Manual On Air Traffic Management System Requirements: Doc 9882 AN/467
Manual On Air Traffic Management System Requirements: Doc 9882 AN/467
Manual On Air Traffic Management System Requirements: Doc 9882 AN/467
AN/467
Manual on
Air Traffic Management
System Requirements
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3/08
Manual on
Air Traffic Management
System Requirements
AMENDMENTS CORRIGENDA
1 1/12/08 ICAO
(ii)
TABLE OF CONTENTS
_____________________
(iii)
Chapter 1
OVERVIEW
1.1.1 This document, together with the Manual on Global Performance of the Air Navigation System (Doc 9883),
provides a comprehensive understanding of the intent of, and delivery mechanisms for, the ATM system envisioned in
the Global Air Traffic Management Operational Concept (Doc 9854).
1.1.2 The Global ATM Operational Concept (OCD) presents a vision for an integrated, harmonized and globally
interoperable ATM system planned up to 2025 and beyond. While the operational concept is visionary and challenging,
many of the current practices and processes will continue to exist through the planning horizon. In this sense, the
operational concept document is evolutionary.
1.1.3 Global Performance (Part I of Doc 9883) focuses on the performance dimension. It describes a process for
developing performance objectives, metrics and indicators in the context of overall ATM system behaviour responding to
ATM community expectations. The manual provides guidelines for setting performance objectives and targets, as well as
for monitoring, evaluating and forecasting ATM system performance.
1.1.4 The Performance-based Transition Guidelines (Part II of Doc 9883) address the evolutionary nature of the
operational concept. They provide guidance for transition from the baseline system of 2000 to a “mature-state”
performance-based system envisioned by the OCD for 2025 and beyond. The strategy is based around delivering
continuous and incremental performance enhancements.
1.1.5 As is indicated in 1.1.2, many current practices and processes for the ATM system will continue through
the planning horizon. This document reflects this reality and identifies requirements where a significant change to
operating practices will be required. Hence, the requirements set are not intended to be exhaustive and are relatively
small compared with other requirement-source documentation across the spectrum of operations envisioned in the OCD.
1.2.1 The evolution and enhancement of the ATM system will be directly related to the ATM community’s ability
to clearly define performance expectations, set a relevant performance framework, set achievable targets and implement
change cost-effectively, based on capabilities at any particular time along the planning horizon.
1.2.2 This document aims to define high-level requirements (hereafter referred to as ATM system requirements),
supporting the OCD, and is to be used in conjunction with the OCD from which the requirements were derived. The ATM
system requirements shall be applied in developing Standards and Recommended Practices (SARPs) to realize the
concept. These requirements will also be used by the planning and implementation regional groups (PIRGs) as well as
States to develop transition strategies and plans at regional and State levels. The ATM system requirements will generally
be stable over time; that is, they represent the fundamental characteristics/attributes required of the ATM system.
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1-2 Manual on Air Traffic Management System Requirements
1.2.3 The improvement in demonstrated (overall system) performance associated with these ATM system
requirements reflects the evolution of capabilities.
1.2.4 ATM system performance will not progress as the direct result of the requirements; rather, the system is
performance-driven, and levels of performance will differ in response to the demands of differing operating environments,
in particular, a State, group of States, or regions.
1.2.5 This document supports the ATM community in establishing a globally harmonized, performance-based
system in its service, according to regional and national plans, but consistent with the OCD.
1.2.6 The requirements set out in this document are relatively small. This is because many of the requirements that
define the ATM system are constant; that is, they have existed since the ATM system first came into existence and will
continue through its continued operation. What changes is the performance outcome demanded of a particular requirement.
As an example, the statement “… the ATM system shall perform safely …” is a requirement statement that has applied to
the ATM system in the past, applies in the present and will continue to apply into the future. In fact, the change comes from
the definition of required performance outcome and the ability to measure whether or not that outcome has been achieved.
1.2.7 In 1950, a safety performance outcome may have been stated as a certain number of accidents per year
and measured subjectively or objectively. In 2000, both the safety target and the means of monitoring it were defined
more stringently (e.g. × fatal accidents per flight hour per dimension for the en-route phase of flight). In the planning
horizon, the performance goals will become more stringent, and delivery mechanisms and processes will change; but
the basic requirement (to perform safely) remains constant.
1.2.8 In this context, the ATM system requirement statements in this document reflect mainly those areas in
which a change in direction is needed to achieve the vision outlined in the OCD. It is therefore necessary to evaluate the
operation of the current system — together with the new requirement statements — when assessing any evolution of the
ATM system. In some cases, the requirements in this document build on changes already initiated by ICAO in the
development of communications, navigation and surveillance/air traffic management (CNS/ATM) systems and may be
seen as retrospective requirement statements.
1.3.1 The requirements section of this document (Chapter 2) provides ATM system requirements and supporting
material viewed against the ATM system as a whole and against each of the seven ATM system components and
information management as identified in the OCD and shown in Figure 1-1. The ATM system requirements should be
read in the context of expectations detailed in the OCD and reproduced in Appendix E to this document. Chapter 2
contains the following subsections:
a) Performance and expectations, Information management and services, and System design and
engineering: These subsections contain requirements that may be described as transcending several
concept components or applying across the whole ATM system. These requirements may also be
reproduced directly or adapted in specific component areas to qualify as specific requirements of a
particular component.
b) ATM system components: Included are seven subsections matching the OCD components and
common elements. Each subsection briefly describes what the component does from an operational
perspective. The intent is to give the reader a broad context statement on the requirements. However,
the reader still needs to interpret the requirements in the context of the entire OCD, including its
appendices. Each subsection also includes a set of the ATM system requirements relating specifically
to the components and common elements. Where appropriate, they have been collated into sections
of like requirements with explanatory text, if considered necessary or helpful.
Chapter 1. Overview 1-3
1.3.2 Each requirement statement has an associated identification number (R and the number). Requirements
connect to the OCD via the linkage matrix in Appendix A. In many cases, explanatory text is included to answer questions
readers may have in reading the requirement(s). Explanatory text appears as either direct clarification or statements of
intended use, as envisioned by the authors of the OCD.
1.3.3 The intent of the requirement set is to reflect the nature of the OCD itself, that is, to ensure that the reader
is aware that the ATM system exists as a holistic entity and not as a set of individual elements. This is discussed in
Section 2.1.1 and illustrated in Figure 2-1 of the OCD.
1.3.4 In short, this means that even though a specific component may have a small number of requirements, the
requirements must be read together with the whole set and interpreted in the context of the other requirements so that
evolution of the ATM system is globally harmonized and integrated.
1.3.5 Note that the organization of requirements into the various sections is to facilitate understanding and not
prioritize the importance of requirements based on their location in the document. The structure eases reading and
reference comprehension within the context of the OCD’s description of an integrated and interdependent ATM system.
Strategic
Pre-tactical
Tactical
The ATM
system
Common
Airpace user Traffic
elements synchronization
operations (e.g. collaborative
decision making,
information
management)
Airspace Demand
The ATM system needs to be organization and capacity
disaggregated to understand the management balancing
sometimes complex interrelationship Aerodrome
between its components and common operations
elements.
1.4.1 An ATM system requirement is a statement of functionality and/or operating characteristics necessary to fulfil
the expectations and deliver the benefits envisioned in the application of the OCD. The characteristics of ATM system
requirements are:
a) Each requirement uses the words shall or will for “base” elements of the OCD.
b) Each requirement uses the word should for “desirable” elements of the OCD.
Note.— In this context, “base” refers to elements of the OCD that are necessary to ensure
coherent performance across the entire global ATM system. Their level of effect on the performance of
the ATM system in a particular State, region or other operating area may vary, depending on the
expected performance outcomes agreed collaboratively.
Note 1.— The level of detail is expected to be finer than the OCD, but coarser than what would be
found in a SARP or global system design document.
Note 2.— The words “will” and “should” have imperative status only when written in requirement
statements and not when included in the explanatory texts accompanying a requirement statement.
d) Elements of the extraction that are not directly evident in the OCD will only be those that are logical
derivatives (e.g. the OCD inclusion of a timely action will clearly be dependent on the delivery, in a
timely manner, of information to support the action).
e) The scope of qualifiers (for example “all”) will not exceed those contained in the OCD.
f) The scope and extent of the requirements are intended to be comprehensive in addressing the elements
and components of the OCD. However, the requirements are neither intended to provide a complete
system specification nor to imply that a design choice has been made.
1.4.2 Further, the requirements will provide guidance for development of SARPs. SARPs will be progressively
developed or amended through the transition period to achieve enhanced ATM system performance and global
harmonization, as envisaged in the OCD.
1.4.3 The ATM system requirements will also set the scope for transition strategies to be adopted by States or
regions. Some States or regions may from time to time adopt different strategies to achieve the required performance
outcomes, always adopting improvements from a common roadmap.
1.4.4 The ATM system requirements will establish a framework for the elements of performance that will be
descriptive in nature and not set quantitative values/targets.
_____________________
Chapter 2
2.1.1 General
The global ATM operational concept envisions a system that is service-oriented, performance-driven and predicated on
the guiding principles described in the OCD (Global Air Traffic Management Operational Concept, Doc 9854). To fulfil
this vision, the ATM system shall:
a) ensure that performance forms the basis for all ATM system development [R97a)];
b) treat performance as a whole, that is, considering all the ATM community expectations and their
relationships [R185];
Explanatory text: The holistic treatment of performance should be done by means of a system
performance approach resulting in performance cases. A performance case can be seen as the
combination of the various cases that together address and balance all areas in which the ATM
community has expectations, e.g. the safety case, together with the business case, together with the
environment case.
c) ensure the establishment of performance cases (safety, business, environmental, etc.) before
implementing changes [R186];
d) ensure that performance targets are defined, regularly reviewed and monitored [R97b)];
f) ensure that all information for performance management is available to the concerned parties
transparently and that information disclosure rules are in place [R187];
g) ensure that any performance management system establishes rules for, among other things,
performance measurement, performance maintenance, performance management and performance
enhancement [R103];
h) establish quality of service requirements to support provision of services within the ATM system [R158a)];
i) ensure that quality of service includes performance requirements related to availability, continuity,
reliability and integrity [R158b]; and
Explanatory text: The ATM system will consider the trajectory of a vehicle during all phases of flight
and manage the interaction of that trajectory with other trajectories or hazards to achieve the optimum
2-1
2-2 Manual on Air Traffic Management System Requirements
system outcome with the minimal deviation from the user-requested flight trajectory, whenever possible.
The ATM system will provide seamless service to the user at all times and will operate on the basis of
uniformity throughout all airspace. Uniformity embodies both application of common ATM system rules
and procedures across all airspace and use of common core technical functionality in the systems used.
It is not intended that this will establish an all-embracing requirement for identical equipment or
systems, although minimizing system duplication or reducing equipment or systems needed to operate
in a global ATM system environment is an obvious goal.
It is intended that agreed required minimum levels of aircraft equipment, performance and ATM
system network capabilities will be matched by defined levels of service. It is intended that the ATM
system should provide all users, at a minimum, the same level of access to runways and airspace
when compared to a regionally agreed baseline year.
2.1.2 Safety
Safety is a key and constant performance expectation of the ATM system. To meet this expectation, the ATM system shall:
a) be based on the principle that the safety of the ATM system, or its components and parts, is evidence-
based [R134];
c) ensure that safety data will be recorded, processed and analysed centrally within a State, region or
group of States, taking into account the experience of existing State incident reporting schemes;
furthermore, safety data will be shared globally [R175];
d) ensure a consistent approach to the collection, evaluation and review of safety-related data, including
the understanding of causes and effects that can be applied over time and across segments of the
community for the purpose of making informative comparisons [R192];
Explanatory text: This does not mean that all community members use the same approach but,
rather, that they can communicate by sharing a wide, diverse, and yet common set of models,
assumptions, definitions, and so on.
e) support system safety with lead indicator and causal factor analysis, in addition to traditional lag
indicator statistical analysis in the ongoing monitoring of safety [R135];
f) ensure application of the system safety approach to all life-cycle phases of the ATM system and its
elements, supported by safety cases [R174];
g) ensure that all safety practices and processes are explicit and that they comply with the safety
requirements and standards of ICAO, State regulatory authorities and other appropriate parties [R102];
Explanatory text: ATM system performance requirements should be based on the key
understanding that the ATM system is a collective integration of parts, including humans, information,
services and technology. When contemplating or undertaking a change to a particular part of the ATM
system, whether at the local, State, regional or global level, one must give due consideration, through a
safety case, to the potential effect on adjacent parts of the system. The decision regarding the level of
assessment will be made pragmatically, but transparently. In establishing safety management systems,
determining safety targets and conducting safety cases, the accumulated effect, on safety, of those parts
— in addition to the individual effects — should be taken into account.
ATM System Requirements 2-3
h) ensure that ATM system safety is maintained during any transition [R140];
i) establish contingency plans at all levels of operation to deal with anomalies/disruptions and to ensure
safety and an appropriate level of operations [R131];
j) be designed so that the operation and continued evolution of the ATM system incorporates mechanisms
so that information and/or actions concerning emergency and/or unexpected events involving any of the
airborne or ground-based ATM community members can be communicated to all ATM system
participants who need to respond to or be aware of the event or actions [R162];
k) accommodate the determination of levels of safety and risk which may be expressed in various manners
[R190];
Explanatory text: There is no single and universally valid way of expressing the level of safety or
risk. It is however desirable to express safety and risk in a manner that provides reference over time
despite system changes.
l) ensure that the target level of safety is the minimum level of safety to be achieved [R193];
Explanatory text: The ATM system recognizes that absolute safety cannot be achieved; however, it
should always be a desired goal. In the evolution of the ATM system, safety targets will be established
reflecting a continuing desire to improve current levels of safety. In setting safety targets from time to
time, each organization, State, region, or global group should generate a better safety outcome than the
previous target within practicable limits; that is, all components of the ATM system should strive to
reduce incidents and accidents and increase positive safety indicators.
m) recognize that there are three safety risk bands: intolerable, as low as reasonably practical (ALARP),
and broadly acceptable [R189];
Explanatory text: The safety industry generally recognizes that there are situations in which the
continuous range of possible levels of safety cannot be divided into only two bands, “intolerable” and
“broadly acceptable”. There is a third, intermediate region between these two levels. Where such an
intermediate region exists, the question becomes how to make decisions if the level of risk falls within
that region. To make such decisions, the safety industry generally uses the so-called ALARP. This
means that measures to reduce risk must be taken until the cost of further risk reduction would be
grossly disproportionate to the reduction in risk that would be achieved, hence, the “ALARP region”.
n) ensure that safety risk is calculated with scientific rigour; however, also accommodate the determination
of safety risk acceptability by value judgement [R191];
Explanatory text: A distinction should be made between both activities (safety risk calculation and
acceptability determination) and their respective boundaries and logic.
o) be designed so that the human is never in doubt as to the ongoing status of the ATM system or the
flight environment as appropriate to the human task undertaken [R138]; and
p) be designed so that collision avoidance systems remain a safety net independent from separation
provision [R194].
2-4 Manual on Air Traffic Management System Requirements
2.1.3 Security
Performance of the ATM system depends on security related to both the internal elements of the ATM system —
including personnel, infrastructure and data — and the external expectations of the broader community, including
national security interests. To meet these expectations, the ATM system shall:
a) be based on the principle that the operation of the ATM system will not compromise the sovereignty of
any State [R184];
c) recognize that the requirements associated with security may vary from time to time and according to
location [R124b)]; and
d) coordinate these requirements through strategic, pre-tactical and tactical collaborative decision making to
allow agreed performance parameters to be met by ATM system partners [R124c)].
2.1.4 Cost-effectiveness
To meet the expectations of the ATM community regarding cost-effectiveness, the ATM system shall:
a) ensure that where they are required, validation and cost-benefit analysis1 are achieved through focused
research and development and establishment of business cases1 prior to implementation of the changes
[R129].
To meet the expectations of the ATM community regarding access and equity, the ATM system shall:
a) ensure that, in the design of the ATM system, the principles of access and equity are taken into
account [R165];
b) be designed to accommodate all types of airspace user missions and all types of vehicles and
associated characteristics [R45]; and
Explanatory text: Any type of user mission will be accommodated, and an appropriate type/level
of service will be provided. Different types of mission will — or may have — different planning
horizons. The ATM system will accommodate and be able to handle different planning horizons.
It is intended that the ATM system will be able to accommodate a wide variety of vehicles, with a
similarly wide variety of characteristics and capabilities, not only based on current knowledge, but also
for the evolutionary future. The expectation is that these new types of vehicles, characteristics and
capabilities should be accommodated in a manner that achieves the optimum system outcome with
minimal deviation from the user-requested flight trajectory when they may appear in the future.
It is expected that unmanned aircraft systems will be operated either remotely by a human operator or
execute their pre-programmed mission automatically, and that some of these aircraft systems may not
be able to dynamically change their trajectory. It is intended that the ATM system will accommodate
such pre-programmed missions after strategic collaboration.
1. Refer to Appendix D for further information on cost-benefit analysis and business case.
ATM System Requirements 2-5
It is intended that the ATM system will provide services according to the maximum level of vehicle
capabilities.
2.1.6 Capacity
To meet the expectations of the ATM community regarding capacity, the ATM system shall:
b) ensure that sufficient capacity is provided through collaborative decision making (CDM) [R197];
c) ensure that the ATM community works collaboratively to plan and implement the capacity needed to
cost-effectively meet the forecast demand [R198];
Explanatory text: Through collaboration, ATM community members will determine the appropriate
investments and associated commitments to make available the desired capacity of ATM system
resources. The investments and commitments include those by both users and service providers. (e.g.
“matched” commitments include infrastructure deployment by service providers and equipage or
training.)
d) ensure that all available capacity is fully and efficiently used [R111]; and
Explanatory text: The intent is not to create capacity for its own sake, but to ensure that the
available capacity is efficiently used given existing demand.
e) minimize the impact of adverse weather on the total ATM system so as to ensure that maximum
throughput is generated in all meteorological conditions [R199].
2.1.7 Environment
Environmental considerations are increasingly important in ATM system design and will continue to be so through future
development of the ATM system. To meet the expectations of the ATM community regarding environment, the ATM
system shall:
a) ensure that environmental issues are considered in the design, development and operation of all aspects
of the ATM system [R167];
b) establish and monitor agreed environmental performance targets to ensure that the expectations of
society for the aviation industry contribute to the reduction of impacts on the environment, including
noise, gaseous emissions, and the effect on the amenity of particular areas is met [R127]; and
c) facilitate collaborative decision making between the appropriate community members and appropriate
environmental authorities to ensure that an appropriate balance exists between the need to mitigate
the effects of the ATM system on the environment, and the economic benefit to States derived from
operation of the ATM system [R128].
Explanatory text: ATM system components and the ATM community, when agreeing on
performance targets, will consider measures that will not only contribute to a sustainable environment
from a purely ATM system perspective, but also in the context of the complete transport value chain
as imposed on the ATM community.
2-6 Manual on Air Traffic Management System Requirements
2.1.8 Predictability
To meet the expectations of the ATM community regarding predictability, the ATM system shall:
a) ensure that ATM community members provide past, current and predicted information as required by
the system for predictability of services [R176]; and
b) provide the ATM community with data essential to the planning of its operations [R200].
To meet the expectations of the ATM community regarding community participation, the ATM system shall:
a) be designed in such a way as to ensure that all pertinent ATM community members are included in
relevant collaborative decision making and have easy access to the associated necessary information
[R180].
2.1.10 Flexibility
To meet the expectations of the ATM community regarding flexibility, the ATM system shall:
a) implement and operate in such a way that the varying and diverse user requirements will be met as
closely as technically possible within the defined equity and access [R181]; and
b) enable all airspace users to adjust departure and arrival times and modify flight trajectories dynamically
and, where necessary, renegotiating trajectory agreements, thereby permitting them to exploit operational
opportunities as they occur [R201].
2.1.11 Efficiency
To meet the expectations of the ATM community regarding efficiency, the ATM system shall:
a) address the operational and economic cost-effectiveness of gate-to-gate flight operations from a single-
flight perspective [R202]; and
Explanatory text: Airspace users want to depart and arrive at the times they select and fly the
trajectory they determine to be optimum in all phases of flight.
ii) collaboratively with the airspace user, in a manner that recognizes the airspace user’s need for
single-flight efficiencies [R203].
To meet the expectations of the ATM community regarding global interoperability, the ATM system shall:
ATM System Requirements 2-7
a) be based on global standards and uniform principles, ensure the technical and operational interoperability
of ATM systems and facilitate homogeneous and non-discriminatory global and regional traffic flows
[R204]; and
Managing information and providing information services are critical to the development of the ATM system envisioned
in the OCD. These activities ensure cohesion and linkages between the various ATM components described in the OCD
as well as performance expectation areas described in previous sections of this document. To meet the expectations for
the ATM system regarding information services, the ATM system shall:
b) provide a global, common aviation data standard and reference system to allow fusion and conflation
and provide comprehensive situational awareness and conflict management [R06];
c) establish information exchange protocols and procedures to ensure that appropriate performance can
be achieved within the agreed rules [R12];
Explanatory text: These “agreed rules” would be determined through collaborative decision making.
d) provide to the ATM community accredited, quality-assured and timely information meeting the identified
standards of performance, including quality of services [R74];
Explanatory text: It is essential that information does not change character or value as it travels
through various systems. It is assumed that information may be combined, segregated or reformatted
in accordance with the needs of the end user; however, the content (character, data values, and so
on) should not change the context (the environment from which the information originated). In
summary, received information content is exactly the same as the information from the originator.
The differences brought about by evolution in technology are not expected to have any impact on the
efficient transmission of the information among the ATM community members. The requirements of
seamlessness and interoperability dictate that systems — whether proprietary or not — conform to
openly available standards regarding the format and character of transmitted or transferred information. It
is intended that there will be development of fully interoperable information systems capable of seamless
information transfer throughout the ATM system.
e) provide information systems that identify the nature of the information in terms of timeframe —
historical, current or planned [R75];
f) ensure that a relevant validity period of ATM system information is evident to the user of that
information [R79];
Explanatory text: Information that is expected to change over short intervals must have a validity
period that is evident to the user of the information. Conversely, information elements that are not
expected to change except after system design changes should not need to be repeated at short
intervals. The information management system is expected to explicitly reveal the validity period for
the demanded information.
2-8 Manual on Air Traffic Management System Requirements
g) be capable of collecting and integrating information from diverse sources to produce a complete and
accurate view of the state of the ATM system [R76];
Explanatory text: The originator of information is the ATM community member at the first point of
entry where the information can be acquired. To ensure that the information is properly accredited and
a quality assurance framework is in place, the responsibility for timely acquisition of information
meeting quality parameters must rest with the ATM community member closest to the information
event.
The intention is that there will be tracking and quality assurance mechanisms that will ensure the
integrity of information through transfer as well as through developing compliance mechanisms for
information quality standards.
h) support a reduction in transactional friction for transmission of information across systems [R78];
Explanatory text: Information management systems will be capable of collecting, storing and
aggregating vast amounts of information from, and for use by, ATM community members. It will be
necessary to ensure that information needs are legitimate and validated to allow for transparent access to
information without being compromised by confidentiality and proprietary interests. Any restrictions on
information access should be identified and mechanisms developed and employed for resolution based on
balancing access against the legitimate needs of users.
i) assemble the best possible integrated picture of the historical, real-time and planned or foreseen
future state of the ATM system situation and make relevant quality-assured and accredited information
available to the ATM system [R123];
j) ensure that the airspace user makes relevant operational information available to the ATM system,
[R07];
k) use relevant airspace user operational information to optimize flight operations management [R08];
l) use relevant data to dynamically optimize 4-D trajectory planning and operation [R09];
Explanatory text: The global exchange of information (from individual aircraft performance to ATM
system resources) will allow full use of 4-D trajectory management/operation. The 4-D trajectory
management optimization may be a function of either ground or air systems or both.
Explanatory text: The ATM system will monitor the status/availability of all resources within the
system and make them readily available, within security constraints, so that entities, operators or
agents may use the information to their best advantage in support of their operational objective. For
example, based on ATM system resource reports, an operator whose objective is to perform
photographic land surveys, is able to amend its work schedule in response to changes in the
availability of specific airspace or navaids necessary for the mission. (Since the activity is linked to the
physical surface, the option of negotiating another route to avoid the resource limitation is not
available, but the operator’s work plan, under its control, is amended at the operator’s discretion. That
is, the activity day/date is amended.)
n) make available, to the ATM system, flight parameters and aircraft performance characteristics [R31];
o) establish standards for meteorological model accuracy and resolution and agree on performance
requirements [R157];
ATM System Requirements 2-9
Explanatory text: It is expected that within the constraints of authorized access, the ATM community
will be permitted to obtain the information required for the discharge of responsibilities. For example, it is
expected that historical meteorological data will be available for strategic planning, pre-planning, and
tactical planning.
q) utilize meteorological data, and information derived from it, to assist in analysis and evaluation of agreed
environmental performance targets [R127].
Explanatory text: It is expected that increasingly more accurate and timely meteorological and
climatological information and analysis material will be available to the ATM community. This
information will be increasingly integrated strategically with historical aircraft performance and other
data, and tactically with meteorological data from onboard sensors and “downlinked” actual aircraft
performance parameters and other data. The enhanced information will allow appropriate members of
the ATM community to:
— predict environmentally optimum trajectories which, when integrated with other operational factors,
will allow generation of ATM system optimum trajectories (this includes use of dynamic wake vortex
spacing), including monitoring of execution;
— more accurately measure and report the effect of air operations on the environment.
2.2.2 Collaboration
To meet the expectations for the ATM system regarding collaboration, the ATM system shall:
a) ensure that ATM system design, development, implementation and operation are determined by
collaborative decision making, system safety and system-wide business cases [R101];
b) ensure that decisions affecting the evolution of the ATM system are made in consultation with all affected
ATM community members [R163];
c) ensure that the airspace user community is able to participate in collaborative decision making [R10];
iii) to allow collaborative decision making concerning consequences of airspace user system design
changes [R11]; and
Explanatory text: Increased data sharing between all members of the ATM community will enhance
both situational awareness and conflict management. This means that both airspace users and service
providers should be able to develop their situational awareness and conflict management tools making
full use of appropriate exchange of data. The intention is to make available, to each ATM system user,
comprehensive information to support situational awareness and subsequent decisions based on the
user’s location in real time.
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e) employ collaborative decision making to reconcile differences between information needs and the
availability of, or access to, information [R77].
Explanatory text: It is essential that the information needed by an ATM community member to fulfil
an ATM system function is acquired and disseminated for use by that member. It is intended that
individual ATM community members will be able to access the information relevant to their specific
needs.
Consistent and coherent system design and engineering is critical to achieving the performance expectations; the ATM
system shall:
Explanatory text: The expectation is that ICAO will, in a timely manner, be responsible for the
adoption/approval of SARPs and PANS in order for the ATM community to progress the evolution of
the ATM system.
d) incorporate interoperability during the design of any changes to the ATM system [R207].
To meet the expectations for the ATM system regarding interoperability, seamlessness and infrastructure, the ATM system
shall:
a) establish a global ATM system vocabulary with a well-defined form (syntax) and meaning (semantics)
such that each participating entity in the exchange will be able to interpret the information provided in
precisely the same way. In this context, information is considered to encompass voice, text, data and
imagery elements [R170];
Explanatory text: Interoperable and seamless global ATM system capability cannot be achieved
through application of agreed technical requirements alone; it must also be addressed at the
institutional and operational levels.
b) ensure that, in any transaction, each participating ATM community entity uses the global ATM system
vocabulary to describe the ATM services that it provides within its area of service provision [R171];
c) ensure that each participating ATM community entity provides a means for other participating entities
to identify and access its services. The means for determining and accessing service shall be based
on a common description framework and associated method(s) that the participating entities can use
to facilitate the introduction and transition to new technologies [R172];
d) ensure that the communication media/protocols used to support interoperability — both in determining
and providing services across discontinuities — are agreed in conformance with internationally
approved, open and non-proprietary standards, i.e. the specification of the media/protocols and their
operational performance must be freely available [R173];
ATM System Requirements 2-11
Explanatory text: The specific call for use of open, non-proprietary standards will apply to their use
regionally or globally. It is not intended to preclude the notion of agreements between a limited number of
service providers that may rely on “closed” or proprietary mechanisms separate from the global standards
— provided that they impose no cost or other burden on those not party to the specific agreement.
e) ensure the selection and adoption and, where necessary, the development of interoperability standards
and related materials that enable mutual exchange of relevant and timely data [R208]; and
Explanatory text: The expectation is that the ATM community will be responsible for selection and,
where necessary, the development of candidate global standards (and related material) on
interoperability for the ATM system.
However, given that the ATM community will rely on these standards (and related material) to
progress the evolution of the ATM system and, given that the proliferation of standards (and related
material) may impact performance, the expectation is:
— that only some of the candidate standards (and related material) will become ICAO Standards
(and related material such as Recommended Practices, procedures and guidance material); and
f) provide a collaboratively agreed minimum notice period in which a State or region intends to change
or withdraw the existing infrastructure and/or services [R126].
Explanatory text: Continuity of service provision requires strategic agreement on facilities and
services. Significant investments are made to achieve continuity — they must be protected.
To meet the expectations for the ATM system regarding human design and automation, the ATM system shall:
a) give due consideration to the interaction of humans and technology, for example, the “human-machine
interface” in the design of the ATM system or its parts [R136a)];
b) demonstrate this consideration in the safety analysis accompanying the system design [R136b)];
c) guard against the potential to create a safety hazard by information overload [R137]; and
Explanatory text: The human is an essential part of the ATM system. Both in the aircraft and on the
ground, the role of the human is to manage the system and supervise control functions. It is intended that
in the design of the ATM system or its parts, due consideration will be given to factors that affect human
performance, human roles and responsibilities, and the potential for errors so that automation shall be
seen as supporting areas of human weakness and complementing areas of human strength.
d) use automation collaboratively where deemed appropriate to achieve the ATM system performance
targets [R86].
2.3.3 Spectrum
To meet the expectations for the ATM system regarding spectrum, the ATM system shall:
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a) ensure that in supporting ATM system expectations, the developers of telecommunications systems
ensure that harmful interference will neither be caused by, nor received from, other authorized users
[R132a)];
b) establish and maintain frequency and spectrum allocation and management assistance programmes
[R132b)]; and
c) provide frequency and spectrum management assistance to all new and existing programmes to
ensure that national and international standards are complied with and that no new items of equipment
are introduced that would interfere with existing systems [R133].
Explanatory text: Formal programmes will be established to ensure that frequency and spectrum
development activities for new systems, being conducted by States, are compatible with current and
projected use by national and international aviation interests. Frequency allocation proposed for new
transmitting and receiving equipment at a site should be coordinated to ensure electromagnetic
compatibility with existing systems present or planned for that site. Coordination with external (non-
aviation) agencies is required to prevent electromagnetic compatibility problems and resolve out-of-
band interference problems with other new or existing national or international systems.
The aircraft is a key element of the ATM system. The aircraft should be totally integrated in the collaborative decision
making of the airspace user operation, and its design should allow it to comply with all relevant ATM system
requirements. To meet the expectations for the ATM system regarding aircraft design, the ATM system shall:
Explanatory text: ATM system design will be capable of fully exploiting flight deck systems and
aircraft design.
b) ensure that the interrelationship and interdependency of aircraft design and ATM performance are key
considerations in aircraft design [R210]; and
Explanatory text: The design of an aircraft to provide maximum efficiency of ATM system operation
relates to the performance in specific areas; the notion of design for overall effectiveness relates to the
effect of the aircraft across a range of performance areas to enhance total system performance. In this
case, there may be tradeoffs between an aircraft’s overall effectiveness and its ability to provide
maximum efficiency in one particular area.
— take into account environmental considerations such that noise and emissions are reduced;
— facilitate cooperation and integration with the ATM system through the flight deck, including
avionics and overall aircraft system design.
The design of the ATM system will reflect the business case process described in the OCD. Cost-benefit
assessments should consider the effects of the proposed changes at an overall level, and for the typical
ATM System Requirements 2-13
main groups of interests, to ensure that the changes proposed are both viable and affordable. ATM
system design will be capable of fully exploiting flight deck systems and aircraft design.
c) ensure that aircraft capabilities will be totally integrated into the collaborative decision-making process
of the ATM community and will allow it to comply with all relevant ATM system requirements [R177].
Explanatory text: Flight crews are deeply involved in the ATM system, in addition to traditional
aircraft handling. It is intended that flight deck design should enable better integration with the total
ATM system.
Airspace organization establishes airspace structures to accommodate the different types of air activity, volume of traffic,
and differing levels of service. Airspace management is the process by which airspace options are selected and applied
to meet the needs of the ATM community. To meet the expectations of the ATM system, deriving from airspace
organization and management, the ATM system shall:
a) recognize that operation of the ATM system will not compromise the sovereignty of any State [R01];
b) establish agreements to ensure that sovereignty of airspace is respected without imposing inefficiencies
on ATM airspace management [R02];
Explanatory text: ATM system services will be provided supra-State or extra-State, in whole or in
part, subject to the agreement of the appropriate authority within the State or States concerned.
c) define, through collaborative decision making, airspace structures and procedures to accommodate all
types of air activity [R04];
d) utilize the collaborative decision-making process across State boundaries to support homogeneous
traffic flows and seamless airspace [R05];
e) ensure that airspace users are included in all aspects of airspace management via the collaborative
decision-making process [R15];
f) recognize that airspace will be managed on the basis of flexible allocation [R16];
g) recognize the principles of access and equity in the organization, flexible allocation and use of airspace
[R105];
i) recognize that any restrictions on airspace availability will be minimized, and none will be permanent
[R17];
Explanatory text: All ATM system users will be able to present a safety, business or personal
outcome requirement for use of the airspace, increasing information flow and the ability to manage
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use of all airspace efficiently and effectively. More efficient and transparent ATM system user
objectives will be achieved and made known to the system. The principles of access and equity will be
realized in a practical way.
j) adapt airspace organizational boundaries, divisions and categories based on traffic patterns, changing
situations and unplanned requirements, supporting efficient operation of the other ATM services while not
being constrained by national or facility boundaries [R107];
k) allocate airspace volumes that enable safe and efficient trajectory allocation and modification, from
strategic to tactical [R03];
l) manage all airspace and, where necessary, be responsible for amending priorities relating to access
and equity that may have been established for particular volumes of airspace. Where such authority is
exercised, it shall be subject to rules or procedures established through collaborative decision making
[R18];
Explanatory text: It is accepted that certain volumes of airspace may be established to meet certain
ATM system user expectations, including security (or national interest). This may be deemed the primary
use. Where that primary use is not operationally required, the ATM system should provide access to
those members of the ATM community who were subject to access restriction, until prioritization is
required again. It should also be accepted that there will be situations in which priority access is required
in response to abnormal operations, such as emergency situations or deviations around severe weather.
m) accommodate mixed equipage without unduly constraining the primary use of a given volume of
airspace [R19];
n) determine, through collaborative decision making, the level of service for a particular airspace volume,
whether determined strategically, pre-tactically or tactically [R20];
o) facilitate, as feasible, provision for tactical or pre-tactical approval of preferred routing or re-routing in
those areas where approvals are required for civil or State aircraft to operate over, into or from a
particular State [R99];
Explanatory text: Currently, many States require significant advance notice before approving
overflight; this is particularly true of State aircraft operations. The information-rich environment of 2025
should render such restrictions redundant. Additionally, the ATM system should enable enhanced civil
and military cooperation and coordination regarding airspace usage and ATM services. Furthermore, it
should support models where the military ATM services are already integrated into the civil ATM
services.
p) operate on the principle that all airspace is the concern of the ATM system and is a usable resource,
and any restriction on the use of any airspace will be considered transitory [R108]; and
q) operate on the principle that all airspace will be managed and all related activity within airspace will be
known to the ATM system to the degree necessary to meet performance expectations [R109].
As an integral part of the ATM system, the aerodrome must provide the needed ground infrastructure including, inter alia,
lighting, taxiways, runways and precise surface movement guidance to improve safety and to maximize aerodrome capacity
in all meteorological conditions. The ATM system will enable the efficient use of the capacity of the aerodrome airside
infrastructure. To meet the performance expectations of the ATM system stemming from aerodrome operations, the ATM
system shall:
ATM System Requirements 2-15
a) provide a facility and/or procedure, as required, to monitor or manage aircraft operations safely and
expeditiously within the confines of the aerodrome and its immediate surroundings [R21];
Explanatory text: In considering the need for a service facility, such as a control tower, careful thought
should be given to the volume and complexity of traffic. Where required, such facilities should enable
direct or individual visual monitoring and/or control. However, increasing needs for (vertically) higher visual
control rooms to enable direct sighting requirements may lead to alternative methods of surveillance or
control. Cost efficiency of services may also become an influencing factor. This may lead to
implementation of procedures, such as pilot autonomy (e.g. self-separation) rather than establishment or
refurbishment of a facility.
Explanatory text: At all aerodromes, a common, collaboratively agreed-to target level of safety will
be established, which is subsequently non-negotiable by an individual party. It must be accepted that
though performance may be measured on an individual basis, the relationship between each
aerodrome will result, by necessity, in a compromise. Performance criteria may be established at the
regional or local level; however, consideration should be given to the impact of aerodrome
performance on the ATM system as a whole. The freedom of the performance level to termination per
aerodrome may be constrained by the performance level of the overall ATM system. It may be easier
to consider aerodrome operations within an “en-route to en-route” 2 perspective in determining their
role within the ATM system.
It is intended that sufficient airside infrastructure be provided so as to optimize the efficiency of the
ATM system and provide predictability.
c) ensure, through collaborative decision making, that the most effective means of surface management
are employed to respond to demand [R24];
d) ensure that the position and intent of all aircraft and vehicles operating on the movement area are
precisely determined [R25];
Explanatory text: Precise surface movement guidance will be required in all conditions. This may
not necessarily be met by high-level technology but should be appropriate to the operations (traffic
volume, complexity of traffic movements, traffic mix and so on). Information on the position, to an
appropriate level of accuracy, and intent of all aircraft and vehicles operating on the ground will be
available to the appropriate ATM community members. Any activities that take place on the movement
area can have a direct influence on the ATM system.
e) ensure that the aerodrome community, including emergency and essential services, provides and
receives relevant information in order for dynamic, tactical and strategic decisions to be made [R26];
f) ensure that flight parameters and aircraft performance characteristics are available to the ATM system
[R27];
Explanatory text: As is the case across the whole ATM system, in relation to aerodrome operations,
the availability and exchange of information will facilitate management by trajectory. It is expected that
the collaborative exchange process and respective facilities will allow for efficient management of air
traffic flow through use, on a system-wide basis, of information on air traffic flow, weather and assets.
This process will also allow, for example, allocation of entry/exit times for aerodromes and subsequent
dynamic changes to mitigate any imbalance.
g) determine, through collaborative decision making, suitable aerodrome facilities to enable efficient
maintenance of capacity in all weather conditions [R84];
h) support the same throughput in all weather conditions at aerodromes where benefits can be
demonstrated [R29];
Explanatory text: Planned ATM system optimum throughput should be maintained through
meteorological conditions that do not present safety limitations and have been agreed by the affected
ATM community members.
i) consider environmental issues in the design, development and operation of the aerodrome [R30];
Explanatory text: Through the ATM system, aerodrome operations should contribute to the protection
of the environment by considering all environmental impact areas to the extent that safety is not
compromised.
It is expected that in the design of terminal area procedures, responsible authorities will work closely
with local agencies to mitigate, to the extent possible, the effect of aviation on communities located
within the terminal area of an airport. In so doing, all parties should strike an appropriate balance
between the need to mitigate the effects of aviation on the environment, and the significant economic
benefit to States of promoting a healthy aviation industry.
It is expected that airspace users, in determining and executing user-preferred trajectories, will
incorporate requirements to ameliorate unnecessary gaseous emissions. The ATM system should
recognize and accommodate such trajectories wherever practicable to reduce the environmental impact.
Meteorological information, both current and forecast, will be an important contributing factor in
managing environmental issues. It is expected that while aerodrome operations will not be responsible
for determining environmental constraints, they will comply with local and national requirements.
As one of the sources of environmental pollution, aerodrome layouts and operations will, through
collaboration, alleviate environmental concerns. (For example, reduced holding will assist aerodromes in
complying with emission controls as will reduced taxiing times.)
j) establish, through strategic, pre-tactical and tactical collaborative decision making, processes for
facilitating throughput of passengers and/or cargo and freight at airports, which will allow agreed
performance parameters to be met by the ATM system partners [R100];
Explanatory text: It is expected that landside operations will become an integral part of this
process. Although not directly part of the ATM system, landside operations will have an impact on
aerodrome operations, and a downstream effect on other parts of the ATM system. Data on such
areas as modal transportation systems, customs, security, baggage handling, fuel supply, and so on,
shared through collaborative information exchange, will optimize operations.
Real-time data, together with system trends and forecasts, fused with a range of automated decision
support or decision-making tools, will enable optimization of services. A common understanding of the
needs and capabilities of all parties will instigate a better response to a given situation. Gate
management will benefit from the ability to tactically and collaboratively modify sequences to optimize
aerodrome operations. It is expected that those ATM community members interfacing with landside
operations will manage/mitigate the effects of landside operations so that impacts on the ATM system
are minimized or eliminated.
k) ensure appropriate levels of security, recognizing that security is most visible in the aerodrome
environment and that the requirements associated with security may vary from time to time and according
to location [R168];
ATM System Requirements 2-17
Explanatory text: It is expected that, increasingly, law enforcement agencies will require flight
identification and trajectory data as well as general information concerning traffic at aerodromes. Data
exchange will be subject to agreement between interested parties and may be influenced by commercial
and regulatory factors. It is noted that, in some instances, access to certain areas may be restricted to
those willing to provide a minimum level of information (e.g. specific aircraft flying into certain aerodromes
and airspace).
l) establish procedures reducing any need for departing or arriving aircraft to spend ground time holding
for services with engines operating [R178]; and
m) establish procedures to accommodate arrivals without aircraft having to enter airborne holds for
aerodrome service accommodation as a routine [R179].
2.4.3.1 Demand and capacity balancing will strategically evaluate system-wide traffic flows and aerodrome
capacities to allow airspace users to determine when, where and how they operate, while mitigating conflicting needs for
airspace and aerodrome capacity. This collaborative process will allow for the efficient management of the air traffic flow
through use of information on system-wide air traffic flows, weather and assets.
2.4.3.2 To increase service predictability, maximize capacity utilization and achieve collaboratively-agreed
performance targets for the ATM system in those areas to which the ATM system components of demand and capacity
balancing contribute, the ATM system shall:
a) provide timely and accurate information regarding projected demand and capacity levels [R32];
b) facilitate, as appropriate and on request, the conduct of capacity and demand projections and make
the results of that analysis available to the ATM service delivery management function [R160]; and
c) facilitate provision of ATM system demand and capacity projections to relevant ATM community
members for up to an agreed/specified time in advance [R159].
Explanatory text: In relation to the provision of information for demand and capacity balancing, the
ATM system will be capable of projecting the current and future capacity of, and demand on, specified
operating sectors or airspace volumes or routes/route segments using all available data and
information. This includes the actual and forecast meteorological conditions, navigation equipment
operational status, aerodrome operational status, runway configuration, and aircraft performance
characteristics.
The ATM system will also monitor and use information pertinent to demand projections, including
stored flight plan information, filed flight plan information, aerodrome operational status, historic
demand profiles, scheduled special events and military operations.
d) provide timely access to all relevant information, including weather information [R33]; and
e) provide all users the same level of access to collaborative decision making concerning ATM resources,
realizing the diverse need to balance the expectations and interests of all members of the ATM
community in achieving equity and access [R34].
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g) utilize historical and forecast weather information, including seasonal patterns and major weather
phenomena [R36a)];
h) use information on changes in infrastructure status to increase predictability and maximize capacity
utilization to meet performance targets [R36b)];
n) consider current and predicted airspace conditions and projected demand as well as past performance
[R114].
Explanatory text: In relation to use of information for demand and capacity balancing, it is intended
that within the constraints of authorized access, the appropriate ATM community members will be
permitted to obtain as much of the information required to perform their responsibilities.
For example, it is intended that historical meteorological data will be available for strategic planning of
long-term capacity and demand balancing. This will be coupled with predicted and current meteorological
information to facilitate determination of the level of demand and effect on capacity.
It is intended that tactical information from on-board sensors will be integrated into the data stream.
Where there is a conflict regarding access to information, it is expected to be resolved within the
service delivery management function.
It is intended that strategic evaluation of available information — including system-wide traffic flows,
aerodrome capacities and active runways, meteorological information and flow management information
— will facilitate determination by airspace users of when, where and how they operate. It is intended that
collaborative use of common data, information and decision support tools will:
— ensure the most efficient use of all available and potential resources;
— ensure that demand on an aerodrome and other services will not exceed their capacity.
o) provide a capability to meter traffic to achieve a balance between traffic demand and the capacity of
the ATM system [R145];
ATM System Requirements 2-19
p) establish a collaborative process to allow for efficient management of the air traffic flow through use of
information on system-wide air traffic flow, weather and assets [R112];
q) utilize system-wide balancing techniques to collaboratively resolve local demand and capacity balancing
problems [R113]; and
Explanatory text: In relation to providing services for demand and capacity balancing, while
principles of access and equity will apply throughout the ATM system, it is intended that operators of
an aircraft not compatible with the majority of users in a given operational scenario will not be granted
the right of equity and access without due consideration of the impact on the performance of the ATM
system as a whole. It is intended that arbitration of access and equity issues, at least at a tactical
level, will be conducted through the service delivery management function.
It is intended that the demand and capacity balancing function within the ATM system will support the
service delivery management function in conducting strategic planning [e.g. airspace, optimal staffing, and
routing]; pre-tactical planning [e.g. adjust staffing, forecast initiatives (fine-tune routing, etc.), airspace user
schedule adjustments]; and tactical planning [e.g. flow initiatives (rerouting, sequencing and spacing of
aircraft, etc.) and airspace user schedule adjustments], all based on forecast and known demand and
capacity and analysis of historical performance data.
It is intended that with the increased reliability of, and access to, information, potential saturation of
airspace or aerodromes will be predicted sufficiently in advance to ameliorate — or negate — the impact
of that saturation event. It is intended that the ATM system will enable a capability to determine actual or
potential saturation of any selected airspace and/or aerodromes. In accordance with other ATM system
requirements, it is intended that any such information will be made available to relevant ATM community
members.
r) provide the capability to evaluate the effectiveness of flow restrictions implemented in the ATM system.
Effectiveness criteria shall include overall system performance measures [R161].
Explanatory text: The ATM system will include the capability to monitor its performance and
effectiveness in meeting the range of performance targets. This applies particularly to demand and
capacity balancing, where there is a high degree of criticality to overall ATM system performance and
where decisions — strategic and tactical — are made largely on the basis of historical data and
observed performance.
Traffic synchronization refers to the tactical establishment and maintenance of a safe, orderly and efficient flow of air
traffic. To meet the performance expectations, the ATM system shall:
a) provide for an orderly flow of traffic from gate to gate by dynamically renegotiating the 4-D trajectory
contract [R80];
b) apply traffic synchronization for the purpose of maximizing the throughput of a particular ATM
environment in the most effective and efficient manner [R169];
Explanatory text: It is possible to achieve high throughput inefficiently. It is expected that traffic
synchronization will be applied to achieve high throughput and high efficiency, whether or not 4-D
trajectories are being applied.
c) maximize, through the use of traffic synchronization, throughput to meet ATM performance requirements
[R83];
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d) manage 4-D trajectory contracts to achieve safe and efficient trajectories [R82];
Explanatory text: Agreed 4-D trajectory contracts will be dynamically updated and communicated
to the ATM community. Safety and efficiency in collaboration are key to the changes regardless of
whether the service is provided from the air or the ground. Negotiation and control will make use of the
best available automated tools for communication, analysis and action.
It is expected that through dynamic renegotiation of agreed 4-D trajectory contracts — and subject to
the appropriate business case to ensure cost-effectiveness — the ATM system will not experience
“chokepoints.” Potential ATM system chokepoints should be increasingly more predictable as 4-D
trajectories become available together with automated tools for mitigation. The balancing of traffic
density with variations in demand should, where appropriate, be based on the 4-D trajectory contracts
received from demand and capacity management.
It is expected that automation both in the air and on the ground will be used fully in order to create an
efficient and safe flow of traffic for all phases of flight. The ATM system, through full use of available
automation, will be able to analyse and accurately predict future situations in order to achieve the best
performance.
Requirements for the airspace user to adhere to the agreed trajectory, within agreed tolerances, will
remove much of the uncertainty regarding the future positions of aircraft.
e) support the discharge of traffic synchronization by both airborne and ground-based systems [R85];
f) use 4-D trajectory control and/or flight deck delegation for aircraft spacing [R182];
g) utilize the 4-D trajectory for traffic synchronization applications to meet the ATM system performance
targets unless, under certain conditions, other means are determined to be more effective [R87];
Explanatory text: It is expected that the separation mode, including wake vortex separation minima
will determine the minimum possible aircraft spacing. It is expected that flight parameters, as part of the
4-D trajectories management, will be available to the ATM system to dynamically allow for spacing and
sequencing of arriving as well as departing aircraft. It is expected that as flight parameters are available
on airborne systems, they will be used continuously and dynamically, both between aircraft and between
aircraft and ground, to maximize utilization of the best information available. This will constitute/facilitate a
safer and more efficient use of available airspace and will increase aerodrome throughput.
It is expected that flight plans will be replaced by 4-D trajectory contracts for all phases of flight. 4-D
trajectory contracts will constitute a prerequisite for dynamic control of aircraft and vehicles. Negotiations
will take place dynamically because total awareness will be available to the complete ATM community.
Agreed 4-D trajectories will increase predictability as well as reduce the need for current traditional path-
stretching methodologies.
It is expected that spacing between aircraft will be done through the use of 4-D trajectories, which will
be updated and interacted upon collaboratively. The 4-D trajectories will be provided as 4-D trajectory
contracts and will be modified and acted upon dynamically and according to at least the criteria
defined by conflict management to create a safe and orderly flow of traffic.
It is expected that when traffic density becomes a critical factor affecting performance — whether of an
aerodrome or an airspace — application of traffic synchronization will be used and tailored for best
performance. The decision to apply traffic synchronization in this case may be taken in advance of
flights. In any case, it will be closely coordinated with the demand and capacity balancing function to
ensure timely and accurate application of traffic synchronization.
ATM System Requirements 2-21
h) ensure that traffic synchronization throughput actions are matched by aerodrome low visibility
throughput capacity where this is determined to be cost-effective by the appropriate business case3
[R92];
Explanatory text: It is expected that traffic synchronization will be applied to achieve high
throughput and high efficiency across the entire ATM system. This will include working collaboratively
with both aerodrome operations and airport landside operations to ensure that ground throughput
does not become an obstacle to overall ATM system efficiency.
i) recognize that traffic synchronization encompasses both the ground and the airborne part of the ATM
system and constitutes a flexible mechanism for capacity management [R115]; and
Explanatory text: It is expected that traffic synchronization will contribute to optimized aerodrome
operations performance. This will be done through increased awareness and predictability for the ATM
community as well as through fulfilment of collaboratively agreed actions leading to achievement of
best performance.
j) manage surface, departure, and arrival and en-route flow of traffic dynamically to optimize traffic flow
or throughput [R211].
The ATM system is primarily established to service the needs of the airspace user community. Increasingly, the
capabilities of the user community are such that they participate as active components of the system. ATM system
performance is directly influenced by the performance of the airspace user. To meet the performance expectations of the
ATM system stemming from airspace user operations, the ATM system shall:
a) recognize and exploit airspace user capabilities to generate, negotiate and adhere to user-preferred 4-D
trajectories [R44];
b) consider the trajectory of a vehicle during all phases of flight and manage the interaction of that trajectory
with other trajectories or hazards to achieve the optimum system outcome with minimal deviation from
the user-requested flight trajectory, whenever possible [R212];
c) provide airspace users, consistent with available ATM system resources, the capability to fly dynamic
user-preferred 4-D trajectories [R43];
Explanatory text: It is expected that user-preferred trajectories will provide the most efficient flight
operations and that airspace users will provide these trajectories to the ATM system. These
trajectories should be the key/core element of the (shared) information management. The expectation
is that the global exchange of information (from individual aircraft performance up to ATM resources)
should allow full use of 4-D trajectory management/operation and that the 4-D trajectory management
optimization could be a function of either the ground or the air or both.
e) provide benefits commensurate with the level of aircraft capabilities or performance [R49];
3. Refer to Appendix D.
2-22 Manual on Air Traffic Management System Requirements
— operational benefits and incentives will accelerate the evolution of the ATM system;
— incentives will ensure consistent and interoperable evolution of the ATM system; and
— the degree of benefits and incentives will be different depending on the type of users.
— a level of ATM system benefits will be defined in accordance with a level of aircraft capabilities;
— ICAO will develop global Standards for new ATM systems in a timely manner;
— even during the transition phase, global interoperability will be ensured/managed through benefits
commensurate with aircraft capabilities.
f) utilize relevant airspace user operational information to meet performance targets [R54];
g) operate on the basis that airspace users will make available the relevant operational information to the
ATM system and vice versa [R53];
h) operate on the basis that airspace users will provide information on individual aircraft performance [R55];
i) operate on the basis that airspace users will provide information on the individual operating environment
as experienced (real time) [R56];
Explanatory text: It is expected that the ATM system will provide the necessary information for
mission planning and coordination, and that mission planning will first interact with airspace organization
and/or aerodrome operations for long-term planning and then with airspace management and demand
and capacity balancing.
j) operate on the basis that airspace users will establish and execute operational control of their missions
[R59];
Explanatory text: It is expected that operational control, where utilized, will be exercised over
individual missions from initiation to termination. The division between operational control and the flight
authority’s (captain’s or commander’s) responsibility for the safety of the flight mission is considered to be
a key contributor to the safe operation of the flight.
l) allow airspace users to fly user-preferred trajectories that are consistent with the applicable airspace
management requirements and aircraft capabilities [R116].
2.4.6.1 Conflict management limits, to an acceptable level, the risk of collision between aircraft and hazards.
Hazards from which an aircraft will be separated are: another aircraft, terrain, weather, wake turbulence, incompatible
airspace activity and, when the aircraft is on the ground, surface vehicles and other obstructions on the apron and
manoeuvring areas.
c) collision avoidance.
2.4.6.3 To meet the performance expectations of the ATM system stemming from conflict management, the ATM
system shall:
b) define the predetermined separator prior to commencement of separation provision; however, the role
of separator may be delegated [R119];
Explanatory text: When the role of separator is delegated then the conditions for both start and
end of the delegation shall be defined in advance of the delegation. Changes of delegation shall be by
agreement.
e) provide separation provision service when required by safety or ATM system design [R215];
f) designate the airspace user as the predetermined separator, unless safety or ATM system design
requires a separation provision service [R120];
g) define separation modes for separation from all hazards, including weather, applicable to all airspace
and movement areas [R213];
Explanatory text: The selection of separation minima within ATM system performance constraints
seeks to balance the need for appropriate levels of safety performance with other performance
expectations, including cost-effectiveness, capacity and efficiency. While it may be possible, for
example, to select small (distance/time) separation minima to be applied in a particular operational
area, the requirements for supporting navigation, surveillance, communications, and intervention
capability performance may be prohibitively expensive, or they may not permit the expected capacity
enhancements (because of communication volume limitations, etc.). The choice of appropriate
separation minima and supporting infrastructure would be determined through collaborative decision
making.
h) select the applicable separation modes and separation minima for conflict management that best meet
the ATM system performance targets [R62];
i) support strategic, pre-tactical and tactical conflict management. The selection of the type of conflict
management shall be based on meeting ATM system performance targets, both before and after
departure [R65];
j) apply tactical conflict management when strategic conflict management cannot be used efficiently
[R66];
k) apply separation provision only when strategic conflict management cannot be used effectively [R118];
l) limit, to an acceptable level of safety, the risk of collision between aircraft and hazards [R117]; and
2-24 Manual on Air Traffic Management System Requirements
m) ensure that collision avoidance systems activate when the separation mode has been compromised
[R216].
Explanatory text: The risk of collision is maintained at an acceptable level of safety by selecting
and applying appropriately defined separation minima (displacements between an aircraft and a hazard).
It is intended that the “acceptable” level of safety will be determined from the perception of safety needs
by society and the international community, related to the trust required from the ATM system. It is
intended that the target level of safety will be based on risk assessment and acceptance criteria and be
equal to or better than the “acceptable” level of safety. It is intended that the collision avoidance function
not be included in determining the calculated level of safety required for separation provision, although it
constitutes the third layer of conflict management and, hence, part of ATM safety management.
ATM service delivery management will operate seamlessly from gate to gate for all phases of flight and across all
service providers. The ATM service delivery management component balances and consolidates the decisions of the
various other processes/services, as well as the time horizon at which, and the conditions under which, these decisions
are made. Flight trajectories, intent and agreements will be important components for delivering a balance of decisions.
To meet the performance expectations of the ATM system stemming from service delivery management, the ATM
system shall:
a) optimize system-level performance as its highest priority with individual component performance subject
to that prioritization [R67];
b) provide services predicated on management by trajectory and monitor compliance with the agreed
trajectory [R68];
Explanatory text: System-wide optimization is a high priority and individual component optimizations
operate within the constraints of that priority. The hierarchy of decision making is consistent with these
principles. Every decision has an identified responsible party.
d) operate on the basis that the airspace user will provide flight and aircraft intent to the ATM system for
use in planning and managing 4-D trajectories [R71];
f) monitor and alert when the clearance is inconsistent with the agreement [R73];
g) monitor and alert when indications are that an aircraft will not be in conformance/compliance with the
agreement [R183];
Explanatory text: Flight intent forms the basis for an ATM system agreement, and changes to the
flight intent represent a request for modifications to the agreement. Aircraft intent forms the basis for
ATM system confirmation of compliance with the agreement. The allowable variation from the agreed
threshold is locally adaptable. Generating an agreement does not imply authority to execute. Initiating
the agreement or any portion thereof requires a clearance.
Clearances may not represent the entire agreement; the system shall alert the appropriate party when
this is the case. The intent is to preclude an inadvertent entry into holding or inability to make the next
trajectory point due to unintentional failure to provide follow-on clearance. The greater flexibility
ATM System Requirements 2-25
h) utilize flight trajectory, flight intent and individual aircraft performance characteristics in providing ATM
services [R98];
Explanatory text: It is expected that the 4-D trajectory will be globally shared and used by the
ATM community in all aspects of its operations. The requirement recognizes the difference between
the tolerances associated with the 4-D contracts and what may be more stringent performance
capabilities of the individual aircraft. For example, aircraft providing the ATM system with knowledge of
their very accurate performance capabilities would, as a result, provide the ATM system opportunity to
identify conformance/compliance irregularities that could be used in providing such services as conflict
management, security notification/response, and so on.
i) operate on the basis that all operations are “known to the ATM system” [R125];
Explanatory text: While aircraft may not be subject to any particular service, their participation in
the ATM system must be announced either strategically, or pre-tactically by notification of intent, or
tactically by immediate notification of intent or operation of identification devices or by operation in
predetermined areas. As an example, an aircraft classified in 2000 as a VFR aircraft operating in
Class G airspace will be able to operate with the same degree of freedom in the future ATM system,
either by notifying intent to operate in a particular way, by carriage and operation of an identification
device such as a transponder, or by operating in predesignated airspace, such as the equivalent of
Class G.
j) predict potential saturation of airspace or aerodromes in advance and to a level of accuracy to meet
ATM system performance objectives [R143];
Explanatory text: It is expected that the ATM system will be able to determine actual or potential
saturation of any selected airspace and/or aerodromes. It is intended that information will be generated
that will summarize the problems regarding saturated airspace. If airspace or aerodromes are or will be
saturated, the capacity management function shall have the capability to allocate available airspace or
aerodrome capacity, determine flight restrictions for specific aircraft and communicate these restrictions
and alternate courses of action to users.
k) provide a capability to evaluate the effectiveness of flow restrictions implemented in the ATM system.
Effectiveness criteria shall include overall system performance measures [R146];
Explanatory text: It is expected that the ATM system will provide recommendations for future runway
selection based on forecast meteorological conditions, traffic and other conditions that influence the best
system solution.
m) manage distribution of responsibilities for the various services and their seamless performance,
including designation of the predetermined separator for separation provision [R122];
Explanatory text: Where ATM system technological solutions and infrastructure are provided across
a region or globally by one or more States or organizations, long-term use and operational arrangements
shall be established, via the collaborative decision-making process, with the affected ATM community
members on behalf of, or for the benefit of, multiple users, States and/or organizations.
2-26 Manual on Air Traffic Management System Requirements
n) work to reduce voice communications as far as is practicable in delivery of ATM services [R148];
Explanatory text: Clarification of the strategic provision of service (i.e. publication of rules for a specific
airspace; the publication constitutes the communication). This should apply equally for navigation,
surveillance and airspace. Depending on the phase of flight and the requirements associated with any
separation mode being applied at the time, provision shall be available for direct or indirect voice or data
link communication between the aircraft and the ground air traffic management authority and vice versa.
Where communication performance requirements are established, they shall be determined on the basis
of the urgency of the communication and whether or not the proposed transmissions are related to
command and control-type (i.e. intervention capability) communication. Communications media consist of
voice communication (direct or indirect), data link communication, or other means, including visual, aural
or sensory signals, to provide or exchange information, data or alert or acknowledgment messages. The
media or combination of media to be used for a particular application or function shall be determined from
the appropriate concept of use in a region or State. However, in all cases, the selection of communications
media shall be based on the principle of global seamlessness and harmonization. Where seamlessness
cannot be achieved for technical or cost-effective reasons, communications media must be interoperable.
Explanatory text: Precision navigation guidance within terminal areas, on final approach, on the
ground and/or in the initial departure phase may be provided by dependent or independent self-
contained on-board navigation systems or independent ground-based systems. Depending on the phase
of flight and requirements associated with any separation mode or minima being applied at the time,
navigation performance requirements may be established. These may be based on predicted and/or
anticipated performance (contained navigation performance) or actual and/or observed performance
(actual navigation performance).
p) operate on the basis that services to airspace users will be based on the actual navigation
performance of the users at the time of service. Where navigation performance requirements are
specified, they will be determined on the basis of the navigation accuracy required in a given volume
of airspace and/or through specific procedures to maintain appropriate levels of safety with respect to
other hazards [R150];
Explanatory text: It is expected that as is the case with current instrument landing system
categorization (Cat I, II, III, etc.), having defined a particular performance expectation for a given
volume of airspace, or other delineation, it will be the airspace users who will determine how they
achieve the requirement and/or whether they can meet the requirement at the time of operation. In the
ILS scenario, it is the meteorological conditions at the time of arrival that dictate the minimum
performance requirement, and the airspace user determines if the entire system (aircraft equipage,
pilot training, ground systems, etc.) is sufficient for the user to attempt an approach.
q) demonstrate an increased responsiveness across the spectrum of ATM services to real-time changes
in airspace user needs. Furthermore, the ATM system should provide the user with at least one
alternative in case of changes imposed by the ATM system [R151];
Explanatory text: It is expected that changes imposed by the ATM system will be defined to
include changes of status of individual ATM system elements (e.g. revised status of special use
airspace or meteorological conditions).
r) operate on the basis that where surveillance performance requirements are specified, they will be
determined on the basis of the accuracy of position determination (and subsequent display) required
in a given volume of airspace and/or specific procedure to maintain appropriate levels of safety with
respect to other hazards [R152];
ATM System Requirements 2-27
Explanatory text: Depending on the phase of flight and the requirements associated with any
separation mode or minima being applied at the time, surveillance requirements and surveillance
performance requirements may be established. When specifying these requirements or performance
expectations, consideration should be given to the potential inaccuracy of position derived from either
dependent or independent surveillance (as a result of the uncertainty of position of the aircraft in the
case of dependent surveillance or the system inaccuracies engendered by independent surveillance
systems) and to the ability of the various systems to either predict future position or provide intent.
s) operate on the basis that where there is a conflict between access and equity, allocation of priority to
airspace users will be based on the principle of maximizing ATM system performance [R153];
Explanatory text: Existing practices relating to access and equity, particularly the “first come, first
served” paradigm, should be amended to reflect the overall intent to improve ATM system performance.
This is not intended to prohibit or block access to airspace; it is intended to allow establishment of
procedures, through collaborative decision making, that optimize use of runways and/or airspace.
t) operate on the basis that ATM service delivery will participate in determination of airport capacity and
will be aware of the available airport capacity at relevant airports at all times to be able to maximize
use of that capacity [R154]; and
Explanatory text: ATM system capacity at and around airports should not act as a constraint on
airport scheduling. It is expected that the ATM system will be capable of projecting for specified
aerodromes and runways the number of arrivals and departures that can be handled and the number of
planned arrivals and departures. The number of arrivals and departures of IFR traffic that can be handled
by a specific aerodrome, and the number of planned arrivals and departures of IFR traffic projected in the
future at a specific aerodrome or runway, will be provided through effective information management by
the ATM system.
It is expected that factors such as runway surface conditions, surface meteorological conditions, winds
aloft, local acceptance rate data, and terminal navigation equipment status will be monitored and used
to determine actual capacity projections. It is expected that information will be delivered upon request
to the level of detail specified by the user.
u) ensure that appropriate mechanisms are established and maintained to ensure appropriate authority,
responsibility and data control of all ATM system information so that the various parties use a coherent
set of data [R155].
_____________________
Appendix A
ATM
requirement OCD
number Requirement reference
R01 Recognize that operation of the ATM system will not compromise the 2.2.2;
sovereignty of any State Appendix A (States)
R03 Allocate airspace volumes that enable safe and efficient trajectory 2.2.2
allocation and modification, from strategic to tactical
R04 Define, through collaborative decision making, airspace structures and 2.2.5
procedures to accommodate all types of air activity
R06 Provide a global, common aviation data standard and reference system 2.1.6 b); 2.6.7 a)
to allow fusion and conflation and provide comprehensive situational
awareness and conflict management
R07 Ensure that the airspace user makes relevant operational information 2.1.6 c)
available to the ATM system
R08 Use relevant airspace user operational information to optimize flight 2.6.7 b)
operations management
R09 Use relevant data to dynamically optimize 4-D trajectory planning and 2.1.6 d)
operation
R10 Ensure that the airspace user community is able to participate in 2.1.6 e)
collaborative decision making
R11 Ensure mutual exchange of relevant and timely data: 2.1.6 b); 2.6.7 a)
— for the benefit of situational awareness;
— for conflict-free trajectory management; and
— to allow collaborative decision making concerning consequences of
airspace user system design changes
A-1
A-2 Manual on Air Traffic Management System Requirements
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R12 Establish information exchange protocols and procedures to ensure that 2.1.1; 2.9.1
appropriate performance can be achieved within the agreed rules
R13 Provide the status of ATM system resources 2.1.6 d); 2.6.7 c)
R14 Deleted
R15 Ensure that airspace users are included in all aspects of airspace 2.2.1
management via the collaborative decision-making process
R16 Recognize that airspace will be managed on the basis of flexible 2.2.1
allocation
R17 Recognize that any restrictions on airspace availability will be minimized, 2.2.1
and none will be permanent
R18 Manage all airspace and, where necessary, be responsible for 2.2.9
amending priorities relating to access and equity that may have been
established for particular volumes of airspace. Where such authority is
exercised, it shall be subject to rules or procedures established through
collaborative decision making
R19 Accommodate mixed equipage without unduly constraining the primary 2.2.8
use of a given volume of airspace
R20 Determine, through collaborative decision making, the level of service 2.2.6
for a particular airspace volume, whether determined strategically, pre-
tactically or tactically
R23 Provide collaboratively agreed aerodrome capacity 2.4.2; 2.4.3; 2.4.4; 2.4.5
R24 Ensure, through collaborative decision making, that the most effective 2.3.4; 2.3.6
means of surface management are employed to respond to demand
R25 Ensure that the position and intent of all aircraft and vehicles operating 2.3.4; 2.3.6
on the movement area are precisely determined
R26 Ensure that the aerodrome community, including emergency and 2.3.1; 2.3.4; 2.3.7; 2.3.9
essential services, provides and receives relevant information in order
for dynamic, tactical and strategic decisions to be made
R27 Ensure that flight parameters and aircraft performance characteristics 2.3.9; 2.5.6 d)
are available to the ATM system
ATM
requirement OCD
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R29 Support the same throughput in all weather conditions at aerodromes 2.3.4 b)
where benefits can be demonstrated
R31 Deleted
R32 Provide timely and accurate information regarding projected demand 2.4.1
and capacity levels
R33 Provide timely access to all relevant information, including weather 2.4.1
information
R34 Provide all users the same level of access to collaborative decision 2.4.2
making concerning ATM resources, realizing the diverse need to
balance the expectations and interests of all members of the ATM
community in achieving equity and access
R37 Deleted
R38 Deleted
R39 Deleted
R40 Deleted
R41 Deleted
R42 Deleted
R43 Provide airspace users, consistent with available ATM system 2.6.11
resources, the capability to fly dynamic user-preferred 4-D trajectories
A-4 Manual on Air Traffic Management System Requirements
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R44 Recognize and exploit airspace user capabilities to generate, negotiate 2.6.11
and adhere to user-preferred 4-D trajectories
R45 Be designed to accommodate all types of airspace user missions and all 2.6.2
types of vehicles and associated characteristics
R46 Deleted
R47 Deleted
R48 Provide, through its evolution, incentives to upgrade to new capabilities 2.6.5
R49 Provide benefits commensurate with the level of aircraft capabilities or 2.6.5
performance
R52 Deleted
R53 Operate on the basis that airspace users will make available the relevant 2.6.7 b)
operational information to the ATM system and vice versa
R55 Operate on the basis that airspace users will provide information on 2.6.7 c)
individual aircraft performance
R56 Operate on the basis that airspace users will provide information on the 2.6.7 c)
individual operating environment as experienced (real time)
R57 Deleted
R58 Deleted
R59 Operate on the basis that airspace users will establish and execute 2.6.9
operational control of their missions
R62 Select the applicable separation modes and separation minima for 2.7.2
conflict management that best meet the ATM system performance
targets
R63 Deleted
R64 Deleted
Appendix A A-5
ATM
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R65 Support strategic, pre-tactical and tactical conflict management. The 2.7.11
selection of the type of conflict management shall be based on meeting
ATM system performance targets, both before and after departure
R66 Apply tactical conflict management when strategic conflict management 2.7.1.3
cannot be used efficiently
R67 Optimize system-level performance as its highest priority with individual 2.8.1
component performance subject to that prioritization
R69 Deleted
R71 Operate on the basis that the airspace user will provide flight and aircraft 2.8.8
intent to the ATM system for use in planning and managing 4-D
trajectories
R73 Monitor and alert when the clearance is inconsistent with the agreement 2.8.11
R74 Provide to the ATM community accredited, quality-assured and timely 2.9.2
information meeting the identified standards of performance, including
quality of services
R75 Provide information systems that identify the nature of the information in 2.9.3
terms of timeframe — historical, current or planned
R79 Ensure that a relevant validity period of ATM system information is 2.9.7
evident to the user of that information
R80 Provide for an orderly flow of traffic from gate to gate by dynamically 2.1.5
renegotiating the 4-D trajectory contract
R81 Determine the separator for each renegotiated 4-D trajectory 2.1.5
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R82 Manage 4-D trajectory contracts to achieve safe and efficient trajectories 2.1.5
R83 Maximize, through the use of traffic synchronization, throughput to meet 2.1.5 a)
ATM performance requirements
R85 Support the discharge of traffic synchronization by both airborne and 2.5.2
ground-based systems
R87 Utilize the 4-D trajectory for traffic synchronization applications to meet 2.5.6 b)
the ATM system performance targets unless, under certain conditions,
other means are determined to be more effective
R88 Deleted
R89 Deleted
R90 Deleted
R91 Deleted
R92 Ensure that traffic synchronization throughput actions are matched by 2.3.4 b)
aerodrome low visibility throughput capacity where this is determined to
be cost-effective by the appropriate business case
R93 Deleted
R94 Deleted
R95 Deleted
R96 Deleted
R97 a) Ensure that performance forms the basis for all ATM system 1.7;
development; Appendix F
b) Ensure that performance targets are defined, regularly reviewed
and monitored;
c) Establish interchange of global benchmarking performance data as
a cornerstone of ATM system management
R98 Utilize flight trajectory, flight intent and individual aircraft performance 2.8.10
characteristics in providing ATM services
Appendix A A-7
ATM
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R99 Facilitate, as feasible, provision for tactical or pre-tactical approval of 2.2.3; 2.2.5 a); 2.2.5 b);
preferred routing or re-routing in those areas where approvals are 2.2.5 c); 2.2.7
required for civil or State aircraft to operate over, into or from a particular
State
R100 Establish, through strategic, pre-tactical and tactical collaborative 2.3.1; 2.3.2; 2.3.7
decision making, processes for facilitating passengers and/or cargo and
freight at airports, which will allow agreed performance parameters to be
met by the ATM system partners
R101 Ensure that ATM system design, development, implementation and 2.1.9 b)
operation are determined by collaborative decision making, system
safety and system-wide business cases
R102 Ensure that all safety practices and processes are explicit and that they Appendix F, 2.2.3
comply with the safety requirements and standards of ICAO, State
regulatory authorities and other appropriate parties
R103 Ensure that any performance management system establishes rules for, Appendix F, 2.5.12
among other things, performance measurement, performance
maintenance, performance management and performance
enhancement
R104 Deleted
R105 Recognize the principles of access and equity in the organization, 2.2.1
flexible allocation and use of airspace
R106 Manage airspace dynamically and flexibly based on services demanded 2.2.5 a)
R108 Operate on the principle that all airspace is the concern of the ATM 2.2.1
system and is a usable resource, and any restriction on the use of any
airspace will be considered transitory
R109 Operate on the principle that all airspace will be managed and all related 2.2.6
activity within airspace will be known to the ATM system to the degree
necessary to meet performance expectations
R110 Deleted
R111 Ensure that all available capacity is fully and efficiently used 2.3.3
R112 Establish a collaborative process to allow for efficient management of 2.1.4; 2.4.1
the air traffic flow through use of information on system-wide air traffic
flow, weather and assets
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R114 Consider current and predicted airspace conditions and projected 2.4.4 g)
demand as well as past performance
R115 Recognize that traffic synchronization encompasses both the ground 2.5.2
and the airborne part of the ATM system and constitutes a flexible
mechanism for capacity management
R116 Allow airspace users to fly user-preferred trajectories that are consistent 2.6.11
with the applicable airspace management requirements and aircraft
capabilities
R117 Limit, to an acceptable level of safety, the risk of collision between 2.1.8; 2.7.1
aircraft and hazards
R118 Apply separation provision only when strategic conflict management 2.7.13
cannot be used effectively
R120 Designate the airspace user as the predetermined separator, unless 2.1.8 b); 2.7.19
safety or ATM system design requires a separation provision service
R122 Manage distribution of responsibilities for the various services and their 2.8.3
seamless performance, including designation of the predetermined
separator for separation provision
R123 Assemble the best possible integrated picture of the historical, real-time 2.9.3
and planned or foreseen future state of the ATM system situation and
make relevant quality-assured and accredited information available to
the ATM system
R125 Operate on the basis that all operations are known to the ATM system 2.2.6
R126 Provide a collaboratively agreed minimum notice period in which a State 2.2.2; 2.2.3; 2.2.9;
or region intends to change or withdraw the existing infrastructure and/or 2.2.11 a); 2.2.11 g)
services
Appendix A A-9
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R127 Establish and monitor agreed environmental performance targets to 2.2.7; 2.3.8;
ensure that the expectation of society for the aviation industry contribute Appendix D
to the reduction of impacts on the environment, including noise, gaseous (Environment)
emissions, and the effect on the amenity of particular areas is met
R128 Facilitate collaborative decision making between the appropriate 2.2.7; 2.3.8
community members and environmental authorities to ensure that a
balance exists between the need to mitigate the effects of the ATM
system on the environment, and the economic benefit to States derived
from operation of the ATM system
R129 Ensure that where they are required, validation and cost-benefit 2.1.9 b)
analysis1 are achieved through focused research and development and
establishment of business cases1 prior to implementation of the changes
R130 Deleted
R131 Establish contingency plans at all levels of operation to deal with 1.4 (Guiding Principles:
anomalies/disruptions and to ensure safety and an appropriate level of Continuity);
operations Appendix D (Capacity)
R132 a) Ensure that in supporting ATM system expectations, the developers 1.4 (Guiding Principles:
of telecommunications systems ensure that harmful interference will Technology)
neither be caused by, nor received from, other authorized users;
b) Establish and maintain frequency and spectrum allocation and
management assistance programmes
R133 Provide frequency and spectrum management assistance to all new and 1.4 (Guiding Principles:
existing programmes to ensure that national and international standards Technology)
are complied with and that no new items of equipment are introduced
that would interfere with existing systems
R134 Be based on the principle that the safety of the ATM system, or its 1.4 (Guiding Principles:
components and parts, is evidence-based Safety); 1.7; Appendix F
R135 Support system safety with lead indicator and causal factor analysis, in 1.4 (Guiding Principles:
addition to traditional lag indicator statistical analysis in the ongoing Safety); Appendix F
monitoring of safety
R136 a) Give due consideration to the interaction of humans and technology, 1.4 (Guiding Principles:
for example, the “human-machine interface” in the design of the ATM Safety, Humans);
system or its parts; Appendix F, 2.2.3 and
b) Demonstrate this consideration in the safety analysis accompanying 2.5.23
the system design
R137 Guard against the potential to create a safety hazard by information 1.4 (Guiding Principles:
overload Safety, Humans); 2.9.14
1. Refer to Appendix D of this manual for further information on cost-benefit analysis and business case.
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R138 Be designed so that the human is never in doubt as to the ongoing 1.4 (Guiding Principles:
status of the ATM system or the flight environment as appropriate to the Humans); 2.7.29; 2.7.30;
human task undertaken 2.8.6
R139 Deleted
R140 Ensure that ATM system safety is maintained during any transition 1.4 (Guiding Principles:
Safety)
R141 Define common safety indicators to be used by all States 2.3.4; Appendix F, 2.3.12
R142 Deleted
R143 Predict potential saturation of airspace or aerodromes in advance and to 2.2.6; 2.2.7; 2.3.3; 2.4.1;
a level of accuracy to meet ATM system performance objectives 2.4.2; 2.4.3; 2.8.4; 2.8.6;
2.9.2
R144 Deleted
R145 Provide a capability to meter traffic to achieve a balance between traffic 2.2.6; 2.2.7; 2.3.3; 2.4.1;
demand and the capacity of the ATM system 2.4.2; 2.4.3; 2.8.4; 2.8.6;
2.9.2
R146 Provide a capability to evaluate the effectiveness of flow restrictions 2.2.6; 2.2.7; 2.3.3; 2.4.1;
implemented in the ATM system. Effectiveness criteria shall include 2.4.2; 2.4.3; 2.8.4; 2.8.6;
overall system performance measures 2.9.2
R147 Deleted
R148 Work to reduce voice communications as far as is practicable in delivery 1.4 (Guiding Principles:
of ATM services Technology)
R149 Be based on self-contained navigation supported primarily by on-board 1.4 (Guiding Principles:
and/or space-based systems, as far as is practicable Technology)
R150 Operate on the basis that services to airspace users will be based on 1.4 (Guiding Principles:
the actual navigation performance of the users at the time of service. Technology)
Where navigation performance requirements are specified, they will be
determined on the basis of the navigation accuracy required in a given
volume of airspace and/or through specific procedures to maintain
appropriate levels of safety with respect to other hazards
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R152 Operate on the basis that where surveillance performance requirements 1.4 (Guiding Principles:
are specified, they will be determined on the basis of the accuracy of Technology)
position determination (and subsequent display) required in a given
volume of airspace and/or specific procedure to maintain appropriate
levels of safety with respect to other hazards
R153 Operate on the basis that where there is a conflict between access and 2.2.11 c)
equity, allocation of priority to airspace users will be based on the
principle of maximizing ATM system performance
R154 Operate on the basis that ATM service delivery will participate in 2.3.3, 2.8.4
determination of airport capacity and will be aware of the available
airport capacity at relevant airports at all times to be able to maximize
use of that capacity
R155 Ensure that appropriate mechanisms are established and maintained to 2.8.4, 2.9.3
ensure appropriate authority, responsibility and data control of all ATM
system information so that the various parties use a coherent set of data
R156 Deleted
R157 Establish standards for meteorological model accuracy and resolution 2.9.18
and agree on performance requirements
R159 Facilitate provision of ATM system demand and capacity projections to 2.3.3; 2.4.1; 2.4.2; 2.4.3;
relevant ATM community members for up to an agreed/specified time in 2.8.4; 2.8.6; 2.9.2
advance
R160 Facilitate, as appropriate and on request, conduct of capacity and 2.2.6; 2.2.7; 2.3.3; 2.4.1;
demand projections and make the results of that analysis available to 2.4.2; 2.4.3; 2.8.4; 2.8.6;
the ATM service delivery management function 2.9.2
R161 Provide the capability to evaluate the effectiveness of flow restrictions Appendix F
implemented in the ATM system. Effectiveness criteria shall include
overall system performance measures
R162 Be designed so that the operation and continued evolution of the ATM 1.4 (Guiding Principles:
system incorporates mechanisms so that information and/or actions Safety)
concerning emergency and/or unexpected events involving any of the
airborne or ground-based ATM community members can be
communicated to all ATM system participants who need to respond to or
be aware of the event or actions
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R163 Ensure that decisions affecting the evolution of the ATM system are 1.4 (Guiding Principles:
made in consultation with all affected ATM community members Collaboration);
Appendix D (Participation
by the ATM community)
R164 Provide timely access to all relevant meteorological information 2.4.1; 2.9.17
R165 Ensure that in the design of the ATM system, the principles of access Appendix D (Access and
and equity are taken into account equity)
R166 Deleted
R167 Ensure that environmental issues are considered in the design, 2.3.8; Appendix D
development and operation of all aspects of the ATM system (Environment);
Appendix I, 3.2
R168 Ensure appropriate levels of security, recognizing that security is most 2.2.7; 2.3.7; 2.3.8
visible in the aerodrome environment and that the requirements
associated with security may vary from time to time and according to
location
R169 Apply traffic synchronization for the purpose of maximizing throughput of 2.5.1; 2.5.4; 2.5.6 b)
a particular ATM environment in the most effective and efficient manner
R170 Establish a global ATM system vocabulary with a well-defined form 1.4 (Guiding Principles:
(syntax) and meaning (semantics) such that each participating entity in Information); 2.9.2;
the exchange will be able to interpret the information provided in 2.9.10; 2.9.11
precisely the same way. In this context, information is considered to
encompass voice, text, data and imagery elements
R171 Ensure that, in any transaction, each participating ATM community entity 2.9.2; 2.9.5; 2.9.11
uses the global ATM system vocabulary to describe the ATM services
that it provides within its area of service provision
R172 Ensure that each participating ATM community entity provides a means 1.4 (Guiding Principles:
for other participating entities to identify and access its services. The Collaboration); 2.8.1;
means for determining and accessing service shall be based on a 2.9.11
common description framework and associated method(s) that the
participating entities can use to facilitate the introduction and transition
to new technologies
R174 Ensure application of the system safety approach to all life-cycle phases Appendix F, 2.2.3
of the ATM system and its elements, supported by safety cases
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R175 Ensure that safety data will be recorded, processed and analysed Appendix F, 2.3.10 and
centrally within a State, region or group of States, taking into account the 2.3.11
experience of existing State incident reporting schemes; furthermore,
safety data will be shared globally
R176 Ensure that ATM community members provide past, current and Appendix D
predicted information as required by the system for predictability of (Predictability);
services Appendix E, 2
R177 Ensure that aircraft capabilities will be totally integrated into the 2.1.6 f)
collaborative decision-making process of the ATM community and will
allow it to comply with all relevant ATM system requirements
R178 Establish procedures reducing any need for departing or arriving aircraft Appendix I, 7.5
to spend ground time holding for services with engines operating
R179 Establish procedures to accommodate arrivals without aircraft having to 2.4.4 a); 2.5.3; 2.5.4;
enter airborne holds for aerodrome service accommodation as a routine Appendix D (Efficiency)
R180 Be designed in such a way as to ensure that all pertinent ATM 1.4 (Guiding Principles:
community members are included in relevant collaborative decision Information,
making and have easy access to the associated necessary information Collaboration); 2.9.3;
Appendix D (Participation
by the ATM community)
R181 Implement and operate in such a way that the varying and diverse user 2.4.2; 2.6.8
requirements will be met as closely as technically possible within the
defined equity and access
R182 Use 4-D trajectory control and/or flight deck delegation for aircraft 2.5.6 c)
spacing
R183 Monitor and alert when indications are that an aircraft will not be in 2.8.11
conformance/compliance with the agreement
R184 Be based on the principle that the operation of the ATM system will not 2.2.2; Appendix A
compromise the sovereignty of any State (States)
R185 Treat performance as a whole, that is, considering all the ATM Appendix D;
community expectations and their relationships Appendix E, 1
R186 Ensure the establishment of performance cases (safety, business, 1.5.2; 1.10; 2.1.9 b);
environmental, etc.) before implementing changes 2.8.1; Appendix E, 2
R187 Ensure that all information for performance management is available to 2.9.9
the concerned parties transparently and that information disclosure rules
are in place
R188 Balance the expectations of the ATM community 1.7; Appendix G,1.1
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R189 Recognize that there are three safety risk bands: intolerable, as low as Appendix F, 2.3.1;
reasonably practical (ALARP), and broadly acceptable Appendix G, 2.7;
Figure G-2
R190 Accommodate the determination of levels of safety and risk which may Appendix F, 2.3.4, 2.3.5,
be expressed in various manners 2.3.7
R191 Ensure that safety risk is calculated with scientific rigour; however, also Appendix F, 2.3.5
accommodate the determination of safety risk acceptability by value
judgement
R192 Ensure a consistent approach to the collection, evaluation and review of Appendix F, 2.3.11
safety-related data, including the understanding of causes and effects
that can be applied over time and across segments of the community for
the purpose of making informative comparisons
R193 Ensure that the target level of safety is the minimum level of safety to be Appendix F, 2.3.2
achieved
R194 Be designed so that collision avoidance systems remain a safety net 2.1.8 f); 2.7.31
independent from separation provision
R196 Provide the collaboratively agreed level(s) of capacity 2.4.2; 2.4.5; Appendix I,
4.1
R197 Ensure that sufficient capacity is provided through collaborative decision 2.4.1; 2.4.3
making
R198 Ensure that the ATM community works collaboratively to plan and Appendix D (Capacity,
implement the capacity needed to cost-effectively meet the forecast Cost-effectiveness)
demand
R199 Minimize the impact of adverse weather on the total ATM system so as 2.1.3 ; 2.9.18 c);
to ensure that maximum throughput is generated in all meteorological Appendix E, 3 d)
conditions
R200 Provide the ATM community with data essential to the planning of its 2.9.3
operations
R201 Enable all airspace users to adjust departure and arrival times and Appendix D (Flexibility)
modify flight trajectories dynamically and, where necessary,
renegotiating trajectory agreements, thereby permitting them to exploit
operational opportunities as they occur
R202 Address the operational and economic cost-effectiveness of gate-to-gate Appendix D (Efficiency)
flight operations from a single-flight perspective
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R204 Be based on global standards and uniform principles, ensure the 1.12; Appendix D (Global
technical and operational interoperability of ATM systems and facilitate interoperability)
homogeneous and non-discriminatory global and regional traffic flows
R205 Establish common operational procedures within similar operational 1.12; Appendix H, 5
environments
R207 Incorporate interoperability during the design of any changes to the ATM 1.12; 2.6.5
system
R208 Ensure the selection and adoption and, where necessary, the 1.4 (Guiding Principles:
development of interoperability standards and related materials that Information); 2.6.5; 2.9.10
enable mutual exchange of relevant and timely data
R210 Ensure that the interrelationship and interdependency of aircraft design 2.6.6; Appendix I, 6.6
and ATM performance are key considerations in aircraft design
R211 Manage surface, departure, and arrival and en-route flow of traffic 2.5.3
dynamically to optimize traffic flow or throughput
R212 Consider the trajectory of a vehicle during all phases of flight and 1.9.2
manage the interaction of that trajectory with other trajectories or
hazards to achieve the optimum system outcome with minimal deviation
from the user-requested flight trajectory, whenever possible
R213 Define separation modes for separation from all hazards, including 2.7.4; 2.7.29
weather, applicable to all airspace and movement areas
R214 Provide rules and means to delegate the role of separator 2.7.19; 2.7.21
R215 Provide separation provision service when required by safety or ATM 2.7.27
system design
R216 Ensure that collision avoidance systems activate when the separation 2.7.31
mode has been compromised
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Appendix B
1. Collaborative decision making (CDM) is about improving the way ATM stakeholders work together in sharing
information at all organizational levels to ensure that better air traffic management decisions are made by the right person
with the right information and data and the right input from others. By identifying the best sources of data and disseminating
that data to key ATM decision makers according to a set of business rules, better decisions can be made, resulting in
improved performance of the overall ATM system, including increased capacity, fewer delays and increased operational
efficiency. The OCD (Global Air Traffic Management Operational Concept, Doc 9854), Appendix I, describes CDM in the
following terms:
“10.1 Collaborative decision making will allow all members of the ATM community, especially airspace users, to
participate in the ATM decision making that affects them. The level of participation will reflect the level to which a
decision will affect them.
10.2 Collaborative decision making will apply to all layers of decisions, from longer-term planning activities
through to real-time operations. It will apply across all concept components of the ATM system and is an essential
element of the operational concept.
10.3 Collaborative decision making means achieving an acceptable solution that takes into account the needs
of those involved. All participants will therefore require a spirit of cooperation. A balance is required because
collaborative decision making is primarily invoked to resolve competing demands for an ATM resource and to
organize a safe sharing of that resource among airspace users.
10.4 The time available for achieving a collaborative decision decreases from the strategic to the tactical
stages. In the most tactical of situations, there may be no time to consider options; however, wherever such
situations can be foreseen, collaborative decision making will have been previously used to determine agreed
procedures for such cases. For example, rules for determining priorities for accessing an ATM resource will
have been collaboratively agreed in advance. Therefore collaborative decision making can be applied both
actively and, through agreed procedures, passively.
10.5 Effective information management and sharing will enable each member of the ATM community to be
aware, in a timely manner, of the needs, constraints and priorities of other members in relation to a decision-
making issue.
10.6 Collaborative decision making can occur among airspace users directly, without any involvement of an
ATM service provider.
10.7 Where a service provider is involved in collaborative decision making because of a requirement of the
ATM system, it is often the ATM service provider that will propose a solution for consideration by the airspace
user because the service provider will be aware of the requirements of other users and service providers and
the collaboratively agreed rules for resolving competing requests for an ATM resource. However, because it is
an information-rich environment where the airspace user may have access to the same information as the
service provider, the airspace user will understand why a particular solution has been proposed.
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10.8 If time permits, a user can propose an alternative solution that addresses a user’s preference that is not
known to the service provider. In the same way, the service provider can reject the user’s proposed solution
because of an ATM requirement that the user is not aware of. This illustrates how important full sharing of
appropriate information is in order to have timely collaborative decision making.”
2. So, collaborative decision making may involve short-term “tactical” in-flight or pre-flight decision making, all
the way to long-term strategic issues, such as long-term scheduling, and even fleet and equipment procurement.
_____________________
Appendix C
“EN-ROUTE TO EN-ROUTE”
INTRODUCTION
1. Ensuring effective performance of the ATM system necessarily requires consideration of not only the
actual ATM system itself, but also performance incompatibilities within the ATM system and with immediately adjacent
broader transportation system elements. Areas of performance incompatibility within the ATM system may manifest as
performance differences between air traffic management components (e.g. airport demand of “X” movements per hour,
airport throughput capacity of “X” movements per hour, terminal area traffic management capacity of “X – 5” movements
per hour, and next sector capacity of “X” movements per hour). The area of performance incompatibility would be
terminal area (TMA) management.
2. A good example of performance incompatibility within the ATM system and immediately adjacent elements
is the airport. For example, the throughput demand of an airport may be “X” movements per hour, but the ground
handling, parking or facilitation capability of the airport is “X – 5” movements per hour.
3. The traditional view of the ATM system has been a “gate-to-gate” view, which, in practice, disregards the very
real impact that landside discontinuities can have on downstream ATM system performance. These discontinuities occur
because:
a) Airports comprise differing groups; each group operates within different fields with different goals, but
all generally aim to maximize safety/throughput profit and minimize environmental impact.
b) Services partly share the same resources (e.g. viewed from the airside of an airport: the apron, taxiways,
runways and airspace).
d) The services are the responsibility of different service providers — ATM system or landside.
4. To both properly recognize and therefore treat the effect of non-ATM system activities at airports on ATM
system performance, one must complement the “gate-to-gate” view, with an “en-route to en-route” perspective of the
ATM system.
5. Figure C-1 shows this view and invites the reader to consider a flight from the middle of one en-route phase,
through its approach and landing phase, turnaround at the gate, take-off and climb phase, and flight to the middle of its next
en-route phase. This view requires consideration of the so-called “turnaround performance,” not as an ATM system
component, but as a point of performance incompatibility, which appropriate members of the ATM system community must
manage.
6. The key to optimizing aerodrome operations will be collaborative decision making. This will involve examining
the driving elements for each stakeholder and the interdependencies with adjacent stakeholders within their workflow
process model. Information of different planning intervals of different stakeholders acting on the aircraft’s turnaround cycle
will be taken into account to enhance the whole-of-system capability by downstream dedicated cueing information, which
increases quality and stability of plans of “downstream operation centres,” thus increasing the stability of their operations.
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ATM performance
Descent Climb
Gate Ramp Primarily
Primarily availability congestion influenced by
influenced by ATS and
ATS and airspace users
airspace users
On-gate
Aerodrome
Land and Taxi out operations
taxi in and depart
TIME
7. This stability will provide reliability and predictability, which is critical to the ATM co-components,
particularly demand and capacity balancing, traffic synchronization, and airspace organization and management. The
main expected benefits to ATM system and landside stakeholders are:
a) The airport community will benefit from the availability of standardized methods, procedures and
interconnected data processing developed through the programme.
b) Airspace users will benefit from improved quality of airport services, improved techniques and procedures
and the introduction of higher levels of automation, improving efficiency and cost-effectiveness of flight
operations.
c) ATM service providers will benefit from standardized performance levels, ensuring safe, reliable and
cost-effective services.
a) The airport community will benefit from the availability of standardized methods, procedures and
interconnected data processing developed through the programme.
b) Airspace users will benefit from improved quality of airport services, improved techniques and procedures,
and introduction of higher levels of automation, improving the efficiency and cost-effectiveness of flight
operations.
c) ATM service providers will benefit from standardized performance levels, ensuring safe, reliable and
cost-effective services.
d) Support industries will benefit from standardized specifications for airport equipment and services,
enabling greater time for, and cost-efficiency in, design and production.
e) International organizations, national and local regulatory authorities and the military authorities will be
involved in the airport-related developments, and their legitimate interests and requirements will be
taken into account.
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1/12/08
Corr.
Appendix D
1. Historically, investment evaluations for service providers and operators have been perceived as independent,
separate activities with interdependent consequences. Service providers may identify specific technological or procedural
advancements intended to lower their operating costs, but often base the planned costs and returns on estimates of
operator investments, with no assurance of the accuracy or consistency of the estimates with the operator’s business
model. Similarly, operators have invested significant resources in technologies in anticipation of realizing internal savings
without guaranteed commitment that service providers will fully implement ground-based expenditures upon which the
operator’s investments are based. Both have suffered failures to capture the gains sought as a direct result of the
independent methodologies/analyses employed.
2. As identified in the operational concept, cost-benefit analysis, and specifically the business case, serves as
one of the pillars supporting advancement of ATM system performance. Use of structured, transparent business case
analyses ensures inclusion of the many facets of the ATM community. Priorities are taken into account in pursuit of the
most efficient and cost-effective mechanisms, which are sought, developed and placed into operation. (These facets
include consideration of the broader economic and social aspects such as safety, environmental impacts, and so on.)
3. A significant body of work already exists within the community regarding the definitions and conduct of
cost-benefit analysis and business cases. From ICAO manuals the following considerations are offered:
Business case evaluation — The development of a business case for the implementation of CNS/ATM
systems by a service provider or an operator involves taking the financial cost-benefit analysis a step further. In
particular, changes in revenues resulting from changes in the price of the product sold must be taken into
account. It is generally expected that CNS/ATM systems will facilitate reduced operating costs and a lower
price for the service provided. From the point of view of a specific organization, assessment of the net financial
impact, in present value terms, must include not only the implementation cost and operating cost savings,
which are included in the cost-benefit analysis, but also consequent changes in revenues (Global Air
Navigation Plan for CNS/ATM Systems (Doc 9750)).
Cost-benefit analysis (CBA) — An evaluation method that provides a logical and consistent framework for
assessing a particular option or options. A CBA gives an indication of the total economic welfare effects of a
project by comparing all costs and benefits (Guidance on the Balanced Approach to Aircraft Noise Management
Doc 9829)).
Cost-effectiveness analysis (CEA) — An evaluation method to be used when the objective of a measure is a
given. It differs from a CBA in that it asks a different question; namely, given a particular objective, which is the
least costly way of achieving it? (Guidance on the Balanced Approach to Aircraft Noise Management (Doc 9829)).
4. As a function of the collaboration agreed in the Global ATM Operational Concept and the requirements
derived herein, a new approach is envisioned to conduct analysis and advance ATM performance in the most effective
manner for all community members. The adoption and practice of strategic collaborative decision making, from
identification of performance metrics through establishment of performance targets and culminating in implementation
and operation of the agreed, complementary technologies provides the best opportunity to deliver the level and types of
services (necessary and requested) at the lowest possible community cost.
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5. The requirements articulated in this document seek to reflect the basic tenet of the future vision that
development of an agreed performance framework with targets to guide the conduct of collaborative analyses will
elevate all aspects of the ATM system, to the advantage of all community members.
_____________________
Appendix E
EXPECTATIONS
The eleven expectations below are drawn directly from Appendix D of the OCD (Global Air Traffic Management
Operational Concept, Doc 9854). Key to the operational concept is a clear statement of the expectations of the ATM
community. The expectations for the global ATM system have been discussed among members of the ATM community
in general terms for many years. These expectations stem from efforts to document ATM “user requirements.” The
expectations hereafter are interrelated and cannot be considered in isolation. Furthermore, while safety is the highest
priority, the expectations are shown in alphabetical order as they would appear in English.
A global ATM system should provide an operating environment that ensures that all airspace users have right of access
to the ATM resources needed to meet their specific operational requirements and that the shared use of airspace by
different users can be achieved safely. The global ATM system should ensure equity for all users that have access to a
given airspace or service. Generally, the first aircraft ready to use the ATM resources will receive priority, except where
significant overall safety or system operational efficiency would accrue or national defence considerations or interests
dictate that priority be determined on a different basis.
Capacity
The global ATM system should exploit the inherent capacity to meet airspace user demands at peak times and locations
while minimizing restrictions on traffic flow. To respond to future growth, capacity must increase, along with
corresponding increases in efficiency, flexibility and predictability, while ensuring that there are no adverse impacts on
safety and giving due consideration to the environment. The ATM system must be resilient to service disruption and the
resulting temporary loss of capacity.
Cost-effectiveness
The ATM system should be cost-effective, while balancing the varied interests of the ATM community. The cost of service
to airspace users should always be considered when evaluating any proposal to improve ATM service quality or
performance. ICAO policies and principles regarding user charges should be followed.
Efficiency
Efficiency addresses the operational and economic cost-effectiveness of gate-to-gate flight operations from a single-
flight perspective. In all phases of flight, airspace users want to depart and arrive at the times they select and fly the
trajectory they determine to be optimum.
Environment
The ATM system should contribute to the protection of the environment by considering noise, gaseous emissions and
other environmental issues in the implementation and operation of the global ATM system.
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Flexibility
Flexibility addresses the ability of all airspace users to modify flight trajectories dynamically and adjust departure and arrival
times, thereby permitting them to exploit operational opportunities as they occur.
Global interoperability
The ATM system should be based on global standards and uniform principles to ensure the technical and operational
interoperability of ATM systems and facilitate homogeneous and non-discriminatory global and regional traffic flows.
The ATM community should have a continuous involvement in the planning, implementation and operation of the system
to ensure that the evolution of the global ATM system meets the expectations of the community. The ATM community is
more fully defined in Appendix A.
Predictability
Predictability refers to the ability of airspace users and ATM service providers to provide consistent and dependable
levels of performance. Predictability is essential to airspace users as they develop and operate their schedules.
Safety
Safety is the highest priority in aviation, and ATM plays an important part in ensuring overall aviation safety. Uniform
safety standards and risk and safety management practices should be applied systematically to the ATM system. In
implementing elements of the global aviation system, safety needs to be assessed against appropriate criteria and in
accordance with appropriate and globally standardized safety management processes and practices.
Security
Security refers to the protection against threats that stem from intentional acts (e.g. terrorism) or unintentional acts (e.g.
human error, natural disaster) affecting aircraft, people or installations on the ground. Adequate security is a major
expectation of the ATM community and of citizens. The ATM system should therefore contribute to security, and the
ATM system, as well as ATM-related information, should be protected against security threats. Security risk
management should balance the needs of the members of the ATM community that require access to the system, with
the need to protect the ATM system. In the event of threats to aircraft or threats using aircraft, ATM shall provide the
authorities responsible with appropriate assistance and information.
_____________________
Appendix F
EXPLANATION OF TERMS
Most of the explanations of the following terms stem directly from the OCD (Global Air Traffic Management Operational
Concept, Doc 9854) and should be read in that context. Except where indicated, they have no official status within ICAO.
Where a term is used differently from a formally recognized ICAO definition, this is noted.
Aircraft intent. Information on planned future aircraft behaviour, which can be obtained from the aircraft systems
(avionics). It is associated with the commanded trajectory and will enhance airborne functions. The aircraft intent
data correspond either to aircraft trajectory data that directly relate to the future aircraft trajectory as programmed
inside the avionics, or the aircraft control parameters as managed by the automatic flight control system. These
aircraft control parameters could either be entered by the flight crew or automatically derived by the flight
management system.
Airside. The contiguous area within and extending to the aerodrome perimeter, prepared, intended and set aside for the
movement, servicing and loading of aircraft, or where aircraft can otherwise be situated.
Airspace management. The process by which airspace options are selected and applied to meet the needs of the ATM
community.
Air traffic management (ATM).1 The dynamic, integrated management of air traffic and airspace — safely, economically
and efficiently — through the provision of facilities and seamless services in collaboration with all parties.
Air traffic management system. A system that provides ATM through the collaborative integration of humans,
information, technology, facilities and services, supported by air and ground- and/or space-based communications,
navigation and surveillance.
ATM community. The aggregate of organizations, agencies or entities that may participate, collaborate and cooperate
in the planning, development, use, regulation, operation and maintenance of the ATM system.
ATM operational concept. The ATM operational concept is a high-level description of the ATM services necessary to
accommodate traffic at a given time horizon; a description of the anticipated level of performance required from,
and the interaction between, the ATM services, as well as the objects they affect; and a description of the
information to be provided to agents in the ATM system and how that information is to be used for operational
purposes. The operational concept is neither a description of the air navigation infrastructure nor a technical
system description nor a detailed description of how a particular functionality or technology could be used.
ATM system requirement. A statement of functionality and/or operating characteristics necessary to fulfil the capabilities
or benefits envisioned in the application of the global ATM operational concept.
Availability. The ability of a system to perform its required function at the initiation of the intended operation. It is
quantified as the proportion of the time the system is available to the time the system is planned to be available.
1. The ICAO definition contained in the Procedures for Air Navigation Services — Air Traffic Management (PANS-ATM, Doc 4444) is
different from the explanation given herein.
F-1
F-2 Manual on Air Traffic Management System Requirements
Benefit. Reduced cost to the user (to the ATM community as a whole) in the form of a saving in time and/or fuel;
increased revenue; and/or an improvement to safety.
Capability. The ability of a system to provide a service or perform a function that, either on its own or with other services
or functions, can deliver a definable level of performance. This level of performance is measurable within a
framework of performance indicators and safety requirements.
Capacity. The maximum number of aircraft that can be accommodated in a given time period by the system or one of its
components (throughput).
Conflict. Any situation involving an aircraft and a hazard in which the applicable separation minima may be compromised.
Continuity. The probability of a system performing its required function without unscheduled interruptions during the
intended period of operations.
Delay. The difference between actual block time and ideal block time.
Demand. The number of aircraft requesting to use the ATM system in a given time period.
Efficiency. The ratio of the cost of ideal flight to the cost of procedurally constrained flight.
Enablers. Initiatives, such as (new) technologies, systems, operational procedures, and operational or socio economic
developments, which facilitate the implementation of operational improvements or of other enablers.
Equity. The first aircraft ready to use the ATM resources will receive priority, except where significant overall safety or
system operational efficiency would accrue or national interests dictate that priority be provided on a different basis.
Equity is ensured for all airspace users that have access to a given airspace or service by the global ATM system.
Flight deck. Term encompassing the flight crew and/or aircraft systems.
Flight intent. The future aircraft trajectory expressed as a 4-D profile until destination (taking account of aircraft
performance, weather, terrain, and ATM service constraints), calculated and “owned” by the aircraft flight
management system, and agreed by the pilot.
Gate to gate. A concept where the air traffic operations of ATM community members are such that the successive
planning and operational phases of their processes are managed and can be achieved in a seamless and
coherent way.
Hazards. The objects or elements that an aircraft can be separated from. These are: other aircraft, terrain, weather,
wake turbulence, incompatible airspace activity and, when the aircraft is on the ground, surface vehicles and other
obstructions on the apron and manoeuvring area. For any hazard (i.e. any condition, event or circumstance that
could induce an accident), a risk can be identified as the combination of the overall probability or frequency of
occurrence of a harmful effect induced by the hazard, and the severity of that effect. The terms accident and
incident are defined in Annex 13 — Aircraft Accident and Incident Investigation.
Interoperability. Within the ATM system, is the ability to transfer information or to effect a functionality across any
discontinuity (perceived or otherwise), in order to enable operations, thereby eliminating the effect of the discontinuity.
Landside. That portion of the aerodrome that is not considered airside. It consists primarily of passenger and cargo
terminals, including appurtenances that may extend onto the airside, and those other facilities not located within
the area defined by the term airside.
Appendix F F-3
Link. A direct connection between an operational improvement and an enabler, between operational improvements,
between enablers or between lines of action. In “road-mapping”, a link defines a prerequisite for, or an enabler of,
an operational improvement, another enabler or a line of action.
Operational concept. For the purposes of this document, an operational concept is defined as:
a) a high-level description of the ATM services necessary to accommodate traffic at a given time horizon;
b) a description of the anticipated level of performance required from, and the interaction between, the ATM
services, as well as the objects they affect; and
c) a description of the information to be provided to agents in the ATM system and how that information is to be
used for operational purposes.
The global ATM operational concept differs from “architecture” and “concept of use”. “Architecture” includes the
infrastructure and a technical system description that includes specific technologies and personnel functions. The
operational concept describes how the air traffic management system will operate and identifies the services that will be
required. Identification of what specific technologies are implemented to deliver these services is defined by “architecture”,
to be developed by planning and implementation regional groups (PIRGs) and States. Thus, an operational concept drives
the architecture. An ATM “concept of use” is a more detailed description of how a particular functionality or technology
could be used. An operational concept portrays an ideal state in the future, to be reached progressively through a number
of discrete change steps from the current situation. For the global ATM operational concept, 2025 was selected as the point
in which the majority of expectations described could be realized. Descriptions of intermediate stages were done through
scenarios, combining elements of the current global situations and target concepts.
Operational control.2 A term used generically with respect to a flight, which means the exercise of authority over the
initiation, conduct and termination of a mission. It will use sophisticated flight planning, flight following, and
automation tools.
Operational requirement (OR). A statement of the operational attributes of a system needed for the effective and/or
efficient provision of air traffic services to users.
Option. When an operational concept (or a technical concept) can be realized through various solutions, each of these
solutions is seen as an option. Selecting/retaining an option requires investigated cost-benefit and other analyses.
In some cases, only one option can be retained. In other cases, several options can be left to the choice of
implementers.
Predictability. Is a measure of delay variance against a performance dependability target. As the variance of expected
delay increases, it becomes a very serious concern for airlines when developing and operating their schedules.
Conceptually, predictability metrics should be a comparison of the actual flight time to the scheduled flight time,
since the scheduled time includes the amount of expected delay at a targeted dependability performance.
Risk management. The systematic application of management policies, procedures and practices to the tasks of
establishing the context of, identifying, analysing, evaluating and treating risks; monitoring the implementation
of treatments; and communicating about risk.
Safety case. Both the argument and the document that contend that the level of safety attained will satisfy the safety
requirements. It intelligently and coherently argues the degree of safety achieved at any point of a system’s life
cycle by making rational and coherent reference to the documented results of the system safety approach
defined below.
2. The ICAO definition in the Procedures for Air Navigation Services — Air Traffic Management (PANS-ATM, Doc 4444) is different
from the explanation given herein.
F-4 Manual on Air Traffic Management System Requirements
Seamlessness. Within the ATM system, is the property that allows a transition across any discontinuity (perceived or
otherwise), which from the perspective of the transiting agent does not require effort to facilitate the transition,
thereby eliminating any impact imposed by the discontinuity.
Separation minima. The minimum displacements between an aircraft and a hazard which maintain the risk of collision
at an acceptable level of safety.
Separation mode. An approved set of rules, procedures and conditions of application associated with separation
minima.
Separation provision. The tactical process of keeping aircraft away from hazards by at least the appropriate separation
minima.
Separator. The agent responsible for separation provision for a conflict, being either the airspace user or a separation
provision service provider.
Note.— The role of the separator may be delegated; however, a predetermined separator must be defined prior to
the commencement of separation provision.
Spacing. Any application of a distance or time between an aircraft and a hazard at or above separation minima in order
to maintain a safe and orderly flow of traffic.
System safety approach. A systematic and explicit approach defining all activities and resources (people, organizations,
policies, procedures, time spans, milestones, etc.) devoted to the management of safety. This approach starts before
the fact, is documented, planned and explicitly supported by documented organizational policies and procedures
endorsed by the highest executive levels. The system safety approach uses systems theory, systems engineering
and management tools to manage risk formally, in an integrated manner, across all organizational levels, all
disciplines and all system life-cycle phases.
Traffic synchronization. Traffic synchronization concerns the management of the flow of traffic through merging and
crossing points, such as traffic around major aerodromes or airway crossings. It currently includes the management
and provision of queues both on the ground and in the air. Traffic synchronization, as a function, is closely related to
both demand/capacity balancing and separation provision and may in the future be indistinguishable from them.
Traffic synchronization also concerns the aerodrome “service” part of the concept.
Trajectory or profile. This is a description of the movement of an aircraft, both in the air and on the ground, including
position, time and, at least via calculation, speed and acceleration.
Unmanned aerial vehicle (UAV). An unmanned aerial vehicle is a pilotless aircraft, in the sense of Article 8 of the
Convention on International Civil Aviation, which is flown without a pilot-in-command on-board and is either remotely
and fully controlled from another place (ground, another aircraft, space) or programmed and fully autonomous.
_____________________
Appendix G
ACRONYMS
— END —
G-1
ICAO TECHNICAL PUBLICATIONS
The following summary gives the status, and also maturity for adoption as International Standards and
describes in general terms the contents of the various Recommended Practices, as well as material of a more
series of technical publications issued by the permanent character which is considered too detailed for
International Civil Aviation Organization. It does not incorporation in an Annex, or is susceptible to frequent
include specialized publications that do not fall amendment, for which the processes of the Convention
specifically within one of the series, such as the would be too cumbersome.
Aeronautical Chart Catalogue or the Meteorological
Tables for International Air Navigation. Regional Supplementary Procedures (SUPPS)
have a status similar to that of PANS in that they are
International Standards and Recommended approved by the Council, but only for application in the
Practices are adopted by the Council in accordance with respective regions. They are prepared in consolidated
Articles 54, 37 and 90 of the Convention on form, since certain of the procedures apply to
International Civil Aviation and are designated, for overlapping regions or are common to two or more
convenience, as Annexes to the Convention. The regions.
uniform application by Contracting States of the
specifications contained in the International Standards is
recognized as necessary for the safety or regularity of
international air navigation while the uniform
application of the specifications in the Recommended The following publications are prepared by authority
Practices is regarded as desirable in the interest of of the Secretary General in accordance with the
safety, regularity or efficiency of international air principles and policies approved by the Council.
navigation. Knowledge of any differences between the
national regulations or practices of a State and those Technical Manuals provide guidance and
established by an International Standard is essential to information in amplification of the International
the safety or regularity of international air navigation. In Standards, Recommended Practices and PANS, the
the event of non-compliance with an International implementation of which they are designed to facilitate.
Standard, a State has, in fact, an obligation, under
Article 38 of the Convention, to notify the Council of Air Navigation Plans detail requirements for
any differences. Knowledge of differences from facilities and services for international air navigation in
Recommended Practices may also be important for the the respective ICAO Air Navigation Regions. They are
safety of air navigation and, although the Convention prepared on the authority of the Secretary General on
does not impose any obligation with regard thereto, the the basis of recommendations of regional air navigation
Council has invited Contracting States to notify such meetings and of the Council action thereon. The plans
differences in addition to those relating to International are amended periodically to reflect changes in
Standards. requirements and in the status of implementation of the
recommended facilities and services.
Procedures for Air Navigation Services (PANS)
are approved by the Council for worldwide application. ICAO Circulars make available specialized
They contain, for the most part, operating procedures information of interest to Contracting States. This
regarded as not yet having attained a sufficient degree of includes studies on technical subjects.