThePerformance Framework introduced in chapter 3 will provide an initialassessment of the key performance areas and associated indicators.

Environment: To promote a level playing field with other transportmodes in order to avoid that aviation is under more stringent envi-ronmental requirements16. To harmonise local and currently diver-gent environmental regulations.

Airspace Policy: To support the Policy and Legislative functions toassure the management of airspace (e.g., FAB and airspace des-ign), taking into account all air activities and the regulations pro-tecting certain volumes, such as those for military usage.

Framework Design: To act as the System Framework regulatorincluding the “ownership” and maintenance of the ATM MasterPlan once it is adopted by the Transport Council. To define the highlevel design, including architecture and interoperability, in partner-ship with all stakeholders. To approve the detailed system designprovided by the System Design, Planning and Implementationfunction. To manage the standardisation process and initiation, asappropriate, of the development of new standards.

Spectrum Policy: To ensure that aviation makes best usage of its allo-cated spectrum as it is viewed as a valuable commodity in the 21stCentury. There is thus continued pressure from other industries foraviation to release spectrum for other commercial applications.

R&D policy: To support the Community in the development of ATMR&D policy and initiatives.

Interfacing to ICAO: To closely coordinate with international andregional regulation entities in order to ensure global interoperability.

Licensing: To issue licenses for operators for ATM service provi-sion.

Enforcing: To enforce the implementation of decisions as setout in the regulatory aspects of the ATM Master Plan and makinguse of a process similar to the existing ECIP/LCIP and to monitorprogress17.

In seeking the above objectives the regulatory function, whilstcontinuously responding to State requirements, works closely withthe Industry in order to assure that rules are fair, proportionate andensure a level playing field.

2.4.3.4 Safety Regulation

The topic of safety in SESAR comprises the three main aspects ofsafety regulation, safety management and safety performance.This section deals solely with ATM safety regulation.

ATM safety regulation is a specific form of regulation with safetyas its clear and only aim and is carried out in the public interest.In safety regulation, safety is the end in itself, and should not haveany conflict of interest with other non-safety objectives.

ATM safety regulation in Europe will be based on invariantbasic regulatory principles, while having to address all structu-ral and implementation issues necessary to support the futureATM concept as developed by SESAR. The main responsibilitiesand tasks in ATM safety are divided as follows:

• The prime responsibility for the safety of a service or product rests with the service provider or designer/producer.

• All service providers and designers/producers have a duty of care to take all reasonable precautions to ensure that theirservices or products are safe. The duty of care involves to have a sound, logically inferred, traceable approach to safety that also takes into account transitional aspects.

• The standards of safety to be achieved should be authorized and monitored (i.e. oversight) by a competent body acting in the public interest, which is independent of service providers and designers/producers.

• The standards of safety to be achieved should be defined at an appropriate common level.

As part of the Single European Sky the EC has already begun theprocess of restructuring the ATM safety regulatory framework inEurope. It is envisaged that this process will be complete by 2020and that the following key issues will have been met.

14 - Drawing an analogy with real estate development the concept of urbanisation is an example of how the regulator sets out the overall system framework, e.g. the urbanisation plan and a number of very specificregulations for buildings. The builders, architects and homeowners are free to develop within these regulations.

15 - This area of regulation covers the more physical attributes of the system, such as capacity, flexibility, predictability etc.16 - Even though the SES Regulations contain only two explicit references to the environment the consideration of the applicability of the general environmental regulations to the Air transport are an essential element of the

overall ATM performance.17 - By making use of a process similar to the existing ECIP/LCIP.



035

Structural issues:• A clear regulatory organisational hierarchy including roles and

responsibilities.• Regulators should maintain the necessary expertise to dis

charge their legal duties efficiently and effectively.• Safety regulatory requirements and standards of enforcement

should be consistent across the whole European region and approvals, licenses and certifications should be transportable.

• Safety regulators should maintain a transparent decision mechanism that fully involves all affected stakeholders.

Implementation issues:• Regulation must be appropriate (and periodically reviewed) to

the organisations being regulated and the targeted safety objectives.

• Safety requirements for different elements of the ATM Systemshould take full account of the safety requirements applied across the whole system.

• Safety regulation should always be clear about the safety objective that needs to be achieved, and not unduly prescriptive.

• New safety regulation compliance must be clear and the costsand benefits of compliance must have been assessed.

These key issues should also be considered by the military and aclear regulatory interface between civil and military authorities isrequired to mitigate risks.

2.4.3.5 Security regulatory framework requirements

With the extension of the threat spectrum there is a requirementto extend and integrate the respective regulation on ATM security.This will build upon existing security initiatives including the esta-blishment of baseline standards and a formal security framework(including standards setting, common risk assessment, audit pro-cess and compliance) for ATM across Europe.

Harmonised regulations at ATM level should be established inorder to ensure the implementation and effective operations ofATM security.

European mandatory regulation on measures shall only be used tomeet requirements for ATM security where the effect of voluntarymeans by uncoordinated national action, industry standards orguidance material is inadequate.

Public funding and governance should reflect the public interestwith respect to the protection of airspace and critical ATM infra-structure at national and European level.

2.4.4 Subjects of Common Interest

A number of important subjects, wider ranging by nature andimpacting both the institutional and regulatory and businessmanagement frameworks, are described in further detail.

2.4.4.1 Decision Making requirements in the future ATM System framework

A dynamic working relationship should exist between the businessmanagement and institutional and regulatory frameworks, not onlyto ensure the appropriate transparency of their activities, but alsowhich facilitates undertaking collaborative working practices thatare driven by the common aim of realising benefits for the airtransport industry as a whole. The key principles of the decisionmaking process are to:

• Reduce complexity with clear identification andseparation of the respective roles of government,institutions and industry for the development, deployment,implementation and maintenance of the ATM Master Plan:� The underlying principle would be that Contracting States

would continue to be responsible under the Chicago Convention for the provision of ATM in their airspace by whatever supplier they choose.

� All stakeholders have to be fully committed at the top level in this process. A mechanism should be established to ensure that these engagements are maintained. Coordination with themilitary will have to be assured at this level.

� The stakeholders (ANSPs, Airport 0perators, Airspace users (including GA), aviation and supply industry) making up the aviation industry would assume greater responsibility for managing the development, deployment and post-deployment phase (dependent on their degree of direct involvement).Co-ordination with the military will have to be assured at this level.

� A transparent and impartial process would be required forintegrating and balancing the requirements of the different sectors of industry. This would be necessary due to thepotential for conflict arising from, inter alia, different stakeholderbusiness cycles, investment profiles and ownership issues.Some means of achieving balance between these would be required to avoid continual recourse to the government level,which would disrupt the decision-making processes.

� Defining and managing the interfaces and consultationarrangements between the government and industry levels would be as important as defining their relative roles andresponsibilities. The consultation processes should establish a clear understanding of the implications of commitment and,where appropriate a clearly defined identification of actions and timescales resulting from any commitment to ensure anin-time implementation. Incentives for early implementation and/or penalties for late implementation can be investigated for that purpose.


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• Eradicate duplication and overlaps between the European Institutions, European Standardisation bodies, and the national aviation authorities:� The national aviation authorities must be brought to the same

“best in class” level so that the European institutions can rely upon their ability to carry out at national level, or at regional level working together, the responsibilities necessary for the safe and efficient implementation of the ATM Master Plan.

� There should be clear divisions established identifying who is responsible for what and the necessary interfaces should be developed, implemented and maintained.

� Communicate widely and continuously the ATM Master Plan as a living document so that all can recognise and understand it, ensuring the timely awareness of stakeholders(e.g. airport operators, general aviation) who are not directly involved in activities but whose business(es) will be impacted by implementation.

2.4.4.2 Social Dialogue

The future SESAR Development and Deployment process will besuccessful only if Social Partners are involved and participate in allphases of the change. A well managed, elaborated, and smoothSocial Dialogue change process accepted by all parties is para-mount to find balanced, sustainable and feasible solutions in timesof conflicting targets. It will prevent one-sided solutions and assuch avoids social conflicts and industrial actions.

The figure 2-8 ‘Social Dialogue as a System’ describes the princi-ple way in which Social Dialogue will be implemented and mana-ged at European, national and local levels.

The Social Partners’ framework of bodies and organisationswill exist with clear, accepted mandates, mutual recognition,

appropriate competence in leadership and management, respon-sibility and commitment. Social Partners’ participation will be bet-ter orchestrated and will contribute to successful change and tran-sition processes by making best use of available information andbest practices. At local level, Social Partners representing theemployees must receive the support and resources required toeffectively perform their work.

Social Partners, representing the employees, will be consultedbefore decision-making and will work in partnership with theemployer from the design to the operational stage, ensuring thatsocial issues are adequately identified, addressed and resolved.

The scope of the social dialogue will embrace all relevant socialsecurity and working conditions, work organisation, work andsafety culture, health and well-being, age and demographic fac-tors. They are properly considered and managed and lead to a new

and efficient way of working and interacting between SocialPartners.

The social consequences of the required improvements and chan-ges will be locally different and require specific actions. The prin-ciple that ‘there is no one overall best solution’ applies in full -as long as Social Dialogue at local level is established and works.Working conditions at local level will be successfully balancedagainst legislation and daily/seasonal requirements for safe, effec-tive, flexible and efficient work procedures including socialaspects.

European legislation, adapted at national level, ensures thatminimum social and working conditions and standards arefully respected for staff working shifts in the European ATM.

Inputs

• Political

• Legal

• Economic

• Societal

• Employers

• Trade unions

• Governments

• Collective bargaining

• Participation

• Industrial action

• Settlement of disputes

Productivity, employmentjob security, labour peace…commitment, motivation…

• Collective agreement

• Labour legislation

Social dialogue as a System

Outputs

Impacts

Environment Actors Processes Outcomes

F igure 2-8 Soc ia l D ia logue as a Sys tem



037

2.4.4.3 Financing aspects

It is expected that by 2020 economic and financial analysis ofthe ATM Master Plan investments is fully integrated withother activities related to ATM planning and operations. Costbenefit modelling and analyses will become a full part of the deci-sion criteria for investment decision ensuring:

• Transparency and stakeholder involvement for all stakeholdersgroups.

• Project life-cycle uncertainty reduction.• Risk measurement.• Decision support.• Traceability through the decision making process.

Funding

The present system of funding ATM costs of the ANSPs throughuser charges (with economic regulation, price settings of charges andthe use of incentives) will remain the principal18 system of fundingin Europe irrespective of the financing methods chosen.Although ICAODoc 9082/7 states that pre-funding of projects "may be accepted inspecific circumstances where this is the most appropriate means offinancing long-term, large-scale investment, provided that strict safe-guards are in place this possibility is not (yet) foreseen in the EURO-CONTROL charging principles.

Financing the ATM System

By 2020 the financing mechanisms for the implementation of thefuture ATM Master Plan will, in general, be dependent on thegovernance structure and model of the development and deploy-ment phase organisation(s), the asset allocation principlesconnected to it and associated financing mechanisms.

In focusing the proposed vision of financing of the SESARDeployment Phase, financial scenarios have been developed inorder to meet the following objectives:

1 To describe a possible financing mechanism that avoids an increase in the unit-rate due to peak investment costs at the beginning of ATM System implementations.

2 To indicate the dependency of assets / rights and guarantees / funding back in a financing model especially if more extensive usage of capital market is planned.

3 To indicate the dependency of the governance model / structure in correlation of point 1+2 with any financial mechanism/scenario.

Assumptions

The proposed financing scenarios and financial Models are basedon a number of assumptions regarding the way the ATM MasterPlan implementation will be managed:

• There will be an agreed ATM Master Plan that defines an Implementation Programme aimed at achieving the maximumbenefits for all Stakeholders in the shortest possible time.

• Until all aircraft using European airspace are equipped with “fully SESAR compatible” equipment, the ANSPs may have to operate and finance some older generation ATM/CNS systemsor subsystems.

• ANSPs grouping for joint procurement may further evolve.• Airport Operators and other third party investors may be

stakeholders in providing future ATM equipment even where they are not providing services.

• The future investment volume needed for the implementation of the ATM Master Plan in 2020 is not known right now. It is assumed to be close to the current figure of €1Bn/year for theANSPs. The estimation of investment volume for SESARimplementation is elaborated in chapter 5.

• A significant part of the capital investment will consist of ATMequipment that needs to be retrofitted to existing aircraft.

• For the benefit of this section, the notion of a Financing Structure is introduced which aims at organising the financingaspects of managing the assets.

Overview of Financing Scenarios

In general there are two alternatives, which are mutually exclusive.

The (classical) institutional way:• The current national structures and influences remain (think

global, act local).• Any development of the governance structure in charge of the

ATM Master Plan implementation would include the function ofcoordination of funds but it would not become an asset-holder.

• If there is an agreement to provide a pre-financing schedule, arevenue stream can be guaranteed. If guarantees (National Governments, EC, Institutional) for borrowing or commercial paper19 are provided, then strong commercial loans at attractiverates can be arranged or even Commercial Paper floated. In this case this can be handled as a non-profit activity.

The product/service way:• Technical developments create an asset value. Access to this

asset will be leased/rented/licensed/sold or provided through aconcession (similar to the Galileo model) to ANSPs/Airport Operators/Airspace Users and the Supply Industry by an ATM Master Plan Financing Structure.

• The Financing Structure will be aiming to make profit and Airspace Users would accept this due to the expected increasein operational and commercial efficiency.

• Airspace Users, ANSPs, Supply Industry (IND), Airport Operatorsand Capital Market players could all become Shareholders of the Financing Structure. Participation could be widened through joint ventures or Venture Capital funds.

18 - Together with the existing principle, in certain States, to fund the GA and military contributions directly by States19 - ANSPs can float commercial paper (bonds, loan stock) to raise funds from the commercial market. This is easier when the Government is partially or fully involved in the ownership structure for guarantee purposes.

For example both German DFS and UK NATS have used this method in the past.


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Scenario

TheFinancingStructure

0

n/a

n/a

n/a

n/a : not applicable

n/a

S 3b(3a + user's avionics)

S 1 pre-financingis offered, incentive

schemes are in place

S 3a(ground ATM)

n/a

n/a

n/a n/a

n/a n/a

n/a n/a

n/a

n/a

0.5 1 2 3

ANSPs, Airportsand Usersleasecertified products

ANSPs andAirportsleasecertified products

ANSPs, Airportsand Usersbuycertified products

ANSPs, Airportsand Usersusecertified products

has state guarantees

Institutional way Product/service way

buys components owns componentsowns usage &exploitation rights

S 2 pre-financingis offered, incentive

schemes are in place

S 0 incentiveschemes

only

S 0.5 somerights stay

with ANSPs

- 22 Bn+

- 11 Bn

The following chart (Figure 2-9) shows the full set of scenariosdepending on:• The rights and powers of the Financing Structure (x-axis).• The business model used towards the ANSPs, Users and

Airport Operators (y-axis).

Not all of the theoretically 11 possibilities have been examined.The analysis focused on six scenarios 0, 0.5, 1, 2, 3a/3b. Thesizes of the bullets represent the investment volume allocated tothe Financing Structure as a subset of the total amount of invest-ments at the various stakeholder levels.

Scenario 0: Works with State guarantees for the pre-financingscheme offered to ANSPs and Airport Operators. ATM Systemassets remain the property of ANSPs, Airport Operators, andAirspace Users. IPRs are controlled solely by their owners with apossible central coordination function.

Scenario 0.5: Has some elements of the product/service way pro-vided portion of exploitation rights can be utilised within ANSP’sand Airport Operators / Financing Structure. ATM System assetsremain the property of ANSPs, Airport Operators and AirspaceUsers. The usage and exploitation rights of some IPRs are delega-

ted to the Financing Structure with a central coordination function,which acts as a concessionaire.

Scenario 1: ATM System assets remain the property of ANSPs,Airport Operators and Airspace Users. The Financing Structure hasthe ATM IPR usage and exploitation rights. It acts as a concessio-naire.

Scenario 2: The Financing Structure has the ATM IPR usage andexploitation rights. It buys certified SESAR compliant systems fromthe supply industry and sells it to ANSPs, Airport Operators andAirspace Users with a regulated added margin. ATM Systemassets belong temporarily to the Financing Structure.

Scenario 3a: Financing Structure has the ATM IPR usage andexploitation rights. It buys certified SESAR compliant systems fromthe supply industry and leases them to ANSPs and AirportOperators (with direct sales to Airspace Users). ATM Systemassets belong to the Financing Structure.

Scenario 3b: As 3a but includes the leasing of on-board avionicsto Airspace Users.

F igure 2-9 F inanc ing scenar ios



039

The issue of IPRs/ Usage & Exploitation Rights

Intellectual Property Rights (IPR) and their usage and exploitationare one of the main issues in the financing of the ATM Master Planimplementation.

In general the question who owns the IPRs is of lower importancethan the question who “controls/coordinates” the usage andexploitation rights. From a financing perspective a product/capi-tal market driven financing model will request a higher extent ofcontrolling rights in order to give access to possible future profitstreams.

The scenario 0 indicates the possibility of IPRs and their usage /exploitation for the ATM Master Plan implementation just to be“coordinated”. This coordination could possibly be done through apatent pool or a patent forum. Both structures aim at reducingtransaction costs and maximum cumulative royalty rates.The scenarios 0.5 up to 3 indicate the need to have the exploita-tion rights under control in order to access capital market finan-cing. The objective of the IPR management by the FinancingStructure would be to maximise royalty income. For this idea towork the revenue streams based on royalties must exceed thecosts for centralised IPR management and ownership and thepossibility exists that the financial burden for the ATM Master PlanImplementation is partly shifted from taxpayers to ANSPs, airlinesand ultimately air passengers.

The definition of an IPR Strategy is seen as the pre-requisite forthe choice of a financing scenario for the ATM Master Plan imple-mentation. The ATM Master Plan implementation will depend onthe financing model chosen, the number of involved patents andmarket players and the willingness of owners of essential IPR toaccept the certain conditions laid down by the SESAR JointUndertaking Regulation. It is to be noted that the supply industrydoes not want a central entity handling exclusive IPRs.

Decisions and recommendations for the financing of theSESAR Deployment Phase

The following decision tree (Figure 2-10) shows the decisions tobe taken before a financing scheme for the SESAR DeploymentPhase can be finalized:

The advantage of scenarios 2 and 3 is that it offers possibilities inspeeding up the investment processes as it facilitates cash flow,amortisation and depreciation cycles constraints (if any) of indivi-dual stakeholders. However, an analysis of the realistic capabilityin the ATM industry to accept above scenarios lead to a visionwhere only Scenario 0.5 (modified Scenario 1) or Scenario1 ‘Central Ownership/Certification of portion of usage andexploitation rights’ are possible to implement. Both show asignificant change to the current situation and do not require cen-tral procurement as it is not proven that central procurement ismore cost effective and could give rise to competition issues. Inaddition, main ATM industry participants, and in particular ATMsupply industry, are reluctant to consider a central procurementscenario.

Product/serviceway

New legal entity with equity capital

Y

Y

N

N

Npartly*

N NY

• NO pre-financing• All funding via user charges

• NO commercial basis for new entity• All funding via user charges

* Usage/exploitation rights for some developments would remain with ANSPs

YY

Revenuesassured &

profitpossible

Stateguarantees

Owns usage& exploitation

rights

Centralpurchasingof SESAR

equipment

Centralleasing

of SESARequipment

STOP

STOP

Scenario 0

Institutionalway

Scenario 0.5 Scenario 1 Scenario 2

Scenario 3

F igure 2-10 F inanc ing scenar ios dec is ion t ree


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2.4.4.4 Standardisation Process Aspects

Following on the D1 findings on the current technical and opera-tional standardisation process (complex, fragmented and unclear),an improved ATM European Standardisation process is needed,which should be built as far as appropriate on a globalStandardisation process in full support of worldwide interoperabi-lity objectives. D2 has identified a few essential functions, to beperformed by the same or different organisations – with everyorganisation responsible for a function being both empowered tomake decisions appropriate to that function, and accountable tothe aviation community.

The essential functions are:

• To follow the ATM Master Plan development in order to properly plan for timely delivery of the required standards. The output of this function shall be a list of proposed standards, including analysis of the needs and selection of the different standard initiatives that shall be further developed.

• To develop required standards (to be established on aperformance based basis when ever possible), activity to be allocated to appropriate organisations, each responsible for a given standard, including the preparation of mature drafts and their consultation process securing the participation of allrelevant stakeholders; work shall be done in cooperation with ICAO and other international organisations developing Standards.

• To validate standards through coordination activities of e.g.trials, experiments, testing, to assess the suitability of, and refine as necessary, the standard being developed. Validation activities shall be somehow independent of the development of the standard to avoid possible bias.

• To launch approval process with publication and appropriate consultation across the aviation community on the suitability of the standards.

• To have the approved publication being accepted as anacceptable standard by appropriate regulation, or kept otherwise as a specification.

The above functions shall be coordinated through a single pro-cess, including:

• Liaison with ICAO and other international organisations forglobal harmonisation, including civil/military interoperability.

• Maintenance of the standardisation elements throughout the life of the ATM Master Plan and beyond

• Consolidation of ATM stakeholder views

• Necessary liaison with regulators responsible for the reference to standards as means of compliance to their regulation. The Standardisation and Certification processes are however to be carried out by different bodies.



041

Work in D1 has clearly identified a need for a single, simplifiedEuropean ATM System coupled with a performance-basedapproach that will satisfy all stakeholders’ requirements. BothStates and Industry together have a primary role to play in ensu-ring that Europe’s ATM System is progressively modernised tocope with expected traffic growth, in a safe and environmentfriendly operation. It is patently evident that “Business as usual” isnot an option.

A comprehensive ATM performance framework must bedeveloped and applied throughout Europe as a whole as thebasis for future management decisions in ATM.

This chapter provides a bridge between:• The Air Transport Value Chain and the vision on the future role

of ATM in that value chain on one hand (how to translate the general expectations into more precise performance terms).

• The definition of the future ATM concept of operations to be further developed in SESAR D3, including airspace design aspects (providing a set of initial strategic performance criteriaagainst which to assess the future concept).It contains a set of initial strategic performance targets for thefuture European ATM System, plus a performance framework and proposed performance objectives and indicators intendedto guide further work during the SESAR project. However, it is important to recognize that at this stage, the targets representthe Airspace Users aspirations for the ATM System.The time horizon for the objectives and design targets is 2020+ but performance checkpoints for earlier (intermediate)dates are proposed, as they are needed for the development ofthe ATM Master Plan.

While it is necessary for SESAR to work in the context of the AirTransport System as a whole, the scope is clearly focused on pro-viding an initial strategic performance specification for the ATMpart of the Air Transport System.

The visions in preceding chapters covering ATM business mana-gement and institutional and regulatory aspects are now drawntogether into initial strategic performance targets for the indi-vidual Key Performance Areas. These will serve as overall gui-dance to Concept Design and Validation and the definition of morespecific Performance Objectives for the ATM Service.

Overall, the ATM Value proposition recognises that throughput andCost Effectiveness is a major value driver.

The future European ATM System will contribute to the future AirTransport Value by:

• Continuing to supply safety and traffic management services.• Expanding ATM Capacity to handle the projected growth in traffic

by 2020 and beyond.• Supporting the robustness of air transport services and

schedules through no delays being attributable to the ATM process.• Developing flexible ATS airspace Capacity to maximise the

Efficiency and minimise the Environmental impact of flight profiles.• Finding the best trade-offs between the different Performance

Areas.• Reducing the direct unit cost of the ATM System by 50% by

2020.

A performance-based ATM System relies on an ATMPerformance Partnership built on a shared view of the Valuepriorities of the respective players (i.e. Airspace Users, AirportOperators and ATM Service Providers), Network interactions, andagreed “rules of the game”. This shared view of ATM is fundamen-tal to further develop the target into a coherent PerformanceFramework to properly guide the development of future Conceptssolutions.

3 Performance Frameworkand Targets

3.1 Introduction


December2006


Considering that aviation activity continues its rapid expansion inmost regions of the world, ICAO has come to the conclusion thattraditional oversight functions based on intensive interaction andintervention as well as compliance with technical standards andregulations will strain resources and become impracticable. ICAOis therefore promoting implementation of integrated safety pro-grammes among States and safety management systems at theorganizational level. A similar approach should be followed in otherperformance areas such as security, environment, cost effective-ness, capacity etc. This involves a performance-basedapproach to all performance-related work that focuses on "what"an ATM stakeholder must do rather than "how" it will be accom-plished. It will allow regulatory authorities, planners, airspaceusers, Airport Operators and service providers to effectively meettheir responsibilities, using performance-based approacheshaving already been proven effective in other industries.

The shift from monitoring compliance with technical standards toa performance-based approach will also support integration of theair navigation system. It will allow regulatory authorities, politicalbodies, ANSPs and airspace users to be involved in establishingperformance measures acceptable to them. The means of measu-ring and monitoring air navigation performance - and in particularATM performance - are critical to the future success of the ever-growing air navigation system.

ICAO is working on guidance material for adopting a globally har-monised, performance-based approach to the implementationof the Global ATM Operational Concept (OCD – Doc 9854). Someof this material is already available, and SESAR is committed toapplying this guidance in the European context.

In this section, background information on ICAO progress is provi-ded to give the context for the work developed in SESAR. Somerelevant on going European performance initiatives are discussedbefore the SESAR Performance Framework is introduced.

3.2.1 Background on ICAO Approach

The ICAO ATM Requirements and Performance Panel (ATMRPP) iscurrently engaged in developing material to foster a common per-formance oriented approach to the implementation of the OCD.

Some guidance material has already been completed (the‘Performance Based Transition Guidelines’ or PBTG document);other material is at the moment still in draft (the ‘Global ATMPerformance Manual’) but envisaged to be completed in 2007.

The PBTG while providing the high-level guidance for adopting aglobally harmonised, performance-based approach to the imple-mentation of the OCD, is dealing with a process and techniquesfor strategic (time horizon until twenty years ahead) performancemanagement and transition roadmap development, in thecontext of regional ATM planning such as performed during theSESAR Definition Phase.

Transition planning is a cyclic process executed at global, regionaland local level. It is typically repeated at five year intervals to takeinto account changing forecasts, up-to-date information on imple-mentation progress, new performance assessments, changedperformance expectations and policies (resulting in revised perfor-mance targets), and any other relevant change (exceptional chan-ges may lead the ATM community to decide to start a new transi-tion planning cycle before the regular five-year interval has elap-sed).

Each iteration results in updated versions of transition roadmaps,research plans and implementation plans (the latter two may beupdated on an annual basis). Considering that transition roadmapstypically cover a time horizon of twenty years, a given five yearperiod will be updated several times in the transition roadmapbefore it is incorporated into implementation plans and finallymaterializes as a set of real changes to the ATM System.

The sequence of steps outlined in the next section takes theresults (transition roadmap, plans, and performance assessments)of the previous iteration into account, and applies all the latestchanges to see whether the transition roadmaps and plans are stillvalid from a performance perspective. If this is not the case, tran-sition roadmaps and plans are modified to mitigate all identifiedperformance issues (performance gaps) and ensure alignment atglobal, regional and local level, and the process is ready to startagain five years later.

3.2 Application of a Performance-Based Approach



043

Overview of the Performance-Based Transition Approach

Figure 3-1 provides an overview of the performance-based tran-sition approach. It contains three steps with questions, which mustbe answered as part of applying the approach:

• Step 1 (questions 1 - 5): translate ATM communityexpectations into quantified performance targets.

• Step 2 (questions 6 - 8): conduct performance assessment anduse performance targets to identify current and anticipated performance gaps.

• Step 3 (questions 9 - 12): update transition roadmaps and plans to mitigate identified performance gaps.

What arethe performance

objectives ?

2

How to measureperformance ?

3

What is thecurrent and

expected trafficevolution ?

4

What are theperformance

targets ?

5

Step 1

What is the currentand planned ATM

performance ?

7

What are thecurrent andanticipated

performance gapsand their reasons ?

8

Step 2

What are theresulting updates

to currentroadmaps

and plans ?

12

Step 3

What are the ATMcommunity

expectations ?

1

What is theglobal ATMOperationalConcept and

associated systemrequirements?

9

What are theavailable optionsfor operationalimprovement ?

10What selection

and sequence ofoperational

improvementsaddresses current

and anticipatedperformance gaps ?

11

What are thecurrent roadmaps

and plans ?

6

F igure 3-1 Per fo rmance-based Trans i t i on Approach


December2006


3.2.2 European Context

3.2.2.1 Existing Performance Planning and Reviewactivities

The focus on performance, objectives and indicative targets withinthis chapter is to provide guidance in support of ATM Master Plan.As such, SESAR is in no way attempting to duplicate or replace thework that is currently ongoing in well-established performancereview processes (PRC/PRU work) or the short- and medium-termperformance planning processes (e.g. the ECIP/LCIP capacityenhancement planning process).

3.2.2.2 SES Performance Review Mandate

The European Commission issued a mandate to EUROCONTROL inorder to assist the European Commission in the development ofimplementing rules on the examination and evaluation of air navi-gation performance.

The purpose of the mandate is to develop draft-implementingrules in order to:

• “Define a set of information that will be collected on a regularbasis.

• Develop measures for the dissemination of this information tointerested parties.”

There is a clear relationship between this work and SESAR, but nooverlap. The mandate is primarily concerned with ensuring andenhancing a steady flow of performance data from Stakeholdersto the body responsible for the review of today’s ATM perfor-mance, whereas the role of SESAR is to outline strategic designtargets and a performance framework in support of the ATMMaster Plan.

3.2.3 SESAR Performance Framework

One of the roles of SESAR is to strengthen, and where necessaryintroduce a performance driven approach in the future EuropeanATM System. This will need to happen both at the system develop-ment level, as well as at the system operations level:

• System development level: the aim is to develop the future ATM System in a performance driven manner. To make this possible, this chapter delivers a number of high level (strategic)objectives and targets to other tasks, to be used during the remainder of the SESAR Definition Phase as overall design constraints driving concept, architecture and master planningwork.

• System operations level: the aim is to operate the future ATMSystem in a performance driven manner. The role of this chapter

in this area is to start this process by giving general guidancein the form of a performance framework, and an initial list of proposed objectives, indicators, and possibly targets.

The SESAR performance framework (see figure 3-2) definesthe overall “playing field” in which to define performance measu-rements, monitor performance evolution, set objectives to guideperformance improvement initiatives, and targets that representrequired or desired performance levels. It is actually an enhancedversion of the ICAO Performance Framework described in thePBTG.

The enhancement is based upon a two dimensional approach:

• A “vertical” dimension addressing the maturity of performanceprocesses: how (well) is performance regulated, planned,delivered, measured, reviewed and improved in each of the performance areas.

• A “horizontal” dimension based upon the PBTG (dealing withperformance scope covering the 11 KPAs- safety, environment,security, cost effectiveness, capacity, flexibility, predictability,efficiency, access and equity, interoperability and participation).

The vertical dimension of the Performance Framework is based onan overall performance management process, in which differentsub-processes called Performance Management Stages (PMS)can be distinguished (See Table 3-1). All stages need to exist andwork sufficiently well, in order for the overall system to meet per-formance expectations and achieve continuous improvement. ThePMS framework can be used for the analysis of the “performanceobjective portfolio” within individual KPAs (e.g. in which stage(s) ofthe performance management process are the deficiencies?where do we need to define objectives in order to improvethings?).

Policy & Objectives

Indicators & Targets

Rules & Processes

Planning

Execution

Detection

Mitigation

Outcome

Impact

Recovery

Evaluation

Improvement

Safe

ty

Secu

rity

En

viro

nm

en

t

Co

st

Eff

ectiven

ess

Cap

acity

Eff

icie

ncy

Fle

xib

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Pre

dic

tab

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Access &

Eq

uity

Part

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atio

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Inte

rop

era

bili

ty

Horizontal Dimension (KPA)

Vert

ical D

imensio

n (P

MS

)

FocusAreas with :

Objectives,indicators,

targets

F igure 3-2 SESAR Two-D imens iona lPer fo rmance F ramework



045

1 Policy & Objectives A well-defined, mature, politically accepted policy for each KPA exists, andit is adequately translated into (strategic) performance objectives.

2 Indicators & Targets Well-defined, mature, politically accepted indicators and targets have been agreed. These make performance measurable, and result in clear and suitablecriteria to determine when and where the (strategic) performance objectiveshave been achieved.

3 Rules & Processes A vertically and horizontally coordinated performance management process is implemented throughout Europe. It is supported by an appropriate set of rules, regulations, laws, processes, procedures and practices. This includes apan-European performance data reporting process in which all relevant Stakeholders participate.

The performance management process guides the making of impactassessments and trade-off decisions, the planning of desired performance, and provides a general framework that prevents or at least minimises deviation from top level policy and the performance targets.

4 Planning All strategic, pre-tactical and tactical operational plans are developed andoptimised in function of needs (the targets to be achieved), while respectingthe needs of other KPAs.

5 Execution Execution of all strategic, pre-tactical and tactical operational plans is donein such a way that the actual performance is closely following the plan.

6 Detection During execution of all strategic, pre-tactical and tactical operational plans, mechanisms are used to predict and detect deviation from planned performance as early as possible. Information regarding such developing deviations isimmediately made available for mitigation purposes.

7 Mitigation The performance management process is highly successful in mitigating the effects of developing deviations from planned performance.

8 Outcome The performance management process is able to measure the actually achieved performance at the required level of granularity, with a high degree of accuracy and completeness. Sufficient supporting data is available to develop a thorough understanding of causes and effects.

9 Impact The performance management process is able to measure and assess the impact of performance on the value chain of the Air Transport System, and on a wider scale determine its impact on society, environment and the economy at large.

10 Recovery When unexpected events disrupt the operation of the Air Transport System, with an impact on performance, the performance management process is able tore-establish norm0al performance levels with a minimum of delay.

11 Evaluation ATM Performance Review addresses performance in an adequate manner,and is able to develop ‘lessons learned’.

12 Improvement The performance management process is able respond to the ‘lessons learned’ which are the result of ATM Performance Review, and use these to achievecontinuous improvement.

PMS Performance Management Process Vision for 2020+Table 3-1: Performance Management Process

Syste

m C

hara

cte

risti

cs

Syste

m O

pera

tio

nP

ost-

Op

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n

The horizontal dimension of the performance framework is basedon 8 layers, as illustrated in figure 3-3. The approach is based onICAO material [the PBTG] that was further enhanced and refined.

3.2.3.1 Target Driven Development

Overall initial design targets have been developed in SESAR D2(including for example a cost effectiveness target which translatesinto an overall cost envelope), and it is the responsibility of subse-quent SESAR project milestones to cascade these down to targetsthat will be defined in their own area, in such a way that the ove-rall target is met. This way, every Task of each milestone is forcedto apply a “local/internal” performance driven approach, whilecoordinating and negotiating this with other competing/contribu-ting Tasks.

3.2.3.2 Adoption of an Analytical Approach

Performance can be made manageable and understandable byapproaching it in an analytical way:

• Step 1 – Division of the performance problem: by focussingon a KPA at a time, and within each area focussing on well defined understandable subjects called Focus Areas. This hasbeen the focus during the SESAR Definition Phase thus far. Assuch, the targets defined here represent initial (pre-trade-off) targets of indicative nature.

• Step 2 – Integration of the performance problem: once thescope of performance had been divided into specific, preciselyscoped, manageable chunks, an understanding of their inter

dependencies (cause-effect relationships, impacts and benefitmechanisms) needs to be developed.

• Step 3 – Validation: as part of validating the concept,architecture etc., it has to be verified that the interdependenciesreally have the effect that was predicted or assumed during theprevious step. This includes assessing the degree ofuncertainty in the relationships.

• Step 4 – Impact Assessment: the 4th step consists of assessingthe impact of the validated focus areas, including interdependencieson the initial pre-trade-off targets. In some cases this may reveal that the initial targets are incompatible and that prioritiesneed to be redefined and/or a trade-off choice needs to be made.

While the focus has been mainly on Step 1 during the develop-ment of D2, some initial analysis has been made of Step 2.


December2006


Horizontal dimension of the Performance Framework

• Global expectations (ICAO OCD)• Region-specific interpretation (Vision, Value Chain)

1 High levelstatements

• 3 KPA Groups• Used to place individual KPAs in a broaderperspective (role/scope/impact)

2Top level

categorisationframework

• 11 standard KPAsWhat

(very general)

What(less general)

3ICAO global

categorisationframework

4What

performance policywill focus on

What (specific definition of what will be improved)5Definition ofPerformancePolicy

Applicationof Performancepolicy

Quantification of current/expectedperformance (data aggregation+ indicator value calculation)

Datacollection andforecasting

6

7

8

PerformanceTargets

IndicatorValues

Data

Gap predictionand analysis

Definitions and qualitative statements

Numbers with a context (time, location, etc.)

Time, location and stakeholder specific

SupportingMetrics

PerformanceIndicators

InstantiatedObjectives

GenericObjectives

Focus Areas

KPAs

KPA Groups

Expectations

F igure 3-3 Hor i zon ta l d imens ion o f the per fo rmance f ramework



047

3.2.3.3 Overview of Key Performance Areas

It has been found useful to cluster KPAs into the three majorgroups “Societal Outcome”, “Operational Performance” and“Performance Enablers”.

The decision criteria for grouping are based on the “highest”degree of visibility of the KPA outcome and impact, rather than onhow the performance is achieved.

Basically, the three levels of visibility are:• Societal Outcome – High Visibility: effects are of a political

nature and are even visible to those who are not users of the Air Transport System.

• Operational Performance – Medium Visibility: visibility of the effects stops generally at the level of ANSPs, Airport Operators,airspace users and airspace user customers (e.g. passengers).

• Performance Enablers – Low Visibility: these are not of direct interest to airspace user customers and the KPAs play their rolemostly at the business trajectory planning stage.

Figure 3-4 illustrates the grouping of KPAs into three KPA Groups:Societal Outcome, Operational Performance and PerformanceEnablers.

Societal Outcome KPAs

The desired societal outcome of the activities carried out by theairspace users and the rest of the air transport industry is:• Creation of net positive ‘value’ for the societies served

Adding to the net positive ‘value’ is:• The benefits resulting from the Air Transport Value Chain.• Economic value.• Social value.

Reduction of the net positive ‘value’ occurs to the extent that avia-tion does not meet expected levels of:• Safety.• Security.• Environmental management and control.The various segments of aviation will only be acceptable and pro-motable in the eyes of the general public, if there is a general per-ception that – for each of them – the positive aspects outweighthe negative ones.

Please note that only part of Aviation Safety, Security andEnvironmental Sustainability is within the scope of ATM (hence

ATM shall contribute, but is not fully responsible for performancein these areas).

Performance in these areas is driven by operational performance(upstream in the cause-effect chain), but the effects (outcome andimpact) are at societal level, and this determines in which KPAGroup the KPAs are placed.

Safety+

Security+

EnvironmentalSustainability

SocietalOutcome

High VisibilityEffects are societal

and of a political nature

Cost Effectiveness+

Capacity+

Efficiency+

Flexibility+

Predictability

Medium VisibilityEffects are business-level,

on users and operators

Access and Equity+

Participation+

Interoperability

Low VisibilityNot a direct interest to

airspace user customers

OperationalPerformance

PerformanceEnablers

F igure 3-4 Group ing o f KPAs


December2006


Operational Performance KPAs

The KPA Group “Operational Performance” comprises the areasthat directly describe the operational performance and associatedcosts of airspace users, Airport Operators and ANSPs.

These are areas that are concerned with the internal details ofhow the ATM Community Members run their activities.

The main areas in this group are:

• Cost Effectiveness (the financial outcome of operationalperformance).

• Capacity (the basic enabler for other operational performance aspects).

• The Quality of Service dimensions within the “Operational Performance” group are covered by the following areas:� (Flight) Efficiency.� Flexibility.� Predictability.

Performance Enabler KPAs

The KPA Group “Performance Enablers” comprises the perfor-mance of enabling activities and processes rather than that ofoperational outcomes.

This group comprises the following areas:• Access and Equity.• Participation by the ATM Community.• Interoperability.

"Enabling" implies: While things go well Enablers tend to go unno-ticed. However, if performance in these areas is unsatisfactory,performance in other KPA Groups will suffer. Unsatisfactory perfor-mance here may even act as a major inhibitor.

The KPAs in this group tend towards not having a mature perfor-mance measurement culture.

3.2.3.4 KPA Interdependencies

Interdependencies between performance objectives within a KPA,as well as between KPAs, need to be identified as they address theissue of trade-offs between the various performance objectivesand targets. Preferably the target concept is to overcome the needfor (some of the) trade-offs; alternatively if trade-offs are unavoi-dable, it points toward the need to take decisions on priorities bet-ween the KPA and Targets.

Examples of these interdependencies are:

a) Financial Cost-effectiveness versus Efficiency, Flexibilityand Predictability (also called quality of service): the need to reduce the cost of providing ATM capacity may have to be balanced against the need to limit the cost of delay due to capacity shortages.

b) Efficiency versus Environment: lateral efficiency affects fuel efficiency, which in turn affects indirect costs as well as gaseous emissions.

c) Capacity versus Efficiency: the objective of providing flight trajectories closer to user Business Trajectories may have to bebalanced against the objective of increasing capacity.

d) Short-term Cost-effectiveness versus investment: reducing the cost of providing ATM services can have an impact on capitalinvestment to deliver long-term performance.

e) Access versus Capacity: the access of all aircraft, irrespectiveof their equipage or size, to a certain airspace or airport can have an impact on the capacity provided.

f) Flexibility versus Capacity: airspace users’ ability to modify flight trajectories or arrival and departure times may come at the expense of the capacity of the ATM System.

The magnitude of the trade-offs differs at regional and local levels.For example, the size of the trade-off between cost of increasingcapacity and the cost of delay will differ between a region wherecapacity can be increased with existing resources and a regionwhere increases in capacity will require considerable investment.

Trade-offs between performance areas in the short and mediumterms can also be removed or attenuated with technological andoperational improvements (through target concept development)in the long run.

After the initial target setting in D2, the target setting process musttake account of these interdependencies and trade-off aspects.The interdependencies between KPAs, leading to trade-offs, needto be analysed and discussed within the ATM community. Wherethe simultaneous meeting of different targets is not possible, thebalance between targets must be adjusted so that they reflect anacceptable and feasible compromise. The aim is to ensure that thetotal set of agreed targets reflects society’s priorities in the high-level expectations.



049

A vision description typically consists of two different types of sta-tements:

• A solution oriented vision (e.g. high level statements about what the concept should look like).

• A set of general performance expectations or politicalperformance vision (e.g. statements about improved safety,capacity etc.).

In November 2005, during the public announcement of the SESARDefinition Phase contract, EC Vice-President Jacques Barrotexpressed the EC objectives of the SESAR programme, which areto achieve a future European Air Traffic Management (ATM)System for 2020 and beyond which can, relative to today's perfor-mance:

• Enable a 3-fold increase in capacity which will also reduce delays, both on the ground and in the air,

• Improve the safety performance by a factor of 10,• Enable a 10% reduction in the effects flights have on the

environment and • Provide ATM services at a cost to the airspace users which

is at least 50% less.

These statements constitute the political vision and goals for thedesign of the future ATM System. These vision and goals havebeen analysed by reference to the 2020 demand and has resultedinto specific initial indicative targets for that particular year, not-withstanding the subsequent evolutions necessary to meet theevolution of the demand.

In this chapter, the vision and goals haves been broadened byconsidering the whole set of eleven KPAs defined in ICAO OCD.

3.3 A Vision for Improved Performance Levels

This section provides more information on each individual KPA[Ref. 15 for more details].

The structure is as follows:

• Definition and Scope of the KPA and its Focus Areas.

• Initial Indicative Strategic Design Target(s); notwithstanding that targets, which have been set at this stage, must be considered as strategic ones (working assumptions). Therefore, these are initial indicative targets for the global European ATM, for which trade-off analysis will be done in D3 and D4. Targets are annual European averages20, therefore include the cumulative effect of all operating conditions (e.g. weather) over a whole year.Likewise, because they address total European performance (not local or individual performance), the network effect is included. The allocation of responsibility for achieving thetargets involves all stakeholders.

• Clarifying Notes – if required, brief notes to clarify the Initial Indicative Target, e.g. further discussion on Trade-offs,accountabilities, and implications for future European ATM Concept where applicable.

Please note that in this section the focus is on the definition ofInitial Indicative Targets for the outcome, and that targets andobjectives for the performance management process will have tobe defined by the D3 Tasks.

3.4 Initial Indicative Strategic Design Performance Objectives and Targets

20 - The word “average” is used in the sense of the mathematical “mean value”; it corresponds typically to the sum of performance over a certain time period, geographical area and number of flights, divided by the total number of flights

3.4.1.2 Initial Indicative Strategic Design Target

In line with the political vision and goal, the working assumption for Cost Effectiveness design target is to halve the total directEuropean gate-to-gate ATM costs from ?800/flight (see note below) in 2004 to ?400/flight in 2020 (in 2005 euros) through progres-sive reduction. This could be achieved via a cumulated ~3%/year reduction until 2010 (as indicated in PRR 8 Report 2004), follo-wed by a cumulated ~5%/year reduction until 2020. Notwithstanding this 2020 target, continuing cost improvement should besought after 2020.

Note:

• This gate-to-gate ATM cost figure does not include airspace user costs in the baseline (2004), but it does cover futureairspace user investments to the extent of any increased role and/or associated cost in ATM.

• The PRC has estimated [PRR2005] that in 2004, total en-route and terminal ANS costs in Europe amounted to approximately €7,000M. This cost comprises ATM/CNS cost, MET cost, payment to regulatory and governmental authorities andEUROCONTROL costs. This cost was to be amortised over 8.745 million flights (2004 official traffic statistics STATFOR),which results in an average cost per flight of €800.


December2006


3.4.1 Cost Effectiveness

3.4.1.1 Definition and Scope of the KPA and its Focus Areas

Cost Effectiveness This KPA addresses the cost of gate-to-gate ATM in relation to the volume ofair traffic that is managed.

Key Performance Area

Direct cost of gate-to-gate ATM This Focus Area covers the total direct gate-to-gate ATM costs incurred by ATM stakeholders (regulatory and governmental authorities, intergovernmentalorganisations, service providers, airspace users, Airport Operators etc.).It includes:

Geographically: en-route and terminal costs

Service-wise: ATM/CNS costs, MET costs, payments made to regulatory and governmental authorities, European ATM design function costs(e.g. EUROCONTROL today)

From an organisational perspective: staff costs, infrastructure, equipment (ground, air and space based), software, maintenance, training etc.

Please note that this Focus Area addresses costs, not revenue and it is therefore not affected by charging policy.

Direct cost of ATM providers The part of the direct cost of gate-to-gate ATM which is borne by the serviceproviders.

Indirect costs Indirect costs are attributable to non-optimal gate-to-gate ATM performance.The scope covers the extra costs incurred by airspace users throughnon-optimum performance in the Efficiency, Flexibility and Predictability KPAs. The monetised environmental cost is not included at this stage.

Focus Areas

3.4.2.2 Initial Indicative Strategic Design Targets



051

3.4.2 Capacity


In accordance with the political vision and goal, the ATM target concept should enable a 3-fold increase in capacity which will alsoreduce delays, both on the ground and in the air (en-route and airport network), so as to be able to handle traffic growth well beyond2020. The deployment of the ATM target concept should be progressive, so that only the required capacity is deployed at any time.

The initial indicative design target for Capacity deployment is that the ATM System can accommodate by 2020 a 73% increase intraffic (annual IFR traffic growth in the European network from 2005 baseline) while meeting the targets for quality of service KPAs(Efficiency, Flexibility, Predictability): 5% in the period 2005-2010, 3.5-4% during 2010-2015, 2-3% during 2015-2020, and 2% p.a.beyond 2020. This corresponds to an optimistic demand forecast combined with an optimistic airport capacity growth scenario,which however assumes that there will be very few Greenfield airport development projects in Europe in the next 20 years. Thisdeployment requirement means that the annual number of flights to be handled by the ATM System will increase from 9.1 toapproximately 16 Mn21 flights p.a. within the 2005-2020 period. During the busiest months of the year, the system should be ableto handle 50,000 flights/day around the year 2022.

These are the average European design targets (at network level). When transposing this to local targets, regional differences willexist. The ATM target concept should be able to support a tripling or more of traffic where required.

ATM operational improvements should allow airports without special physical constraints (including environmental considerations)in the airside-landside value chain to reach the following low visibility (i.e. IMC) throughput during a 15-hour day (from 0700 till2200 hrs local time): 750 movements/day with a single runway, 1150 movements/day for airports with crossing runways, and 1350movements/day for airports with parallel runways. For complex airports (with 3 or more runways), no generic targets are defined.These airports should be looked at individually. Congested airports will need a capability for sustained operations at maximum capa-city during most hours of the day. Avoiding disruptions is top priority for those airports.

Note:A distinction has to be made between the capacity that is expected to be needed for deployment in 2020, and the capacity poten-tial that needs to be built into the 2020 concept. The deployment capacity targets are based on the traffic forecast [LTF2004]. It is wise toassume the most challenging forecasting scenario for target setting. This is Scenario A: “Globalisation and Rapid Economic Growth”, i.e. 73%higher traffic levels in 2020 than in 2005. For the concept capacity targets one must take into account the need that the concept shouldhave a useable lifetime of 15 to 20 years beyond the year 2020 — period during which there is likely to be more traffic growth —and that there is also a possibility that in future years the forecast for 2020 may need to be revised upwards. One possible scenariofor example could be that the growth of VLJ traffic may exceed all present expectations. The vision statement “Capacity times 3”has been interpreted as being an indication of the expected concept capacity target and not the deployment capacity target for 2020.Whereas deployment capacity targets are based on forecasting methods (underpinned by numerical modelling), choosing conceptcapacity targets is much more a matter of adding a sufficient margin to the 2020 deployment target.

Capacity This KPA addresses the ability of the ATM system to cope with air traffic demand (in number and distribution through time and space). It relates to the throughput of that volume per unit of time, for a given safety level.


Airspace capacity This Focus Area covers the capacity of any individual or aggregated airspace volume within the European airspace.

Airport capacity Focus is on the throughput of individual airports in terms of aircraft movements, taking into account the composite effect of air- and landside constraints. So this Focus Area covers much more than just runway capacity. Focus is also on the throughput of individual congested airports in low visibility (i.e. IMC) conditions.

Network capacity Is concerned with overall network throughput, taking into account the network effect of the airspace and airport capacity in function of traffic demand patterns.

Focus Areas

21 - The annual European traffic demand - if unconstrained - is forecast to reach at least 18 Million IFR flights by 2020.

The initial indicative Efficiency design target23 is an improvement in ATM efficiency such that:• On-time departure performance (on-time departure is defined as actual off-block departure less than 3 minutes before or after

the departure time of the Shared Business Trajectory; delayed departure is defined as actual departure more than 3 minutes after the departure time of the Shared Business Trajectory):� Occurrence (Punctuality): at least 98% of flights departing on time.� Severity (Delays): the average departure delay of delayed flights will not exceed 10 minutes.

• Flight duration efficiency (normal flight duration is defined as actual block-to-block time less than 3 minutes longer than the block-to-block time of the Shared Business Trajectory; extended flight duration is defined as actual block-to-block time more than 3 minutes longer than the block-to-block time of the Shared Business Trajectory):� Occurrence: more than 95% of flights with normal flight duration. � Severity: the average flight duration extension of flights will not exceed 10 minutes.

• Gate to gate fuel efficiency (Actual compared to Shared Business Trajectory):� Occurrence: less than 5% of flights suffering additional fuel consumption of more than 2.5%.� Severity: for flights suffering additional fuel consumption of more than 2.5%, the average additional fuel consumption

will not exceed 5%.

Note:

1) The efficiency performance of any flight is, at the highest level, a measure of the difference between the Shared Business Trajectory and the actual 4D-Trajectory flown by the aircraft in terms of Time and fuel deviation.

2) Because these targets are either based on new indicators or indicators which are calculated in a way different from today’s Performance Review practices, no baseline performance levels are yet available.

In Europe, historically only departure delays and lateral efficiency have been the subject of performance assessment. However, histo-rically Airspace Users have individually assessed their own flight efficiency performance in terms of fuel burn and timeliness.


December2006


3.4.3 Efficiency


Efficiency This KPA addresses the actually flown 4D trajectories of aircraft in relationshipto their Shared22 Business Trajectory.


Temporal efficiency This Focus Area covers the magnitude and causes of deviations from planned (on-time) departure time and deviations from Shared Business Trajectorydurations (taxi time, airborne time).

Fuel efficiency This Focus Area covers the magnitude and causes of deviations from optimum fuel consumption.

Mission Effectiveness Following military trajectory models focus is to reflect the economic impactof transit times associated with military training activities.

Focus Areas


22 - Shared Business Trajectory (SBT) corresponds to the published business trajectory that is available for collaborative ATM planning purposes. The Shared Business Trajectory may or may not already contain constraints thatthe user has already taken into account in his business calculations. It represents the plan for optimum flight performance, assuming no other traffic is present.

23 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be donein D3.



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3.4.4 Flexibility


Flexibility This KPA addresses the ability of the ATM system and airports to respond to“sudden” changes in demand and capacity: rapid changes in traffic patterns,last minute notifications or cancellations of flights, changes to the Reference Business Trajectory24 (pre-departure changes as well as in-flight changes, with or without diversion), late aircraft substitutions, sudden airport capacity changes, late airspace segregation requests, weather, crisis situations, etc.


Business Trajectory update This Focus Area covers the ability of the ATM system and airportsflexibility for scheduled and non accommodate airspace user requests for Reference Business Trajectory (BT)scheduled flights updates of scheduled25 and non-scheduled26 flights, ranging from simple time

translation (depart/arrive earlier/later) to full BT redefinition (changes to aircraft, route, vertical profile, destination, etc.)

Flexible access-on-demand for This Focus Area covers the ability of the ATM system and airports tonon-scheduled flights accommodate non-scheduled flights.

Service location flexibility Focus is on the ability of the ATM system to make services available at (relatively) short notice in airspace and at airports where previously no service was available.

Suitability for military requirements Focus is to reflect the suitability of the ATM System for military requirementsrelated to the flexibility in the use of airspace and reaction to short-noticechanges.

Focus Areas

24 - Reference Business Trajectory (RBT) corresponds to the trajectory, which the airspace user agrees to fly and the ANSP agrees to facilitate (subject to separation provision). The Reference Business Trajectory contains all the applicable constraints and will be used as a reference by all relevant ATM partners during flight execution.

25 - A flight that is part of a flight schedule. Typically the Business Trajectory is planned first, so that a schedule is created which is offered as a product to the individual users of the flight (e.g. passengers, cargo).26 - A flight that is not part of a flight schedule. Typically the Business Trajectory is planned after the aircraft operator or individual users of the flight have identified a specific need.27 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be done in D3.

The initial indicative Flexibility design targets27 are:• Of the scheduled flights requesting a change in departure time, no more than 2% (European-wide annual average) will suffer a

delay penalty of more than 3 minutes (with respect to their requested time) as a consequence of the request.• The average delay (European-wide annual average) of such scheduled flights (with a delay penalty of more than 3 minutes) will

be less than 5 minutes.• At least 95% (European-wide annual average) of the (valid) requests for full Reference Business Trajectory (BT) redefinition of

scheduled and non-scheduled flights will be accommodated, albeit possibly with a time penalty (i.e., departure and/or arrival delay).• Of the scheduled and non-scheduled flights with a successfully accommodated request for full Reference BT redefinition, no

more than 10% (European-wide annual average) will suffer a delay penalty (i.e., departure and/or arrival delay) of more than 3minutes (with respect to their requested time) as a consequence of the request.

• The average delay of such scheduled and non-scheduled flights with a successfully accommodated request for full Reference BT redefinition (with a delay penalty of more than 3 minutes) will be less than 5 minutes.

• At least 98% (European-wide annual average) of the non-scheduled flight departures will be accommodated with a delay penalty less than 3 minutes.

• The average delay (European-wide annual average) of such non-scheduled flight departures (with a delay penalty of more than 3 minutes) will be less than 5 minutes.

• At least 98% (European-wide annual average) of the VFR-IFR change requests will be accommodated without penalties.

Note:

1) Reference Business Trajectory update includes milestones and profile. Swapping of 2 flights is a case of coupled trajectory updateunder Users’ control. At each flight phase a deviation could happen (Departure delay, Take-Off Time and Fuel Deviation, En-route Time and Fuel Deviation, Landing Time and Fuel Deviation, Taxi-in Time and Fuel Deviation) and necessitate a change request to translate intime the Business Trajectory. Some deviations however might necessitate a re-optimisation of the Business Trajectory based on abusiness decision. This could happen after a Departure delay, Take-Off Time and Fuel Deviation and En-route Time and Fuel Deviation.

2) Because these targets are based on either new indicators or indicators which are calculated in a way different from today’s Performance Review practices, no baseline performance levels are yet available.


December2006


3.4.5 Predictability


Predictability This KPA addresses the ability of the ATM system to ensure a reliable andconsistent level of 4D trajectory performance. In other words: across many flights, the ability to control the variability of the deviation between the actually flown4D trajectories of aircraft in relationship to the Reference Business Trajectory.


On-Time operation This Focus Area covers the variability of the flight operation: departure (off-block) and arrival (on-block) punctuality, and the variability of flight phase durations(turnaround time, taxi time, airborne time).

Service Disruption Effect Focus is on the prevention and mitigation of the Business Trajectory effects of ATM service disruption. Such effects can take the form of departure/arrival delays, flight cancellations and diversions.

Knock-on effect Focus is on the impact of (a lack of) On-Time operation and schedule buffers on subsequent flights. Such impact takes the form of reactionary delays, and in more extreme cases may lead to flight cancellations.

Focus Areas

Note: Predictability underpins both the strategic and tactical assumptions in the continuous development of the Business Trajectory. Any horizontal, ver-tical or speed variability, or any combinations of these which lead to low predictability will have a negative impact on either or both on-time performanceand fuel predictability. Low system predictability generally results in a fuel penalty. Fuel predictability is a consequence of the overall flight predictabilityand as such it has not been defined as a leading focus areas.


28 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be donein D3.

29 - A coefficient of variation is equal to the standard deviation divided by the mean value.30 - Average flight duration of European flights.31 - Service disruption could be for example due to weather, a/c maintenance issues…32 - Reactionary delays are the delays caused by primary delays (ATFM and local turnaround), i.e. delays caused by the late arrival of the aircraft or the crew from previous journeys.

The initial indicative Predictability design target28 is an improvement in ATM predictability focused on On-time operation (on-timemeans within 3 minutes before or after the time reference), Service disruption effect and knock-on effects:

• Arrival punctuality: less than 5% (European-wide annual average) of flights suffering arrival delay of more than 3 minutes.• Arrival delay: the average delay (European-wide annual average) of delayed flights (with a delay penalty of more than 3 minutes)

will be less than 10 minutes.• Variability of flight duration (off-block to on-block): coefficient of variation29 is 0.015 (meaning for a 100-minute flight duration30

more than 95% flights arrives on-time, according to arrival punctuality target).• Service Disruption31: reduce cancellation rates by 50% by 2020 compared to 2010 baseline, reduce diversion rates by 50% by

2020 compared to 2010 baseline and reduce total disruption delay by 50% (European-wide annual average) by 2020 comparedto 2010 baseline.

• Knock-on effect: reduce reactionary delay32 by 50% by 2020 compared to 2010 baseline and reduce cancellation rate by 50% (European-wide annual average) by 2020 compared to 2010 baseline.

Note:

Because these targets (e.g. service disruption and knock-on effect) are based on either new indicators or indicators which are calcu-lated in a way different from today’s Performance Review practices, no baseline performance levels are yet available.



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3.4.6 Safety


Safety This KPA addresses the risk, the prevention and the occurrence and mitigation of air traffic accidents.


ATM-related safety outcome This Focus Area covers the occurrence and prevention of accidents involving aircraft with a MTOW > 2.25 tonnes, operating under IFR, with a direct and/orindirect ATM contribution. This includes collisions on the ground and in the air, CFIT etc.

Focus Areas

The SESAR initial indicative safety performance objective builds on the ATM2000+ Strategy objective: "To improve safety levels byensuring that the numbers of ATM induced accidents and serious or risk bearing incidents (includes those with direct and indirectATM contribution) do not increase and, where possible, decrease".

Considering the anticipated increase in the European annual traffic volume, the implication of the initial safety performance objec-tive is that the overall safety level would gradually have to improve, so as to reach an improvement factor 3 in order to meet thesafety objective in 2020. This is based on the assumption that safety needs to improve with the square of traffic volume increase,in order to maintain a constant accident rate.

In the longer term (design life of the concept) safety levels would need to be able to increase by a factor 10 to meet a possible three-fold increase in traffic, in accordance with the political vision and goal.

Note:

The SESAR safety performance policy objective builds on the ATM2000+ Strategy objective: "To improve safety levels by ensuring thatthe numbers of ATM induced accidents and serious or risk bearing incidents (includes those with direct and indirect ATM contribution)do not increase and, where possible, decrease." The Strategy continues to explain, "The formulation of the objective implies a reduc-tion of the accident rate per operation or flight hour substantially greater than the rate of increase in traffic."

The scope of the performance objective is limited to accidents involving aircraft with a MTOW > 2.25 tonnes, operating under IFR.

Reference needs to be made to the definition of “accident” in ESARR4 Appendix B (consistent with ICAO Annex 13), narrowed downto “ATM induced accidents” as specified in ESARR4 Appendix A. This covers accidents with direct and indirect ATM contribution.

Important note: while an initial strategic design objective and target is needed and has been established to guide further work in thecontext of SESAR, EUROCONTROL has a mandate for the development of a Risk Classification Scheme for the Design of ATM. Thiswork, which will conclude in April 2008, will inter alia, establish whether quantified design targets for the ATM System are feasible,and if so, what those targets should be. This will be for all classes of risk, ranging from accidents to minor incidents. An expert grouphas been convened to progress this subject. The ultimate result will be taken into EC law.


December2006


Note: Additional Focus Areas will need to be defined in D3 to address the performance of the ATM target system with regard to the provision of infor-mation to other organisations dealing with security and take into account the threat levels. Such focus Areas deal with the design of solutions suppor-ting the achievement of the above mentioned strategic security outcome.


3.4.7 Security


Security This KPA covers a subset of aviation security. It addresses the risk, theprevention, the occurrence and mitigation of unlawful interference with flightoperations of civil aircraft and other critical performance aspects of the ATMsystem. This includes attempts to use aircraft as weapons and to degrade air transport services. Unlawful interference can occur via direct interference withaircraft, or indirectly through interference with ATM service provision (e.g. via attacks compromising the integrity of ATM data or services). ATM security also includes the prevention of unauthorised access to and disclosure of ATMinformation.


Interference with aircraft trajectories This Focus Area covers aircraft trajectory changes which pose a security risk.

Direct interference with aircraft This Focus Area covers aircraft trajectory changes initiated from within aircraft trajectories which pose a security risk. Causes include hijack, terrorist action etc. The ATM

responsibility in this area is limited to providing support in the detection andmitigation of occurrences.

Indirect interference with aircraft This Focus Area covers the risk of aircraft trajectory changes due to interference trajectories with ATM service provision, e.g. via attacks compromising the integrity of ATM

data or services. Such ATM attacks can be classified as physical attacks, cyber attacks and radio spectrum attacks.

ATM information security Focus is on unauthorised access to and disclosure of ATM information. This area covers operational data related to current flight operations and ATM service provision, as well as historical and forward looking ATM data not anymore (or not yet) relevant for operations (hence useless for attempts to degrade air transportservices directly), but which may still be sensitive for a variety of reasons.

Focus Areas

No quantified targets can be specified at this moment, but the general objective for all Security Focus Areas is to provide a degreeof resilience that is state of the art and commensurate with the security risk scenarios as agreed between the public and privatestakeholders of the value chain.

Note:

1) It is apparent when considering the definition of ATM security that one of the objectives of security is to preserve the business continuity of the air transport industry. This aspect is not brought out in the explanations of the air transport value chain and the value to the public. This is particularly necessary when considering the ATM service to aviation as part of the national (or European) critical infrastructure. From that point of view, one of the goals of the terrorist may be to disrupt and disable the industry itself through loss of public confidence or by increasing the perceived threat to life and so cause damage national life or airlines orairport operators.

2) This KPA has not yet made a start with developing a Performance Measurement culture.

The Performance Target

I ssued by the SESAR Consor t ium fo r the SESAR Def in i t i on Phase Pro jec t co- funded by the European Commiss ion and EUROCONTROLDecember2006

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3.4.8 Environmental Sustainability


Environmental sustainability Aviation has a diverse impact on the environment, but not all aspects can be influenced by the ATM system. This KPA addresses the role of ATM in themanagement and control of environmental impacts. The aims are to reduce adverse environmental impacts (average per flight); to ensure that air trafficrelated environmental considerations are respected; and, that as far as possible new environmentally driven non-optimal operations and constraints are avoided or optimised as far as possible. This focus on environment must take place within a wider “sustainability33” scope that takes account of socio-economic effects34

and the synergies and trade-offs between different sustainability impacts.


Environmental constraint This focus area covers the broad responsibility of the ATM decision makersmanagement (e.g. environmental lawmakers, environmental regulators, local planning

authorities and local rule makers) to avoid imposing any unnecessaryenvironmentally driven constraint or non-optimal operational practiceor constraints without incentives.

Best ATM Practice in Environmental This Focus Area covers ATMs ability to optimise the environmental performance Management of aircraft operations, ensuring that the environmental benefits arising from such

improvements are assessed and recognised by the Sustainability Frameworkfor ATM.

Compliance with environmental rules This Focus Area covers the degree to which environmentally driven traffic rules and constraints imposed on airports and airspace are respected.

Atmospheric Impacts This Focus Area covers gaseous emissions (CO2, NOx, H2O, etc.), particulates and secondary effects (such as contrail triggered cirrus) generated in all flightphases (taxi, departure/arrival, en-route), and their impacts on both local airquality and the global climate.

Noise Impacts This Focus Area covers noise generated during all flight phases (en-route =sonic boom) and its impact on affected population.

Focus Areas


33 - For SESAR, sustainability is taken to mean achieving a balance between environmental, social and economic impacts and imperatives whilst serving demand. Management of any single impact should be decided in the light of associated impacts in other sustainability areas (e.g. noise constraints which may give rise to significantly increased atmospheric emissions and/or unacceptably high job loss or economic impact.

34 - E.g. Economic development, jobs, leisure, reduced mobility costs, safe and secure mobility, trans-European networks, global market connectivity etc.

As a first step towards the political objective to enable a 10% reduction in the effects flights have on the environment the initial indi-cative Environmental design targets are:• The aim is that all proposed environmentally related ATM constraints would be subject to a transparent assessment with an

environment and socio-economic scope; and, following this assessment the best alternative solutions from a European Sustainability perspective are seen to be adopted.

• Local environmental rules affecting ATM are to be 100% respected (e.g. aircraft type restrictions, night movement bans, noise routes and noise quotas, etc.). Exceptions are only allowed for safety or security reasons.

• Noise emissions and their impacts are minimised for each flight to the greatest extent possible.• Achieve the implicit emission improvements through the reduction of gate-to-gate excess fuel consumption addressed in the

KPA Efficiency. However no specific separate target could be defined at this stage for the ATM contribution to atmosphericemission reductions.

• Minimise other adverse atmospheric effects to the greatest extent possible. Suitable indicators are yet to be developed.

Note:1) The first two focus areas (i.e. Environmental constraint management and Best ATM Practice in Environmental Management) are more

process related than outcome related, and therefore represent subjects internal to Task 1.1.4.2) On the basis of the above qualitative approach, mature quantitative approach will have to be developed in D3.3) ATM’s contribution to the reduction of aviation’s overall environmental impacts is limited to facilitating and managing aircraft flight

and ground operations. Other parts of aviation34 must therefore continue to address this common challenge (e.g. throughtechnology, airframe and engine improvements).


December2006


AircraftManufacturing

NoiseEffects

GlobalClimateEffects

AircraftSales

& StorageFleet

ManagementAircraft

DispatchFlight

PlanningFlight

Operations

LocalAtmospheric

Effects

AircraftDestruction Scheduling

ATMOperations

Materials

Materials

Engine, airframeand avionicstechnology

AircraftCharacteristics

AircraftCharacteristics

FleetCharacteristics Route

networks& schedules

OtherInfluencing

Factors

Actual fuelconsumption

Weather

Aircraftnoise

Noise fromnon aviation sources

Populationdistribution

Performancecharacteristics

of assignedaircraft

PlannedTrajectory

Trajectoryinfluence

Gaseousemissions

from aircraft

Otherinfluencing

factors

Otherinfluencing

factors

Emissions fromnon aviation

sources

Gas.emiss.

Localair quality

Air transportdemand

Actualtrajectories

Air transportvalue

EnvironmentalRulemaking

Noise impacton people

Globalwarning

Environmental

rules and regulations

F igure 3-5 Per fo rmance impac t mode l fo r env i ronmenta l sus ta inab i l i t y

Note: (continued)ATM must demonstrate its effective management of those adverse impacts within its scope and must deliver continuous, cost effective andworthwhile improvements in the environmental performance of aircraft operations. At the same time ATM must be seen to be contributing to aviation’s positive socio-economic contributions to European Sustainable Development.

Success in this key performance area requires the achievement of a delicate and politically high profile balance between society’s demand for mobility and its demand for a good quality of life and environmental protection. Socio-political decision-making should support ATMdevelopment within this balance and should not impose counter productive, unnecessary or non-optimal rules and restrictions. Such ATM constraints may include delay in approval for new infrastructure, failure to protect airports from residential encroachment (land-use planning is integral with airspace design and operation) and the approval of conflicting environment and transport regulations.ATM also has therefore a responsibility to fully engage with these decision makers (including local communities), alongside other parts of aviation, to ensure ongoingsupport.

ATM will not be able to achieve its maximum contribution to European sustainability if decision makers adopt a sole focus onenvironmental issues without accounting for other sustainability impacts. Any environmentally inspired rule or constraint should be fullyjustifiable from an overall European sustainability perspective.This focus on environmental performance within the wider scope of sustainability, together with achieving recognition and support fromATM’s external decision making is essential if ATM is to continually secure its licence to operate and grow.

The Performance Impact Model for Environmental Sustainability is shown below.



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3.4.9 Access and Equity


Access and Equity This KPA splits the management of airspace usage (and usage of other ATM resources such as airports and ATM services) into two distinct issues: access/segregation and equity/prioritization.


Access This Focus Area covers the segregation issue: whether or not access rights to airspace and airports are solely based on the class of airspace user. In other words, is shared use by classes of airspace user allowed, and how much advance notice of this accessibility is provided.

Equity The scope covers the subject of equitable access, i.e. the prioritisation issue: under shared use conditions (i.e. access is possible), to what extent is access priority based on the equipage of airspace user.

Dissatisfaction of airspace users regarding equitable treatment arises when there are no prioritisation rules, or the rules are not applied correctly.

Focus Areas

No quantified design targets for access and equity have been defined yet; however qualitative objectives can be formulated as:

For access:

1. Shared use of airspace and airports by different classes of airspace users will be significantly improved (classesdefined by type of user, type of aircraft, type of flight rule).

2. Where shared use is conflicting with other performance expectations (safety, security, capacity, etc.), viableairspace/airport alternatives will be provided to satisfy the airspace users’ needs, in consultation with all affectedstakeholder (see Participation KPA).

For equity:

1. For priority management, more options will be available than just the ‘first come first serve’ rule.

2. Priority rules will always be applied in a transparent, correct manner.


December2006



3.4.10 Participation


Participation At the level of overall ATM performance, the KPA “Participation by the ATM Community” covers quite a diversity of objectives and involvement levels. Participation by the ATM community can be considered in the followingdimensions:

a) Separate involvement issues and approaches apply for each of the ATMlifecycle phases: planning, development, deployment, operationand evaluation/improvement of the system.

b) “Meeting the (sometimes conflicting) expectations of the community” implies that participation and involvement should be explicitly pursued for each of the other Key Performance Areas.

c) Involvement should be monitored and managed per segment of the ATMcommunity.

The three dimensions serve as a framework for focused tracking of the various participation and involvement initiatives, assessment of the actual level ofinvolvement against the desired level, and identification of weaknesses and improvement opportunities. The aim is to achieve a balanced approach to ATM community involvement.

Different methods and levels of involvement are possible: informing thecommunity, obtaining feedback and advice from the community, collaborative decision making and consensus building.


No quantified design targets have been defined for Participation by the ATM Community. However the qualitative aim (general per-formance objective) is to improve participation:

• During all ATM lifecycle phases: planning, development, deployment, operation and evaluation/improvement of the system• For all performance areas: access and equity, capacity, cost effectiveness, efficiency, environment, flexibility, global

interoperability, predictability, safety, security• By involvement of all ATM community segments

The following participation techniques will be used as appropriate:

- Informing the community,- Obtaining feedback and advice from the community,- Collaborative decision-making and consensus building.



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3.4.11 Interoperability


Interoperability At the level of overall ATM performance, the main purpose of interoperability KPA is to facilitate homogeneous and non-discriminatory global and regional traffic flows.Applying global standards and uniform principles, and ensuring the technical and operational interoperability of aircraft and ATM systems are to be seen assupporting (enabling) objectives for the above main objective.


Homogeneous traffic flows This Focus Area addresses the extent to which the Focus Areas “ Application of standards and uniform principles” and “Technical and operational interoperability of aircraft and ATM systems” have an impact on the efficiency of businesstrajectories for intra-European and intercontinental flights.

Non-discriminatory traffic flows This Focus Area addresses the extent to which the Focus Areas “ Application of global standards and uniform principles” and “Technical and operationalinteroperability of aircraft and ATM systems” have an impact on access forintra-European and intercontinental flights.

Application of global standards Self-explanatory.and uniform principles

Technical and operational Self-explanatory.interoperability of aircraft and ATMsystems

Focus Areas

No quantified design target has been defined in the area of interoperability. However, qualitative objectives can be formulated whichdescribe the required impact of interoperability improvements.

The application of standards and uniform principles, together with improved technical and operational interoperability of aircraft andATM Systems will enable a measurable improvement of:

- The efficiency of business trajectories for intra-European and intercontinental flights.- Airspace and airport related access for intra-European and intercontinental flights.- Airspace and airport related equity for intra-European and intercontinental flights.


December2006


This document lays the foundation for a performance-basedapproach to the development and operation of the future EuropeanATM System:

• Based on a high level (political) performance vision, a numberof top level initial indicative strategic performance targets havebeen defined in order to guide the design works; They have tobe recognised as working assumptions and will then have to becascaded down to lower level targets by subsequent Tasks in the SESAR Definition Phase. In any case it should be recognizedthat the long-term (2020) initial indicative design targets are going to be achieved in a progressive manner, starting from today’s actual performance levels (baseline performance) via short and medium term intermediate targets (no intention to rely on big-bang improvement to reach the 2020 targets in onegiant step).

• In order to operate the future ATM System in a performance-based manner, a performance framework has been definedwhich includes a “vertical” dimension (decomposition of the performance processes: how (well) is performance regulated,planned, delivered, measured, reviewed and improved) and a “horizontal” dimension (dealing with performance scope:definition of Key Performance Areas, Focus Areas, initialobjectives etc.).

3.5 Conclusions

The reader should keep in mind that the present material represents no more than working assumptions for a coordinated, consis-tent performance based approach in the remaining SESAR Tasks, rather than the complete and all-encompassing treatment of the‘performance’ subject. This implies amongst other things that the design targets contained in this document represent initial indi-cative targets (working assumptions), subject to further analysis and validation. It should be noted that the allocation of responsi-bility for achieving these targets involves all stakeholders and that many details of the performance based approach will have to beworked out by subsequent SESAR milestones, based on guidance and principles contained in this chapter.



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D1 identified the most relevant blocking points in the airspace andairport domain areas. An objective of the ATM Master Plan will bea planning of activities for short-term improvements to be imple-mented between 2008 and 2013, which will deliver benefits whileensuring continued return on investment. Leading to this objective,this chapter gives an outline of solutions, which have thepotential to resolve these blocking points of current operationsin the short timeframe. The list of solutions is not intended to beexhaustive, and many local initiatives also contribute to resolvingblocking points, although these are not all explicitly identified here.The subsequent SESAR Milestones will take over these results toperform a trade-off of the various alternatives, assess the costsassociated with the implementation and identify and stimulate therequired validation and standardisation activities, taking intoaccount the need to align the short-term actions with the 2020selected concept. The recommendations described in the pre-sent chapter will then be further consolidated.

The initiatives and best practices have been selected taking intoaccount the driving blockers identified during Milestone 1. Priorityis given to the ones which:

1 Reduce fragmentation, at all levels of the European ATM System.

2 Address the lack of flexibility of the ATM network and, at local level, find ways of providing varying levels of operationalATM capacity in real-time.

3 Emphasise the need to implement a really integrated ATM network that includes airport operators, airspace users,TMAs and en-route airspace instead of a collection of more orless isolated solutions.

4 Promote a simplified European framework together with aperformance-based approach satisfying all categories of airspace users’ requirements.

For each solution, expert judgement has been used, based on indi-viduals’ expertise and taking into account several factors. Amongothers are the number and severity of the impacted blockingpoints, time and ease of implementation, cost of implementation(CBA results have been used where available), environmentalimpact, contribution to the transition to future concepts and safetyimpact. As the objective is to select the solutions that have thepotential to realise real benefits in the European network in theshort-term, the current maturity of the solutions is of particularimportance.

The following definitions are used throughout this chapter:

• A solution is Promising when a positive proof-of-concept exists and trials have been initiated or carried out for operationalimplementation.

• A solution is Mature when it relies on proven technologies or concepts, i.e. already implemented or being implemented35.

Whereas it is clearly recognised that almost all potential solutionsaddress several KPAs, in the following description, they have beengrouped by themes under the most directly addressed KPA36. Adescription of the KPAs impacted by each solution is available inTable 4.3.

4 Short-TermImprovements Baseline

4.1 Short-term Context

35 - Description and assessment of all initiatives considered is available in DLT-0607-321 and DLT-0607-322 in their applicable issues36 - The order of the sections in chapter 4 is not linked to any ranking of the KPAs


December2006


4.2.1 Airspace

The challenge in terms of capacity in the airspace environment inthe short-term is to meet the traffic growth demand and to limiten-route delay. European ATM network capacity will require anincrease of 27% between 2005 and 201137.

Among the current initiatives aiming at improving and making thebest use of the available airspace capacity, two in particular standout: namely DMEAN and the ATFCM Strategy and EvolutionPlan, because of their big potential to address the key issues ofplanning, designing and managing the European ATM networkin an integrated approach and to deliver immediate benefits inthe SESAR short-term period38.

The analysis of the DMEAN case study at Maastricht UAC in 2005 indi-cates that average delivered capacity increased by 26%. This “pro-vides a useful indicator of the latent capacity that can be released bywide-ranging and co-ordination actions and its beneficial impact”.Nonetheless, it is necessary for DMEAN to adequately consider GeneralAviation VFR needs for access to lower airspace. It is also important forGA IFR to focus on optimal routings and flexibility in lower airspace (out-side terminal areas).

The ATFCM Strategy aims at widening the notion of Traffic Flow andCapacity Management from the mere allocation of slots to the optimi-sation of traffic patterns and capacity management with the emphasison optimising the network capacity through collaborative decision-making processes. This short-term improvement is seen as an impor-tant building block for the future ATM operational environment.

In a context of an increasing proportion of ATFM delays due to sectorstaffing issues39, airspace capacity improvements in the short-term willalso depend on the appropriate recruitment and training of ATCOs.

The 8.33 KHz Programme is the only technical solution availablein the short-term to address the key issue of ensuring additionalVHF frequencies. It was already implemented above FL245 and itsimplementation will continue between FL195-245 in 2007. Theimplementation below FL195 raises strong issues for GeneralAviation, small regional operators and the military community (forthe latter also above FL195), which will require retrofit. The deve-lopment of a business case for below FL195, shortly to be disclo-sed by EUROCONTROL, is planned to address the impacts onGeneral Aviation and small regional operators.

It is stressed that all initiatives to improve the efficiency of the usage ofthe aeronautical VHF communication spectrum are essential andshould be further promoted. A re-enforced approach to spectrummanagement is necessary to free up frequencies in core congestedregions of Europe and a closer planning with military authorities will bebeneficial. Currently, a frequency management service established atEUROCONTROL provides States with a centralised, reliable and upda-ted information system on actual frequency allocation as well as withthe necessary tools and know-how to support their frequency mana-gement and planning activities.

On a more general note the initiatives related to aeronauticalSpectrum Protection must be fully supported at all levels as theydefend a scarce resource for aviation that is currently underserious threat. The development of an Aeronautical EuropeanCommon Position (AECP) on CNS spectrum issues is importantand its adoption in the ITU WRC 0740 decision should be accelera-ted by a strong support at political level.

Technical enablers

Whereas the long-term concept for the European ATM System will bedefined at a later stage of SESAR, it is foreseen that it will encompass:

• Better and safer use of Airspace which captures the best use of advanced aircraft capabilities (tailored 4D RNAV with reliablenavigation and surveillance means, including RNP as recommendedby the Performance Based Navigation Manual by ICAO)

• Increased use of digital data communication as an enabler of aircraft/ground and ground/ground ATCOs communication improvement(especially for strategic and high density messages, 4D trajectories)

Short-term improvements should enable the transition towardthese concept elements, while ensuring global interoperability.

In the technical development area, different important initiativeshave been identified, which cover all technical domains. They areoriented to a better use or a more widespread implementation ofexisting technology or equipment, which is seen as the mosteffective and cost-beneficial method to achieve improvements ona short-term basis. Of significance, in terms of opportunity, is thatthere is no duplication between initiatives with the focus of eachinitiative addressing a particular domain.

4.2 Capacity

37 - Source EUROCONTROL Capacity webpage: “In order to meet [the medium growth scenario] and to achieve and maintain the en-route delay target, the Summer season European ATM network capacity will require a increase of 27%.”

38 - It is recognised that several other solutions, like P-RNAV, FASTI or Data link will also have significant impact on capacity in the short-term (refer to 4.5 Interoperability and Table 4.3).39 - Source EUROCONTROL document PC/06/26/8: DEBRIEFING ON THE SUMMER 2006 TRAFFIC SITUATION. “Reported incidents of Staff Shortage have increased considerably during the summer of 2006, and the

corresponding delay has risen by 124% in comparison with summer 2005”40 - International Telecommunication Union, World Trade Organisation 2007.



065

P-RNAV is strongly recommended for full and swift implementa-tion. Additionally the initiatives of LINK 2000+ in the short termand CASCADE in the short/medium term are critical steps towardwide implementation of data-link technologies and applications.Data-link solutions are expected to bring significant improvementin capacity (E.g. 11% increase in sector capacity is expected if75% of aircraft are equipped in CPDLC).

According to AEA and IATA41, ADS-B based on Mode S 1090extended squitter is recognized as a prime enabler of critical ATMapplications42, bringing potentially substantial safety and capacitybenefits. Moreover, ADS-B is also supported by GA and guaranteesthe required interoperability with the USA.

4.2.2 Airport

D1 states that under optimal conditions (which also means consideringregional airports working at full capacity), “Existing airport capacity inEurope is capable of absorbing a maximum of twice the traffic demandof 2003. [At the current demand growth pace] Consequently, it is rea-sonable to assume a practical capacity barrier will be reached between2013 and 2015. Consequently, in order to meet the SESAR challengeand break though this (capacity) barrier, sufficient capacity in the basicATM infrastructure (...) including airports must be created.” In the longterm, additional airport infrastructure will have to be developed43 ; in theshort term capacity gains at airports are only possible by improvingoperational procedures.

Almost 80% of the airport operators reported in the CTG0444 study indi-cate that they will be unable to achieve the capacity of the best perfor-ming airports. The most frequently cited reasons for this were physical

site and infrastructure limits (two thirds of airports with constraints), fol-lowed by environmental issues (half of the airports), and physicalconstraints related to surrounding airspace and geography (one third).Nevertheless, the analysis shows that there is latent peak hour capa-city45 within the majority of European airports that could be unlockedthrough a Europe-wide dissemination of best practices. One metho-dology for addressing these issues is already available in Europe, offe-red by EUROCONTROL in the frame of the ACE project.

ACE has already brought about measurable benefits at a numberof airports in Europe, with up to 20% expected runway capacityincrease in average. A typical example is the Prague airport, whereafter implementing phase I of the ACE method declared capacityincreased from 34 to 38 movements an hour46.

New operational products derived from European R&D haverecently been introduced and start delivering promising capa-city benefits. These are based on a proactive planning of opera-tions, an integrated arrival, surface and departure management,and extended automation. These products implement the firstapplications of the integrated AMAN / DMAN / SMAN concept.

Several European airports (e.g., Frankfurt, Munich, Zurich, ParisCharles de Gaulle and Madrid) have already implementedAMAN/DMAN systems. The technology itself is mature and readilyavailable off the shelf. While different providers exist, and capabi-lities differ in detail, they have a largely common functionality. Forinstance, the DMAN implementation at Munich Airport, in combi-nation with Airport CDM has already achieved a reduction in pro-cess time between off-blocks (ATD) and airborne (ATOT) of 10 to15%. The benefit not only translates in less delay and less fuelconsumption (less air pollution) but also in a more efficient use ofresources (stands, ground equipment, etc)47.

To optimize the overall performance of the airport, sequencing toolssuch as AMAN and DMAN, currently implemented independently,should be coupled and integrated with the surface managementtools (SMAN, A-SMGCS, etc). Current development of these toolspoints towards this direction. In Frankfurt a first stage of SMAN is cur-rently under development, and it has been implemented at severalAsian airports already. The tool makes use of Mode-S and groundradar surveillance data to plan the outbound traffic and to update andoptimise the departure sequence of DMAN.

41 - European ADS-B Link Strategy Letter from IATA.AEA dated March 10th, 200342 - Examples of such applications are: Surveillance in a non Radar environment and enhanced situational awareness for the pilot with Cockpit Display of Traffic Information (CDTI)43 - Building of new runways and taxiways will have to take into account compatibility with the local constraints (environment, land use, etc)44 - Challenge to growth, 2004, ECAC / EUROCONTROL45 - Challenge to growth, 2004, page 10, ECAC / EUROCONTROL46 - Other examples can be found in SESAR Task 3.2.2 D2 deliverable (DLT-0607-322-00-01 or later version)47 - It must be noted that full benefits of the AMAN and DMAN systems will be delivered only if the trajectory used by those tools is both accurate and consistent with the information in the rest of the ATM system, which is

currently not always the case.

Recommendations for the short term

1. Support the implementation of DMEAN and ATFCM Strategy and Evolution Plan - Mature

2. States/ANSPs with experience of local implementation best practices, which are aligned with the DMEANprinciples, should share their knowledge across the European net work – Mature

3. Support 8.33 programme, while tackling GA and military retrofit issues – Mature

4. Support frequency assignment and promote frequency management improvement – Mature

5. Support implementation of P-RNAV, Link2000+,CASCADE - Mature to promising


December2006


4.3.1 Airspace

Important improvements can be achieved for what concerns flightefficiency in Airspace. The full implementation of the existing plansfor an improved ATS route network in Europe (ATS Route NetworkARN V5) has the potential to save airlines approximately130000 km of flying distance per day. This means a reductionof approximately 2% of the average distance flown in theEuropean airspace, and would lead to savings of approximately€200Mn/year50.

Further reductions of 1.5% will be possible through the deploy-ment of the ATS Route Network ARN V6 that is expected to fullyapply the principles of the DMEAN Operational Concept. Theimplementation of enhanced ground and airborne systems willincrease the potential for offering direct routes in real time thatcould save an additional €200Mn/year51.

Best practices like UK JFADT and German MVPA trials involvingFUA and increased civil/military coordination should also be pro-moted. Such initiatives are extremely important for the militarycommunity, as they enable continued performance of OAT basicmissions and training, with a minimum effect on congestedEuropean airspace. More flexibility and ability by air operators touse airspace released or unutilised by the military is a means toimprove route efficiency, as well as more generally the harmonisa-tion of OAT rules.

4.3.2 Airport

Operational efficiency improvements rely on seamless operationswithin the entire network. This requires extensive cooperation /collaboration between all stakeholders and integration of airportswithin the network. In the absence of complete and timely infor-mation, operational decisions of individual actors at airports mayoften not be the optimal ones. The result is a degradation of theefficiency of the airports operation, with a direct impact on predic-tability. This is particularly true in case of bad weather or otherunforeseen events at congested airports, with negative effectsspreading across the ATM network. Until now, despite individualactors’ efforts, efficiency has been based on improving individualoperations rather than considering airport stakeholders as a team.

4.3.2.1 Airport CDM

Airport CDM (A-CDM) is an operational management practicebased on objectives and processes, commonly agreed betweenAirport Operator, ANSP and Airspace Users. By enabling decision-making based on accurate information, shared in a timelymanner, A-CDM increases the overall efficiency of the airportoperations and improves predictability, notably in case of bad wea-ther or other unforeseen events.

Tools – like software for developing a good human interface – andsupporting IT infrastructures are mature and available, supportingthe A-CDM processes. For instance, ADP has demonstrated that aweb-based approach can exist in parallel with the current IT infra-structure of airports and that AMAN/DMAN/SMAN and A-CDM arecomplementary.

4.3 Efficiency and Predictability

The lack of accuracy of weather forecast is also an existingblocker to the full use of existing capacity. For instance, currentoperational practice at Amsterdam Airport shows that the forecaston extreme weather conditions is accurate in about 30% of times,resulting in 10 to 15 situations a year where flow restrictions arenot adapted to the actual weather conditions48. Whereas initiativesto improve this situation in the medium to long timeframe49 exist,no potential solution has been found in the short term. The initia-tion of research and development on improved accuracy of avia-tion weather forecast must be strongly promoted and supported.

4.2 Capacity (continued)

48 - In addition, PRR 2005 indicates that around 40% of airport ATFM delays and 10% of en-route delays are initially due to weather,49 - Long term (2015 2020) MET strategy, developed by ICAO Europe, in cooperation with EUROCONTROL50 - Source EUROCONTROL ARN V5 Report51 - Source EUROCONTROL PRR 2005 – differences between filed routes and actual routes


1. Implement EUROCONTROL ACE recommended bestpractices – Mature

2. Implement or complement / support airport management airside, AMAN / DMAN / SMAN Arrival, Departure and Surface Manager (including apron management and stand/gate management) –AMAN and DMAN are mature,SMAN – Promising

3. Promote R&D on improved accuracy of weather forecast for ATM purposes


1. Implement ARN V5 and V6 - Mature2. Promote FUA and civil/military coordination best practices

implementation and OAT harmonisation – Mature



067

The EEC Report No 371 states: “Experience gathered so farthrough airport CDM show that an important source of benefits forreducing delays as a whole in Europe and achieving the bestuse of scarce resources relies on improving the reliability and pre-dictability of a very reduced set of data in the airport”52. In Europe,A-CDM has already brought measurable benefits at a number ofairports. Airport CDM is a cost effective solution to improve effi-ciency and predictability in airport operations. The magnitude ofexpected benefits is of the order of €90Mn (over 10 years, allstakeholders included). The business case for Airport CDM isextremely positive, showing a benefit to cost ratio of 9 to 1. Thecosts incurred for a typical Airport CDM project (over 10 years, allstakeholders included) are in the order of €11Mn, from which theinitial implementation investment is only in the order of €3Mn andthe related recurrent operational costs are of the order of €8Mn.The full return of investment or payback period for all stakehol-ders is within 2 years and the risk of financial loss is practicallynon-existent53.

European Airports currently implementing A-CDM processes areLondon Heathrow; Milan Malpensa; Stockholm Arlanda; BrusselsZaventem; Barcelona; Zurich; Budapest; Munich; Lisbon; ParisCDG; Helsinki; Amsterdam Schiphol; Athens (a total of 13 air-ports). Other European airports are also planning to implementCDM processes.

In the USA, the economic benefits estimated by the FAA from thereduction of delays through implementation of CDM is above$200Mn/year on average, since 199854.

Experience of the successful implementation of the infrastructurefor A-CDM has identified key risks, which need to be addressedfor a successful implementation:

• Lack of commitment or resources of the different stakeholders• The unwillingness of airport partners to share data because of

their (perceived) commercial value.

4.3.2.2 Regional CDM

Regional CDM consists of linking into a network A-CDM airportsand the Central Flow Management Unit (CFMU). This collaborativeairport management in a network wide context requires interfacesof a common standard to be built between the actors - the airportoperators and the CFMU. This can best be done by building onexisting initiatives, like DMEAN for instance.

Current information concerning the evolution of ATM cost-effecti-veness in Europe shows that the measures taken at local and net-work level will reduce the direct unit cost per km flown (userscosts) by approximately 15% by 2010. Other initiatives at localand network level will have the potential to further increase pro-ductivity and reduce fragmentation thus bringing additional costsavings to the airspace users. It has been evaluated55 that the lackof common systems and coordination at the ATS Units' interfacesaccounts for approximately 23% (€190-325Mn) of the entire costresulting from fragmentation.

Many of the solutions described under other Key PerformanceAreas have also the potential to bring significant improvement incost-effectiveness. Examples are:

• DMEAN (section 4.2.1) will improve network efficiency. At full implementation airlines are expected to save between €2-2.7Bn/year56. The CBA also shows a benefits/costs ratio of approximately 9.

• FASTI (section 4.5) will improve sector productivity.

FABs are seen as the first step to reorganise the European ANSPenvironment, and are expected to bring operational benefits before2012 in terms of Cost-Effectiveness. Table 4.3 identifies other ini-tiatives and solutions, which contribute to cost-effectiveness.

4.4 Cost Effectiveness

52 - EEC Report No 37153 - Those figures are given as orders of magnitude only, actual figures are expected to be published in December 2006 by EURC in an update of A-CDM CBA.54 - Source: US CDM web site: http://cdm.fly.faa.gov/index.html55 - Source: "The impact of fragmentation in European ATM/CNS", study commissioned by the PRC, Iss. April 200656 - Source “Cost Benefit Analysis for DMEAN” March 2006


1. Implement Airport CDM – Mature 2. Support the DMEAN programme and implement

recommended best practices as a way of building further bridges between the airport and the network operations –Mature


December2006


Several initiatives address the key issues of planning, designingand implementing enhanced flight data processing systems capa-ble of supporting advanced operational concepts through state-of-art technologies. The implementation of these new FDP57 sys-tems and their improved interoperability, planned by most ofthe European ANSPs over the next 5-7 years and done througha close co-operation between ANSPs and system manufacturers,is critical to enable the transition towards new operationalconcepts. Other initiatives like FASTI, introduce improvements oncontroller tools, data interchange and integrity. FASTI has thepotential to bring the required system support to ATC and toensure additional sector capacities of up to 15% by reducingcontroller workload58. Initiatives like AIM/CHAIN enable the movetowards the concept of System Wide Information Management(SWIM).

Finally, it must be noted that improvements in interoperability arealso expected to come in the short-term from the interoperabilityImplementing Rules in the frame of the SES regulation.

4.5 Interoperability

On the airspace side, there are a number of explicit safety initiati-ves that address safety improvements for the European ATM.These are mostly related to improvements in safety regulation andmanagement, level busts and data integrity. Other initiatives likeATFCM and DMEAN for instance are not directly related to safety,but the improvements proposed contribute to a better airspacedesign and decrease of controller workload, which have an impor-tant impact on the development of a safe ATM network in Europe.The initiatives covering technical enablers have also a directcontribution to safety by offering an improved ATC infrastructure59.

Meeting the challenge of maintaining and where possible impro-ving safety levels in the short term will require the deployment ofa consistent approach to improving safety management inEurope. The European Safety Programme is considered to bethe most suitable vehicle to generate the necessary changes.The specific objective of the European Safety Programme is toensure that all ECAC States take all necessary actions to ensurethat enhancements to ATM safety are maximised in the most costefficient manner and shortest possible time. Its main tasks willcover implementation and support of European safety legislation/regulation, incident reporting and data sharing, risk assessmentand mitigation in day-to-day operations, system safety defencesand safety management enhancement.

Airport operators face a challenge in maintaining or improving cur-rent safety levels. Increasing movements and traffic complexity on

runways, taxiways and apron lead to an increasing risk especiallyduring low surface visibility conditions. Runway incursions are themost critical airfield safety issue with currently more than one run-way incursion per day within the ECAC region60 (albeit the recentincrease may reflect improved reporting and the risks associatedare not necessarily severe).

Most of the larger airports (Amsterdam, Frankfurt, London, Paris,Vienna, Zurich, etc.) have recently invested in enhanced surveil-lance, A-SMGCS and other measures to prevent runway incursion.They are reviewing their procedures according to the EuropeanAction Plan for the Prevention of Runway Incursions (EAPPRI).EAPPRI includes recommendations, which will enhance safety andinvolve actors from Airport Operators, ANSP and Airspace users.While many of the medium size and smaller airports are still strug-gling with the high costs of such surface management systems,there are alternatives. Depending on the traffic volume of the res-pective airport, SMR (Surface Movement Radar) in combinationwith other sensors may be a cheaper alternative. There are alsoother technical solutions available such as ADS-B and even multi-lateration when combined with surveillance in the TMA (e.g.Innsbruck airport).

The harmonisation of the procedures associated to A-SMGCS (forexample the use of Mode-S transponder for ground/apron control)as well as systems and personnel certification are the most impor-tant issues to be addressed.

4.6 Safety

57 - A not exhaustive alphabetical list of the most relevant new FDPS: CoFlight, COOPANS, CroATMS, FATMI, LISATM, MATIAS, N-FDPS, One ATM System, P1-iTEC, P1-VAFORIT, SACTA-iTEC58 - Source EUROCONTROL FASTI Programme Management Plan59 - See Table 4.3 for the list of promoted solutions that have impact on the Safety KPA60 - Study by EUROCONTROL Airport Operations Unit


1. Support implementation of initiatives addressinginteroperability of ATCO support tools and system wide information management like for instance FDPS, FASTI,AIM, CHAIN, which enable the move toward advancedoperational concepts – Mature to promising

A €3.47 - 3.87 Mn €0.30 - 0.68 Mn €0.64 - 0.90 Mn 1.3 - 1.5

B €4.54 - 6.64 Mn €0.05 - 0.12 Mn €0.13 - 0.65 Mn 2.4 - 3.0

Scenario Total one-time Operating costs Overall Benefit / Costcosts (p.a.) Benefits (p.a) Ratio

Table 4.1: Scenarios for cost & benefits derived from the implementation of A-SMGCS



069

A-SMGCS has a direct positive impact on safety, by providingcomplete situational awareness to the controller under all weatherconditions, and in addition delivers operational gains. In the draftversion of EUROCONTROL’s “Generic Cost Benefit Assessment ofA-SMGCS”61 two scenarios are evaluated:• Scenario A – medium-sized airports with expected levels of

weather related delay of 50k minutes annually.• Scenario B – large airports with expected levels of weather

related delay of 100k minutes annually.

70-100% of the recommended actions of EAPPRI are fully orpartly implemented at more than 100 ECAC airports. This has ledto a decreasing number of class A and B incidents62, but a proofof evidence is nevertheless difficult unless a “just-culture” for inci-dent reporting is introduced and legally supported on a global

scale. The PRC recommendation (PRR 2005): supports the EURO-CONTROL SAFREP report’s recommendations, which should beimplemented as soon as possible. Specific actions should beurgently undertaken to assist individual States/ANSPs in meetingtheir safety reporting obligations.

According to the CTG04 study, in the near term (2005–2010),improving fuel efficiency (on the basis of the flight efficiency initia-tives as described in section 4.3) is the most potentially rewardingapproach to directly reduce air transport’s climatic impacts.Moreover environmental issues (noise, air quality, climate changeand pollution by run-off liquids) are complex challenges for mostof the European airports, which need to be managed proactively toimprove the acceptance of the local community for airport expan-sion and local airspace changes63.

Environmental issues should be tackled in an open culturethrough a Collaborative Environmental ManagementProgramme with:

• All ATM operational stakeholders adopting a robustsustainability policy.

• A management system to facilitate standard setting, monitoringand continuous improvement including sharing best practices and assessments of trade offs (E.g. noise, NOx, CO2).

• The local communities fully integrated in the decision-makingprocesses. The airport operator, ANSP and Users should regularlyreport and ensure community recognition of good practice.

• Implementing improved operational procedures with support byreadily available technical enablers64 in accordance with the ICAO balanced approach. (E.g. CDA, P-RNAV, GPU instead of APU delivering conditioned air and electricity, etc.).

A number of European airports have started to introduce theContinuous Descent Approach (CDA) technique, which minimisesfuel use, gaseous emissions and noise impact, by the arriving air-craft descending with idle thrust and avoiding level flight.

4.7 Environment

61 - A-SMGCS brings Efficiency & Throughput benefits (for instance, the ASMGCS CBA shows: 5% increase in throughput in all weather conditions, 10% reduction in weather delays, 5% reduction in taxi time)62 - Category A: Very serious risk incidents; Category B: Significant risk incidents; source EAPPRI, EUROCONTROL63 - CTG, 2004, Page 51, ECAC / EUROCONTROL64 - CTG, 2004, page 54, ECAC / EUROCONTROL


1. Deployment of the European Safety Programme for an early implementation of a common safety management system – Mature.

2. Implement A-SMGCS – Levels I and II coordinated with EAPPRI (European Action Plan for the Prevention of Runway Incursions) – Mature.

Noise infringements – Day 42 infringements of limit 26 infringements of limit 38%

Noise infringements – Night 22 infringements of limit 10 infringements of limit 55%

Track deviations 5.06% off track (1998) 0.55% off track (2003) 89%

Continuous descent approach 74% CDA 84% CDA 13.5% Improvement(core night)

Continuous descent approach 68% CDA 78% CDA 14.7% Improvement

1000ft requirement 253 aircraft below 1000ft 23 aircraft below 1000ft 91%

Criteria 2001/02 2005/06 Percentage Reduction

Table 4.2: Environmental benefits of Local Flight Operational Performance Committeeat Gatwick Airport


December2006


Above and beyond the safety advantages that P-RNAV provides,the enhanced accuracy capability of P-RNAV approved aircraftmeans that less airspace is required to accommodate P-RNAV ter-minal area procedures. As such capacity and environmental bene-fits can be obtained e.g., specific SIDs and STARs can be designedto accommodate different environmental requirements for nightand day operations.

A positive example for collaborative environmental management isthe Local Flight Operational Performance Committee (FLOPC) hos-ted by BAA. In this committee, compliance to operational procedu-res and their environmental performance are discussed andresults show clearly the benefits of involving the appropriateactors. The table below tracks the improving environmental perfor-mance for BAA Gatwick. The Flight Evaluation Unit that supportsthe monthly Flight Operations Performance Committee has produ-ced these figures. Airline members of the Flight OperationsPerformance Committee support the airport operator at regularconsultations with the local community.

There are operational benefits to environmentally ”aware” proce-dures. As an example British Airways reported that a (CDA) from6000ft to touchdown at Heathrow reduces fuel consumption 200-400kg per approach compared to previous practice. Further CDAtrials demonstrated that noise reduction of up to 6dB could be

achieved at track distances more than 5 NM to touch down (thenoise reduction potential varies between different aircraft types).

The greatest risk in building a culture of environmental collabora-tion decision-making is the local community’s perception of theoperations at the airport and their confidence in the airport autho-rities.

In the overall framework of Aviation Security, ATM Security is amajor component. The NATO/EUROCONTROL ATM SecurityCoordination Group (NEASCOG) has set up a Programme of Workto enhance ATM Security. This Programme of Work includes seve-ral actions applicable for the short-term, for instance:

• Facilitate and support the development and implementation ofstandards, guidelines procedures, methods and tools for ATM Security including support to the ATM Master Plan.

• Develop and implement an ATM Security Management System.• Facilitate the development and agreement on ATM Security

performance targets66.

4.8 Security

65 - Examples of such applications are the green flight initiatives on 4-D time controlled arrivals which have been tested in some European airports (for more information see T321/D2 section 4.2.3.13)66 - Source: NEASCOG POW Management Plan – Draft – Version 0.2


1. Implement harmonized procedures and techniques, basedon existing technical enablers in current aircraft, which improve flight efficiency, navigational accuracy andflexibility (CDA, P-RNAV/RNP, GBAS, leading to 4Dapproaches65) – Mature to promising

2. Stakeholders should adopt a challenging and robustsustainability policy, achieving the optimum possible balance between social, environmental and economic impeditives – Mature

3. Implement Collaborative Environmental Management (including tools) between ATC, users, airport operatorssurrounding communities – Concept is mature, theprocesses are less mature



071

Each proposed solution, be it a specific project or a generic tech-nical or operational area, has been associated with one or severalKPAs in order to describe, in a qualitative way, the performance

benefits expected from their individual implementation67. Table 4.3shows the expected impact per KPA. Only the most promisingones have been retained.

4.9 Expected Performance Improvements

67 - Notwithstanding the fact that some quantitative data exists and have been used for some solutions/KPAs, the bulk of the assessment is of qualitative nature, based on expert judgment. It will be further consolidated in subsequent activities of SESAR on the short-term improvements, including the interactions between several initiatives.

ATFCM + + + ++ ++ + ++ + + ++ + Mature

DMEAN + + + ++ ++ ++ ++ + ++ ++ + Mature

New FDPS + + + + + + + ++ Mature/Promising

AIM Activities + + + ++ ++ ++ Mature

CASCADE ++ + + + + + + + ++ Promising

CHAIN ++ + + ++ ++ Mature

FASTI + + + + + + + ++ ++ Promising

LINK 2000+ ++ + + + + + + + ++ Mature

P-RNAV ++ ++ ++ + + + + + ++ Mature

European Safety Programme ++ + ++ Mature

A-SMGCS level I and II ++ + + + + + Mature

EAPPRI ++ Mature

AMAN/DMAN + + + + ++ + Mature

ACE + + + + + ++ ++ Mature

Collaborative environmental ++management systems

CDA ++ + + + Mature

RNAV / RNP + ++ ++ + ++ Mature/Promising

SMAN + + + + + Promising

8.33 + + + + + + + + Mature

CDM + + + ++ + + ++ ++ Mature

Legendblank = neutral; + = positive impact; ++ = substantially positive impact

Selected solution

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SocietalOutcome

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Table 4.3: Assessment of the level of contribution of selected solutions to KPAsand their maturity


December2006


The design and operation of a fully integrated European ATM net-work, that includes the airports and is not artificially limited bypolitical boundaries or constraints has the potential to bring signi-ficant savings. The full commitment of the States andStakeholders to implement the solutions identified in SESAR willbe essential. While it is recognised that a number of very valuablelocal initiatives could improve local situations, the emphasis hasvoluntarily been given to more collective solutions that have thepotential to bring benefits across the whole network.The initiatives recommended above could bring savings to theEuropean ATM sector in the range of €0.5-1Bn/year. Of which atleast one third comes from a more efficient use of existing airs-pace and airport resources.

On the airport side, it can be noted that for the large European air-ports, which are capacity constrained, the value of the evaluatedshort term improvements is not as significant as for the medium,fast growing airports.

In the airspace domain, if ARN V5/V6 are fully implemented, toge-ther with the DMEAN operational concept, more significant savingwill be achieved, possibly tripling the above-mentioned benefits bythe end of the short-term period68.

A considerable help to the transition to a performance based ATMSystem can come from the EUROCONTROL Performance ReviewCommission (PRC). This body advises on the development of theperformance review and target setting system. It proposes overallobjectives for improvement of ATM System performance, developsperformance indicators for monitoring and analysis of ATM Systemperformance, identifies targets to be set for ATM System improve-ments, produces guidelines for economic regulation of ATM ser-vice providers and a number of complementary functions.The distribution of the annual Performance Review Report, thePRC’s main output, should be further increased to ensure that allstakeholders are included and are able to compare and challengetheir own performance with the performance of their peers.

Despite significant improvements over the past two decades, anumber of factors prevented initiatives like PHARE in the 80’s,EATCHIP in the early 90’s and EATMP later on, all of which weredesigned to improve European ATM, to provide their full benefits.These factors include: lack of political commitment; lack of persis-tence and consistency in the validation efforts resulting in insuffi-ciently conclusive results; complex individual transition paths; andpossibly diverging commercial interests. A political commitment atEuropean as well as at national level is required to support thenecessary changes for the short time frame.

4.10 Conclusion

68 - EUROCONTROL ARN V5 Report, DMEAN CBA and EUROCONTROL PRR2005



073

5 Principles For The WayForward to 2020

This chapter describes the way forward to the vision described inchapter 2. It identifies sets of principles are identified, which deter-mine how changes to the conduct of ATM will be undertaken.

Following the structure defined in chapter 2, it addresses the wayforward for the following items:

• The societal expectation to ATM (environment and security)• The performance framework

• The ATM business management framework• The ATM institutional and regulatory framework• Subjects of common interest (incl. standardisation process and

financial aspects)• The future architecture of the ATM System• The role of human in the future ATM

5.1 Introduction

This section describes the way forward to the vision of the envi-ronmental and the security aspects of the ATM. The way forwardto the safety vision is addressed by the institutional and regulatoryframework and by the performance framework.

5.2.1 The Environmental Aspects of ATM

A wide collection of environmental initiatives, best practice andR&D activities have been identified69. Their effectiveness is to bedemonstrated but most of the short-term improvements haveidentified promising benefits through local best practices.

The following principles should drive the way forward:

• Foster a common culture amongst society and the aviation sector, including emerging perceptions, needs and expectations,for a sustainable aviation system.

• Ensure that the decision-making process for any sustainable airport development is based on trust and mutual understandingbetween the aviation industry and the community, leading to a“license to operate agreement” between parties involved.

• The Air Transport Industry acknowledges the need to address the environmental responsibilities of the aviation sector via a bundle of measures ranging from further technological

developments of engines and aircraft to infrastructuralimprovements such as the implementation of the SES, which could cut aircraft emissions over Europe.

• Continue dissemination of best practices (chapter 4) in a harmonisedprogressive way, following the ICAO Balanced Approach.

• Foster the dialog in the form of a pan-European cross industryplatform for aviation sustainability (including ATM) for ongoingand future research efforts. Political commitment will be requiredto facilitate this, in particular in terms of consolidating all ATMstakeholders involved in environmental sustainability issues.

Continuous improvement with different levels of implementationwill be the way for the Air Transport Industry to show its commit-ment to the long-term solution of environmental issues. In thiscontext, a concerted effort in collaborative management amongstall stakeholders is needed. A key aspect of the agreement will bethe establishment of the definition of sustainability.

The success of applying the above-mentioned principles dependson the adherence of each ATM stakeholder to the collaborativecommitments on sustainability. Otherwise additional regulationand constraints to growth or even reduction in capacity may be theconsequence.

5.2 The Societal Expectations of ATM

69 - Please refer to the environment task (Task 1.1.4) and the short-term improvement (Task 3.2) task deliverables


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5.2.2 The Security Aspects of ATM

The harmonisation of a pan-European security framework basedon the EC Regulation 2096/2005 (the Common Requirementsrepresent the first piece of European Regulation that places formalsecurity requirements on the ATM System), as well as ICAO andother international standards will set up the regulatory frameworkof the ATM security.

Improvement of the ATM Security in the future European ATMSystem will be achieved through:

• Systematic consideration of the collaborative support of the ATM System to other stakeholders and relevant civil and militaryauthorities.

• Generalisation of the use of agreed Information and Communication Technology (ICT) security components in the ATM System design

• Recognition of internationally elaborated standards (e.g. ISO 17799 or COBIT) for Security Management and Audit activities

• Development and use of agreed best practices for software development/maintenance /support (e.g. EUROCAE WG 72)

• Physical protection of the infrastructure

The future European ATM System shall provide an essential role inthe support to National Governmental Authorities (NGA) in theareas of aviation security in general, airspace as well as onboardand ground security.

The security status of the "Self Protection of the ATM System"within each member state shall be evaluated and an accreditationof ICT security facilities must be established. As a consequencethe following general principles have to be considered:

• "Balance openness and suspicion" and "Consider the threat spectrum" require a continuous assessment process ofthe ATM System with respect to the continuous evolution of threats.

• "Consider Interdependency in Security", "Securityresponsibility is universal" and "Build on international standardizations" require the ATM System to have an integrated,interconnected, joint and harmonized security treatment by means, processes, regulations, etc.

• "Security regulation is subject to subsidiarity" requires refinedand strengthened regulations based on common objectives.

• "Maintain Security throughout the ATM System lifecycle" as well as the "Consider Security as a part of goodmanagement" require an appropriate priority as well as effectiveincorporation of ATM security within the overall ATM System management process (performance, quality assurance, etc).

The way forward for achieving the ATM performance frameworkvision described in chapter 2 can be summarised as follows:

• The SESAR Definition Phase will continue the different steps ofthe analytical approach to the ATM performance framework (section 3.2.3).

• The long-term (2020) design targets are going to be achievedin a progressive manner, starting from today’s actual performancelevels (taking into account baseline performance from the PRUas appropriate) via short and medium term intermediate targets.

• The ATM Master Plan will identify all necessary actors, processes,tools and mechanisms into the future European ATM System,so that it is actually able to operate in a performance based fashion at strategic, pre-tactical and tactical planning horizons.This includes the capabilities to properly regulate, plan, deliver,measure, review and improve performance.

• The next step will be to further develop the current collection ofperformance data to meet the SESAR performance frameworkexpectations. All ATM Stakeholders must be involved in this development. In that respect, the current initiative supporting military performance data collection should be expanded to support the stakeholders currently less involved in this process.The future Performance Review Mandate (section 3.2.2.2) willgive a regulatory framework to this activity.

Some performance areas are less mature in applying a perfor-mance based approach and performance measurement culturethan others (in particular the non operational KPAs). The perfor-mance objectives, indicators and targets should then be furtherdeveloped.

5.3 The Performance Framework



075

This section describes some initial thoughts, to be further develo-ped, for the establishment of the ATM Business ManagementFramework described in chapter 2.

The way ahead for the Business Management Framework is sup-ported by a re-structuring of ATM service provision by the ANSPindustry, together with:

• Empowerment to change and adopt new cross-border approachescan build on current FAB initiatives. Neighbouring ANSPs are inthe process of establishing the feasibility and benefits of enhanced co-operation in a number of cross-border areas. It islikely that FABs will initially take the form of operationalarrangements, but this could lead to a deeper integration of ANSPs and ultimately to the formation of “service mergers”where effectively one organisational entity delivers ATS acrossmore than one country.

• Industry re-structuring of CNS operations is likely to evolve from emerging initiatives. Current, mainly technology-driven,initiatives like satellite navigation services via Galileo and pan-European ground-ground network services will provide an initialexperience of cross-border regional service delivery to the European ATM System.

• ANSP’s are intending to improve cost-effectiveness by collaboratingon ATM System development (See examples in section 4.5).

All these initiatives have the potential to forge closer relationshipsbetween ANSPs, leading to further developments on a commercialand opportunity basis.

ATM Performance Partnership

It is evident from the early SESAR work-packages that there is asignificant diversity of opinion on most matters among the ATMcommunity both within and between the different stakeholdergroups. This is a significant risk to the achievement of an ATMSystem that delivers performance according to expectations. Thisrisk needs to be mitigated. The first mitigation step is to agree ona common understanding of the network operating vision and thechoices that the ATM community needs to make. This applies cer-tainly to the medium term, but possibly even to the longer term.

The SESAR initiative and the proposed performance framework isan initial step to this partnership. Other initiatives of this kindinclude the NATS Operational Performance Agreement, which pro-vides a forum for establishing and agreeing seasonal performanceexpectations based on a shared analysis of airspace demand andcapacity information, which often initiate operational changes tobetter accommodate Airspace User requirements. It also acts as ageneral forum for discussion of general performance aspects.Because it is based on extensive local operational knowledge, themodel may not be applicable on a region-wide basis, e.g. presidedover by a central “network manager”. However, it may be possibleto extend the scope to cover FABs or a number of FABs.

5.4 The ATM Business Management Framework


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This section provides guidelines for the transition to the institutio-nal and regulatory framework presented in chapter 2.

The results of the EC high-level group, expected by summer 2007,will be used to further detail proposals for the simplification of theorganisation and management framework.

5.5.1 The ATM Institutional Framework -The Joint Undertaking

The first step towards the management of the SESAR implemen-tation will be the SESAR JU. Based on the SESAR Consortium ana-lysis of the EC regulation, the JU is considered a suitable initialstructure capable of maintaining the ATM Master Plan, managingthe R&D programme of technical activities as defined in the ATMMaster Plan70 and monitoring its deployment for the period untilthe creation of the new overarching governance structure.

A pre-requisite for successful implementation of the ATM Master Planis a real and enduring commitment from Member States at the highestpolitical level71 throughout the full period until 2020.The adoption of theATM Master Plan by the Transport Council72 is expected to play a majorrole in securing the necessary commitment.

Recommendations are proposed in order to:

• Optimise the performance and effectiveness of the JU when carrying out its duties.

• Ensure that membership, and participation of the Air TransportIndustry in the JU is genuine and meaningful.

Until implementation of an “overarching structure” which managesall elements of the ATM Master Plan, including deployment, activi-ties that do not fall within the scope of the JU73 will continue to bemanaged by existing mechanisms74 but carefully followed by theJU. In coherence with the draft regulation the JU would be respon-sible for the following processes:

• Supervise/steer the Implementation Phase75.• Update ATM Master Plan.• Manage/initiate the ATM Master Plan execution.• Direct and manage the execution and maintenance of the R&D

aspects of the ATM Master Plan, including validation, demonstrationand trials. The JU delivers research results, specifications,algorithms and guidance that can be exploited by the global community. The JU may coordinate the development and deployment of “Common Components”. The details of these deliverables will be detailed and refined during D3 to D6. This

is undertaken by JU members as in-kind contribution or contracted to organisations in/outside the JU. Within the JU, itis proposed that the EUROCONTROL Organisation mandated torepresent its Member States who are not within the EU and isheld responsible for addressing civil-military coordination.

The JU will interface with and provide inputs to the following exter-nal processes:

• Regulatory/legislative activities, undertaken by Community/ States supported by EUROCONTROL and EASA. Within the scopeof the ATM Master Plan, any recommendations regardingrulemaking will be provided to the appropriate external bodies.

• Deployment is monitored by the JU, but carried out by individualstakeholders (e.g. ANSPs, airspace users and airport operators,supported by the Supply Industry and EUROCONTROL). For example it is possible that the schedule and/or content of a short-term project could have an impact on the longer-term evolution of the system.

Key findings and recommendations in respect of the JU are:

• There should be clear lines of separation between management and supervision. The role of the Administrative Board is to overseeand the role of the Executive Director to manage. The Executive Director should meet industry expectations in terms of provenleadership and management experience.

• Part of the R&D management activity should be devoted to the evaluation and possible integration of non-JU R&D in such a waythat research external to European-ATM76 can be exploited and bepart of the normal process of ATM Master Plan maintenance.

• In order to assure global commonality and interoperability, the JUshould establish a close liaison with the (JPDO) Joint Planning andDevelopment Office and other relevant worldwide programmes.

• IPR developed and fully funded within the JU should be generallyfreely available for exploitation within the context of the SESAR implementation .

• Contractors bringing background IPR to the JU must accept thatonce validated these IPRs may form part of a deliverable. It is thusessential that future access rights to these background IPRs, arenegotiated prior to bringing them to the JU.

• It is recommended that In Kind Delivery (IKD) donated by Members of the JU will be in the form of management andexecution of WPs (work packages). IKD in the form of granted access rights to IPRs should be fully aligned with the ATM MasterPlan, and should brings significant advantages as identified usinga common business methodology.

5.5 The ATM Institutional and Regulatory Framework

70 - R&D and validation including simulations, live trials/demonstration.71 - Ideally, this should include the transport ministers and respective finance ministers where necessary.72 - European Union Council of Transport Ministers73 - E.g. deployment of short-term projects.74 - E.g. EUROCONTROL75 - The JU is responsible for the SESAR Development Phase and monitoring of the SESAR Deployment Phase76 - As some simple examples, generic network modelling techniques, congestion /flow theories, human factors/psychology, non-European ATM research.



077

5.5.2 The Regulatory Framework of ATM

Developments

This section gives some general trends and options for the deve-lopment of the future regulatory ATM framework.

There is a trend to outsource technical tasks of theCommission through Joint Undertakings, Community Agenciesand/or regulatory entities or organisations. Despite the prin-ciple of subsidiarity77, purely national legislation in mattersthat are technically complex might lead to an unnecessaryfragmentation of the internal market. At Community level, itmight be decided to establish regulatory or executive agen-cies to support a given policy.

For the ATM framework the above might mean that otherrelevant entities or organisations outside the EU frameworkwould come "under the EU umbrella" or be otherwise asso-ciated with the EU. In the next years, it has to be discussed howthis can be done in detail, recalling that several options exist:

• Full integration into the Commission, which could mean the creation of a new directorate-general comparable to the joint Research Centre.

• Establishment of an executive Commission agency.• Participation by the Community in organisations with regulatory

or related functions.

The choice of the option depends on political considerations toge-ther with the legal framework, e.g. it might be difficult to create aCommission agency in a matter where the competence of theCommission is limited, at this stage, but also on programmaticconsiderations. It is obvious that the options would correspond todifferent degrees of independence regarding the fulfilment of themissions of the intergovernmental organisations.

Responsibility and Liability

As already stated in D1 there is increasing awareness acrossEurope that there are some major responsibility and liability issueson the future development of ATM and, in particular, for the crea-tion and management of FABs in cross-border situations, andthere are vast differences between national approaches (in bothcivil and criminal law). The recent (14-15 November 2006) legalworkshop on the subject of responsibilities and liabilities in theATM domain The workshop concluded with the following key areasfor attention and development:

• Further reflection of the respective liabilities of States andcorporatised / privatised ANSPs.

• Drafting of proposals on the allocation of liabilities in cross-borderprovision of ANS (particularly in an environment where ANSPsare separated from the State); possible proposal for harmonizedlegislation/regulation in this domain at European level.

• Assess the feasibility of the creation of regional oversight andimplementation functions to address and monitor responsibilitiesin multi-State FABs and to respond to the shortcomings presentlyfound in many States related to the adequate provision of oversightfunctions at the national level.

• Proposals for actions to be taken at European level forimplementation of just culture; examination of the feasibility ofthe creation of a European independent body to collect reportsand hold a repository of European national criminal legislationand proceedings, in relation to aviation.

• Examination of the feasibility of a joint action at European levelin the ATM insurance domain.

Competition

Whilst it is noted that the JU is being established and will respectcompetition rules, an examination of the existing laws on EU com-petition and the rules regarding State Aid has been carried out.This provides indications that whenever it is contemplated to set-up other undertakings (particularly those which compete) workingtogether to conduct research or to design or to produce systemsor equipment, the implications for competition and the relevantcompetition law principles should be carefully considered.

77 - This principle is enshrined in Article 5 (2) of the EC Treaty, which states that the Community shall take action "only if and in so far as the objectives of the proposed action cannot be sufficiently achieved by the Member States and can therefore, by reason of the scale or effects of the proposed action, be better achieved by the Community".


December2006


5.5.3 The Safety Legislative/Regulatory Framework of ATM

The basic principles of safety regulation are outlined in chapter 2.

The first step to achieve the 2020 vision should be to expedite theestablishment of the framework for the future for ATM safety regu-lation accompanied by a transition strategy. The responsibilities ofeach organisation must be clear and there should be no overlap orduplication of roles. Each of the organisations should co-ordinateits activities with all of the others in order to ensure an efficient,global safety regulatory framework. In particular relationship bet-ween National regulatory bodies and European regulatory bodiesneed to be worked out in practice and the process of separatingregulation from service delivery should be completed. The rela-tionship between the ATM safety regulatory arrangements in theEC, EUROCONTROL, ECAC and adjoining States should be clari-fied.

The objective should be a safety regulatory framework that canprovide the required level of assurance for the safety of ATM whileensuring effective coordination with the safety regulatory arrange-ments for other parts of the air transport industry. This does notnecessarily mean a single air transport safety regulator for Europeas the differing requirements of different segments of the industry(including the Military) may be better served by individual arrange-ments.

The details of the SESAR implementation programme and thefuture operational concept will need to be taken into accountbefore finalising the future institutional framework for ATM safetyregulation. Based upon the future ATM operational concept andarchitecture (e.g., level of air and ground integration), there will bea need to address ATM certification evolution.

However, in order to ensure a harmonised set of safety regulatoryrules, it is likely that the majority of the rule making function willbe transferred from national institutions to European/Global insti-tutions. The institutional arrangements for the oversight function ofsafety regulation will need to change as the ATM function changes(e.g. development of FABs) in order to avoid unnecessary duplica-tion or overlap in safety regulation. As long as significant elementsof the ATM operation are based on ground-based infrastructure,there will remain a need for some national regulatory oversight.However, these national arrangements will have to be subject toco-ordination at the European level to ensure consistent enforce-ment of European ATM safety rules.

The process of review and alignment of National ATM SafetyRegulatory requirements should also be started. It would require athorough assessment of the feasibility of the creation of regionaloversight and implementation functions to address and monitorresponsibilities in multi-State FABs This process should further-more be aligned with the ICAO requirements that are most rele-vant to ATM safety. The mechanisms for agreeing a commonEuropean position on future ICAO requirements should be set upwith high priority.

The (EC, EUROCONTROL) Member States should establish anenhanced cooperation between their armed forces in regulatoryand safety-regulatory matters, leading to harmonisation/standar-disation of military rules/regulations relevant to SES, to ensureappropriate civil-military co-ordination and interoperability bet-ween OAT and GAT.

5.5 The ATM Institutional and Regulatory Framework (continued)



079

5.6.1 The ATM Standardisation Process

The transition toward the vision of the standardisation processdescribed in chapter 2 is building upon the current standardisationactivities. In line with the SES legislation, the standardisation pro-gramme to support the future SES Implementing Rules has beenestablished with European Standards Organisations (CEN/CENE-LEC/ETSI) in co-operation with EUROCAE for technical standardsand with EUROCONTROL for operational standards.

The standardisation needs for the ATM Master Plan will be identi-fied and a baseline of standardisation activities will be consolida-ted taking into account the catalogue of the existing standardisa-tion activities within Europe and worldwide.

The JU is expected to fulfil the Standardisation ProcessManagement function and through this overview, plan and supportthe standardisation functions. A close coordination with the AirTraffic Management Standardisation Coordination Group shouldbe established.

5.6.2 The ATM Financing Aspects

This section describes principles to be applied to the transitiontoward the future economic environment of the ATM System in2020.

The way forward to the vision of the financing and funding of thefuture ATM System will depend upon the financing alliances ofIndustry participants. A PPP-model, which may influence the laterimplementation environments for financing, is preferred to createindustry venture structures.

Assumed Investment Volume

The exact future investment volume (Table 5.1) is not yet availablebut reference is made to estimates, which are considered to bereasonable at this moment in time. According to different sources78

the investment volume is estimated to be up to €22Bn with ashare of 60% on board (avionics) and 40% on ground (ATM equip-ment mainly at ANSPs). The sum of €22Bn fits the estimates ofthe so-called ‘base case’ (without SESAR cost and benefits) deve-loped in the Steer Davies Gleave study. According to this study theinvestment volume could be up to €6Bn higher (Steer DaviesGleave, scenario 1) or up to €3Bn lower (Steer Davies Gleave,scenario 2).

5.6 Subjects of Common Interest

Additional costs in M Euro per segment TOTAL

1 - Airspace Organisation and Management 570 3,194 2,988 401 7,152

2 - Flow and Capacity Management 35 15 35 50 135

3 - En-route and TMA ATC 1,713 1,409 1,173 8,613 12,908

4 - Airport ATC 34 52 48 27 160

5 - Human Resources 16 12 16 28 72

6 - Flow and Capacity Management 0 151 1 1,502 1,653

7 - Aeronautical Information Management 29 33 56 56 174

Total over every period 2,396 4,865 4,316 10,677 22,254

Average additional costs per year & per period 599 1,622 1,079 1,186 1,113

Grouping of operational improvements(as defined in ROAD, September 2001)

Period 1 Period 2 Period 3 Period 42001-2004 2005-2007 2008-2011 2012-2020

Table 5.1 Additional costs per segment and overall costs for strategic PerformancePeriods

78 - Eurocontrol Strategic Performance Framework, Version 2, 30 November 2002. Steer Davies Gleave study, 24 June 2005.

Reve

nues

from

Use

rs C

harg

es (i

ncl.

term

inal

cha

rges

)

€ 16,5bn

SESARR&D Period

€ 10bn

€ 8bn

2020-203020132006 YEARS

+

To be used for ATM service provisionand interest/capital payments for SESAR

Total Cost Reductions EffectsAs detailed in EC communicationsProposed cost to usersCost of users if SESAR is not pursued

Traffic increase 5%/year

F igure 5 .1 Expec ted e f fec ts by p re- f inanc ing peak inves tments and leve l l i ng o f burdento user charge (bu i l t w i th f i c t i t i ous f igu res )


December2006


General assumptions on the way forward:

• Aircraft, fitted with new ATM Master Plan equipment will be (remain) compliant with existing ATM Systems (allowing aircraft to fly to areas not equipped with ATM Master Plan equipment) and also comply with any new safety standards.

• A growing trend in other sectors (e.g. in the US ATM79 System) is the notion of supply and operate, where equipment suppliers offset the provision of equipment at marginal prices through the receipt of operating revenues. This so-called “outsourcing”of services, which is mostly applicable to the provision of the technical support services, but can bring additional complexity to issues of regulation, service guarantees, liabilities andoperating relationships. Such arrangements are likely to be part of future considerations as to how some services will be providedin the future.

• A major part of the capital investment (around €9.5Bn80) will consist of ATM equipment fitted to new aircraft; our base assumption is that the cost of avionics fitted to new aircraft will not deter airspace users from investment.

• A significant part of the capital investment (around €3.5Bn81) will consist of ATM equipment that needs to be retrofitted to existing aircraft; incentives may be needed for timely equipage.

• A major part of the capital investment (around €9Bn82) will consist of ATM equipment required by ANSPs (including a small portion of airport operators providing ANSP services).

• The current investment volume of ANSPs of about €1Bn/year(source: PRU) will be allocated to a large extent to the ATM Master Plan implementation.

• ATM Master Plan ATM equipment fitted to new aircraft will be probably funded in the same way as the aircraft themselves (e.g. outright purchase or leasing by the airspace users).

• EUROCONTROL is not able to give any financial guarantee; it might however work on a contractual base to support the financing schemes.

To support the transition, a pre-financing scheme fully capital mar-ket driven has been identified and needs further analysis. It doesnot increase user charges (en-route or terminal navigation char-ges) as it postpones a portion of repayments into later phasesonce the cost reduction effects have become effective in the unitrate funding mechanism. This principle may apply to all scenariosdefined in chapter 2, while scenarios will differ in the structure andasset situation. This mechanism is shown in figure 5.1 where thedifference between the political target (50% cost with regards totoday = blue line) and a newly proposed cost (same end-target butintermediate slightly higher cost = green line) is used for SESARimplementation.

It is recommended to introduce the pre-financing scheme througha programme-to-programme approach, which targets at an acce-lerated implementation rate, avoiding burdening current unit ratesbefore cost reduction effects become effective.

5.6 Subjects of Common Interest (continued)

79 - FAA ADS-B programme80 - See other footnotes: €22 Bn x 60% x (100% minus 25-30%)81 - IATA estimation of 25-30% of total replacement costs of 60% of €22 Bn 82 - According to Steer Davis Gleave estimated proportion of ground based / airside investment 40 / 60% = €22 Bn x 40%



081

This section describes high-level principles to be applied to thearchitecture of the future ATM System. These principles will bedeveloped with the architecture supporting the SESAR operationalconcept in Milestone Deliverable 3. Although the emphasis issolely on the technical aspects of the architecture in this section,it is recognised that there cannot be a successful ATM designwithout considering all the aspects of ATM (i.e. human, procedu-res and equipment).

5.7.1 Principles for the Future ATM Architecture

There is a consensus among stakeholders that the SESAR visioncan only be achieved by a more integrated ATM architecture,considering the integration of all segments of ATM: aircraft, ATC,AOC, etc.

The architecture integration requires more collaborative work inthe upfront System Engineering phase. In this phase, the inter-faces are defined with respect to the required and adapted inter-operability concept83 including the cases of exceptional events,which constitute the major cause of loss of capacity. The latestSystem Engineering tools, methodologies, and approaches cur-rently promoted will be investigated and the ones identified as themost appropriate to the ATM architecture context will be selected.R&D activities to apply these tools / methodologies in the ATMcontext will be identified where appropriate.

The results of this work shall then be standardized and theassociated means of compliance for the various CNS/ATM stake-holders shall be defined and monitored in the future.

More scalable architectures allow smooth transitions when inte-grating evolutions or increasing the capacity and avoid big bangapproaches which represent a much higher cost and risk. Alsothese architectures shall be adaptable architectures i.e. able todeliver variable levels of services taking into account the differentsizes of systems with various service needs. Gradual transitionsrequire that the new architectures have the capability to modify,add or remove functions at lowest cost (fulfilling also the objectiveof an improved maintainability).

It is expected that some current ATM System functions will remainin the future ATM System, with possible slight evolutions, to har-monize these functions throughout Europe84.

The design quality of the ATM System architecture is recognizedtoday as the most important factor to protect stakeholders’ invest-ments in time, capital, and expertise. The Model DrivenArchitecture (MDA) is an approach that separates business andapplication logic from the underlying platform technology. It thusenables existing standards to be realized quickly and cheaply onnew technologies instead of being reinvented from scratch. It isanticipated that this approach fits well into a future common archi-tecture for ATM. OATA and EUROCAE Working Groups (WG61,WG69) have applied this approach, which proved to be successfuland its use should be considered in the future.

5.7.2 Safety Approach to the SESAR Architecture Activities

A screening technique will be applied to the SESAR DefinitionPhase architecture activities making use of a list of establishedbasic principles and key requirements for Safety Regulation,Safety Management and Safety Performance. It is expected thatthe Safety Screening reveals safety related requirements thatshall be considered when defining/modifying the ATM/CNS archi-tecture. The appropriate safety assessment and mitigationmethods will then be applied during the SESAR DevelopmentPhase.

5.7.3 Performance Requirements

Some key quality of service (QoS) characteristics were selected tosupport the definition of concrete ATM/CNS architecture perfor-mance measurement criteria: Safety, Reliability, Integrity,Latency, Capacity and Accuracy. The performance requirementsfixed in D2 shall be derived and traced to make sure the targetedCNS/ATM architecture can meet the targeted performance. Due tothe need to cater for threats, Security characteristics as they aredescribed in the current standards (ISO 13236, OMG):Confidentiality, Authenticity, Protection and Access controlwill have to be considered for the building of the new architectu-res.

5.7 The Future Architecture of ATM

83 - High level of interoperability with airspace users having divergent capabilities (e.g. military) should be accommodated less with exemption policies and more with interoperable solutions.84 - For more information, please refer to the task 2.4.3/D2 deliverable.


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The future European ATM will only be able to achieve its long-termoperational targets and strengthen its economic value chainthrough the capabilities and performance of its people. The humancontributes to the ATM System performances at the individual,team and organisational level, as well as in the interaction withautomated support systems.

The human contribution to the 11 KPA of ATM has been analysedthrough the six different Human Performance Areas identified inthe EUROCONTROL/CAATS-HF case pie (as shown in figure 5-2)85.

Figure 5.3 identifies the influence of the different HumanPerformance Areas on the ICAO KPAs. Particularly KPAs such assafety, capacity, efficiency, flexibility, interoperability and participa-tion are highly dependant on an advanced management of theHuman in ATM.

The changes to the ATM System described in section 2.4.2 willaffect the future working environment of more than 70.000 ope-rational staff in total, (amongst them about 17.000 Air TrafficControllers, 35.000 cockpit crew members and flight engineersand 15000 CNS/ATM engineers and technical personnel).

it is considered that it will be increasingly difficult to employ highlyqualified staff suitable for operational roles. Further, it is vital tokeep the jobs in ATM sufficiently attractive.

The way forward for the role of the human in ATM in 2020 is des-cribed in the following sections:

a Social Factors and Change Managementb Human Factorsc Recruitment, Training, Competence and Staffing

5.8 The Role of the Human in ATM

85 - In the current analysis the interactions of KPAs and HF categories were addressed separately without considering trade-offs between them, for example between safety and efficiency. The following table provides a first overview of how the six HF categories contribute to the 11 KPAs.

Human& System

Workingenvironment

OrganisationStaffing

Teams &Communication

Trainingand

Development

Procedures,Roles and

Responsibilities

F igure 5-2 The EUROCONTROL/CAATS-HF-case p ie

F igure 5 .3 The Human Per fo rmance con t r ibu t ion to the 11 ICAO KPAs



083

Safety

Capacity

Efficiency

Flexibility

Interoperability

Security

Cost Effectiveness

EnvironmentalSustainability

Access/Equity

Participation

Predictability

Level of contribution

Human &System

Workingenvironment

Organisationa Staffing

Training &Development

Procedures,Roles &

Responsibilities

Teams &Communication

indirect indirect indirect

5.8.1 Social Factors and Change Management

This section describes the way forward to the Social Dialogue asa system introduced in section 2.4.2.6.

The European Sectorial Social Dialogue Committee for CivilAviation is a first promising step to have a European social dialo-gue. All Social Partners wishing to participate are present on anequal basis. They could expand the social dialogue to cover moresocial provisions by way of collective agreements if social partners(at European level) so desire (cf. Art 139 of the EC Treaty) on socialprovisions covered by Article 137 of the EC Treaty.

Social Partners in the Social Dialogue ATM Working Group of thiscommittee developed jointly a report concentrating on Socialaspects in the establishment of FABs. The subjects discussed in

this Working Group could be expanded in the SES or in the SESARcontext.

As this Sub-Working Group is focussed on ATM employees, ad-hoc coordination with the other social partners of CivilAviation in the Committee for Civil Aviation must be organised ondedicated subjects (e.g. Just Culture, ATM air-ground integrationissues).

Processes, principles and structures for Social Dialogue exist butare not implemented at all levels (European, national and local)and for all affected employees. Social Partners at all levels shouldreach a better understanding, co-operation, co-ordination andawareness of the Social Dialogue structure and process and itspositive impacts on performance.

Human roles

KPA

indirect

High Moderate Low


December2006


A legislated Social Dialogue structure exists in some MemberStates (i.e. Sweden, Denmark, France), which can provide exam-ples of best practices. Social Partners should establish nationalSocial Dialogue agreements and consultation arrangements forthe Social Dialogue process at national and local levels – in caseit does not exist - in line with the existing European Civil AviationSectorial Social Dialogue Committee activities. This should beconsidered in addition to existing legislation on informing andconsulting employees. In other States (e.g. Sweden) it is evencompulsory to analyse related physical, psychological and socialrisks when a change is introduced in a working environment.These risks could be identified and addressed in the local SocialDialogue as one way of addressing social and other impacts ofchange that affect employees and help to find solutions and miti-gating actions for them.

Transferability and mobility of European civil aviation staff exists intheory but is limited due to non-harmonisation of national socialsecurity, income tax and pension systems and issues on the por-tability of pension rights and / or local rules. These are blockingfactors to mobility in addition to individual willingness and capabi-lity of staff to move. An effective framework for transferability andmobility of staff at all levels is required. The respective parties,Social Partners included, should agree on effective means to alle-viate existing barriers for transferability and mobility of staff.

An appropriate change and transition leadership and managementapproach is required to identify and manage change issues andrisks at an early stage and with the participations and involvementof social partners and affected employees.

5.8.2 Human Factors

The objective of Human Factors is to find an optimal trade-off andinteraction between automation and human tasks whilst respec-ting human limitations and exploiting the unique human capabili-ties and skills in the best possible way in order to ensure safe andefficient ATM operations at all times.

By 2020 the full integration of Human Factors in ATM needs to beestablished as follows:

• Human Factors best practices (HF processes, methods and tools) are translated into regulation (e.g. EU Directives,ESARRs) and/or international standards (e.g. ISO 13407 – Human Centred Design Processes for Interactive Systems) whenever necessary and appropriate.

• Existing ICAO, EUROCONTROL and national human factorsprocesses, methods and tools are fully mandated and deployed.

• The human factors practices in the air and on the ground are better aligned and whenever necessary integrated in the frame of increasing air-ground integration.

• These human factors practices must also be extended in a balanced way to other safety critical jobs and workforces such as CNS/ATM technical staff, flight dispatchers, cabin crew,airport staff, airport vehicle drivers, maintenance staff, security staff and aeronautical weather services, etc. All these people make a major contribution to the safety chain.

• A framework for human performance improvements within accepted organisational structures will be put in place. This includes the individual, group and organisational levels, aswell as metrics and measurements, of the relevant human contributions and interactions with automated systems both in the air and on the ground.

• Evolving human factors requirements are identified asnecessary prerequisites to launch relevant R&D activities(e.g. development of human performance metrics to determine the boundaries of human performance).

Way forward

The implementation of HF processes, methods and tools inEuropean ATM has started successfully in some ANSPs but is farfrom being complete. The 2005 figures for the EuropeanConvergence and Implementation Programme (ECIP) reveal thatthe current average rate of local implementation of ATM HumanFactors tools and interventions has only reached 30-50% throu-ghout the ECAC area within a five year time period (2000-2005).The full implementation of the existing ICAO, EUROCONTROL andlocal human factors best practices (e.g. HF methods and tools)would significantly increase the human performance related bene-fits throughout European ATM.

The following guidelines must be applied in each implementationstep of the integration of human factors into all levels of ATM:

• The entire Human Factors approach needs to become much more business and cost-benefit oriented to prove its role as one of the key business success factors in ATM. All this needs to be an essential element of the corporate culture in ATM and requires full support from senior management throughout the organisation down to the operational level.

• The enhanced safety culture - Just Culture – that regardsfailures and incidents must be considered as learning and improvement opportunities for Human Factors.

• HF practitioners must be allocated early and continuously to any ATM project to determine human factors issues and to proactively manage their resolution and related changeprocesses (e.g. application of Human Factors Cases) through the lifecycle of the project.



085

5.8.3 Recruitment, Training, Competence and Staffing

Recruitment, Training, Competence Verification and Staffing aimsat identifying, developing and maintaining the appropriate humanoperational competence for the provision of safe ATM services. Itwill directly support the future ATM System by:

1) Enhanced staffing and rostering processes allowing for aneffective and reliable prediction of required manpower as well asfor the flexible adaptation of staffing to traffic demand and changeprocesses. The first steps will be the sharing and application ofavailable guidance material and methods for manpower planningin air and ground (e.g. from EUROCONTROL and ANSP best prac-tice). However, strict regulations for staffing or fixed staffing num-bers are not considered feasible, as aviation will continue to beinfluenced by rapid market changes, national law and individualdecisions.

2) Harmonization of the operational competence throughcomparable minimum competence standards enhancingsafety and efficiency of European ATM. It enables the mobilityof workforce supporting free movement of labour and compen-sation of temporary local staff shortage and reduces the amountof conversion training. The harmonisation of the operationalconcepts and the ATM Systems will ease the harmonisation ofoperational competence and shared training developments.

The operational competence harmonization is mainly lacking forthe ground ATM staff due to differences in individual interpretationand implementation of the regulations in place (ESARR 5, ECDirective on a common ATCO License with EATM support mate-rial). 36% of the ECAC states reported full implementation of theEuropean ATCO Licensing scheme (ECIP 2005).

Therefore the first steps to this harmonisation are:

• Europe-wide consistent implementation of the existing regulations and standards.

• Establishment and application of rules concerning comparabletraining (objectives, contents, methods, strategies and training infrastructure) and comparable verification of operational competence of all ATM staff (including language proficiency and civil/military integration where applicable).

• Implementation and upgrade of existing guideline and supportmaterial on ATCO selection. They shall be adapted asappropriate for other categories of ATM staff.

The time span to implement changes in required competenceregulations (min. 2-3 years) as well as for training developmentand provision (months or even years) must be addressed in thetransition planning.

3) Regular and intense continuation training (with effective use ofsimulation) for operational and maintenance staff will be neededto maintain the operational competence in automated systems,

especially in degraded mode operations. Enhanced interdiscipli-nary training (in air and ground) to support mutual understandingshall be included to improve safety.

4) Training will support the development and implementation ofnew systems and procedures as an integral part of the changemanagement process. The impacts on operational competenceare systematically analysed at an early stage through exchangesbetween Human Factors, concept/system and training experts.Inappropriate system upgrade training is a transition risk. The des-ign of the training (as well as the transition activities) must consi-der individual specifics (e.g. related to age, culture, education, andexperience; necessity to de-learn well established related workinghabits). New roles and responsibilities must be trainable in a rea-sonable range of effort.

Sufficient staffing must be continuously allocated to system deve-lopment and upgrade/ continuation training, ensuring a success-ful transition.

5) Improved efficiency of the management of operationalcompetence: The different steps of the recruitment, training, veri-fication of competence and manpower planning of the operationalATM staff lack effectiveness as they are too fragmented. A syste-matic linking of all elements in the process in form of a closed loopwill be put in place (see Figure 5.4). Management and investmentdecisions shall be based on operational needs and on systematiccost benefit analyses. This will result in an optimal balancing ofinvestment in the various steps of recruitment and training.

All the above-mentioned measures are part of the ChangeManagement Process.

Jobmarketing

Recruiting

Selection

Institutionaltraining

Verificationof

competence

Operationaltraining

Refresher/continuation

trainingConversiontraining

Operationalwork

Manpowerplanning

F igure 5 .4 C losed loop p rocess o f genera t ingand ma in ta in ing the appropr ia te quan t i ta t i ve

and qua l i t a t i ve amount o f opera t iona lcompetence in ATM.


December2006


1 Milestone Objective Plan D2: ATM Performance Targets - MGT-0506-002-03-00

2 Milestone Deliverable D1: Air Transport Framework –The Current Situation - DLM-0602-001-03-00

3 Task Deliverable: 1.1.1/D2 - Analysis of the Air Transport Value Chain

4 Task Deliverable: 1.1.2/D2 - Evaluation of ATM System within the Air Transport Value Chain

5 Task Deliverable: 1.1.3/D2 - Security

6 Task Deliverable: 1.1.4/D2 - Environment

7 Task Deliverable: 1.2.1/D2 - Identification of existingmechanisms and triggers for decision making

8 Task Deliverable: 1.3.1/D2 - Review existing financialmechanisms and identify investment needs for the wholeprogramme

9 Task Deliverable: 1.4.1/D2 - Review of existing tools andpreparation of the CBA model

10 Task Deliverable: 1.5.1/D2 - Benchmarking of European and other relevant legislation and regulation

11 Task Deliverable: 1.6.1/D2 - Study of safety regulatoryframework

12 Task Deliverable: 1.7.1/D2 - Human factors impacts

13 Task Deliverable: 1.7.2/D2 - Recruitment, training andlicensing

14 Task Deliverable: 1.7.3/D2 - Social factors

15 Task Deliverable: 2.1.2/D2 - Define Strategic Objectives (Safety, Security, Capacity, Environment, Cost, World-wide Interoperability, etc.)

16 Task Deliverable: 2.4.3/D2 - Analysis of the various technical sub-systems/functions supporting the architecture

17 Task Deliverable: 2.6.1/D2 - Assess and proposeimprovement to standardisation process

18 Task Deliverable: 3.2.1/D2 - Identification of limits/Blocking points. For airspace environment

19 Task Deliverable: 3.2.2/D2 - Identification of limits/Blocking points. For airport environment

20 Task Deliverable: 4.1.1/D2 - Programme and Governance Rules

21 ICAO OCD – Doc 9854

22 EUROCONTROL Strategic Performance Framework, Version 2,30 November 2002

23 Performance Review Report 8 - 2004: PRR 8

24 Performance Review Report 2005: PRR 2005

25 STATFOR 2004 Traffic Statistics

6 List of references



087

Abbreviations

7 List of abbreviations andterminology

1090 ES 1090 Mode S Extended Squitter

4D Four Dimensional

AMAN Arrival Manager

A-CDM Airport CDM

ACE ATC Communications Environment

ADS-B Automatic Dependent Surveillance-Broadcast

AEA Association of European Airlines

AECP Aeronautical European Common Position

AIM Aeronautical Information Management

AIS Aeronautical Information Services

ANSP Air Navigation Service Provider

AO Aerodrome Operations

AOC Airline Operational Communications

AOM Airspace Organisation & Management

ARN V5,6 ATS Route Network – Version 5,6 (ECAC, EATMP)

ASD ATM Service Delivery

A-SMGCS Advanced Surface Movement Guidance and Control Systems

AT Air Transport

ATC Air Traffic Control

ATD Actual Time of Departure

ATFM Air Traffic Flow Management

ATFCM Air Traffic Flow and Capacity Management

ATM Air Traffic Management

ATMRPP ICAO ATM Requirements and Performance Panel

ATMSCG Air Traffic Management Standards Co-ordination Group

ATOT Actual Take Off Time (CFMU)

AUO Airspace User Operations

BA Business Aviation

BAA British Airport Authority

Bn Billion

BT Business Trajectory

CAATS Cooperative Approach to Air Traffic Services

CAEP ICAO Council's Committee on Aviation Environmental Protection

Abbreviation Explanation


December2006


CASCADE Co-operative ATS through Surveillance and Communication Applications Deployed in ECAC

CBA Cost Benefit Analysis

CDA continuous descent approach

CDM Collaborative Decision Making

CEM Collaborative Environmental Management

CEN Committee for European Normalisation

CENELEC Committee for European Normalisation in the Electrotechnical Field

CFIT Controlled Flight Into Terrain

CFMU Central Flow Management Unit

CHAIN Controlled & Harmonised Aeronautical Information Network

CHAMP Collaborative and Harmonised ATCO Manpower Training

CM Conflict Management

CNS Communications, Navigation & Surveillance

COBIT Control Objectives for Information and related Technology

COFLIGHT French/Italian/Swiss cooperative development of a new Flight DataProcessing System

COOPANS Purchasing Agreement between LFV (Sweden), Naviair (Denmark) andthe Irish CAA

CroATMS Croatian Air Traffic Management System

CTGO4 Challenge to growth, 2004

D1, D2, D3, D4, D5, D6 SESAR’s 6 Milestone Deliverables

DCB Demand/Capacity Balancing

DMAN Departure Manager

DMEAN Dynamic Management of the European ATM Network

EAPPRI European Action Plan for the Prevention of Runway Incursions

EASA European Aviation Safety Authority

EATCHIP European Air Traffic Control Harmonisation and Integration Programme

EATM European Air Traffic Management

EATMP European Air Traffic Management Programme

EBAA European Business Aviation Association

EC European Commission / European Community

ECAC European Civil Aviation Conference

ECIP European Convergence and Implementation Plan

ESARR EUROCONTROL Safety Regulatory Requirement

ESP European Safety Programme

ESRA EUROCONTROL Statistical Reference Area

ETS Emissions Trading Scheme

EU European Union

EUROCAE European Organisation for Civil Aviation Equipment

EUROCAE WG 72 European Organisation for Civil Aviation Equipment manufacturersWorking Group 72

FAA Federal Aviation Administration

FAB Functional Airspace Block

FASTI First ATC Support Tools Implementation Programme

FATMI Finnish Air Traffic Management Integration




089

FDP Flight Data Processing

FDPS Flight Data Processing System

FL Flight Level

FLOPC Local Flight Operational Performance Committee

FMS Flight Management System

FUA Flexible Use of Airspace

GA General Aviation

GAT General Air Traffic

GBAS Ground Based Augmentation System

GDP Gross Domestic Product

GPU Ground Power Unit

HF Human Factors, High Frequency

IATA International Air Transport Association

ICAO International Civil Aviation Organisation

ICT Information and Communication Technology

IFR Instrument Flights Rules

IKD In Kind Delivery

IMC Instrument Meteorological Conditions

IOPA International Council of Aircraft owners and Pilot Association

IPR Intellectual Property Rights

ISO International Standards Organisation

ISO 13407 Human Centred Design Processes for Interactive Systems

IT Information Technology

ITU International Telecommunications Union

JFADT Joint Future Airspace Design Team

JPDO Joint Planning and Development Office

JU Joint Undertaking

KPA Key Performance Area

LAMPS Long Term ATCO Manpower Planning Simulation

LCIP Local Convergence and Implementation Plan

Link2000+ (EUROCONTROL) LINK 2000+ Programme

LISATM Lisbon Air Traffic Management

LTF Long Term Traffic Forecast

M Million

MATIAS Magyar (Hungarian) Automated and Integrated Air Traffic Control System

MDA Minimum Descent Altitude/ Model Driven Architecture

MET Meteorological (Information Services)

Mode-S Mode Select

MTOW Maximum Take-Off Weight

MVPA Mobile Virtual Path network Architecture

NATS National Air Traffic Services (UK)

NEASCOG NATO/EUROCONTROL ATM Security Coordination Group

N-FDPS Maastricht UAC new Flight Data Processing System

NGA Non Governmental Authorities

OAT Operational Air Traffic



December2006


OCD Operational Concept Document

P1-iTEC German next generation FDP system

P1-VAFORIT German new FDP system

PBTG Performance Based Transition Guidelines

PHARE Programme for Harmonised Air Traffic Management and Research in Europe

PMS Performance Management Stages

PPP Public Private Partnership

P-RNAV Precision Area Navigation

PRU Performance Review Unit

PRU Performance Review Unit

QoS Quality of Service

R&D Research & Development

RNAV Area Navigation

RNP Required Navigation Performance

ROAD Representation of Overall ATM Development

RPK Revenue Passenger Kilometre

SACTA-iTEC Sistema Automatizado de Control del Tráfico Aéreo (ES) (Spanish ATC system)

SES Single European Sky

SESAR Single European Sky ATM Research

SMAN Surface Management

SMR Surface Movement Radar

SWIM System Wide Information Management

TMA Terminal Manoeuvring Area

TS Traffic Synchronisation

UAC Upper Airspace Control Centre

UAV Unmanned Aerial Vehicle

UML Unified Modelling Language

US United States (of America)

VFR Visual Flight Rules

VLJ Very Light Jet

WP Work Package

WRC World Radio-Communications Conferences

XML Extensible Markup Language




091

This section provides definitions which explain how certain termi-nology is used (and intended to be understood) further in thisdocument. Only those terms are included here which are not defi-ned in the body of the document where they are used for the firsttime.

Air transport system

The global air transport system consists of a global airspace usersegment (consisting of airspace user groups and their aircraft) anda global airspace system segment consisting of regional (like theEuropean) airspace systems and ATM service provider groups.

Air Traffic Management System

The ATM system is a part of the air transport system. It includesparts of the airspace user segment, and parts of the airspace sys-tem segment.

Scheduled flight

A flight which is part of a flight schedule. Typically the BusinessTrajectory is planned first, so that a schedule is created which isoffered as a product to the individual users of the flight (e.g. pas-sengers, cargo).

Unscheduled flight

A flight which is not part of a flight schedule. Typically the BusinessTrajectory is planned after the aircraft operator or individual usersof the flight have identified a specific need.

Trajectory

The trajectory is the description of movement of an aircraft both inthe air and on the ground including position, time, and at least viacalculation, speed and acceleration. (ICAO)

4D Trajectory

A set of consecutive segments linking waypoints and/or pointscomputed by FMS (airborne) or by TP (ground) to build the verticalprofile and the lateral transitions; each point defined by a longi-tude, a latitude, a level and a time.

Normal fuel consumption

Actual block-to-block fuel consumption maximum 2.5% morethan foreseen in the Shared Business Trajectory (SBT) (=the airs-pace user’s business optimum).

Business trajectory

A 4D trajectory which expresses the business intention of the userwith or without constraints. It includes both ground and airbornesegments of the aircraft operation (gate-to-gate) and is built from,and updated with, the most timely and accurate data available(AOC, FMS, etc.)A business trajectory can exist in several states, being:Business Development Trajectory (BDT) – used for airspace userbusiness planning and not shared outside the user organisation.Shared Business Trajectory (SBT) – published business trajectorythat is available for collaborative ATM planning purposes. TheShared Business Trajectory may or may not already containconstraints that the user has already taken into account in hisbusiness calculations. It represents the plan for optimum flightperformance, assuming no other traffic is present.Reference Business Trajectory (RBT) – which the airspace useragrees to fly and the ANSP agrees to facilitate (subject to separa-tion provision). The Reference Business Trajectory contains all theapplicable constraints and will be used as a reference by all rele-vant ATM partners during flight execution. The RBT can be consi-dered as having 4 parts:The executed part (RBTX): represents the already flown part of thetrajectory.Current position (CP): the 3D position of the aircraft at a giventime.Authorised part (RBTA): represents those segments of the trajec-tory (including ground segments) that have been cleared by theANSP or validated by the aircraft within a defined horizon.Planned part (RBTP): segments from the limit of authorisation totrajectory end.

Flight progress event

A 4D trajectory milestone (such as off-blocks, take-off, landing,on-blocks) which is part of a business trajectory and which is rele-vant for performance measurement and management.

On-time

lights whose actual time maximum 3 minutes early or late in rela-tion to the Shared Business Trajectory (SBT) (=the airspace user’sbusiness optimum). Such on-time flights are not included in thecalculation of delay statistics.

Terminology

Normal flight duration

Actual block-to-block duration maximum 3 minutes longer thanforeseen in the Shared Business Trajectory (SBT) (=the airspaceuser’s business optimum).

Gate-to-Gate (GtG)

GtG applies to an operational concept where the air traffic opera-tions of the main ATM partners, Air Navigation Service providers,aircraft and airport operators are such that the successive plan-ning and operational phases of their processes are managed andcan be achieved in a seamless and coherent way.

Note:For ATM, or from a flight planning point of view, its scope extendsfrom the first interaction of the flight with ATM (which for com-mercial flights may be up to 6 months ahead of the date of theflight), through the execution of the flight on its appointed day, toperformance registration and the calculation of charges for theservices received after it has taken place. For an airport or air-craft operator, it encompasses the management of turn aroundbetween flights. From a network point of view, it relates to theefficient and seamless handling of the interdependencies bet-ween the operations of the different partners involved in the useof an aircraft for air transportation services.


December2006


Airport A Airport B Airport C

The scope o f Ga te- to-Gate



093

Fig.1-1 Outline of the future framework for the European ATMSystem

Fig.1-2 Relationship between Institutional/Regulatory,Business & Performance Frameworks

Fig.2-1 Principal Relationships between Society, Air TransportIndustry & ATM System

Fig.2-2 Outline of Principal Relationships with European ATMSystem

Fig.2-3 Effects of Airport Constraints on Growth Scenarios

Fig.2-4 Growth by Traffic Flows expected in theEUROCONTROL Statistical Reference Area (ESRA)

Fig.2-5 Principal functions of the European ATM Systemmanagement framework

Fig.2-6 ATM System Operating in a constrained Air TransportNetwork

Fig.2-7 Basis of Future ATM Operational Performance Partnership

Fig.2-8 Social Dialogue as a System

Fig.2-9 Financing scenarios

Fig.2-10 Financing scenarios decision tree

Fig.3-1 Performance-based Transition Approach

Fig.3-2 SESAR Two-Dimensional Performance Framework

Fig.3-3 Horizontal dimension of the performance framework

Fig.3-4 Grouping of KPAs

Fig.3-5 Performance impact model for environmentalsustainability

Fig.5-1 Expected effects by pre-financing peak investments and levelling of burden to user charge (built withfictitious figures)

Fig.5-2 The EUROCONTROL/ CAATS-HF-case pie

Fig.5-3 The Human Performance contribution to the11 ICAO KPAs

Fig.5-4 Closed loop process of generating and maintaining the appropriate quantitative and qualitative amount of operational competence in ATM

Table 2-1 Characterisation of Airspace Users Expectations

Table 3-1 Performance Management Process

Table 4-1 Scenarios for costs anns benefits derived from the implementation of A-SMGCS

Table 4-2 Environmental benefits of Local Flights Operational Performance Committee at Gatwick Airport

Table 4-3 Assessment of the level of contribution of selected solutions to KPAs and their maturity

Table 5-1 Additional costs per segment and overall costs for strategic Performance Periods

8 List of figures and tables


December2006


SESAR solution risks are defined as those risks which, if notappropriately mitigated, could prevent the SESAR ATM MasterPlan from achieving its objectives. These risks are integrated intothe project risk management process. This annex presents the

synthesis of the identified SESAR solution risks at Milestone 2. Itincludes updates in terms of risk assessment and mitigationactions with respect to those risks identified at Milestone 1 (pre-fixed D1).

AnnexesANNEX I - Solution Risks

D1/R1 - Lack of a solution High Medium 1. Enhancing stakeholder involvement into break the capacity barrier the business decision processes through the

applicable governance structure. ONGOING -ATM Performance Partnership model.

2. Better direction and management of activitiesrelated to R&D, validation and operational trials. ONGOING

3. Securing involvement of operational staff inthe design and validation processes. OPEN

4. More efficient use of airspace in Europe byenhancing civil-military and military-militarycoordination and cooperation. MONITOR MIL INVOLVEMENT IN D2/D3 (ensuring MIL in Master Plan)

5. Review current funding models to give the right incentives to ANSPs, airport operators and airspace users. CLOSED by 1.3 outputs at vision level.

D1/R2 - Not possible to address High Medium 1. Enhance flight efficiency. ONGOING - T1.1.2 /D2the fragmentation issue with ATM vision and D3 SESAR Operational Concept

respect to the cost effectiveness 2. Establish a “network plan”. objectives MITIGATED by T1.1.2 /D2 ATM vision

3. Enhance real-time operational flexibility. ONGOING - T1.1.2 /D2 ATM vision

4. Develop a framework for services and obligations to be agreed between ANSPs, airport operators and airspace users. ONGOING - T1.1.1/1.1.2 /D2

5. Identify specific short-term initiatives aiming atde-fragmentation. CLOSED by 3.2/D2 output

D1/R3 - Lack of an assessment Medium Low 1. Adapt the approach to business planning & theof the scope and content of CBA model to the business structure and the the Master Plan due to business stakeholder expectations. OPEN – agreed process planning & CBA modelling WP3.3 will collect cost data; WP1.4 will analyse limitations benefits; and WP2.3 will assess results.

2. Ensure business and stakeholder data quality provision. OPEN WP3.3

D1/R4 - Failure to address High Medium 1. ONGOING - WP4.1/D2 output/d3 tasksthe enforcement of a commonregulatory framework

Risk & Assessment Impact Probability Mitigation Action



095

D1/R5 - Lack of a clear High Medium 1. Establish clear governance structure with cleargovernance structure (including roles and responsibilities. ONGOING - WP4.1/D2leadership, political & decision output/d3 tasks Eliminate fragmented decisionmaking arrangements) making across national, European and organisational

boundaries. WP1.2 D2 output

2. 2.Eliminate fragmented decision making across national, European and organisational boundaries. WP1.2 D2 output

D1/R6 - Lack of credible ATM Medium Low 1. Implement a cultural paradigm change toperformance assessment and the reporting of performance. CLOSED by 2.1.2monitoring output

2. Establish an ATM performance framework and monitor it. CLOSED for ATM performance framework by D2/2.1.2. ONGOING for monitoring.

D1/R7 - Lack of interoperability Medium Medium 1. Ensure that the future standardisation structure in a global context addresses the global interoperability aspects.

ONGOING via D2/WP2.6 output

2. Incorporate the global interoperability concerns in the interoperability KPA of the ATM performanceframework. CLOSED by 2.1.2 output

3. Enhanced and interdependent approach with ICAO and USA authorities. ON GOING via SESAR communication plan.

D1/R8 - Lack of acceptance High High 1. Proactively manage the buy-in of the ATM Master of the ATM Master Plan by all Plan by all Stakeholders (at all levels) at eachactors milestone. ONGOING – continuous activity

2. Use it as the basis for the social dialogue, taking into account in the future institutional framework. ONGOING – specific actions depending on Stakeholder or Project Associate.

D1/R9 - Lack of standardised Medium Low 1. Put in place a European ATM System designand modular systems to authority. CLOSED T1.1.2/WP2.4/WP4.1 output.facilitate the transition Further scope of WP1.2/D3

2. Proactively manage the scope and content of the standardisation process, ensuring the products will fit the architecture of the future ATM System.CLOSED - close coordination established withEC implementation rule and community specification teams

D2/R1 – Rejection of initial high High Medium 1. Develop performance tutorialdesign targets stated in D2 2. Refinement of targets and objectives in D3 and D4.

D2/R2 - Vision and associated High Medium 1. Develop performance tutorial.Performance Objectives and 2. Strengthen D3&D4 performance assessment targets not fully understood by method.subsequent WPs. 3. Regular check of vision understanding by CIT

Risk & Assessment Impact Probability Mitigation Action


December2006


Introduction

This annex collects the assessment of three specific process exe-cution in D2 :

• The application of the SESAR Definition Phase safetymanagement policy, referring to WP statements of work

• The application of the SESAR Definition Phase environment management policy, referring to WP statements of work

• The incremental production of a Sustainability Impact Assessment, referring to the Initial Sustainability Impact Assessment Screening template.

Consideration of Safety Management in D2

Assessment of activities

In the following table, the safety management activities are asses-sed against the Statement of Work of the Work package.In accordance to the D2 Milestone Objective Plan, safety is consi-dered with respect to:

• Vision of the Air Transport Industry in 2020,• Performance Targets for the ATM Concept• ‘Best practice’, ongoing activities and principles for the way

forward

ANNEX II - Specific process assessment in D2

1.1 From the safety management standpoint, T1.1.1 has characterised Safety from the viewpoint of this work package will provide inputs societal expectations and economical sustainabilityregarding the role of safety in the Air Transport T1.1.2 has developed further the ATM safety vision.value chain, including the effect of accidents T1.1.3 has outlined commonalities and differenceson the air transport industry and on the between safety and security issues.environment (3rd party risk). T1.1.4 has indicated that environmental considerations

shall never impair safety of Air Transport operations

1.2 This WP will provide input on how safety and Safety aspects are considered in the analysis of past,the environmental aspect of sustainability current and possible decision-making processes.are currently applied as decision-making In general, a Safety case is required at the samedrivers in ATM system deployment and how level as a security case, a Human factor case or anit should be used in the context of the Environmental Impact AssessmentSESAR programme

1.3 This Work Package will investigate if the Safety is not identified as a separate topicsafety and environmental viewpoints can bedirectly related to the financial scenarios fordeploying the ATM system or if it subsumedby the general approach to ATM financing.

1.4 This Work Package will investigate how to Safety is addressed both in the cost model and the integrate safety and environment into CBA benefit model for CBA, with some further clarificationif required for further decision making needed

1.5 This work package will check if the proposed Safety regulation is fully covered by 1.6.adjustments to the SES legislative andregulatory framework due to third countriesbenchmarking have an impact:• On the safety regulation framework addressedby WP1.6• On the environmental regulation frameworkaddressed by Task 1.1.4

1.6 As explained in the [previous] sections of T1.6.1 has extensively covered the subject and fullythe WP1.6 SoW, this Work Package will satisfies the D2 MOP objectivesaddress the regulatory aspects of safetythroughout the whole PD phase of SESAR. Moreover, the co-ordination between WP1.6 andIt will clarify the link between safety and other WP dealing with regulatory aspects (such as environment, especially regarding the WP1.2, 1.5, 2.6) has been carried out.“third-party risk” issue. “Third-party risk” is to be further investigated.

WP SoW reference section Assessment



097

Recommendation for subsequent SESAR Milestones

In order to ensure that ATM system changes are as safe as possi-ble, WP1.6 recommends applying a screening technique, startingfrom D3, which makes use of a list of established basic principles

and key requirements for Safety Regulation, Safety Managementand Safety Performance. It is expected that the Safety Screeningreveals safety related aspects that shall be considered when des-igning the ATM system in order to identify the safety actions to bepopulated in the SESAR ATM Master Plan.

1.7 This work package will provide inputs T1.7.1 has shown the high effect of human factors on regarding human factors related safety and safetyenvironmental issues. T1.7.2 has explained the effect of recruitment, training,

competence and manpower planning on the safety of ATM operationT1.7.3 has documented how safety is incorporated into the social dialogue and change management required by ATM evolution

2.1 This work package will integrate the safety T2.1.2 has established the performance framework onand environment KPAs, performance the basis of KPAs, including how to represent the Safetyobjectives, KPIs and targets when applicable KPAs, which has been documented and analysed byinto the performance framework. EUROCONTROL. Objectives and Targets having anIt will be responsible for eliciting the balance impact on the concept development in D3 have beenbetween the KPAs that contribute to discussed. Most of the objectives are related to propersustainability and for ensuring that management of safety issues, building on T1.6.1 dependencies between these KPAs are activities.considered when assigning performance One global target is agreed, while additional targetsobjectives and targets. related to significant incidents are expected to become

available from ongoing EUROCONTROL activities and will be used in D3.

2.4 This work package will take safety objectives T2.4.3 has considered the safety approach from 1.6 andinto account for defining the architecture of the potential impact on the process of architecture the ATM system, leading to adequate design, mainly through use of screening techniques.component redundancy and mitigation means The need to incorporate Safety Nets in the architecturein the architecture design, notwithstanding design has been recognised. The real impact will bethe procedural and human-factors aspects. in D3.This WP will populate the Safety Register[initiated by T2.2.2/D3].

2.6 This work package will integrate the safety Safety has been considered in the standardisationaspects of interoperability. Some process from the certification point of view.interoperability requirements are likely to The vision of the certification process involving Europeanderive from safety objectives. Conversely, regulatory functions is described by T1.6.1making systems interoperate is itself a causeof potential failures or hazards.This WP will populate the Safety Register[initiated by T2.2.2/D3].

3.2 This work package will integrate safety and Specific short-term improvements have been identifiedenvironmental objectives into the short term to address Safety and Environmental aspects.improvements All initiatives have been evaluated against the associated

KPA. Programmes identified in the short termimprovements include producing a safety case.

4.1 This work package will provide the roles and T4.1.1 has addressed the allocation of safetyresponsibilities elements of the SESAR responsibilities into the future governanceImplementation Phase for: structure for both the JU period and beyond• The Safety Management Plan• The environment-related activities



December2006


Consideration of Environment Management in D2

Assessment of activities

In the following table, the environment management activities areassessed against the Statement of Work of the Work package.

In accordance to the D2 Milestone Objective Plan, environment isconsidered with respect to:

• Vision of the Air Transport Industry in 2020; • Performance Targets for the ATM Concept;• ‘Best practice’, ongoing activities and principles for the way forward.

1.1 From the environment management standpoint, T1.1.1 has characterised Environment from the viewpointthis work package will provide significant inputs of societal expectations and economical sustainabilityregarding the environmental aspects of the T1.1.2 has outlined the impact of the environmental Air Transport value chain, through the specialist constraints on the future ATM System and the ATMtask 1.1.4. role to mitigate the environmental impact of Air Transport

T1.1.3 has not addressed the environmental aspects.T1.1.4 has delivered a vision of how environmentalsustainability can be facilitated by ATM, refining theenvironmental mitigation solutions ATM can provide including institutional aspects.

1.2 This WP will provide input on how safety and Environmental aspects are considered in the analysis of the environmental aspect of sustainability are past, current and possible decision-making processes.currently applied as decision-making drivers Environmental Impact Assessment is required at the in ATM system deployment and how it should same level as safety case or security case.be used in the context of the SESAR programme

1.3 This Work Package will investigate if the safety No specific relationship is identified.and environmental viewpoints can be directlyrelated to the financial scenarios for deployingthe ATM system or if it subsumed by the generalapproach to ATM financing.

1.4 This Work Package will investigate how to Environment is considered in the CBA models, bearing inintegrate safety and environment into CBA if mind that cost models and benefit models are notrequired for further decision making mature at this stage

1.5 This work package will check if the proposed The subject of a legislative and regulatory framework foradjustments to the SES legislative and environment has been covered by T1.1.4.regulatory framework due to third countries WP1.5 and 4.1 have considered the proposed functionsbenchmarking have an impact: in the regulatory and governance structures• On the safety regulation framework addressedby WP1.6• On the environmental regulation frameworkaddressed by Task 1.1.4

1.6 As explained in the [previous sections of the] Basic principles for safety regulation have been written,WP1.6 SoW, this Work Package will address which describe the relationship of other KPA’s to safety,the regulatory aspects of safety throughout including environmentthe whole PD phase of SESAR. It will clarifythe link between safety and environment,especially regarding the “third-party risk” issue.

1.7 This work package will provide inputs regarding T1.7.1 recognizes that human factors in ATM have ahuman factors related safety and environmental limited effect on environmental sustainabilityissues.

2.1 This work package will integrate the safety T2.1.2 has established the performance framework onand environment KPAs, performance objectives, the basis of KPAs, including Environmental SustainabilityKPIs and targets when applicable into the KPA which has been documented and analysed by performance framework. It will be responsible SESAR Task 114 specialists. Objectives and Targets for eliciting the balance between the KPAs that having an impact on the concept development in D3contribute to sustainability and for ensuring that have been discussed. Most of the objectives are relateddependencies between these KPAs are considered to proper management of environmental issues.when assigning performance objectives and targets.

2.4 When applicable, this work package will take No direct link between environmental constraints and theenvironment objectives into account for architecture have been identified. However, defining the architecture of the ATM system environment-related requirements could need specific

components in the architecture to be designed in D3

2.6 No environmental requirements were identified N/Ain the SoW




099

Recommendation for subsequent SESAR milestones

Task 1.1.4 is continuing its activities during D3 and D4 and will checkhow the operational and institutional aspects of the proposed SESARsolution match the vision developed in D2, in order to identify the envi-ronmental actions to be populated in the SESAR ATM Master Plan.

Adopting a screening approach for environmental sustainabilityaspects as recommended for safety could ensure that environmentalaspects are correctly covered and provide the input material for the fol-lowing steps of the SESAR solution sustainability impact assessmentduring D3 and D4.

Sustainability Impact Assessment

This section conforms to PART I /Section A/ of the Initial ImpactAssessment Screening. It is an augmented version of Annex I ofD1, enriched with strategic objectives produced during M2.

As agreed with the Purchaser, the template is filled progressivelyat each milestone, so as to produce a completed ImpactAssessment by the end of the PD phase.

Problem analysis: What are the main problems identified?

Air Transport is recognised for its direct (e.g. 1.5 million jobs inEurope in 2004), indirect (1.8 million jobs), and induced (0.8 mil-lion jobs), social benefits. Moreover, catalytic benefits of AirTransport (effect on incomes, government finances, etc.) are esti-mated to amount to 6 times the direct benefits.

However, Air Transport is not sustainable under the current opera-ting and societal conditions, according to the observed economicperformance of European airlines. Moreover, the traffic growthforecast shows that the airport infrastructure in Europe willbecome a major bottleneck if no additional runways are madeavailable. On the other hand there is a growing pressure put on AirTransport to reduce its environmental impact, especially in thevicinity of airports.

ATM is an actor of the value chain of Air Transport and as such,can improve its own processes to contribute to the sustainabilityof Air Transport by:

• Acting on the efficiency of flights and optimizing the usage of the bounded capacity of airspace and airport surface.

• While mitigating the environmental impact of operations.

This ATM improvement will address all sectors of ATM, includinginstitutional, operational and technical aspects. A performance-based approach will be followed, starting from performance gapidentification and appropriate analysis of solutions. The ICAO per-formance framework will be used to ensure balancing perfor-mance areas, including capacity, cost efficiency and environment.Objectives: What are the main objectives of the proposal?

According to the ICAO performance framework, the objectives arespecified for the 11 Key Performance Areas, grouped into:• Societal outcome: Safety, Security and Environmental

sustainability• Operational performance: Cost effectiveness, efficiency,

flexibility, predictability and capacity• Performance enablers: Access & equity, participation,

interoperability

The objectives are characterised by indicators that themselveshave targets assigned when possible. The targets are set fromvarious sources and refine the European Commission's (EC)expectation for SESAR, expressed by EC Vice-President JacquesBarrot: SESAR will deliver a future European Air TrafficManagement (ATM) System for 2020 and beyond which can, rela-tive to today's performance, enable up to a 3-fold increase in airtraffic movements whilst reducing delays, improve the safety per-formance by a factor of 10, enable a 10% reduction in the effectsaircraft have on the environment and provide ATM services at acost to the airspace users which is at least 50% less.

Implementing an effective performance management processbased on the performance framework is an objective by itself. Thiswill lead to performance-based transition planning for the ATMnetwork, considering all areas of performance.

Objectives dealing with institutional aspects aim at drasticallyreducing the complexity of the current institutional framework andenabling efficient governance and decision–making mechanismfor the SESAR solution development and deployment.

3.2 This work package will integrate safety and Specific short-term improvements have been identifiedenvironmental objectives into the short term to address Safety and Environmental aspects.improvements All initiatives have been evaluated against the associated

KPA.There is no evidence that all the identified programmes include producing an environment impact assessment.

4.1 This work package will provide the roles and T4.1.1 has addressed environmental aspects ofresponsibilities elements of the SESAR regulation as a subject in a general performance basedImplementation Phase for: management of ATM.• The Safety Management Plan.• The environment-related activities


For any enquiries, please feel free to contact:

[email protected]

and learn more by visiting our website at

www.sesar-consortium.aero.www.sesar-consortium.aeroinfo@sesar-consortium.aero

The SESAR Definition Phase is fundedby the European Commission’s TEN-TProgramme and EUROCONTROL.

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Documents

sesar performance framework

vision of air transport

sesar consor t ium fo

european atm system

air transport industry

i ve rab

phase pro jec t co funded

european commiss ion