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Global Air Navigation Plan

for CNS/ATM Systems

Second Edition — 2002

Doc 9750

AN/963

International Civil Aviation Organization

Approved by the Secretary General

and published under his authority

AMENDMENTS

The issue of amendments is announced regularly in the ICAO Journal and in the

monthly Supplement to the Catalogue of ICAO Publications and Audio-visual

Training Aids, which holders of this publication should consult. The space below

is provided to keep a record of such amendments.

RECORD OF AMENDMENTS AND CORRIGENDA

AMENDMENTS CORRIGENDA

No.

Date

of issue

Date

entered

Entered

by No.

Date

of issue

Date

entered

Entered

(ii)

CNS/ATM SYSTEMS

Definition

Strategic vision

Mission of implementation

Communications, navigation, and surveillance systems, employing digital

technologies, including satellite systems together with various levels of

automation, applied in support of a seamless global air traffic management

system.

To foster implementation of a seamless, global air traffic management

system that will enable aircraft operators to meet their planned times of

departure and arrival and adhere to their preferred flight profiles with

minimum constraints and without compromising agreed levels of safety.

To develop a seamless, globally coordinated system of air navigation

services that will cope with worldwide growth in air traffic demand while:

• improving upon the present levels of safety;

• improving upon the present levels of regularity;

• improving upon the overall efficiency and capacity of airspace and

airports

• improving operations allowing for capacity increase while minimizing

fuel consumption and aircraft engine emissions;

• increasing the availability of user-preferred flight schedules and

profiles; and

• minimizing differing equipment carriage requirements between

regions.

(v)

FOREWORD

Since the conclusion of the work of the Special Committee

on Future Air Navigation Systems (FANS) in October

1993, the International Civil Aviation Organization (ICAO)

has significantly progressed the development of material

necessary for the planning, implementation and operation

of communications, navigation, and surveillance/air traffic

management (CNS/ATM) systems. Today, Standards and

Recommended Practices (SARPs), Procedures for Air

Navigation Services (PANS) and guidance material on all

defined elements and aspects of CNS/ATM systems are

largely in place. Development of ICAO provisions will

continue in line with identified requirements.

As technology advances, new systems and concepts will

continue to emerge, offering potential improvements in

terms of safety, efficiency and/or economy of international

flights. This document, which is an updated and enhanced

version of the “Global Co-ordinated Plan for Transition to

the ICAO CNS/ATM Systems” contained in the Report of

the Fourth Meeting of the Special Committee for the Moni-

toring and Co-ordination of Development and Transition

Planning for the Future Air Navigation System (FANS

Phase II) (Doc 9623), has been produced to include

recently developed concepts and systems. The plan has also

been expanded beyond its technical scope to include

relevant economic, organizational, environmental, legal and

technical cooperation issues and also a global planning

methodology expected to guide regional planning groups in

their implementation planning work.

One of the objectives of this revised Global Plan is to

define and illustrate ICAO’s process for CNS/ATM systems

planning and implementation as a logical progression of the

work already accomplished. This includes an analysis of

the structured relationship between the global, regional and

national planning processes as well as the relationship

between the Global Plan and other ICAO planning activi-

ties. An inventory of materials, tools and documentation

now in existence, indicating where and how these can be

used, will provide a readily-available source of reference

material for planning purposes.

Recognizing that effective ATM is essential to ensuring

safety, regularity and efficiency of international civil

aviation and that implementation of available and emerging

technologies should fulfil the requirements for a global

ATM system, this plan broadly describes an ATM

operational concept being developed by ICAO, and reflects

the latest available information on ATM conceptual work.

This description and emerging concept offers a high-level

vision in order to assist in the determination of ATM

requirements that will guide the development of future

CNS/ATM system elements and their functionalities, there-

by allowing optimum benefits to be attained. This new

approach is designed to lead initially to improved har-

monization of air traffic services (ATS) and ultimately to a

globally integrated ATM system.

As work on the ATM operational concept is ongoing,

consensus on several emerging concepts have to be reached

(e.g. autonomy of flight*, separation assurance*, situational

awareness*, required total system performance (RTSP)*,

required communication performance (RCP)*, required

surveillance performance (RSP)*). The operational require-

ments and functional specifications of some technologies

(automatic dependent surveillance-broadcast (ADS-B)*)

also have to be developed. Where these issues and/or tech-

nologies are addressed in the Global Plan, they are

accompanied by a footnote indicating that work and

consensus is still to be achieved through the ICAO process.

The Global Plan offers background information on the

different elements and entities involved in CNS/ATM

systems planning and implementation with the goal of

creating, within one document, a nucleus of information

necessary to facilitate the move towards the next phase of

CNS/ATM planning and implementation. At the same time,

the Global Plan attempts to bring up to date, in a

consolidated format, the progress generally achieved by the

regions and illustrates, with appropriate time lines, the

work remaining, forming the implementation schedule for

the future. It also offers, under one cover, a global snapshot

of progress achieved and work remaining toward the

implementation of CNS/ATM systems, thereby serving as a

consolidated planning tool.

The Global Plan has a clear and functional relationship

to the regional air navigation plans (ANPs). This has been

* Emerging concept or technology — consensus still to be reached.

(vi) Global Air Navigation Plan for CNS/ATM Systems

accomplished by dividing the Global Plan into two parts:

the Operational Concept and General Planning Principles

(Part I), which provides guidance for the further develop-

ment of the Basic Operational Requirements and Planning

Criteria (BORPC) of the regional ANPs; and Part II, Facili-

ties and Services for the Implementation of the Global

Plan, which reflects more detailed material and relates to

the Facilities and Services Implementation Documents

(FASIDs) used in the regional planning process.

Parts I and II together provide the means for a

step-by-step approach, including an operational analysis, to

planning for implementation of global CNS/ATM systems.

To begin the process, several homogeneous ATM areas and

major international traffic flows have been identified in

Part I, Chapter 3. The tables in Part II were generated with

the purpose of assisting the planning and implementation

regional groups (PIRGs) in further identifying the inter-

regional CNS/ATM systems infrastructure necessary to

support the implementation of homogeneous ATM areas

and major international traffic flows.

Because of the relationship being established between

the updated Global Plan and the regional ANPs, it is necess-

ary for the Global Plan to have a clear association with all

aspects of traditional regional air navigation planning. This

will not only facilitate the work of the PIRGs, but is

considered a necessary aspect of successful implementation

of CNS/ATM systems. For this reason, the Global Plan

provides introductory material in the fields of meteorology

and aeronautical information services related to the im-

plementation of CNS/ATM systems. Aerodrome operations,

normally a part of regional air navigation planning, is not

addressed separately in this version of the Global Plan

because of the regional nature of this type of planning.

Relevant ATS aspects associated with aerodrome operations

in future environments are addressed within the context of

overall ATM planning, while specific ATM objectives

related to aerodrome operations are identified in the tables

in Part I, Chapter 4, and in Part II, Chapter 5 of the Global

Plan.

The emerging technologies will support a variety of

system designs and implementation options. The challenge

for the planner and designer is to develop an adequate

understanding of the costs, benefits and operational suit-

ability of these alternatives while considering the legal,

organizational, environmental and financial aspects; to

orchestrate a coordinated programme of ATM improve-

ments that takes into account the user’s needs, their

willingness to upgrade their capabilities to achieve oper-

ational benefits, and also to pay for the changes required by

ATM services providers. The Global Plan is intended to

guide the international aviation community toward meeting

this challenge and implementing CNS/ATM systems.

(vii)

TABLE OF CONTENTS

Page Page

LIST OF ACRONYMS . . . . . . . . . . . . . . . . . . . (xi)

PART I. OPERATIONAL CONCEPT AND

GENERAL PLANNING PRINCIPLES

Chapter 1. Introduction to CNS/ATM

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1-1

Shortcomings of conventional systems . . . . . I-1-3

A brief look at CNS/ATM . . . . . . . . . . . . . . I-1-3

Benefits of the new systems. . . . . . . . . . . . . . I-1-4

Cost-benefit studies. . . . . . . . . . . . . . . . . . . . . I-1-6

Organizational and financial issues . . . . . . . . I-1-8

Assistance requirements and technical

cooperation . . . . . . . . . . . . . . . . . . . . . . . . . I-1-8

Legal issues. . . . . . . . . . . . . . . . . . . . . . . . . . . I-1-9

Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-1-9

Chapter 2. ICAO’S planning structure

for CNS/ATM

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-2-1

The regional planning process . . . . . . . . . . . . I-2-2

The national planning process . . . . . . . . . . . . I-2-2

CNS/ATM partners and tools. . . . . . . . . . . . . I-2-3

Action programme . . . . . . . . . . . . . . . . . . . . . I-2-3

Relevant ICAO policies on CNS/ATM . . . . . I-2-3

ICAO’s role and responsibility. . . . . . . . . . . . I-2-5

APPENDIX A. Statement of ICAO policy

on CNS/ATM systems implementation

and operation . . . . . . . . . . . . . . . . . . . . . . . I-2-7

APPENDIX B Extract from the

Assembly Resolutions in force

(as of 2 October 1998) (Doc 9730)

Assembly Resolution A31-6 . . . . . . . . . . . I-2-9

APPENDIX C. Extract from the

Assembly Resolutions in force

(as of 2 October 1998) (Doc 9730)

Assembly Resolution A32-21 . . . . . . . . . . I-2-11

Chapter 3. Global planning methodology

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-3-1

Homogeneous ATM areas and major

traffic flows. . . . . . . . . . . . . . . . . . . . . . . . . I-3-1

Statement of Basic Operational Requirements

and Planning Criteria for

Regional Air Navigation Planning . . . . . . . I-3-2

Planning methodology . . . . . . . . . . . . . . . . . . I-3-3

The operational analysis. . . . . . . . . . . . . . . . . I-3-4

Chapter 4. Air traffic management

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-4-1

Limitation of the ATM systems

(Circa 2001) . . . . . . . . . . . . . . . . . . . . . . . . I-4-1

Global ATM . . . . . . . . . . . . . . . . . . . . . . . . . . I-4-2

Need for an ATM operational concept . . . . . I-4-3

ATM operational concept by phase

of flight . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-4-10

Safety assessment and monitoring. . . . . . . . . I-4-12

Global ATM implementation . . . . . . . . . . . . . I-4-13

General transition issues . . . . . . . . . . . . . . . . I-4-14

APPENDIX A ATM operational

requirements in an RNP/RNAV

environment . . . . . . . . . . . . . . . . . . . . . . . . I-4-15

APPENDIX B. Guidelines for transition

to global air traffic management

systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-4-18

Chapter 5. Communications systems

Function . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-5-1

Communications services envisaged . . . . . . . I-5-1

Main features of new communications

systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-5-1

Air-ground communications. . . . . . . . . . . . . . I-5-2

Ground-ground communications . . . . . . . . . . I-5-3

Aeronautical telecommunication

network (ATN) . . . . . . . . . . . . . . . . . . . . . . I-5-3

Future trends. . . . . . . . . . . . . . . . . . . . . . . . . . I-5-3

Required communication performance

(RCP) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-5-4

General transition issues . . . . . . . . . . . . . . . . I-5-4

(viii) Global Air Navigation Plan for CNS/ATM Systems

Page Page

APPENDIX A. Guidelines for transition to

communications systems . . . . . . . . . . . . . . I-5-6

Chapter 6. Navigation systems

Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-6-1

Required navigation performance (RNP). . . . I-6-1

Global navigation satellite system (GNSS) . . I-6-1

GNSS augmentations . . . . . . . . . . . . . . . . . . . I-6-2

Avionics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-6-3

WGS-84 coordinate system and

aeronautical databases . . . . . . . . . . . . . . . . I-6-3

Evolutionary introduction . . . . . . . . . . . . . . . . I-6-3

Systems to support approach, landing and

departure operations . . . . . . . . . . . . . . . . . . I-6-3

General transition issues. . . . . . . . . . . . . . . . . I-6-4

APPENDIX A. Guidelines for transition to

navigation systems . . . . . . . . . . . . . . . . . . . I-6-5

Chapter 7. Surveillance systems

Current surveillance systems . . . . . . . . . . . . . I-7-1

Functional description . . . . . . . . . . . . . . . . . . I-7-1

Technical options overview . . . . . . . . . . . . . . I-7-2

ATM requirements for surveillance . . . . . . . . I-7-2

Airborne collision avoidance system (ACAS) . I-7-2

Required surveillance performance (RSP). . . I-7-3

Future trends . . . . . . . . . . . . . . . . . . . . . . . . . . I-7-3

General transition issues. . . . . . . . . . . . . . . . . I-7-3

APPENDIX A. Guidelines for transition to

surveillance systems . . . . . . . . . . . . . . . . . . I-7-4

Chapter 8. Meteorology

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-8-1

Meteorological support to international

civil aviation . . . . . . . . . . . . . . . . . . . . . . . . I-8-1

Meteorological systems to support global

CNS/ATM . . . . . . . . . . . . . . . . . . . . . . . . . . I-8-2

Meteorological systems to support the

transition to the new global CNS/ATM

systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-8-3

Planning and implementation of

meteorological systems. . . . . . . . . . . . . . . . I-8-3

Chapter 9. Aeronautical information services

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-9-1

AIS and MAP support to international

civil aviation . . . . . . . . . . . . . . . . . . . . . . . . I-9-1

AIS and MAP services to support global

CNS/ATM systems . . . . . . . . . . . . . . . . . . . I-9-2

AIS/MAP systems to support the transition

to the new global CNS/ATM systems . . . . I-9-3

Chapter 10. Human resource development

and training needs

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-10-1

Foundation training. . . . . . . . . . . . . . . . . . . . . I-10-2

CNS systems implementation planning —

training needs . . . . . . . . . . . . . . . . . . . . . . . I-10-2

ATM operational implementation planning —

training needs . . . . . . . . . . . . . . . . . . . . . . . I-10-2

A long-term strategy for CNS/ATM

job-specific training . . . . . . . . . . . . . . . . . . I-10-3

Regional human resource planning and

training needs . . . . . . . . . . . . . . . . . . . . . . . I-10-4

Sources of training . . . . . . . . . . . . . . . . . . . . . I-10-4

Human resource development during

transition . . . . . . . . . . . . . . . . . . . . . . . . . . . I-10-5

Chapter 11. Legal issues

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-11-1

Fundamental principles of the GNSS

legal framework . . . . . . . . . . . . . . . . . . . . . I-11-1

Other legal issues . . . . . . . . . . . . . . . . . . . . . . I-11-4

APPENDIX A. A32-19: Charter on the

rights and obligations of States

relating to GNSS services . . . . . . . . . . . . . I-11-5

APPENDIX B. Recommendations

of LTEP. . . . . . . . . . . . . . . . . . . . . . . . . . . . I-11-7

APPENDIX C. A32-20: Development and

elaboration of an appropriate long-term

framework to govern the implementation

of GNSS . . . . . . . . . . . . . . . . . . . . . . . . . . . I-11-11

Chapter 12. Organizational and

international cooperative aspects

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-12-1

Organizational forms at the national level. . . I-12-1

Specific operational and technical

organizational aspects. . . . . . . . . . . . . . . . . I-12-2

International cooperation . . . . . . . . . . . . . . . . I-12-4

Table of Contents (ix)

Page Page

Chapter 13. Cost-benefit and

economic impacts

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-13-1

Cost-benefit methodology. . . . . . . . . . . . . . . . I-13-1

Interpretation of cost-benefit results . . . . . . . I-13-2

Risks for States. . . . . . . . . . . . . . . . . . . . . . . . I-13-3

Chapter 14. Financial aspects

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-14-1

Cost-recovery . . . . . . . . . . . . . . . . . . . . . . . . . I-14-1

Financing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . I-14-4

Chapter 15. Assistance requirements

and technical cooperation

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . I-15-1

Assistance requirements of developing

ICAO Contracting States for CNS/ATM

planning and implementation . . . . . . . . . . . I-15-1

ICAO objectives implementation

mechanism . . . . . . . . . . . . . . . . . . . . . . . . . I-15-2

ICAO technical cooperation in CNS/ATM

implementation . . . . . . . . . . . . . . . . . . . . . . I-15-3

APPENDIX A. CNS/ATM assistance

requirements of developing ICAO

Contracting States, by PIRG . . . . . . . . . . . I-15-8

APPENDIX B. Indicated preferred

source of CNS/ATM assistance for

developing/least developed ICAO

Contracting States, by PIRG . . . . . . . . . . . I-15-9

Chapter 16. Environmental benefits

associated with CNS/ATM initiatives

Background . . . . . . . . . . . . . . . . . . . . . . . . . . . I-16-1

The parametric model. . . . . . . . . . . . . . . . . . . I-16-2

Future activities. . . . . . . . . . . . . . . . . . . . . . . . I-16-3

PART II. FACILITIES AND SERVICES

FOR THE IMPLEMENTATION

OF THE GLOBAL PLAN

Chapter 1. Introduction

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-1-1

Part II of the Global Plan. . . . . . . . . . . . . . . . II-1-1

Chapter 2. Regional planning and

implementation

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . II-2-1

Regional Offices and their associated

planning and implementation regional

groups (PIRGs) . . . . . . . . . . . . . . . . . . . . . . II-2-3

Regional planning groups and their areas

of responsibility . . . . . . . . . . . . . . . . . . . . . II-2-3

Current status of planning and

implementation of CNS/ATM systems . . . II-2-6

Chapter 3. Statistics

Forecasts of aircraft movements up to

the year 2005 . . . . . . . . . . . . . . . . . . . . . . . II-3-1

Summary of ICAO air traffic forecasts

for the year 2005 . . . . . . . . . . . . . . . . . . . . II-3-4

Chapter 4. Homogeneous ATM areas and

major international traffic flows

Planning parameters . . . . . . . . . . . . . . . . . . . . II-4-1

Homogeneous ATM area . . . . . . . . . . . . . . . . II-4-1

Major traffic flows . . . . . . . . . . . . . . . . . . . . . II-4-1

Forecasts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . II-4-1

Identifying homogeneous ATM areas and

major traffic flows . . . . . . . . . . . . . . . . . . . II-4-1

Chapter 5. Air traffic management

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . II-5-1

ATM objectives. . . . . . . . . . . . . . . . . . . . . . . . II-5-1

Implementation tables

Global air traffic management system

implementation objectives by region . . . . . II-5-2

Regional air traffic management system

implementation objectives by State . . . . . . II-5-10

Chapter 6. Communications

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . II-6-1

Systems implementation. . . . . . . . . . . . . . . . . II-6-1

Implementation tables

Global communications system

implementation objectives by region . . . . . II-6-2

Regional communications system

implementation objectives by State . . . . . . II-6-4

(x) Global Air Navigation Plan for CNS/ATM Systems

Page Page

Chapter 7. Navigation

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . II-7-1

Systems implementation. . . . . . . . . . . . . . . . . II-7-1

Implementation tables

Global navigation system implementation

objectives by region . . . . . . . . . . . . . . . . . . II-7-2

Regional navigation system

implementation objectives by State . . . . . . II-7-4

Chapter 8. Surveillance

Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . II-8-1

Systems implementation. . . . . . . . . . . . . . . . . II-8-1

Implementation tables

Global surveillance system

implementation objectives by region . . . . . II-8-2

Regional surveillance system

implementation objectives by State . . . . . . II-8-3

(xi)

LIST OF ACRONYMS

A-SMGCS Advanced SMGCS

AAC Aeronautical administrative

communications

AAIM Aircraft autonomous integrity

monitoring

ABAS Aircraft-based augmentation

ACARS Aircraft communication addressing

and reporting system

ACAS Airborne collision avoidance system

ACC Area control centre

ADS Automatic dependent surveillance

ADS-B* ADS-broadcast

AFS Aeronautical fixed service

AFTN Aeronautical fixed telecommunication

network

AIDC ATS inter-facility data communications

AIP Aeronautical information publication

AIS Aeronautical information service

ALLPIRG All Chairmen of the Planning and

Implementation Regional Groups

AMHS ATS message handling system

AMSS Aeronautical mobile-satellite service

ANC Air Navigation Commission

ANP Regional air navigation plan

ANS Air navigation service

ANSEP Air Navigation Services Economics

Panel

AOC Aeronautical operational control

APANPIRG Asia/Pacific Air Navigation Planning

and Implementation Regional Group

APC Aeronautical passenger

communications

APIRG Africa-Indian Ocean Planning and

Implementation Regional Group

ASDE Airport surface detection equipment

ASECNA Agency for the Safety of Air

Navigation in Africa and Madagascar

ASHTAM A special series NOTAM notifying by

means of a specific format change in

activity of a volcano, a volcanic

eruption and/or a volcanic ash cloud

that is of significance to aircraft

operations

ASM Airspace management

ATC Air traffic control

ATFM Air traffic flow management

ATIS Automatic terminal information service

ATM Air traffic management

ATMCP Air Traffic Management Operational

Concept Panel

ATN Aeronautical telecommunication

network

ATS Air traffic services

ATSC Air traffic services communications

BORPC Basic operational requirements and

planning criteria

CAA Civil aviation administration

CAEP Committee on Aviation Environmental

Protection

CASITAF CNS/ATM Systems Implementation

Tas k For ce

CATCs Civil aviation training centres

CDTI Cockpit display of traffic information

CNS Communications, navigation and

surveillance

CNS/ATM Communications, navigation, and

surveillance/air traffic management

COCESNA Central American Safety Services

Corporation

CPDLC Controller-pilot data link

communications

DARP Dynamic air route planning

D-ATIS Digital-automatic terminal information

service

DCPC Direct controller-pilot communications

EANPG European Air Navigation Planning

Group

EATMS European ATM System

ECAC European Civil Aviation Conference

EUROCONTROL European Organisation for the Safety

of Air Navigation

FANS Phase II Special Committee for the Monitoring

and Coordination of Development and

Transition Planning for the Future Air

Navigation System

FANS Special Committee on Future Air

Navigation Systems

FASID Facilities and services implementation

document

FDPS Flight data processing system

FESG Forecasting and Economic Analysis

Support Group

* Emerging concept or technology — consensus still to be reached.

(xii) Global Air Navigation Plan for CNS/ATM Systems

FIC Flight information centre

FIR Flight information region

FIS Flight information service

FMS Flight management system

FPL Flight plan

FUA Flexible use of airspace

GBAS Ground-based augmentation systems

GES Ground earth stations

GLONASS Global orbiting navigation satellite

system

GNE Gross navigation error

GNSS Global navigation satellite system

GPS Global positioning system

GREPECAS Caribbean/South American Regional

Planning and Implementation Group

HF High frequency

HMI Human-machine interface

IATA International Air Transport Association

IAVW International airways volcano watch

ICAO International Civil Aviation

Organization

IFR Instrument flight rules

ILS Instrument landing system

IMC Instrument meteorological conditions

INS Inertial navigation system

IPCC Intergovernmental Panel on Climate

Change

IRS Inertial reference system

ISO-OSI International Organization for

Standardization — Open Systems

Interconnection

JAA Joint Aviation Authorities

LTEP Panel of Legal and Technical Experts

on the Establishment of a Legal

Framework with Regard to GNSS

MAP Aeronautical charts

MASPS Minimum aircraft system performance

specifications

MET Meteorological services for air

navigation

MIDANPIRG Middle East Air Navigation Planning

and Implementation Regional Group

MLS Microwave landing system

MMR Multi-mode receiver

MNPS Minimum navigation performance

specifications

MNT Mach number technique

MWO Meteorological watch office

NAMPG North American Planning Group

NAT SPG North Atlantic Systems Planning

Group

NDB Non-directional radio beacon

NOTAM Notice to airmen

NPA Non-precision approach

NPV Net present value

OPMET Operational meteorological information

PA Precision approach

PANS Procedures for Air Navigation Services

PANS-ATM Procedures for Air Navigation Services

— Air Traffic Management (Doc 4444)

PAR Precision approach radar

PIRG Planning and implementation regional

group

PSR Primary surveillance radar

RAFC Regional area forecast centre

RAIM Receiver autonomous integrity

monitoring

RAs Resolution advisories

RCP* Required communication performance

RDT&D Research, development, trials and

demonstrations

RF Radio frequency

RFI RF interference

RGCSP Review of the General Concept of

Separation Panel

RNAV Area navigation

RNP Required navigation performance

RSP* Required surveillance performance

RTSP* Required total systems performance

RVSM Reduced vertical separation minimum

SADIS Satellite distribution system for

information relating to air navigation

SAR Search and rescue

SARPs Standards and Recommended Practices

SBAS Satellite-based augmentation

SCAR SADIS cost allocation and recovery

scheme

SIDs Standard instrument departures

SIGMET Information concerning en-route

weather phenomena which may affect

the safety of aircraft operations

SIGWX Significant weather

SMGCS Surface movement guidance and

control systems

SSR Secondary surveillance radar

STARs Standard instrument arrivals

STDMA Self-organizing time division multiple

access

STP Standardized training package

SUA Special use airspace

TCAC Tropical cyclone advisory centres

TCB Technical Co-operation Bureau

TCDC Technical cooperation amongst

developing countries

TDMA Time division multiple access

* Emerging concept or technology — consensus still to be reached.

List of Acronyms (xiii)

TDWR Terminal Doppler weather radar

TIS-B Traffic information service broadcast

TLS Target level of safety

TMA Terminal control area

UNFCCC United Nations Framework Convention

on Climate Change

UTC Coordinated universal time

VAAC Volcanic ash advisory centre

VDL VHF digital link

VFR Visual flight rules

VHF Very high frequency

VMC Visual meteorological conditions

VOLMET Meteorological information for aircraft

in flight

VOR VHF omnidirectional radio range

VSAT Very small aperture terminal

VSM Vertical separation minimum

WAFC World area forecast centre

WAFS World area forecast system

WGS-84 World Geodetic System — 1984

PART I

Operational Concept and General Planning Principles

I-1-1

Chapter 1

INTRODUCTION TO CNS/ATM

BACKGROUND

Air traffic environment

1.1 The air transport industry has grown more rapidly

than most other industries through the 1980s and 1990s.

Between 1985 and 1995, air passenger travel and air freight

on scheduled services grew at average annual rates of 5.0

and 7.6 per cent, respectively. Over this same period,

aircraft departures and aircraft-kilometres grew at average

rates of 3.7 per cent and 5.8 per cent, respectively. The

annual changes in scheduled aircraft movements are

illustrated in Figure I-1-1.

The FANS Committee

1.2 Having considered the steady growth of inter-

national civil aviation preceding 1983, taking into account

forecasts of traffic growth and perceiving that new tech-

nologies were on the horizon, the Council of ICAO at the

time, considered the future requirements of the civil

aviation community. It determined that a thorough analysis

and reassessment of the procedures and technologies that

had so successfully served international civil aviation over

the many years was needed. In further recognizing that the

systems and procedures supporting civil aviation had

reached their limits, the Council took an important decision

at a pivotal juncture and established the Special Committee

on Future Air Navigation Systems (FANS). The FANS

Committee was tasked with studying, identifying and

assessing new technologies, including the use of satellites,

and making recommendations for the future development

of air navigation for civil aviation over a period of the order

of 25 years.

1.3 The FANS Committee determined that it would be

necessary to develop new systems that would overcome

limitations of conventional systems and allow ATM to

develop on a global scale. The future systems would be

expected to evolve and become more responsive to the

needs of users whose economic health would be directly

related to the efficiency of these systems. The FANS Com-

mittee concluded that satellite technology offered a viable

solution to overcome the shortcomings of conventional

ground-based systems and to meet the future needs of the

international civil aviation community.*

1.4 The FANS Committee further recognized that the

evolution of ATM on a global scale using new systems

would require a multidisciplinary approach because of the

close interrelationship and interdependence of its many

elements. Understanding that coordination and institutional

issues could eventually arise with new concepts, and

realizing that planning would have to be carried out at the

worldwide level, the FANS Committee recommended to the

ICAO Council in its final report that a new committee be

established to advise on the overall monitoring, coordi-

nation of development and transition planning. This would

ensure that implementation of future CNS/ATM systems

would take place on a global basis in a cost-effective and

balanced manner, while still taking into account air

navigation systems and geographical areas.

1.5 In July 1989, the ICAO Council, acting on the

recommendation of the FANS Committee, established the

Special Committee for the Monitoring and Coordination of

Development and Transition Planning for the Future Air

Navigation System (FANS Phase II).

1.6 In October 1993, the FANS Phase II Committee

completed its work. The FANS Phase II Committee

recognized that implementation of related technologies and

expected benefits would not arrive overnight, but would

rather evolve over a period of time, depending upon the

present aviation infrastructures in the different States and

regions, and the overall requirements of the aviation

community.

1.7 The FANS Phase II Committee also agreed that

much of the technology they were considering was already

becoming available and that work should begin by gathering

information and, where possible, accruing early benefits

using available technologies.

* Since the FANS Committee concluded its work, several

alternative technologies have been identified, including

terrestrially-based systems, which are described in this version

of the Global Plan.

I-1-2 Global Air Navigation Plan for CNS/ATM Systems

The Tenth Air Navigation Conference

1.8 In September 1991, 450 representatives from

85 States and 13 international organizations gathered at

ICAO Headquarters in Montreal, Canada, at the Tenth Air

Navigation Conference, to consider and endorse the concept

for a future air navigation system as developed by the FANS

Committees, that would meet the needs of the civil aviation

community well into the next century. The FANS concept,

which became known as the communications, navigation,

surveillance/air traffic management (CNS/ATM) systems,

involves a complex and interrelated set of technologies,

dependent largely on satellites. CNS/ATM is the vision

developed by ICAO with the full cooperation of all sectors

of the aviation community to accommodate the future needs

of international air transport.

1.9 The result of the Conference encapsulated a set of

universally agreed upon recommendations covering the full

spectrum of CNS/ATM activities, which continue to offer

guidance and direction to the international civil aviation

community as they plan and implement the technical and

operational aspects of CNS/ATM systems.

1.10 The endorsement of the CNS/ATM systems

reached at the Tenth Air Navigation Conference signalled the

beginning of a new era for international civil aviation and

paved the way for the many activities related to the planning

and implementation of new systems around the world.

1.11 During the follow-up of the Tenth Air Navi-

gation Conference, the ICAO Council re-emphasized the

important role of regions and States with regard to the

planning, implementation and transition to CNS/ATM

systems and reiterated the need for a high degree of partici-

pation of the ICAO regional offices in their respective

planning and implementation roles.

1.12 Further to the work and recommendations of the

ICAO Council on CNS/ATM systems, the 29th ICAO

Assembly approved two resolutions, which were con-

solidated at the 31st ICAO Assembly (Appendix B to

Chapter 2 refers). These resolutions further endorse and

support speedy implementation of CNS/ATM systems.

Global planning

1.13 In order to progress implementation of

CNS/ATM systems, a plan of action was needed. The first

such effort towards developing a plan was the ICAO Global

Coordinated Plan for Transition to ICAO CNS/ATM Sys-

tems, which was included as an appendix to the Report of

the Fourth Meeting of the Special Committee for the

Monitoring and Co-ordination of Development and Tran-

sition Planning for the Future Air Navigation System

(FANS Phase II) (Doc 9623). In 1996, the ICAO Council

recognized that this plan had served its purpose well and

had made a significant contribution toward realizing the

Figure I-1-1. Annual changes in scheduled aircraft movements

WORLD AIRCRAFT MOVEMENTS

1970 75 80 85 90 95

5 000

10 0 0

15 0 0

20 0 0

Departures (thousands)

Aircraft-kilometres (millions)

Aircraft-kilometres and departures

Part I. Operational Concept and General Planning Principles

Chapter 1. Introduction to CNS/ATM I-1-3

vision established by the FANS Committees, while

educating the international community on CNS/ATM sys-

tems and associated implementation issues. The Council

concluded, however, that the CNS/ATM systems had

matured; therefore, a more concrete plan which would

include all developments, while putting focus on regional

implementation, was required.

1.14 In light of the above, the Council directed the

ICAO Secretariat to revise the Global Plan as a “living

document” comprising technical, operational, economic,

financial, legal and institutional elements, offering practical

guidance and advice to regional planning groups and States

on implementation and funding strategies, which should

include technical cooperation aspects. These aspects of

CNS/ATM systems are addressed in this revised edition of

the Global Plan.

SHORTCOMINGS OF

CONVENTIONAL SYSTEMS

1.15 The FANS Committee, early in its work,

recognized that for an ideal worldwide air navigation

system, the ultimate objective should be to provide a cost-

effective and efficient system adaptable to all types of

operations in as near four-dimensional freedom (space and

time) as their capability would permit. With this ideal in

mind, it was recognized that the existing overall air navi-

gation system and its subsystems suffered from a number of

shortcomings in terms of their technical, operational,

procedural, economic and implementation nature. After

close analyses, the FANS Committee ascertained that the

shortcomings of current systems (FANS I conducted its

work between 1983 and 1988) around the world amounted

to essentially three factors:

a) the propagation limitations of current line-of-sight

systems;

b) the difficulty, caused by a variety of reasons, to

implement current CNS systems and operate them in

a consistent manner in large parts of the world; and

c) the limitations of voice communications and the

lack of digital air-ground data interchange systems

to support automated systems in the air and on the

ground.

1.16 Although the effects of the limitations were not

the same for every part of the world, the FANS Committee

foresaw that one or more of these factors inhibited the

desired development of ATM almost everywhere. As the

limitations were inherent to the existing systems them-

selves, the FANS Committee realized that there was little

likelihood that the global ATS system of the time could be

substantially improved. New approaches were necessary by

which the limitations could be surmounted and which would

further permit ATS systems to evolve into an ATM system

more responsive to the needs of the users. CNS/ATM

systems therefore, would have to allow for a considerable

improvement in safety, efficiency and flexibility on a global

basis.

A BRIEF LOOK AT CNS/ATM

1.17 The four main elements of CNS/ATM systems

are summarized below and are dealt with in detail in later

chapters of the Global Plan.

Communications

1.18 In CNS/ATM systems, the transmission of voice

will, initially, continue to take place over existing very high

frequency (VHF) channels; however, these same VHF

channels will increasingly be used to transmit digital data.

Satellite data and voice communications, capable of global

coverage, are also being introduced along with data trans-

mission over high frequency (HF) channels. The secondary

surveillance radar (SSR) Mode S, which is increasingly

being used for surveillance in high-density airspace, has the

capability of transmitting digital data between air and

ground. An aeronautical telecommunication network (ATN)

will provide for the interchange of digital data between

end-users over dissimilar air-ground and ground-ground

communications subnetworks. The regular use of data

transmission for ATM purposes will introduce many

changes in the way that communications between air and

ground takes place, and at the same time offer many new

possibilities and opportunities.

1.19 The benefits expected from the future communi-

cations systems lie in the fact that they will allow more

direct and efficient linkages between ground and airborne

automated systems in conjunction with pilot/controller

communications. In fact, digital data link can be seen as the

key to the development of new ATM concepts leading to

the achievement of real benefits.

Navigation

1.20 Improvements in navigation include the pro-

gressive introduction of area navigation (RNAV) capabilities

along with the global navigation satellite system (GNSS).

These systems provide for worldwide navigational coverage

I-1-4 Global Air Navigation Plan for CNS/ATM Systems

and are being used for worldwide en-route navigation and

for non-precision approaches. With appropriate augmen-

tation systems and related procedures, it is expected that

these systems will also support most precision approaches.

1.21 GNSS, as specified in Annex 10, will provide a

high-integrity, high-accuracy and all-weather worldwide

navigation service. The successful implementation of

GNSS would enable aircraft to navigate in all types of

airspace, in any part of the world, offering the possibility

for many States to dismantle some or all of their existing

ground-based navigation infrastructure. However, the

removal of conventional radio navigation aids should be

considered with caution and after a safety assessment has

demonstrated that an acceptable level of safety can be met

and after consultation with users through the regional air

navigation planning process.

Surveillance

1.22 Traditional SSR modes will continue to be used,

along with the gradual introduction of Mode S in both

terminal areas and high-density continental airspace. The

major breakthrough, however, is with the implementation of

automatic dependent surveillance (ADS). ADS allows air-

craft to automatically transmit their position, and other

data, such as heading, speed and other useful information

contained in the flight management system (FMS), via

satellite or other communications links, to an air traffic

control (ATC) unit where the position of the aircraft is

displayed somewhat like that on a radar display. ADS can

also be seen as an application that represents the true

merging of communications and navigation technologies,

and, along with ground system automation enhancements,

will allow for the introduction of significant improvements

for ATM, especially in oceanic airspace. Software is

currently being developed that would allow this data to be

used directly by ground computers to detect and resolve

conflicts. Eventually, this could lead to clearances being

negotiated between airborne and ground-based computers

with little or no human intervention.

1.23 Benefits would be derived quickly through ADS

in oceanic and some continental areas that currently have

no radar coverage.

1.24 ADS-broadcast (ADS-B)* is another concept for

dissemination of aircraft position information. Using this

method, aircraft periodically broadcast their position to

other aircraft as well as to ground systems. Any user,

whether airborne or on the ground, within range of the

broadcast, receives and processes the information. All users

of the system have real-time access to precisely the same

data, via similar displays, allowing a vast improvement in

traffic situational awareness.

Air traffic management

1.25 In considering implementation of new com-

munications, navigation and surveillance systems and all of

the expected improvements, it can be seen that the overall

main beneficiary is likely to be ATM. More appropriately,

the advancements in CNS technologies will serve to support

ATM. When referring to ATM in the future concept, much

more than just air traffic control is meant. In fact, ATM

refers to a system’s concept of management on a much

broader scale, which includes ATS, air traffic flow manage-

ment (ATFM), airspace management (ASM) and the

ATM-related aspects of flight operations.

1.26 An integrated global ATM system should fully

exploit the introduction of new CNS technologies through

international harmonization of Standards and procedures.

Ultimately, this would enable the aircraft operators to

conduct their flights in accordance with their preferred

trajectories, dynamically adjusted, in the most optimum and

cost-efficient manner. Figure I-1-2 illustrates how the

utilization of CNS technologies will result in ATM benefits.

BENEFITS OF THE

NEW SYSTEMS

1.27 CNS/ATM systems will improve the handling

and transfer of information, extend surveillance using ADS

and improve navigational accuracy. This will lead, among

other things, to reductions in separation between aircraft,

allowing for an increase in airspace capacity.

1.28 Advanced CNS/ATM systems will also see the

implementation of ground-based computerized systems to

support increases in traffic. These ground-based systems

will exchange data directly with FMS aboard aircraft

through a data link. This will benefit the ATM provider and

airspace user by enabling improved conflict detection and

resolution through intelligent processing, providing for the

automatic generation and transmission of conflict-free

clearances, as well as offering the means to adapt quickly to

changing traffic requirements. As a result, the ATM system

will be better able to accommodate an aircraft’s preferred

flight profile and help aircraft operators to achieve reduced

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 1. Introduction to CNS/ATM I-1-5

Figure I-1-2. A high-level view of expected benefits of the new systems

Air Traffic Management

• Enhanced safety

• Increased system capacity; optimized use of airport capacity

• Reduced delays

• Reduced flight operating costs

• Reduced fuel consumption and emissions

• More efficient use of airspace; more flexibility; reduced separations

• More dynamic flight planning; better accommodation of optimum

flight profiles

• Reduced controller workload/increased productivity

Communications Navigation Surveillance

• More direct and efficient

air-ground linkages

• Improved data handling

• Reduced channel congestion

• Reduced communications

errors

• Interoperability across

applications

• Reduced workload

• High-integrity, high-reliability,

all-weather navigation services

worldwide

• Improved four-dimensional

navigation accuracy

• Cost savings from reduction or

non-implementation of ground-

based navigation aids

• Better airport and runway

utilization

• Provision of non-precision

approach/precision approach

(NPA/PA) capabilities at

presently non-equipped

airports

• Reduced pilot workload

• Reduced error in position reports

• Surveillance in non-radar

airspace

• Cost savings

• Higher degree of controller

responsiveness to flight profile

changes

• Conformance monitoring

• Improved emergency assistance

I-1-6 Global Air Navigation Plan for CNS/ATM Systems

flight operating costs and delays. Table I-1-1 describes the

objectives and resulting benefits of CNS/ATM systems.

Benefits for the airlines

1.29 The benefits of CNS/ATM systems will ensue

through the formation of a more close-knit relationship,

allowing rapid and reliable transmission between ground

and airborne system elements. More accurate and reliable

navigation systems will also allow aircraft to navigate in all

types of airspace and operate closer together.

1.30 In anticipation of the advantages of CNS/ATM

systems, the airlines expect reduced separation standards

over oceanic airspace; increased access to remote areas; the

gradual introduction of 1 000 ft vertical separation above

29 000 ft; increased opportunities for more dynamic and

direct routings; and an overall enhancement of safety.

Benefits for the States that provide the

global air navigation infrastructure

1.31 For those States that provide and maintain exten-

sive ground infrastructures, a reduction in the overall cost

of operation and maintenance of facilities is expected as the

traditional ground systems become obsolete and satellite

technology is increasingly employed. They will also benefit

from enhanced safety.

1.32 CNS/ATM provides a timely opportunity for

developing States to enhance their infrastructures to handle

additional traffic with minimal investment. Many of these

States have large areas of available but unusable airspace,

mainly because of the expense involved in purchasing,

operating and maintaining the necessary ground infrastruc-

tures. CNS/ATM systems will afford them opportunities to

modernize inexpensively, which includes the provision of

precision and non-precision approaches.

Environmental benefits

1.33 As the aviation industry grows more and more

rapidly, the impact of air traffic operations on the global

atmosphere becomes increasingly important in addition to

the local effects of noise and air quality. Efforts to control

or reduce the environmental impact of air traffic have ident-

ified a range of options that might reduce the impact of

aircraft engine emissions. In particular, it is expected that

improvements in ATM could help reduce aviation fuel burn,

and thereby reduce the levels of aircraft engine emissions.

1.34 ICAO’s Committee on Aviation Environmental

Protection (CAEP) has developed a methodology and tool

for estimating global emissions and fuel usage and evalu-

ating the impact of various CNS/ATM enhancements, which

is described in more detail in Chapter 16.

General aviation

1.35 General aviation and utility aircraft will find

increasing access to avionics equipment that will allow

them to operate in flight conditions, into and out of airports,

that they would normally have been prohibited from using

because of the operating cost and associated requirements.

1.36 Furthermore, as a result of implementing

CNS/ATM systems, many remote areas that are currently

inaccessible to most general aviation aircraft because of

their inability to communicate or safely navigate over them,

would become accessible.

Indirect benefits

1.37 In addition to the direct benefits listed above,

there are also many indirect benefits, such as:

—lower fares and rates;

—passenger timesavings;

—transfer of high-technology skills;

—productivity improvements and industry

restructuring;

—stimulation of related industries;

—enhanced trade opportunities; and

—increased employment.

COST-BENEFIT STUDIES

1.38 To ensure the successful implementation of

CNS/ATM systems, the providers of air traffic services, the

users of these services, and financing organizations all need

to be advised of the financial implications and convinced of

the economic viability of new CNS/ATM systems. This can

be achieved through a comprehensive cost-benefit analysis,

(complemented by the development of business cases as

required), which includes the financial consequences

Part I. Operational Concept and General Planning Principles

Chapter 1. Introduction to CNS/ATM I-1-7

Table I-1-1. Objectives of CNS/ATM systems

* Emerging concept or technology — consensus still to be reached.

AIR TRAFFIC MANAGEMENT FLIGHT OPERATIONS

General

• ensure that all necessary information, including

information needed for dynamic flight planning, is

available to all ground and airborne systems

• enhance functional integration of ground systems

with airborne systems and the ATM-related aspects

of flight operations

• enhance the accuracy of conflict prediction and

resolution and the provision of real-time infor-

mation to controllers and operators

• enhance the accuracy of information related to

flight progress

• enhance functional integration of airborne systems

and flight operations with ground systems

• ensure the provision of accurate information

between airborne system elements and ground

system elements necessary for dynamic flight

planning

Safety

• ensure the provision of well-adapted and

harmonized safe procedures on a global basis

• ensure that separation between aircraft is main-

tained

• ensure that clearance between aircraft and obstacles

is maintained

• provide for enhanced contingency planning

• ensure that rapid alerting service is available

• ensure that safety levels are maintained as the use

of automation increases

• improve pilot situational awareness*

• ensure adequate clearance from terrain

• enable aircraft to maintain their own separation

under specific circumstances*

• ensure that safety levels are maintained as the use

of automation increases

• ensure integrity of database information

Regularity and

efficiency

• provide for the application of global ATM under

all operational conditions

• improve the application of tactical airspace

management through dynamic user involvement,

leading to more efficient airspace utilization

• improve strategic airspace management while

increasing tactical airspace flexibility

• ensure the provision of information necessary for

tactical and strategic ATFM

• enhance overall tactical and strategic ATFM so

that demand does not exceed capacity

• increase available capacity without increasing

controller workload

• ensure that aircraft can operate under all types of

weather conditions

• provide for the application of user-preferred flight

profiles

• ensure that the necessary infrastructure is available

to support gate-to-gate operations

• improve user capability to optimize flight planning

dynamically, in order to improve airspace capacity

through more flexible operations

• minimize aircraft operating cost penalties

• minimize differing equipment carriage require-

ments between regions

COMMUNICATIONS, NAVIGATION AND SURVEILLANCE

Communications • to enhance coverage, accessibility, capability, integrity, security and performance of aeronautical com-

munication systems in accordance with ATM requirements

Navigation

• to enhance coverage and allow for all weather navigation capability in all airspace, including approach and

landing, while maintaining or improving integrity, accuracy and performance in accordance with ATM

requirements

Surveillance • to enhance and extend effective surveillance to oceanic and remote areas while improving air traffic situational

awareness* in the cockpit in accordance with ATM requirements

I-1-8 Global Air Navigation Plan for CNS/ATM Systems

affecting all the partners involved in the implementation

process. In addition to the assessment of overall viability, it

is important to determine the separate impacts on State

administrations/organizations responsible for providing the

services, and on airlines and other aircraft operators who

use the services. For example, some State administrations/

organizations may find that the capital and operational costs

of a new system are greater than those at present. On the

other hand, any extra equipment and operational costs

borne by the airlines are likely to be more than offset by the

benefits they receive from more efficient flight paths made

possible by the new system. In these circumstances,

en-route charges may need to be adjusted to ensure that the

costs to the service providers are fully recovered. Business

case studies can give guidance on the scope and scale of

these adjustments.

1.39 There is a range of technical, operational and

institutional options for implementing CNS/ATM systems.

For example, air-ground communications in an airspace can

be established by aeronautical mobile-satellite service

(AMSS) (voice and data), VHF (voice and data), SSR

Mode S (data link), HF (voice/data) or any combination of

these. With regard to organizational options, a State might

independently supply services within its airspace or join

forces with other States under various possible arrange-

ments, such as the use of delegated intermediaries. Since

the costs and benefits associated with CNS/ATM systems

relate to the implementation plan, cost-benefit analysis can

help a State or a region to choose the implementation

option most appropriate to its needs and conditions.

1.40 A cost-benefit analysis can also provide guidance

on the appropriate timing for implementation of various

elements of a new system. The relative values of costs and

benefits associated with implementation are likely to vary

with the volume of traffic. For example, it is possible that

benefits from CNS/ATM systems will be more responsive

than costs to traffic growth, so that a new system will

become more economically attractive as traffic increases

over time. It is equally important to recognize that delays in

implementation may mean loss of benefits in the near term.

A cost-benefit analysis can take into account these facts, and

help identify the scheduling of investments that will yield

the greatest reward overall.

ORGANIZATIONAL AND

FINANCIAL ISSUES

1.41 A major challenge in the implementation process

of CNS/ATM systems relates to organizational and finan-

cial aspects. A characteristic of many CNS/ATM systems

elements is the multinational dimension; consequently,

international cooperation will be required to a great extent

throughout the implementation process and eventually in

the future operational environment. In many cases,

financing of basic system elements may need to be a joint

venture amongst the States involved at the regional or

global level. Financing at the national level would normally

be approached in a manner similar to that applied to

conventional air navigation systems. The establishment of

financially-autonomous authorities to operate air navigation

services (ANS) at the national level, and also at the inter-

national level, may facilitate solving the financing of

CNS/ATM systems.

ASSISTANCE REQUIREMENTS AND

TECHNICAL COOPERATION

1.42 While some States will be in a position to

develop their national CNS/ATM plans and implement sys-

tems using their own resources, the majority of States will

require some type of assistance in CNS/ATM planning and

implementation. Surveys carried out by ICAO through

questionnaires have identified States’ requirements for

assistance as follows:

a) needs assessments and project development;

b) familiarization and specialized seminars and work-

shops;

c) transition planning, including cost-benefit and cost-

recovery analyses;

d) donor mobilization and financing arrangements;

e) systems planning, specification, procurement, instal-

lation and commissioning; and

f) human resource planning and development.

1.43 The Statement of ICAO Policy on CNS/ATM

System Implementation and Operation includes, inter alia,

a stipulation that ICAO shall play its central role in coordi-

nating technical cooperation arrangements for CNS/ATM

systems implementation. The ICAO Objectives Implemen-

tation Mechanism was established by the 31st ICAO

Assembly (Assembly Resolution A31-14 refers) to, inter

alia, provide the technical assistance required by States in

national CNS/ATM systems planning and implementation

on a not-for-profit basis. Assistance in the establishment of

cooperative arrangements among States, under the auspices

of ICAO, e.g. to address common equipment or training

requirements, could also be provided.

Part I. Operational Concept and General Planning Principles

Chapter 1. Introduction to CNS/ATM I-1-9

LEGAL ISSUES

1.44 The legal framework for provision of air traffic

management services currently in place, the Chicago

Convention and its Annexes, governs the conduct of service

providers (including providers of elements of the services,

such as navigation aid positioning signals), and users

(including air operators). CNS/ATM systems will bring

significant benefits to States. It has been generally agreed

that there is no legal obstacle to the implementation of

CNS/ATM systems and that there is nothing inherent in

CNS/ATM systems which is inconsistent with the Chicago

Convention. The Panel of Legal and Technical Experts has

reached a number of conclusions:

1) GNSS shall be compatible with international law,

including the Chicago Convention, its Annexes and

the relevant rules applicable to outer space activities;

2) the integrity of any legal framework for the

implementation and operation of GNSS requires

observance of fundamental principles, which should

be established in a Charter; and

3) other legal issues should be further studied as long-

term GNSS is developed.

Accordingly, the Panel agreed on the text of a draft Charter

on the Rights and Obligations of States Relating to GNSS

Services and studied other legal issues related to GNSS.

The 32nd Session of the Assembly adopted the Charter (see

Appendix A to Chapter 11), which embodies the principles

applicable to the implementation and operation of GNSS,

including the safety of international civil aviation; universal

access to GNSS services without discrimination; preser-

vation of States’ sovereignty, authority and responsibility;

continuity, availability, integrity, accuracy and reliability of

GNSS services; compatibility of regional arrangements

with the global planning and implementation process, and

the principle of cooperation and mutual assistance. The

question on which neither the Council nor the Legal

Committee has achieved consensus is whether CNS/ATM

presents sufficiently problematic new features that a new

legal instrument or combination of instruments is required.

A more detailed discussion of the legal issues is set out in

Part I, Chapter 11.

SUMMARY

1.45 There are still a number of issues, in addition to

those described above, that will have to be dealt with and

overcome if all of the possible benefits of CNS/ATM sys-

tems are to be fully exploited. This will involve the

combined effort and goodwill of both ATM providers and

those that operate within the system and who will take

advantage of technologies.

1.46 Overall, the CNS/ATM systems are being viewed

upon favourably by those who have authority over, and

those who operate within, the air navigation system, who

realize that air traffic demand has already reached satur-

ation levels in many parts of the world. Early implemen-

tation of CNS/ATM systems is already taking place in order

to achieve early benefits.

I-2-1

Chapter 2

ICAO’S PLANNING STRUCTURE FOR CNS/ATM

INTRODUCTION

2.1 ICAO’s current forecast of the future growth in air

transport is depicted in Figure I-2-1. The increasing

demands on the global air navigation system can be

expressed in terms of aircraft movements at airports and in

the airspace. Aircraft departures and arrivals at airports are

expected to increase by nearly 30 per cent between 1995

and 2005. Aircraft-kilometres flown are expected to

increase by 55 per cent over the same period. Further

growth in these parameters is likely in the decade beyond.

As traffic volumes grow, the demands on the ATS provider

in an airspace increase. For given separation standards, the

number of flights unable to follow optimum flight paths

increases. This creates pressure to upgrade the level of ATS.

In the past, this may have required expenditures on

additional facilities such as VHF omnidirectional radio

range (VOR) and radar and communications equipment.

CNS/ATM systems, however, will provide for increased

capacity to meet such demands and will also produce

benefits in the way of more efficient flight profiles.

2.2 Although implementation of the new CNS/ATM

systems is well under way, the major challenge for ICAO

now is to guide the evolutionary development and im-

plementation of a seamless, global ATM system that will

enable aircraft operators to meet their planned times of

departure and arrival and adhere to their preferred flight

profiles with minimum constraints. The first version of the

Global Coordinated Plan for Transition to ICAO CNS/ATM

systems was an important milestone towards achieving this

goal. Transition and implementation remains as the

continuing challenge, which poses many difficult and

complex issues for those involved in the overall planning

and implementation process. Figure I-2-2 illustrates the

progression of the work of ICAO toward global ATM.

Figure I-2-1. Outlook for world aircraft movements

WORLD AIRCRAFT MOVEMENT FORECAST

1970 75 80 85 90 95 2000 2005

5 000

10 000

15 000

20 000

25 000

Departures (thousands)

Aircraft-kilometres

(millions)

ACTUAL FORECAST

Aircraft-kilometres and departures

I-2-2 Global Air Navigation Plan for CNS/ATM Systems

THE REGIONAL PLANNING PROCESS

2.3 The regional planning process is the principal

engine of ICAO’s planning and implementation work. It is

here that the top-down approach, comprising global guid-

ance and regional harmonization measures, converges with

the bottom-up approach constituted by States and aircraft

operators and their proposals for implementation options.

2.4 In its most basic form, the output from the

regional planning process should be a listing of air navi-

gation facilities and services, together with their achievable

time frames, necessary for CNS/ATM systems implemen-

tation. These listings are already, or will be, included in the

ANPs, which are produced by ICAO regional air navigation

meetings and maintained by the ICAO PIRGs with the

assistance of ICAO’s regional offices (Figure I-2-3 illus-

trates a hierarchical approach to the planning process in

support of global harmonization).

2.5 Traffic forecasts have a special role in planning

the implementation of CNS/ATM systems. The forecasts

represent the demand for future ATM. The PIRGs must

therefore base their work on well-developed traffic density

forecasts. The plans developed from this work then specify

the infrastructure and arrangements which will supply the

required level of ATS. A uniform strategy has been adopted

by ICAO for the purpose of preparing traffic forecasts in

support of the regional planning process. This involves the

establishment of a small group of forecasting experts in

each of the ICAO regions. Each traffic forecasting group

will provide the corresponding PIRG with forecasts of

aircraft movements within homogeneous ATM areas and

along major international traffic flows.

THE NATIONAL PLANNING PROCESS

2.6 ICAO has been addressing the planning strategy

for CNS/ATM systems at the global and regional levels,

leaving the responsibility for undertaking the task of

structuring national plans to Contracting States. There is a

need for integration and rationalization to ensure harmoniz-

ation of national planning with planning at other levels. A

national plan is required to improve the overall efficiency

and capacity of the State airspace infrastructure and to

address the requirements arising out of the growth in both

international and domestic air traffic. National planning,

which is formulated by each State, should be in accordance

Figure I-2-2. CNSM systems evolution

Worldwide CNS/ATM

Systems Implementation

Conference held

CNS/ATM Regional Planning

and Implementation

SARPs, PANS and

Guidance Material

1993

Global Coordinated Plan for

Transition to ICAO CNS/ATM

Systems completed

1992

Assembly endorsement of

CNS/ATM systems

1998

Progressive

development

2010 and

beyond

1991

1988

1983

Global

ATM

Tenth Air Navigation

Conference endorsed

FANS concept

FANS concept developed

Implementation

Global ATM

operational concept

ALLPIRG Meetings

Development of SARPs

Regional Planning

FANS Committee

established

Global Air Navigation Plan

for CNS/ATM Systems

accepted by Council

Part I. Operational Concept and General Planning Principles

Chapter 2. ICAO’s Planning Structure for CNS/ATM I-2-3

with regional requirements and implementation guidelines.

It requires ongoing interaction with adjacent States, the

regional planning group, and subregional groups to ensure

harmonization and interoperability. The national plan

document, so structured, will direct the national work

programme for a progressive, cooperative and cost-effective

implementation of CNS/ATM systems.

CNS/ATM PARTNERS AND TOOLS

2.7 Planning for implementation of facilities and

services associated with CNS/ATM systems involves the

combined efforts of ICAO, States, users, service providers

and industry. These entities are more commonly known as

the CNS/ATM partners. The partners conduct their work at

several levels with the aim of developing planning docu-

mentation which, either directly or indirectly, forms the

foundation for development of the regional ANPs. ANPs

then list the requirements for facilities and services necess-

ary for the safe and efficient conduct of international civil

aviation, and also depict time lines. ICAO provides guidance

at the global level in order to ensure harmonization and

standardization of regional ANPs.

ACTION PROGRAMME

2.8 The actions required for transition to and

implementation of CNS/ATM systems are depicted in

Figure I-2-4, which includes guidelines and key activities for

the States/regions, users, service providers, manufacturers

and ICAO.

RELEVANT ICAO POLICIES

ON CNS/ATM

General

2.9 The ICAO Council, at the second meeting of its

141st Session, acting on recommendations contained in the

Report of the Fourth Meeting of the Special Committee for

the Monitoring and Co-ordination of Development and

Transition Planning for the Future Air Navigation System

(FANS Phase II) (Doc 9623), approved the Statement of

ICAO Policy on CNS/ATM Systems Implementation and

Operation (Appendix A to this chapter refers), which

stipulates principles of universal accessibility, sovereignty,

Figure I-2-3. ICAO’s planning process in support of global harmonization

Review and harmonize regional ANPs

National

plans

Regional

requirements

GLOBAL GUIDANCE

Global Plan for CNS/ATM systems,

SARPs, PANS, guidance material

APANPIRG

(ASIA/PAC)

APIRG

(AFI)

EANPG

(EUR)

GREPECAS

(CAR/SAM)

MIDANPIRG

(MID)

NATSPG

(NAT)

REGIONAL PLANNING GROUPS

Develop and maintain regional ANPs

Air traffic

forecasts

COUNCIL ANC

ALLPIRG

I-2-4 Global Air Navigation Plan for CNS/ATM Systems

Users

• Install avionics

• Participate in development of

equipment standards

• Cooperate in planning toward the

transition

• Be involved in research, develop-

ment, test and demonstration

• Exploit applications in CNS/ATM

technology in accordance with

regional and global plans

• Participate in training activities

Service providers

• Develop and install the

necessary infrastructures

• Participate in Standards

development

• Be involved in research,

development, test and

demonstration

• Cooperate with each other and

with air traffic management

• Undertake safety assessments

Figure I-2-4. Action programme for CNS/ATM systems

Manufacturers

• Participate in Standards

development

• Participate in research, develop-

ment, test and demonstration

• Support transition planning

activities

• Assure the provision of adequate

logistics support and training for

new CNS equipment

ICAO

• Develop Standards and

Recommended Practices (SARPs)

and guidance material

• Assist States/regions in developing

plans in accordance with the Global

Plan

• Develop and assist in training

• Provide technical assistance,

including seminars, as needed

• Support continued allocation of

spectrum to meet requirements

• Provide assistance with

environmental aspects

States/regions

• Follow ICAO implementation

guidelines

• Develop ATM regional objectives

• Establish CNS requirements in

consultation with service providers

and users

• Develop and implement regional

plans

• Ensure safety

• Perform cost-benefit analysis

• Engage in research, development,

test and demonstration

• Consider the environmental benefits

• Select implementation options

• Remain in contact with service

providers

• Implement early applications

• Develop and conduct training

• Define procedures and practices

• Plan for decommissioning of

obsolete equipment

• Conduct certification, including RNP,

RCP and RSP airspace

• Promote international cooperation

CNS/ATM

systems

Part I. Operational Concept and General Planning Principles

Chapter 2. ICAO’s Planning Structure for CNS/ATM I-2-5

authority and responsibility of Contracting States of ICAO.

This statement also sets out the precepts concerning

technical cooperation, institutional arrangements, airspace

organization and utilization, continuity and quality of

service and cost-recovery.

Financial

2.10 As referred to in paragraph 9 of the Statement of

ICAO Policy on CNS/ATM Systems Implementation and

Operation, the basic policy established by ICAO in the area

of airport and air navigation services charges is expressed in

Article 15 — Airport and similar charges — of the Chicago

Convention. Additional and more detailed policy guidance

in the area of air navigation services charges is provided in

ICAO’s Policies on Charges for Airports and Air Navigation

Services (Doc 9082). The basic philosophy and principles

expressed in the Convention and the Statement on charges

for air navigation services are fairness and equity in the

determination and sharing of air navigation services costs.

The principles contained in the Council Statement address

such subjects as the cost basis for air navigation services

charges, allocation of air navigation services costs among

aeronautical users, air navigation services charging systems,

approach and aerodrome control charges, route air navi-

gation services charges, charges for air navigation services

used by aircraft when not over the Provider State, and

consultation with users regarding charges and air navigation

services planning. These principles, by applying to air

navigation services in general, thereby also apply to

CNS/ATM systems. Hence, no specific reference is made to

particular cost-recovery principles that apply exclusively to

these systems. CNS/ATM systems will, however, require

special considerations insofar as organizational, managerial

and cooperative aspects are concerned, as well as with

regard to financing, cost and cost-recovery mechanisms.

Technical cooperation

2.11 The 31st ICAO Assembly (Assembly Resolution

A32-21 refers) (see Appendix C to this chapter) established

the ICAO Objectives Implementation Mechanism as part of

the transition to a new policy on technical cooperation,

recognizing that the advisory role of ICAO to its Contracting

States should be complemented and strengthened at the State

and regional levels for the effective implementation of

SARPs and ANPs by the ICAO Technical Co-operation

Programme. The Council also assigned ICAO a central role

in coordinating technical cooperation arrangements for

CNS/ATM systems implementation and invited States to

provide funds and in-kind assistance where possible

(Appendix A to this chapter refers).

2.12 The Assembly encouraged States to make use of,

and contribute to, the ICAO Objectives Implementation

Mechanism, aimed at consolidating all other funding

mechanisms. The ICAO Council directed this new mechan-

ism to pay special attention to assistance requirements of

States in CNS/ATM and other areas.

Institutional guidelines and

guidelines for transition

2.13 Finally, in developing the original Global Plan

for transition to CNS/ATM systems, the FANS Phase II

Committee developed a set of institutional guidelines pro-

viding guidance for transition to and implementation of

CNS/ATM systems. Since the writing of the original Global

Plan, the original institutional guidelines have been duly

considered by ICAO bodies, overtaken by events or have

otherwise become obsolete. Many of these are embodied in

the Statement of ICAO Policy on CNS/ATM Systems

Implementation and Operation (Appendix A to this chapter

refers). Specific guidance on legal and institutional aspects

is provided in Part I, Chapter 11, while organizational and

international cooperative aspects are covered in Part I,

Chapter 12. Transition and implementation guidelines are

presented in their respective chapters.

ICAO’S ROLE AND RESPONSIBILITY

2.14 ICAO is the focal point for developing the

blueprint for CNS/ATM systems and is also the central

coordinating body for its implementation. ICAO has fulfilled

and continues to fulfil this role in the following ways:

a) In 1983, the ICAO Council gave the task of

studying, inter alia, civil applications of satellite

systems to the FANS Committee, which developed

an air navigation concept for the future;

b) The ICAO Air Navigation Commission, with the

support of its panels and the ICAO Secretariat, is

carrying out much of the technical work necessary

for international standardization, including the

development of an ATM operational concept;

c) The international SARPs are continuously reviewed,

updated and developed to take into account

CNS/ATM systems requirements;

d) PIRGs are developing the regional requirements for

facilities and services to be implemented by States;

I-2-6 Global Air Navigation Plan for CNS/ATM Systems

e) Guidance material on economic and related organi-

zational and managerial issues has been developed;

f) A legal framework for GNSS is being studied; and

g) ICAO’s Technical Co-operation Programme is pro-

viding assistance to States with such requirements.

2.15 In accordance with its obligations under the

Chicago Convention, ICAO continues to carry out its

responsibility concerning the adoption and amendment of

relevant international SARPs and procedures. These SARPs

and procedures are continually being developed, reviewed

and updated developed to accommodate CNS/ATM systems

requirements. This continuing practice ensures the highest

possible degree of uniformity in all matters concerning

safety, regularity and efficiency of air navigation. Fig-

ure I-2-5 depicts the relationship between the Global Plan,

the regional ANPs and the national plans, and also the

interaction and relationship between the various ICAO

bodies and States.

Figure I-2-5. Relationship between the Global Plan,

regional ANPs and national plans

— — — — — — — — —

National

plans

Basic operational

requirements and planning

criteria (BORPC)

Facilities and services

implementation

documents (FASIDs)

GLOBAL PLAN

REGIONAL ANP

States

Action

Contribution line

Harmonization

* Planning and implementation

regional groups

Operational concept and

general planning

principles (Part I)

Facilities and services for

implementation of the

Global Plan (Part II)

the

ICAO

Headquarters

PIRGs*

ROs**

** Regional offices

Part I. Operational Concept and General Planning Principles

Chapter 2. ICAO’s Planning Structure for CNS/ATM I-2-7

APPENDIX A TO CHAPTER 2

STATEMENT OF ICAO POLICY ON CNS/ATM SYSTEMS

IMPLEMENTATION AND OPERATION

Approved by Council (C 141/13) on 9 March 1994

In continuing to fulfil its mandate under Article 44 of

the Convention on International Aviation by, inter alia,

developing the principles and techniques of international air

navigation and fostering the planning and development of

international air transport so as to ensure the safe and

orderly growth of international civil aviation throughout the

world, the International Civil Aviation Organization (ICAO),

recognizing the limitations of the present terrestrial-based

system, developed the ICAO communications, navigation

and surveillance/air traffic management (CNS/ATM) sys-

tems concept, utilizing satellite technology. ICAO considers

an early introduction of the new systems to be in the interest

of healthy growth of international civil aviation.

The implementation and operation of the new

CNS/ATM systems shall adhere to the following precepts:

1. UNIVERSAL ACCESSIBILITY

The principle of universal accessibility without discrimi-

nation shall govern the provision of all air navigation

services provided by way of the CNS/ATM systems.

2. SOVEREIGNTY, AUTHORITY AND

RESPONSIBILITY OF CONTRACTING STATES

Implementation and operation of CNS/ATM systems which

States have undertaken to provide in accordance with

Article 28 of the Convention shall neither infringe nor

impose restrictions upon States’ sovereignty, authority or

responsibility in the control of air navigation and the

promulgation and enforcement of safety regulations. States’

authority shall be preserved in the coordination and control

of communications and in the augmentation, as necessary,

of satellite navigation services.

3. RESPONSIBILITY AND ROLE OF ICAO

In accordance with Article 37 of the Convention, ICAO

shall continue to discharge the responsibility for the

adoption and amendment of Standards, Recommended

Practices and Procedures governing the CNS/ATM systems.

In order to secure the highest practicable degree of

uniformity in all matters concerned with the safety,

regularity and efficiency of air navigation, ICAO shall coor-

dinate and monitor the implementation of the CNS/ATM

systems on a global basis, in accordance with ICAO’s

regional air navigation plans and global coordinated

CNS/ATM systems plan. In addition, ICAO shall facilitate

the provision of assistance to States with regard to the tech-

nical, financial, managerial, legal and cooperative aspects

of implementation. ICAO’s role in the coordination and use

of frequency spectrum in respect of communications and

navigation in support of international civil aviation shall

continue to be recognized.

4. TECHNICAL COOPERATION

In the interest of globally coordinated, harmonious

implementation and early realization of benefits to States,

users and providers, ICAO recognizes the need for

technical cooperation in the implementation and efficient

operation of CNS/ATM systems. Towards this end, ICAO

shall play its central role in coordinating technical cooper-

ation arrangements for CNS/ATM systems implementation.

ICAO also invites States in a position to do so to provide

assistance with respect to technical, financial, managerial,

legal and cooperative aspects of implementation.

5. INSTITUTIONAL ARRANGEMENTS

AND IMPLEMENTATION

The CNS/ATM systems shall, as far as practicable, make

optimum use of existing organizational structure, modified

if necessary, and shall be operated in accordance with

existing institutional arrangements and legal regulations. In

the implementation of CNS/ATM systems, advantage shall

be taken, where appropriate, of rationalization, integration

and harmonization of systems. Implementation should be

sufficiently flexible to accommodate existing and future

services in an evolutionary manner. It is recognized that a

globally coordinated implementation, with full involve-

ment of States, users and service providers through, inter

alia, regional air navigation planning and implementation

groups, is the key to the realization of full benefits from the

I-2-8 Global Air Navigation Plan for CNS/ATM Systems

CNS/ATM systems. The associated institutional arrange-

ments shall not inhibit competition among service providers

complying with relevant ICAO Standards, Recommended

Practices and Procedures.

6. GLOBAL NAVIGATION SATELLITE

SYSTEM

The global navigation satellite system (GNSS) should be

implemented as an evolutionary progression from existing

global navigation satellite systems, including the United

States’ global positioning system (GPS) and the Russian

Federation’s global orbiting navigation satellite system

(GLONASS), towards an integrated GNSS over which

Contracting States exercise a sufficient level of control on

aspects related to its use by civil aviation. ICAO shall

continue to explore, in consultation with Contracting States,

airspace users and service providers, the feasibility of

achieving a civil internationally controlled GNSS.

7. AIRSPACE ORGANIZATION AND

UTILIZATION

The airspace shall be organized so as to provide for

efficiency of service. CNS/ATM systems shall be im-

plemented so as to overcome the limitations of the current

systems and to cater for evolving global air traffic demand

and user requirements for efficiency and economy while

maintaining or improving the existing levels of safety.

While no changes to the current flight information region

organization are required for implementation of the

CNS/ATM systems, States may achieve further efficiency

and economy through consolidation of facilities and

services.

8. CONTINUITY AND QUALITY

OF SERVICE

Continuous availability of service from the CNS/ATM

systems, including effective arrangements to minimize the

operational impact of unavoidable system malfunctions or

failure and achieve expeditious service recovery, shall be

assured. Quality of system service shall comply with ICAO

Standards of system integrity and be accorded the required

priority, security and protection from interference.

9. COST-RECOVERY

In order to achieve a reasonable cost allocation between all

users, any recovery of costs incurred in the provision of

CNS/ATM services shall be in accordance with Article 15

of the Convention and shall be based on the principles set

forth in ICAO’s Policies on Charges for Airports and Air

Navigation Services (Doc 9082), including the principle

that it shall neither inhibit nor discourage the use of the

satellite-based safety services. Cooperation amongst States

in their cost-recovery efforts is strongly recommended.

— — — — — — — — —

Part I. Operational Concept and General Planning Principles

Chapter 2. ICAO’s Planning Structure for CNS/ATM I-2-9

APPENDIX B TO CHAPTER 2

EXTRACT FROM THE ASSEMBLY RESOLUTIONS IN FORCE

(AS OF 2 OCTOBER 1998) (DOC 9730)

ASSEMBLY RESOLUTION A31-6

Whereas it is considered desirable to consolidate

Assembly resolutions on the Organization’s policies and

practices related to CNS/ATM in order to facilitate their

implementation and practical application by making their

text more readily available and logically organized;

The Assembly:

1. Resolves that the Appendices attached to this

resolution constitute the consolidated statement of continu-

ing ICAO policies and practices related to CNS/ATM, up to

date as these policies exist at the close of the 31st Session

of the Assembly;

2. Resolves to continue to adopt at each ordinary

session of the Assembly, for which a Technical Commission

is established, a consolidated statement of continuing ICAO

policies and practices related to CNS/ATM; and

3. Declares that this resolution supersedes A29-8 and

A29-9.

APPENDIX A (to Assembly Resolution A31-6)

General Policy

Whereas ICAO is the only international organization in

a position effectively to coordinate global CNS/ATM

activities;

Whereas the ICAO CNS/ATM systems should be

utilized to serve the interests and the objectives of civil

aviation throughout the world;

Whereas Contracting States should have equal rights to

benefit from global systems incorporated within the ICAO

CNS/ATM systems;

Considering the Statement of ICAO Policy on CNS/

ATM Systems Implementation and Operation developed

and adopted by the ICAO Council on 9 March 1994;

The Assembly:

1. Resolves that nothing should deprive a Contracting

State from its right to benefit from the ICAO CNS/ATM

systems or cause discrimination between provider and user

States;

2. Resolves that States’ sovereignty and borders

should not be affected by the ICAO CNS/ATM systems

implementation;

3. Urges that provisions and guidance material

relating to all aspects of the ICAO CNS/ATM systems

should be sought and developed through the convening of

adequate meetings, conferences, panels and workshops

with the participation of Contracting States; and

4. Urges that the proposed provisions covering all

aspects of the ICAO CNS/ATM systems be presented to all

Contracting States well in advance to give them enough

opportunity to prepare themselves as far as practicable.

APPENDIX B (to Assembly Resolution A31-6)

Harmonization of the implementation of the

ICAO CNS/ATM systems

Considering the international character of civil aviation

and the regional interactions of air navigation services;

Considering Recommendations 4/5, 6/2, 7/1, 8/4 and

8/5 of the Tenth Air Navigation Conference, Recommen-

dations 4/4 and 4/5 of the third meeting of the Special

Committee for the Monitoring and Coordination of

Development and Transition Planning for the Future Air

Navigation System (FANS Phase II) and Recommen-

dation 4/4 of the fourth meeting of the FANS (Phase II)

Committee;

Considering that these recommendations have been

noted or approved by the Council of ICAO, which has

A31-6: Consolidated statement of continuing

ICAO policies and practices related to

communications, navigation and

surveillance/air traffic management

(CNS/ATM) systems

I-2-10 Global Air Navigation Plan for CNS/ATM Systems

instructed the Secretary General of ICAO to take all

appropriate measures;

Recognizing the role which regions must play in the

planning and implementation of the ICAO CNS/ATM

systems;

Conscious of the delay which certain regions could

experience in the transition to these systems;

Noting with satisfaction the trials and demonstrations

programmes and the progress being achieved by certain

regions with regard to these systems;

Noting that it has not been possible in some areas to

initiate such trials and demonstrations programmes;

Believing that the contribution of all regions would

guarantee a better evaluation of the trials and would favour

the evolution of the ICAO CNS/ATM systems;

Noting that economic and institutional issues, in

particular cost/benefit analysis, and facility financing, cost

recovery and cooperative aspects, need to be addressed by

States individually and/or collectively;

Noting that for an early realization of benefits to users

and for globally coordinated and harmonious CNS/ATM

systems implementation certain States will require technical

and financial assistance and recognizing the statement

concerning the central role ICAO shall play in coordinating

technical cooperation arrangements as well as in facilitating

the provision of assistance to States with regard to the tech-

nical, financial, managerial, legal and cooperative aspects of

implementation;

The Assembly:

1. Calls upon States, in a position to do so, to spare no

effort in cooperating and facilitating the execution of the

research, development, trials and demonstrations (RDT&D)

programme in close cooperation with States with limited

resources;

2. Invites the cooperation of the international organi-

zations concerned, users and service providers for the

execution of the above-mentioned programme in favour of

States with limited resources;

3. Requests the Council, as a matter of high priority

within the budget adopted by the Assembly, to:

a) ensure that the resources necessary for the

implementation of the following recommendations

are made available:

1) Recommendations 4/5, 6/2, 7/1, 8/4 and 8/5 of

AN-CONF/10;

2) Recommendations 4/4 and 4/5 of FANS(II)/3;

3) Recommendation 4/4 of FANS(II)/4; and

b) ensure that adequate resources are made available

to the ICAO Regional Offices, particularly those

which are accredited to the developing States,

taking into account the increased support they will

be called upon to provide to the regional planning

and implementation groups, which are the main

bodies for the regional planning of the transition to

the ICAO CNS/ATM systems;

4. Further requests the Council to urge States,

international organizations and financial institutions to

mobilize resources in order to assist States requiring tech-

nical cooperation in the planning and implementation of the

ICAO CNS/ATM systems;

5. Urges the Council to continue considering without

delay the economic, institutional, legal and strategic aspects

related to the implementation of the ICAO CNS/ATM

systems.

— — — — — — — — —

Part I. Operational Concept and General Planning Principles

Chapter 2. ICAO’s Planning Structure for CNS/ATM I-2-11

APPENDIX C TO CHAPTER 2

EXTRACT FROM THE ASSEMBLY RESOLUTIONS IN FORCE

(AS OF 2 OCTOBER 1998) (DOC 9730)

ASSEMBLY RESOLUTION A32-21

Whereas the ICAO Technical Co-operation Programme

has been in operation since 1951 and has made invaluable

contributions to international civil aviation;

Whereas technical cooperation has been established as

a permanent priority activity of ICAO but should be further

integrated with the Organization’s other activities;

Whereas the growth and improvement of civil aviation

contributes significantly to the economic development of

States;

Whereas ICAO, through its Technical Co-operation

Programme, effectively assists States in advancing their

civil aviation;

Whereas the persistent decline of funding from the

United Nations Development Programme (UNDP) continues

to affect the Technical Co-operation Programme;

Whereas, prior to Resolution A29-20, ICAO’s Technical

Co-operation Programme did not have financial support from

the Regular Programme in the case of budget shortfalls;

Whereas the advisory/regulatory role of ICAO to

Contracting States should be complemented and strength-

ened at the country and regional levels for the effective

implementation by the Technical Co-operation Bureau of

ICAO SARPs and ANPs, as well as ICAO’s CNS/ATM and

Flight Safety Oversight Programme;

Whereas the 31st Session of the Assembly endorsed the

new policy on technical cooperation based on the pro-

gressive implementation of the core staff concept, the

progressive integration of the TCB into the organizational

structure, and the establishment of the ICAO Objectives

Implementation Funding Mechanism, as well as the

objectives of the new policy which emphasize the global

implementation of SARPs and ANPs and the development

of civil aviation master plans; and

Whereas the implementation of the elements of the new

policy on technical cooperation has already contributed and

will continue to contribute to minimize staff costs and

maximize the Technical Co-operation Programme and its

implementation, and substantially improve the financial

situation of the Technical Co-operation Bureau;

The Assembly:

1. Notes with satisfaction the progress made in the

progressive implementation of the core staff and the related

integration of the Technical Co-operation Bureau into the

Organization’s structure;

2. Urges the Secretary General to further promote

ICAO’s Technical Co-operation Bureau and its role in the

implementation of ICAO’s SARPs including the CNS/ATM

and Flight Safety Oversight Programmes; and

3. Encourages Contracting States to make use of the

Technical Co-operation Programme of ICAO and to con-

tribute to the ICAO Objectives Implementation Funding

Mechanism of which all funds are mainly intended for

SARPs implementation including the Flight Safety Oversight

and the CNS/ATM Programmes.

4. Approves the following transitional measures for

implementation during the 1999-2001 Triennium:

a) In case of a budget shortfall, the Regular Pro-

gramme budget will continue to augment the sup-

port cost income earned from projects to support

the Technical Co-operation Programme according

to the proposal contained in the Programme Budget

for the Organization for 1999, 2000 and 2001.

b) The Council and the Secretary General will further

implement the core staff concept by attrition,

restructuring and staff transfer.

A32-21:Transition to a new policy on Technical

Co-operation

I-2-12 Global Air Navigation Plan for CNS/ATM Systems

c) The Council and the Secretary General will adopt

further measures to integrate the Technical

Co-operation Bureau into the Organization’s

structure;

5. Directs the Council to report to the next ordinary

session of the Assembly regarding the plan for further

integration and the measures taken in the meantime, and to

prepare for its consideration a consolidated Resolution

regarding all technical cooperation activities and pro-

grammes; and

6. Decides that this Resolution replaces and supersedes

Resolution A31-14.

I-3-1

Chapter 3

GLOBAL PLANNING METHODOLOGY

INTRODUCTION

3.1 As traffic volumes grow worldwide, the demands

on the ATS provider in a given airspace increase, as do the

complexities of air traffic management. The number of

flights unable to follow optimum flight paths also increases

with an increase in traffic density. This creates pressure to

upgrade the level of ATS by, inter alia, reducing separation

minima.

3.2 Implementation of CNS/ATM systems will

enhance capacity to meet the increasing demand, while

producing additional benefits in the way of more efficient

flight profiles and increased levels of safety. The potential

for new technologies to significantly reduce service costs,

however, will require new arrangements in the provision of

services and changes in air traffic management procedures.

3.3 This chapter of the Global Plan provides

instructions on how to begin the process of identifying

ATM requirements, on the basis of identified homogeneous

ATM areas and major traffic flows and routing areas,

followed by the determination of regional and global CNS

system elements needed to meet the ATM requirements.

HOMOGENEOUS ATM AREAS AND

MAJOR TRAFFIC FLOWS

Homogeneous ATM area

3.4 Homogeneous ATM area. An airspace with a

common air traffic management interest, based on similar

characteristics of traffic density, complexity, air navigation

system infrastructure requirements or other specified con-

siderations wherein a common detailed plan will foster the

implementation of interoperable CNS/ATM systems.

Note.— Homogeneous ATM areas may extend over

States, specific portions of States, or groupings of States.

They may also extend over large oceanic and continental

areas. They are considered areas of shared interest and

requirements.

3.5 The method of identifying homogeneous ATM

areas involves consideration of the varying degrees of

complexity and diversity of the worldwide air navigation

infrastructure. Based on these considerations, it is considered

that planning could best be achieved, at the global level, if it

were organized based on ATM areas of common require-

ments and interest, taking into account traffic density and the

level of sophistication required (Figure I-3-1 offers several

examples).

Major traffic flows

3.6 Major traffic flow. A concentration of significant

volumes of air traffic on the same or proximate flight

trajectories.

Note.— Major traffic flows may cross several

homogeneous ATM areas with different characteristics.

3.7 Routing area. An area encompassing one or more

major traffic flows, defined for the purpose of developing a

detailed plan for the implementation of CNS/ATM systems

and procedures.

Note.— A routing area may cross several homogeneous

ATM areas with different characteristics. A routing area

specifies common interests and requirements among under-

lying homogeneous areas, for which a detailed plan for the

implementation of CNS/ATM systems and procedures either

for airspace or aircraft will be specified.

3.8 The basic planning parameter is the number of

aircraft movements that must be provided with ATM

REFERENCES

Statement of Basic Operational Requirements and

Planning Criteria for Regional Air Navigation

Planning (Regional Air Navigation Plans)

Air Traffic Services Planning Manual (Doc 9426)

Automatic Dependent Surveillance (Circular 226)

Methodology for the Derivation of Separation Minima

Applied to the Spacing between Parallel Tracks in

ATS Route Structures (Circular 120)

I-3-2 Global Air Navigation Plan for CNS/ATM Systems

services. Estimates and forecasts of annual aircraft move-

ments over the planning period are required for high-level

planning. Forecasts of aircraft movements in peak periods,

such as during a particularly busy hour, are needed for

detailed planning. Additionally, appropriate civil/military

coordination and consideration of special use airspace

(SUA) is required. This coordination should take place

during the planning stage to ensure a realistic chance of

implementation and in the tactical phase to allow for a

flexible use of airspace through the dynamic design and

activation of SUA. The principal data sources for current or

historic aircraft movements are the official airline guides:

World Airways Guide, ICAO’s Traffic by Flight Stage

Statistics and En-route Facility Statistics, and specific

statistical information for flight information regions, which

can be obtained from relevant area control centres (ACCs).

3.9 The ICAO Secretariat, in cooperation with the

International Air Transport Association (IATA), is progress-

ively developing estimates of current traffic volumes for

specific areas, which consist of major international route

groups. This information is being designed to assist with

planning at the global level. Additionally, traffic forecasting

groups are being established by ICAO in order to provide

the PIRGs with comprehensive databases and forecasts of

traffic flows for groups of routes for the detailed planning

process.

STATEMENT OF BASIC OPERATIONAL

REQUIREMENTS AND PLANNING CRITERIA

FOR REGIONAL AIR NAVIGATION PLANNING

3.10 While the Global Plan provides the framework to

be followed in the planning process, along with the latest

information and planning criteria for development of

emerging and future systems, the Statement of Basic

Figure I-3-1. Examples of major international traffic flows

Area of

routing

(AR) Traffic flows FIRs involved

Type of area

covered Remarks

Asia/Pacific (ASIA/PAC) Regions

ARx Asia/Australia and Africa Bangkok, Bombay,

Colombo, Jakarta, Kuala

Lumpur, Madras, Malé,

Melbourne, Singapore,

Yangon, [and African

FIR/UIRs]

Oceanic low

density

Major traffic flow

AFI/ASIA/MID

ARx Asia (Indonesia north to

China, Japan and the

Republic of Korea),

Australia/New Zealand

Auckland, Bali,

Bangkok, Beijing, Biak,

Brisbane, Guangzhou,

Hanoi, Ho-Chi-Minh,

Hong Kong, Honiara,

Jakarta, Kota Kinabalu,

Kuala Lumpur, Manila,

Melbourne, Nadi, Naha,

Nauru, Oakland, Phnom-

Penh, Port Moresby,

Shanghai, Singapore,

Taegu, Tai pei , Tokyo,

Ujung Pandang,

Vientiane, Wuhan,

Yangon

Oceanic high

density

Major traffic flow

ASIA/PAC

ARx Asia and North America

via the Russian Far East

and the Polar Tracks via

the Arctic Ocean and

Siberia

Anchorage, Beijing,

Guangzhou, Hong Kong,

Pyongyang, Russian Far

East of 80E, Shanghai,

Shenyang, Taegu, Tokyo,

Wuhan and Ulaanbaatar,

[and Canadian FIRs]

Continental low

density/

Continental high

density

Major traffic flow

ASIA/EUR/

NAM/NAT

Part I. Operational Concept and General Planning Principles

Chapter 3. Global Planning Methodology I-3-3

Operational Requirements and Planning Criteria for

Regional Air Navigation Planning (approved by the Air

Navigation Commission on 17 June 1999) provides the

necessary guidance on the preparation of the regional air

navigation plan for air navigation facilities, services and

procedures recommended for the area, to meet the require-

ments of all international civil aircraft operations during at

least the next five-year period, taking due account of the

long-term planning and implementation strategies regarding

CNS/ATM systems and as portrayed in the Global Plan,

and possible effects on adjacent regions.

PLANNING METHODOLOGY

3.11 The basis for developing a global, integrated

ATM system will be an agreed-to structure of homogeneous

ATM areas and major traffic flows/routing areas. These

areas and flows tie together the various elements of the

worldwide aviation infrastructure into a global system. The

Global Plan lists several of these. Further identification and

analyses of these areas and traffic flows are being carried

out by PIRGs in collaboration with the aircraft operators,

reflecting the latter’s requirements.

3.12 The planning process for any particular region

should begin with the identification of specific homogene-

ous ATM areas and major traffic flows, based on user

needs, followed by the development of an ATM plan for the

region and, eventually, for each State. Considering the com-

munications, navigation and surveillance elements of the

CNS/ATM systems infrastructure to support air traffic

management, it is necessary for each region or State to first

ascertain the ATM objectives for a given homogeneous

ATM area or major traffic flow/routing area. The ATM

operational concept, expected to be available by mid-2002,

will describe how the global ATM system should operate

and will help to determine the ATM objectives. An oper-

ational analysis should be performed in order to determine

which CNS and other technical and automation elements

are needed to fulfil the ATM objectives. The operational

analysis and the ATM operational concept therefore

complement each other. (An approach to conducting an

operational analysis is presented at paragraph 3.17.)

Finally, an assessment should be made of the technical

elements and implementation options that would most

appropriately and cost-effectively meet the ATM objectives

for that area or traffic flow/routing area.

3.13 Based on the above, PIRGs are responsible for

the integration and harmonization of CNS/ATM systems

plans for their various regions, while ICAO, through this

Global Plan, ALLPIRG meetings, worldwide conferences,

and an interregional coordination mechanism, carries out

interregional coordination to ensure global compatibility,

harmonization and seamlessness of the systems. At all

stages of the planning process, coordination with aircraft

operators must be carried out in order to fully address user

requirements.

3.14 Each regional planning group will develop its

own work structure for accomplishing the work associated

with the step-by-step approach listed hereunder. In some

cases, an already established working group or CNS/ATM

subgroup may be in a suitable position to accomplish the

work; in other cases, specific task forces or subgroups will

need to be established. Figure I-3-6 depicts a flow diagram,

illustrating the planning methodology contained in 3.15.

3.15 The step-by-step approach for planning ATM

requirements and CNS infrastructure is as follows:

Step 1. Identify homogeneous ATM areas and/or major

traffic flows.

Step 2. List the ICAO region(s), flight information

region(s) and State(s) involved in the homogeneous

ATM areas and/or major international traffic flows

(Figure I-3-1 refers).

Step 3. Carry out air traffic forecasts and ascertain airspace

user needs.

Step 4. Perform an operational analysis of the current

infrastructure for the areas identified in Step 2 in terms

of, inter alia:

a) ATM limitations and shortcomings;

b) separation standards; and

c) CNS availability.

Step 5. Determine the ATM objectives for the areas

identified in Step 2 in terms of the required total

systems performance (RTSP), using as the basis the

guidance material contained in the operational concept

document (operational analysis).

Step 6. Establish CNS and other technical and automation

requirements necessary to support the desired ATM

objectives identified in Step 5 (operational analysis).

Step 7. Analyse the benefits/improvements resulting from

Steps 5 and 6 in order to establish (operational analysis):

I-3-4 Global Air Navigation Plan for CNS/ATM Systems

a) costs/benefits;

b) relative priority;

c) expected performance improvements; and

d) implementation dates of the various ATM objectives

and CNS facilities for each of the homogeneous

ATM areas and major traffic flows/routing areas.

(Chapters 5, 6, 7 and 8, and Figures I-3-2 to I-3-5

of this chapter refer).

Step 8. Considering the many technical solutions and

implementation options available, repeat as necessary

Steps 5, 6 and 7 to determine the most appropriate

solution (operational analysis).

Step 9. Develop an ATM implementation plan based on

the outcome of steps 1 through 8 above using as the

basis the guidance material contained in the operational

concept document and the results of the operational

analysis. A safety assessment should demonstrate that

any new systems, or changes to the present systems,

will achieve an acceptable level of safety.

Step 10. Examine the possibilities of funding the

implementation of the CNS/ATM systems infrastructure

for States requiring financial assistance.

Step 11. Determine the means and methods of

cost-recovery.

Step 12. Establish a framework to interface with all the

CNS/ATM partners on a continuing basis to ensure the

harmonious and integrated implementation of CNS/ATM

systems in homogeneous areas and/or major international

traffic flows.

3.16 The FASIDs of the regional ANPs should be

developed with full consideration of the high-level guid-

ance provided in Part I and the step-by-step approach

described here and conceptualized in the tables in Part II of

the Global Plan. As the ATM operational concept and the

associated RCP*, required navigation performance (RNP),

RSP* and RTSP* mature, they should be integrated into the

planning process so that further development can take

place. Planning and implementation should therefore be

seen as a continuing, evolving and maturing process.

THE OPERATIONAL ANALYSIS

3.17 An operational analysis is a necessary part of

ATM implementation planning which leads to the selection

of solutions which will be the most effective in fulfilling the

ATM objectives. The ICAO global ATM operational concept

will describe how the global ATM system should operate

and will also help to identify the facilities and services

required to fulfil the global objectives. The operational

analysis and the ATM operational concept complement each

other. Steps 4 through 8 of the step-by-step approach to

planning described in 3.15 are centred on the operational

analysis outlined below.

3.18 Given the difficulty encountered in attempting to

define long-term operational requirements for various large

air navigation system projects, the development of oper-

ational requirements on the basis of an operational analysis

is not an exact science. Looking too far into the future and

attempting to incorporate definitive needs is difficult and

prone to error in light of the evolving nature of ATM sys-

tems and the rapidly changing technological solutions. It is

more appropriate, therefore, to address more immediate

requirements and ensure that a mechanism is available to

extend the implementation process into the future.

3.19 An analysis is appropriate when perceived

symptoms indicate a deficiency in the air traffic services

being provided; when additional demands from users require

such services to be expanded; or when circumstances

indicate that a need or opportunity exists to improve

effectiveness, efficiency or economy within the ATM system.

It is generally accepted that with the introduction of

CNS/ATM systems, new opportunities for improving ATM

have emerged and will continue to emerge. Therefore, a

thorough operational analysis should be carried out, followed

by the development of ATM implementation plans, prior to

implementing new ATM systems.

3.19.1 Getting started. The operational analysis

begins with the identification of a need, problem or oppor-

tunity by studying the existing set of circumstances.

3.19.2 Definition of the ATM role and objectives.

The role of ATM in the context of the systems or services

being studied is defined, and the ATS policies, objectives or

tasks that are pertinent to the analysis are specified.

3.19.3 Description of the current system. By

referring to air navigation system (ANS) documents for the

system under study, the role that the system is intended to

fulfil is outlined, along with the tasks it is intended to

support. A list of objectives that the system should sustain

by its currently specified performance capability is then

compiled.

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 3. Global Planning Methodology I-3-5

3.19.3.1 The current system’s performance is estab-

lished in relation to its capability to satisfy the identified

needs.

3.19.3.2 The operational deficiencies that prevent the

resolution of problems are identified.

3.19.3.3 Performance limitations that constrain the

current system’s ability to take advantage of the existing

opportunity are detailed.

3.19.3.4 Interactions and interfaces between the

system under study and others are examined.

3.19.4 Evaluation: Current system against present

requirements. A comparison is made of the existing

system’s capability against the present requirements. The

following questions should be answered:

a) Does the current system do the present job

adequately?

b) Does its capability enable the allocation of additional

tasks to satisfy the identified needs?

3.19.4.1 If the answers are “yes”, longer-term analysis

can be undertaken. However, if either answer is “no”, it is

clear that the current system is deficient and should be

modified or replaced to remedy its shortcomings, if

possible. Any modification must address the changes

necessary to satisfy the needs, or to resolve the identified

problems and their causes, and should not merely attempt

to minimize or alleviate the associated symptoms.

3.19.5 Listing of future objectives and system

requirements. The future objectives and requirements that

must be addressed are then listed, and the operational

characteristics that a system must possess to support these

are derived. Section 4 of the operational concept document

describes future air traffic scenarios while Section 3

describes technical solutions which may be needed to fulfil

future requirements.

3.19.6 Evaluation: Current system against future

requirements. The capability of the existing system to

support the identified future objectives and to satisfy their

associated requirements is investigated, and the current

system’s capacity to perform the future job is determined.

3.19.6.1 If the current system has already been shown

to meet present requirements and has the ability to satisfy

future requirements, the analysis stops because there is no

need to satisfy, no problem to resolve, and no opportunity

will be missed.

3.19.6.2 Analysts must avoid the tendency to develop

a solution and then invent a need, problem or opportunity

to which the solution can be applied.

3.19.6.3 If the current system cannot satisfy the

present requirements and/or the future requirements, the

exercise continues.

3.19.7 Statement of operational requirements.

From the previous steps it becomes possible to prepare a

statement of operational requirements which describes, in

broad terms, the need for a new or modified system and

addresses the capability such a system must have.

3.19.7.1 An operational requirement may be defined as

a statement of the operational attributes of a system needed

for the effective and/or efficient provision of air traffic

services to users. An operational requirement is not a

description of “how” a need is to be met. Furthermore,

solutions to problems will not always be technical in nature.

It may be that the requirement will be met by appropriate

procedural, training or staffing actions. However, when

technical solutions are required, close coordination between

operational and technical experts is essential if the optimum

solution is to be found.

3.19.7.2 The described capability, which is expanded

upon below, is that which is necessary to satisfy the need,

to resolve the problem, or to take advantage of the oppor-

tunity which would support the objectives and ensure that

the role of ATS is fulfilled.

3.19.8 Establishing compliance criteria. Compliance

criteria, which are high-level “musts” describing the basic

operational characteristics of the system needed, are then

generated. These criteria outline essential performance capa-

bilities that proposed solutions must possess. Later,

alternatives will be rated against these operational absolutes.

For example, the communications systems performance

requirement parameters specified for ICAO ATS data link

applications state, “. . . the probability that a message will be

misdirected will be equal to or less than 10-7.”

3.19.9 Listing and describing alternatives. Next, all

reasonable alternatives are listed and described, including

procedural change and the possibility of doing nothing. At

this point descriptions need not be extremely detailed. For

example, if a potential solution stems from the same

equipment family as a primary radar system, it is necessary

only to describe in general terms how a primary radar

system operates and not how all the different types of

primary radar function.

3.19.9.1 This step will need to include a “market

search” of potential solutions available as commercial

I-3-6 Global Air Navigation Plan for CNS/ATM Systems

off-the-shelf (COTS) products which have been developed

in response to similar problems identified by other admini-

strations. In the past, the “custom-built” solution has

normally proven to be the better method; however, as the

harmonization of ATC systems across international bound-

aries increases due to improved cooperation, this may no

longer be the case.

3.19.10 Selection of preferred option. Each alternative

must be compared against each compliance criterion to

determine the preferred option. On the initial assessment, any

alternative must receive a “yes” [it satisfies each criterion], or

a qualified “yes” [it satisfies each criterion with certain

limitations], to be considered further.

3.19.10.1 If any alternative receives a “no” [it does

not satisfy a criterion], that choice is no longer considered

unless every other alternative fails, i.e. gets at least one

“no”. If this happens, the options may be reviewed to select

the option with the lowest “no” count. At this point the

chosen option will, of necessity, be a compromise. Any

alternative that does not satisfy all criteria cannot, by defi-

nition, fulfil the entire need, resolve the entire problem, or

take full advantage of the opportunity. Some undesirable

effects will continue. Therefore, the solution must be the

option which most effectively responds to the operational

issues being addressed.

3.19.10.2 During the operational analysis, alternatives

should not be evaluated based on costs. If the consideration

of money enters the decision-making process too soon, it

may cause a bias towards a less expensive solution which

may not attain the desired operational results. Costs will be

addressed during the cost-benefit analysis and during the

efficiency analysis when the best technical solution will be

found to address the operational concerns considering

technical, financial and other issues. It may become evident

that potential technical solutions need not be pursued as it

becomes apparent that the cost of implementation cannot be

supported.

3.19.10.3 Where COTS products appear to provide

possible solutions to the problems being addressed, the

option of developing a new system will usually carry a

lesser weight unless the cost of the COTS product is clearly

exorbitant. This should rarely be the case. However, the

costs of “modifying” COTS products to meet specific

requirements may ultimately cost more than the

build-from-scratch option.

3.19.11 Conclusions, recommendations, preferred

options. The conclusions and recommendations from all

previous steps, ending with the preferred options based on

operational effectiveness, are finally presented to the appro-

priate level of management for action. Senior management

must agree that a problem or opportunity exists, and

approve the resources to develop the detailed and accurate

costing data needed.

3.19.12 Development of operational performance

requirements. The final step in the analysis process is the

description of the complete operational capacity of the

proposed solution. For example, the description of a data

link system which will handle inter-facility messages must

include clear performance requirements for the definitions

of the types of messages to be exchanged, how many in a

given time period, at what times of the day, between which

agencies, internal and external, acceptable error rates, sys-

tem availability and reliability, etc. Later, these operational

performance requirements will be used to assist in evalu-

ating the operational acceptability of technical alternatives

proposed as candidates for meeting the operational need.

3.19.13 Prototyping and simulation. Prototyping and

simulation can prove extremely valuable at this point in the

analysis as a means of validating the operational concepts

being defined, ensuring the operational acceptability of

competing computer/human interfaces (CHI) operational

procedures, and clarifying the requirement in concrete

terms. This approach mitigates the possibility of technical

misinterpretations of the operational need and thus prevents

the final delivery of a system or component which does not

reflect the operational intent.

3.19.13.1 The cycle of analysis described above may

need to be repeated in an iterative fashion following the

choice of a proposed technical solution to a problem to

ensure that the operational needs are met prior to

embarking on the implementation phase.

Part I. Operational Concept and General Planning Principles

Chapter 3. Global Planning Methodology I-3-7

Figure I-3-2. Reproduction of tables from Part II

Figure I-3-3. Reproduction of tables from Part II

AIR TRAFFIC MANAGEMENT IMPLEMENTATION

Area of

routing Regions/States affected ATM objective 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

AR ...

ICAO region Objective

States

AR ...

ICAO region Objective

States

AIR TRAFFIC MANAGEMENT REQUIREMENTS (COMMUNICATIONS)

Area of

routing Regions/States affected System elements 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

AR ...

ICAO region Element

States

AR ...

ICAO region Element

States

I-3-8 Global Air Navigation Plan for CNS/ATM Systems

Figure I-3-4. Reproduction of tables from Part II

Figure I-3-5. Reproduction of tables from Part II

AIR TRAFFIC MANAGEMENT REQUIREMENTS (NAVIGATION)

Area of

routing Regions/States affected System elements 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

AR ...

ICAO region Element

States

AR ...

ICAO region Element

States

AIR TRAFFIC MANAGEMENT REQUIREMENTS (SURVEILLANCE)

Area of

routing Regions/States affected System elements 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

AR ...

ICAO region Element

States

AR ...

ICAO region Element

States

Part I. Operational Concept and General Planning Principles

Chapter 3. Global Planning Methodology I-3-9

Figure I-3-6. Planning methodology

Begin

Identify

Homogeneous ATM areas and major

traffic flows

List

ICAO region/States/FIRs

Survey

Present/future traffic/requirements

Perform

Operational analysis

Determine

ATM objectives

Establish

CNS support requirements

Planning Methodology

End

Perform

CBA analysis

Evaluate

Alternative solutions/options

Develop

Detailed CNS/ATM implementation

plan

Investigate

Financing options

Determine

Methods and means of cost-recovery

Harmonize

Integrate ATM systems

Business

Case

Survey

Planning

Validate safety

I-4-1

Chapter 4

AIR TRAFFIC MANAGEMENT

INTRODUCTION

4.1 Air traffic management is the aggregation of the

airborne functions and ground-based functions (air traffic

services, airspace management and air traffic flow manage-

ment) required to ensure the safe and efficient movement of

aircraft during all phases of operations.

LIMITATIONS OF THE ATM SYSTEM

(CIRCA 2001)

4.2 The conventional airspace organization of flight

information regions and their supporting infrastructure of

ATS routes and ground-based facilities and services has

been increasingly based on international requirements, due

in large part to the ICAO regional planning process. Where

this is not the case, fragmentation of the airspace and a

diversity of national systems prevents an optimum use of

the airspace. Additionally, there are limitations to the

amount of traffic that ATC systems can handle, especially

on rand om routings, without increasing levels of auto-

mation to assist with conflict detection and resolution. For

these reasons, aircraft must plan their flights along ATS

routes and be channelled, to a certain degree, in order for

ATC to keep aircraft safely separated from each other.

Limitations of the current approach to

ATM by phase of flight

En-route operations

4.3 The existing ATS route structure often involves

mileage penalties, compared to the most economic routes,

which may be great circle routes but which also take into

account wind, temperature and other factors such as weight

of the aircraft, charges and safety. This often results in a

concentration of traffic flows at major intersections, which

can lead to a reduction in the number of optimum flight

levels being available. A lack of uniformity in ATC pro-

cedures and separation minima around the world, due to

differences and limitations in ATC capabilities, places

additional constraints on the aircraft operators. Further-

more, aircraft are often unable to take advantage of

advanced on-board capabilities because the ATC system is

unable to support their use. A lack of coordination among

States in the development of ground ATM systems has

resulted in additional problems. Examples include inconsis-

tent separation minima in radar and non-radar airspace and

operation at less than optimum flight levels in oceanic

airspace due to communications deficiencies.

Terminal control area operations

4.4 Although terminal airspace is usually provided

with better surveillance and communications capabilities, it

differs from en-route airspace primarily because of the

higher traffic densities and greater complexity of traffic

flow. Arriving and departing aircraft share the terminal

REFERENCES

Annex 2 — Rules of the Air

Annex 11 — Air Traffic Services

Procedures for Air Navigation Services — Air Traffic

Management (PANS-ATM, Doc 4444)

Manual on Airspace Planning Methodology for the

Determination of Separation Minima (Doc 9689)

Manual on Required Navigation Performance (RNP)

(Doc 9613)

Manual of Air Traffic Services Data Link Applications

(Doc 9694)

Manual on Implementation of a 300 m (1 000 ft)

Vertical Separation Minimum Between FL 290

and FL 410 Inclusive (Doc 9574)

Air Traffic Services Planning Manual (Doc 9426)

Automatic Dependent Surveillance (Circular 226)

Simultaneous Operations on Parallel or Near-Parallel

Instrument Runways (SOIR) (Circular 207)

Methodology for the Derivation of Separation Minima

Applied to the Spacing between Parallel Tracks in

ATS Route Structures (Circular 120)

Human Factors Guidelines for Air Traffic Manage-

ment (ATM) Systems (Doc 9758)

I-4-2 Global Air Navigation Plan for CNS/ATM Systems

airspace, and also aircraft having widely differing per-

formance characteristics operate to the same or closely

spaced runways. Current separation requirements sometimes

prevent full use of available capacity at busy airports. Auto-

mation to manage departures and arrivals efficiently is not

always available, and on-board automation is therefore

under-utilized. Published arrival and departure routes are

sometimes inflexible and result in indirect routings. Noise

abatement and environmental procedures can impose further

restrictions on terminal area operations.

Airport surface movement area

4.5 The ground control of aircraft is conducted

through radar or visual means. Automation to support sur-

face movement guidance and control systems (SMGCS) of

aircraft and vehicles is lacking, and many major airports

operate in near gridlock conditions during periods of peak

demand. Coordination between ATM and ramp and taxi

areas will require standardization and harmonization for the

gate-to-gate operations* envisaged in future ATM systems.

In low-visibility conditions, movements are severely re-

stricted and there is increased risk of runway incursion or

violation of instrument landing system (ILS) critical or

sensitive areas.

GLOBAL ATM

4.6 The planning for implementation of CNS tech-

nologies is well under way in varying degrees in the ICAO

regions. It is necessary that the transition be focused with a

clear concept of how to integrate those elements into a

coherent and seamless global ATM system. The global

ATM system must be developed and organized to overcome

the limitations listed above and to accommodate future

growth, so as to offer the best possible service to all

airspace users and to provide adequate economic benefits to

the civil aviation community.

Implementation goals and

strategies of global ATM

4.7 The primary goal of an integrated, global ATM

system is to safely meet the expectations of the ATM

partners. For example, the ATM system should enable

aircraft operators to meet their planned times of departure

and arrival, to the extent possible, and adhere to their

preferred flight profiles with minimum constraints and no

compromise to safety. To accomplish this goal, the new

CNS technologies must be fully exploited through inter-

national harmonization of ATM Standards and procedures.

From the aircraft operator’s point of view, it is desirable to

equip aircraft operating internationally with a minimum set

of avionics usable everywhere. Additionally, many of the

expected service improvements cannot be meaningfully

implemented by one State, but must be implemented in

contiguous regions. Therefore, the ATM regional concept

of providing ATM over expanded areas must be pursued.

The goals of the future ATM system are summarized in

Figure I-4-1.

International scope

4.8 The emerging and future ATM system design

must meet the test of international acceptance and inter-

operability. It must allow for implementation at various

levels of sophistication to provide services tailored to

specific applications and regions. In this context, it is essen-

tial to ensure that adjacent systems and procedures are able

to interface in such a way that boundaries are transparent to

airspace users.

Evolutionary transition process

4.9 The development and implementation of the new

ATM system must be evolutionary. It is recognized that it is

impractical for this evolution to be completed in time frames

of less than several years. Such long transition periods place

a heavy burden on users and service providers when the new

systems replace in-service systems because the two must be

operated side by side during the transition period. Long

transitions also amplify the problem of aircraft having to

operate in a mixed environment where aircraft have differing

levels of CNS/ATM capability. Similarly, there will be a

need for an exchange of information between ATM service

providers with differing levels of information technology.

Furthermore, aircraft operators that have taken a decision to

invest at an early stage should achieve some corresponding

and appropriate benefits.

4.10 While change in the ATM system will be

evolutionary, the operational concept, ATM system archi-

tecture, and ATM system design and implementation must

provide a well-understood, manageable and cost-effective

sequence of improvements that keeps pace with users’

needs and culminates in a system meeting the ATM

partners’ expectations.

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-3

Outline of the future ATM system

4.11 The ATM system must accommodate a broad

community of users and various levels of avionics equi-

page. A major design challenge in the development of ATM

procedures and techniques, using new technologies to

realize system improvements, centres on the roles of the

human operators. Information provided to the pilot and air

traffic controller and the tasks assigned must be consistent

with their management and control responsibilities as well

as the innate characteristics and capabilities of human

beings. As basic understanding of human factors improves

and facilities for testing the human factors aspects of

system designs become available, the design process will

become easier.

Benefits of global ATM

4.12 A large number of technologically related oppor-

tunities and benefits are now available for implementing a

worldwide ATM system that will improve ATM services to

better meet user requirements. The new technologies and

associated ATM procedures will also provide for an

improvement in controller productivity and overall

enhancement of the work environment. A summary of the

benefits expected from new ATM systems is depicted in

Figure I-4-2.

NEED FOR AN ATM

OPERATIONAL CONCEPT

4.13 Attaining the goal of an integrated, global ATM

system requires harmonization and standardization of

regional and national system elements and procedures.

ICAO is developing new SARPs as part of its work on

global ATM. States and industry will then use this material

as a guide toward the development and implementation of

ATM systems leading toward global harmonization.

4.14 The basis for developing the Standards necessary

for harmonization and integration is an ATM operational

concept for the emerging and future ATM system which is

under development by the Air Navigation Commission with

the assistance of the Air Traffic Management Operational

Concept Panel (ATMCP) established by the Commission

for this purpose. The ATM concept will clarify the expecta-

tions and benefits of these ATM systems and give States

and industry clear guidance for designing and implemen-

ting them. Work on the ATM concept is aimed at obtaining

consensus on several issues (i.e. separation assurance*,

situational awareness*, etc.).

* Emerging concept or technology — consensus still to be reached.

Figure I-4-1. Goals of a global ATM system

Goals of a global system

• To provide greater flexibility and efficiency by accommodating user-preferred

flight profiles.

• To improve the existing level of safety.

• To accommodate the full range of aircraft types and airborne capabilities.

• To improve the provision of information to users, including weather conditions,

the traffic situation, and the availability of facilities.

• To organize airspace in accordance with ATM provisions and procedures.

• To increase user involvement in ATM decision-making, including air-ground

computer dialogue for flight plan negotiation.

• To create, to the maximum extent possible, a single continuum of airspace

where boundaries are transparent to users.

• To increase capacity to meet future air traffic demand.

I-4-4 Global Air Navigation Plan for CNS/ATM Systems

4.15 The ATM operational concept will complement

the Global Plan and should guide the ATM partners, PIRGs

and States in further development of ATM systems. As part

of the overall CNS/ATM systems planning process, it will

be necessary to consider how the elements of the oper-

ational concept could be applied in a particular airspace. In

this light, the complete ATM operational concept will

consist of the concept developed, taking into consideration

the outcome of the step-by-step planning methodology and

the operational analysis described in Chapter 3 of the

Global Plan. The Air Navigation Commission, with the

assistance of the ATMCP, will propose amendments to

relevant parts of the Global Plan as appropriate; however, it

should be noted that the ATM Operational Concept by

Phase of Flight beginning at 4.25 was developed by the

ICAO Secretariat prior to the establishment of the ATMCP.

4.16 For the purposes of its development work and for

this Global Plan, the ATMCP has delineated an operational

concept as:

a) a high-level description of the set of 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

within the ATM system and how that information is

used for operational purposes.

4.17 In brief, the operational concept describes how

the ATM system will operate and identifies the services that

will be required. Identification of the specific technologies

to be implemented in delivering these services is defined by

an “architecture”, which itself should form part of a broader

ATM implementation plan. ATM implementation plans

should be developed by the PIRGs and by States in accord-

ance with Chapter 3 of the Global Plan. Thus, an oper-

ational concept drives the architecture. An ATM “concept

of use” is a more detailed description of how a particular

function or technology could be employed.

4.18 The ATM operational concept being developed

will be reached progressively through a series of discrete

changes from the current situation. The year 2025 was

Figure I-4-2. Benefits of a global ATM system

Benefits of a global ATM system

• The new ATM capabilities and more accurate data will make it possible to

enhance safety, reduce delays, and increase airspace and airport capacity.

• Future ATM operations will become much more flexible, resulting in a greater

capability to accommodate user-preferred trajectories. New capabilities will

make it possible to permit flexible routing, as well as dynamic modifications to

aircraft routes in response to changes in weather and traffic conditions.

• Improved flow management will prevent excessive levels of congestion.

• Data links will transmit a variety of information from appropriately equipped

aircraft to the ground and between ground units and provide enhanced

information to the cockpit. It will dramatically reduce workload, and reduce the

channel congestion and communications errors that characterize the current

voice environment.

• Terminal and en-route ATM functions will be integrated to provide smooth traffic

flows into and out of terminal areas.

• Air traffic controllers will be able to establish more efficient approach streams.

• The implementation of the global ATM system will provide an effective means

of reducing fuel burn and avoid unnecessary aircraft engine emissions, which

will help to minimize civil aviation’s environmental impact.

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-5

selected as the target date for meeting the majority of

expectations described in the global ATM operational

concept. Descriptions of intermediate stages will be pre-

sented using scenarios that combine elements of the current

global situations and target concepts.

4.19 With these descriptions as a basis, a vision of the

operational concept has taken shape. The goal is to achieve

a global ATM system for all users during all phases of

flight that meets agreed-to levels of safety and provides for

optimum economic operations. In addition, the system

envisaged would be environmentally sustainable and would

meet national security requirements.

4.20 The global ATM operational concept encompasses

two main time periods. The first period, up to 2015, allows

for the development of scenarios based on the more realistic

assumptions concerning applicability and technological

capabilities, and accommodates early implementation steps.

The second, from 2015 to 2025, addresses scenarios which

incorporate the more visionary options for air traffic

management.

Required total system performance (RTSP)*

4.21 ICAO has developed worldwide Standards for

many aspects of civil aviation; however, the current ATS

system has evolved without globally agreed-to criteria for

safety, regularity and efficiency of international civil avi-

ation having been established. A target level of safety has

been defined only for some airspaces, but not on a global

level. In the absence of agreed-to criteria for airspace/airport

capacity and for flexible use of airspace*, there is no

common basis for regularity and efficiency worldwide. As a

result, there is no assurance that the future traffic demand

and airspace users’ needs can be met.

4.22 In light of the above, the future system must be

viewed in its totality. The total system can be seen as the

totality of airspace, the ATM-related aspects of flight

operations, and the facilities and services provided.

4.23 RTSP* will specify criteria that should be met by

the entire ATM system. RTSP* will allow the ATM

providers and users of a given airspace to determine the

optimum usage level of an airspace. For example, lower

performance standards could be acceptable in a particular

airspace, for some or all system elements, if the users were

prepared to accept larger separation standards.

4.24 The RTSP* will offer guidance to the ICAO

PIRGs and States that carry out the actual planning of the

infrastructure that serves international civil aviation.

ATM OPERATIONAL CONCEPT BY PHASE

OF FLIGHT

Airport operations

4.25 Increased airport capacity is a major objective of

the future ATM system. The design of the future ATM

system will contribute to this goal by implementation of

techniques, procedures and technologies that fully utilize

scarce capacity resources, allowing a higher throughput of

traffic and maximizing both approach and departure

operating efficiencies. Sophisticated automation and an

air-ground digital data link will be required to make maxi-

mum use of capacity and to meet throughput requirements

by improving the identification and predicted movement of

all vehicles on the airport movement area, to include

conflict advisories. Additionally, increasing levels of

collaboration and information-sharing between users and

ATM providers will create a more realistic picture of airport

departure and arrival demand, allowing users to make

scheduling and flight planning decisions.

4.26 Advanced surface movement guidance and

control systems (A-SMGCS) will be used for routing,

guidance, surveillance and control of aircraft and vehicles

in order to maintain acceptable movement rates under all

weather conditions, while improving the required level of

safety. A-SMGCS* will also help to ensure that departing

aircraft arrive at the holding point of their assigned runway

in time to meet departure times required for ATFM.

4.27 A-SMGCS* will give ATM providers an enhanced

surveillance capability of the aerodrome surface and will

assist in taxi route planning and conflict detection/resolution.

Surface movement management will become automated with

aircraft/vehicle positional information being derived from

on-board systems such as automatic dependent surveillance

— broadcast (ADS-B)*. Cockpit and vehicle situational

displays will be updated by enhanced surveillance techniques

and provide pilots and vehicle drivers with more precise

ground manoeuvring guidance in low visibility and/or high

traffic density conditions.

Terminal and en-route operations

4.28 Independent IFR approaches to parallel runways

spaced as closely as 760 m (2 500 ft) or less might be

routinely based on high-data-rate-SSRs and other surveil-

lance techniques (e.g. ADS-B*) and on improved monitor

* Emerging concept or technology — consensus still to be reached.

I-4-6 Global Air Navigation Plan for CNS/ATM Systems

controller displays and cockpit display of traffic infor-

mation (CDTI) to the flight crew. This will provide capacity

increases in instrument meteorological conditions (IMC) at

locations with such runway configuration. In addition,

many communities may take advantage of this new capa-

bility by constructing closely spaced parallel runways that

conserve land.

4.29 Improved metering, sequencing and spacing of

arrival traffic using automated metering devices*, will

increase runway capacities in IMC to a level approaching

present runway capacities in visual meteorological con-

ditions (VMC). Automation tools will assist air traffic

managers in establishing efficient flows of approaching

aircraft for parallel and converging runway configurations.

4.30 The flow management process will monitor

capacity resources and demand at airports and in terminal

and en-route airspace. It will implement flow management

strategies, where required, to assure that excessive levels of

congestion do not develop. The tactical management pro-

cess will monitor aircraft movements to assure con-

formance with flight plans and to identify and resolve

problems such as imminent separation violations and air-

craft incursions into special use airspace. Clearances

involving position and time and the ATM data link interface

with flight management computers will be principal tools in

assuring that ATM constraints are met with minimum

deviation from user-preferred trajectories.

4.31 An increased ability to accommodate user-

preferred flight profiles and schedules will be gained

through improved decision support tools for conflict detec-

tion and resolution and for flow management. Terminal and

en-route ATM functions will be integrated to provide a

system in which traffic flows smoothly into and out of

terminal areas.

4.32 Automated and seamless coordination supported

by ATS inter-facility data communications (AIDC) will

present a transparent system to users. In addition, the data

link will also be used to transmit weather observations from

appropriately equipped aircraft and to provide a variety of

aviation information to the cockpit including weather

information and information on the status of facilities and

airports. Departure and arrival route structures will be

expanded to permit greater use of RNAV departure and

arrival routes based on RNP requirements.

Oceanic operations

4.33 Oceanic operations provide a full breadth of

opportunity to benefit from new technologies, allowing

these operations to experience significant improvements.

The overall goal is to make oceanic ATM operations as

flexible as reasonably possible in accommodating users’

preferred trajectories.

4.34 Future oceanic ATM operations will make

extensive use of ADS, HF and satellite-based digital com-

munications, GNSS, aviation weather system improvements

and collaborative decision-making. These new capabilities

will permit flexible routing and dynamic modifications to

aircraft routes in response to changes in weather and traffic

conditions.

4.35 Reduced vertical separation minimum (RVSM)

above FL 290 has been proven to increase capacity.

Furthermore, RNAV, based on established RNP values and

achieved using appropriate technology (e.g. GNSS on long

oceanic flights), will allow increased capacity through

reduced separation minima in the longitudinal and lateral

axes. More precise monitoring of aircraft, including various

conformance monitoring techniques, will allow separation

assurance* to be accomplished with the aid of decision

support systems and visual display systems.

Aircraft position and manoeuvre intent

4.36 The best use of airspace and airport capacity

requires an efficient airspace structure, which permits

collaborative planning between the aircraft and the ground

ATM system. The airspace structure should be capable of

dynamically adapting to changing circumstances and also

accommodating the capabilities and desires of the airspace

users, utilizing all available data. As in the past, the quality

of the process depends on the timeliness and quality of the

position and intent information available to the system and

the pilot. Accurate surveillance information will also

increasingly be required on the airport surface to support

the on-airport movement control process.

4.37 Alternative sources of position data, such as

automatic transmission of aircraft-derived position data, will

be used in certain areas. SSR, however, will most likely be

the standard for high-density traffic terminal area operations,

with an increasing use of ADS-B* as a possible complement

to SSR. Automated ATS ground systems will use ADS

position reports and other data to provide automated flight

following and cleared flight plan conformance monitoring.

Furthermore, appropriately equipped aircraft will be capable

of self-monitoring and automatic reporting of significant

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-7

flight variances. This conformance monitoring capability

permits verification by the ground system, that the flight is

proceeding in accordance with its ATC clearance.

ATM automation

4.38 Automation is seen as one of many resources

available to the human operators — controllers and pilots

alike — who retain the responsibility for management and

direction of the overall ATM system. Additionally,

unexpected or unplanned events must be a required part of

planning and design when considering the systems that

would replace the cognitive and adaptive capabilities of

controllers or pilots.

4.39 The air traffic controller’s job consists of complex

tasks demanding a high degree of skill and active application

of unique cognitive abilities such as spatial perception,

information processing, reasoning and decision-making. The

controller must know where all of the aircraft under his/her

responsibility are, and determine how and when to take

action to ensure that they remain separated from each other,

while also seeing to their requests and needs for descent,

climb, take-off, departure, etc.

4.40 Although it is well accepted that the human

controller in the system has performed these tasks more

than adequately over the years, it is also accepted that

improvements could be made by using decision support

software tools. These tools are expected to assist the con-

troller to some degree with conflict prediction, detection,

advisory and resolution.

4.41 The expectation is that greater degrees of

accuracy could be achieved through the sophisticated data

processing associated with automation. Furthermore, con-

flict prediction and detection, based on advanced

computational methods, should allow more direct routings.

These systems will be introduced in an evolutionary

manner as the need arises.

4.42 There are several issues that need to be carefully

addressed when considering automation of this nature. The

most critical is based on the fact that aircraft do not always

do what they are expected to do. The human controller is

very flexible and adaptive and quite capable of compen-

sating and/or developing alternative plans. Based on this, it

is reasonable that computers and the associated software

will assist controllers in accomplishing, initially, a part of

their cognitive tasks. It is unrealistic to determine at this

early stage, that computers could effectively replace con-

trollers in the near term, mainly because of their uniqueness

in providing the aviation system a degree of flexibility.

Global ATM scenarios

4.43 Tables I-4-1 to I-4-5 depict the relationship

between ATM and CNS technologies and the benefits

expected to be derived. These tables illustrate current

common airspace types and are intended to indicate the

types of improvements that could be implemented.

4.44 The airspace types are:

— oceanic/continental en-route airspace with low-

density traffic;

— oceanic airspace with high-density traffic;

— continental airspace with high-density traffic;

— terminal area with high-density traffic;

— terminal area with low-density traffic.

4.45 These tables should be considered as presenting

possible scenarios rather than defining specific require-

ments. Furthermore, as global ATM planning is increasingly

being based on homogeneous ATM areas and major traffic

flows, these tables will be updated accordingly.

SAFETY ASSESSMENT AND

MONITORING

4.46 Because separation standards have significant

impact on the capacity and functioning of an integrated

ATM system, it is necessary to develop comprehensive,

reliable methods for determining separation standards

applicable to new technologies and procedures.

4.47 The ATM operational concept is based on the

requirements that planning of ATM systems should ensure

ATM system enhancements (e.g. implementing new tech-

nology to enable reductions in separation minima) are

applied on a subregional basis in accordance with relevant

ICAO SARPs, while meeting the requirements of regional

air navigation agreements. With regard to the specific issue

of reduction in an applied separation minima, they should

be selected from those found in the ICAO Procedures for

Air Navigation Services — Air Traffic Management

(PANS-ATM, Doc 4444) and the Regional Supplementary

Procedures (Doc 7030). These documents should also be

revised to meet changing requirements, based on tech-

nological and procedural opportunities.

4.48 A prerequisite to the implementation of any

reduction in separation minima is the maintenance of a level

of safety equal to or better than the present. This safety

I-4-8 Global Air Navigation Plan for CNS/ATM Systems

Table I-4-1. ATM — oceanic/continental airspace with low-density traffic

* Emerging concept or technology — consensus still to be reached.

Functions Technical elements Procedural aspects ATM benefits

Ground Air Structure Procedures

COM

• AMSS voice and

data

• HF voice and

data

• ATN connectivity to

AMSS, HF

• ATN end-systems

human-machine

interface (HMI)

• Voice AMSS, HF

• ATN connectivity to

AMSS and HF

avionics

• Voice AMSS, HF

• RCP* • Data link handling

procedures

• Message format

• Improved tactical

control

• Improved pilot/

controller

communications

• Facilitate ATC/FMS

dialogue

NAV

• GNSS • NIL • GNSS receiver

•FMS

• RNP

•Airspace

organization

• RNP certification/

approval

• Navigation

procedures

• Improved airspace

utilization

SUR

•ADS

•ADS-B*

• ATN connectivity to

AMSS and HF

• Situation display for

ADS and ADS-B*

• ATN connectivity

with ADS and

ADS-B* function

and situation

display

• ADS, ADS-B*

avionics

•Airspace

organization

•RSP*

• Surveillance

procedures

• Message format

• Reduction of

radiotelephony (R/T)

workload

• Improved situational

awareness*

AUTOMATION

• Decision

support systems

• Automated flight

data processing

• Conflict alert,

advisory, prediction

and resolution

software

•FMS •Airspace

organization

• Automation

procedures and

algorithm

development

• Message format

• Increase in direct

routings

• Improved conflict

prediction and

resolution

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-9

Table I-4-2. ATM — oceanic/airspace with high-density traffic

* Emerging concept or technology — consensus still to be reached.

Functions Technical elements Procedural aspects ATM benefits

Ground Air Structure Procedures

COM

• AMSS voice and

data

• HF voice and

data

• Extended VHF

voice and data

• ATN connectivity to

AMSS, HF,

extended VHF

• ATN end-systems

(HMI)

• Voice AMSS, HF,

extended VHF

• ATN connectivity to

AMSS, HF,

extended VHF

avionics

• Voice AMSS, HF,

extended VHF

• RCP* • Separation criteria

• Data link handling

procedures

• Message format

• Improved tactical

control

•Improved

pilot/controller

communications

• Facilitate ATC/FMS

dialogue

NAV

• GNSS • GNSS receiver

•FMS

• RNP

•Airspace

organization

including

separation criteria

• RNP certification/

approval

• Navigation

procedures

• Increase airspace

capacity by reduction

in separation minima

due to increased

positional accuracy

• Improved airspace

utilization

SUR

•ADS

•ADS-B*

• ATN connectivity to

AMSS, HF and

extended VHF

• Situation display for

ADS and ADS-B*

• ATN connectivity

with ADS and

ADS-B* function

and situation

display

• ADS and ADS-B*

avionics

•Airspace

organization

including

separation criteria

•RSP*

• Surveillance

procedures

• Message format

• Increased airspace

capacity by reduction

in separation minima

due to improved

conformance

monitoring

• Improved airspace

utilization

• Reduction of R/T

workload

• Improved situational

awareness*

AUTOMATION

• Decision

support systems

• Automated flight

data processing

• Conflict alert,

advisory, prediction

and resolution

software

•FMS •Airspace

organization

• Automation

procedures and

algorithm

development

• Message format

• Increase in direct

routings

• Increase in

user-preferred flight

profiles

• Increased capacity

• Improved traffic

planning

• Improved conflict

prediction and

resolution

• Improved trajectory

planning

I-4-10 Global Air Navigation Plan for CNS/ATM Systems

Table I-4-3. ATM — continental airspace with high-density traffic

* Emerging concept or technology — consensus still to be reached.

Functions Technical elements Procedural aspects ATM benefits

Ground Air Structure Procedures

COM

• AMSS voice and

data

• VHF voice and

data

•SSR Mode S

data link

• ATN connectivity to

SSR Mode S and

VHF

• ATN end-systems

(HMI)

• Voice VHF

• ATN connectivity to

VHF and SSR

Mode S avionics

• Voice VHF

• RCP* • Separation criteria

• Data link handling

• Message format

•Improved

pilot/controller

communications

• Facilitate ATC/FMS

dialogue

• Complement VHF

coverage

• Reduction of R/T

workload

NAV

• GNSS • Augmentation • GNSS receiver

•FMS

• Application of RNP

•Airspace

organization

including

separation criteria

• RNP certification/

approval

• Navigation

procedures

• Increased airspace

capacity by reduction

in separation minima

due to increased

positional accuracy

• Improved airspace

utilization

SUR

•ADS

•ADS-B*

•SSR

• ATN connectivity to

VHF, SSR Mode S

• Situation display for

ADS and ADS-B*

• ATN connectivity

with ADS and

ADS-B* function

and situation

display

• SSR Mode S

transponder

• ADS and ADS-B*

avionics

•Airspace

organization

including

separation criteria

• Application of RSP*

• Surveillance

procedures

• Increased airspace

capacity by reduction

in separation minima

due to improved

conformance

monitoring

• Improved airspace

utilization

• Reduction of R/T

workload

• Improved situational

awareness*

• (ADS, ADS-B*)

complement to and

possible back-up for

SSR

• Reduced need for

primary surveillance

radar (PSR)

AUTOMATION

• Decision

support systems

• Automated flight

data processing

• Conflict alert,

advisory, prediction

and resolution

software

•FMS •Airspace

organization

• Automation

procedures and

algorithm

development

• Message format

• Improved traffic

planning

• Improved conflict

prediction and

resolution

• Improved trajectory

planning

• Increase in direct

routings

• Increase in

user-preferred flight

profiles

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-11

Table I-4-4. ATM — terminal areas with high-density traffic

* Emerging concept or technology — consensus still to be reached.

Functions Technical elements Procedural aspects ATM benefits

Ground Air Structure Procedures

COM

• VHF voice and

data

•SSR Mode S

data link

• ATN connectivity to

VHF and SSR

Mode S

• ATN end-systems

(HMI)

• Voice VHF

• ATN connectivity to

VHF, SSR Mode S

avionics

• Voice VHF

•Airspace

organization

• Application of RCP*

• Separation criteria

• Message format

• Data link

procedures

•Improved

pilot/controller

communications

• Facilitate ATC/FMS

dialogue

• Complement VHF

coverage

• Reduction of R/T

workload

NAV

•GNSS

•ILS

•MLS

•ILS

•MLS

• Augmentation

systems

• GNSS receiver

•ILS

•MLS

•MMR

•FMS

• Application of RNP

•Airspace

organization

including

separation criteria

• RNP certification/

approval

• Approach

procedures

• Increased airspace

capacity by reduction

in separation minima

due to increased

positional accuracy

• Improved airspace

utilization

SUR

•ADS

•ADS-B*

•SSR

• ATN connectivity to

VHF and SSR

Mode S

• Situation display for

ADS and ADS-B*

• ATN connectivity

with ADS and

ADS-B* function

and situation

display

• SSR Mode S

transponder

• ADS and ADS-B*

avionics

•Airspace

organization

including

separation criteria

• Application of RSP*

• Surveillance

procedures

development

• Increased airspace

capacity by reduction

in separation minima

due to improved

conformance

monitoring

• Improved airspace

utilization

• Reduction of R/T

workload

• Improved situational

awareness*

• (ADS, ADS-B*)

complement to and

possible back-up for

SSR

• Reduced need for PSR

AUTOMATION

• Decision

support systems

• Automated flight

data processing

• Conflict alert,

advisory, prediction

and resolution

software

• Metering software

•FMS •Airspace

organization

• Automation

procedures and

algorithm

development

• Message format

• Increase in direct

routings

• Improved sequencing

and flight profiles

• Improved trajectory

planning

• Improved traffic

planning

• Improved conflict

prediction and

resolution

I-4-12 Global Air Navigation Plan for CNS/ATM Systems

Table I-4-5. ATM — terminal areas with low-density traffic

* Emerging concept or technology — consensus still to be reached.

Functions Technical elements Procedural aspects ATM benefits

Ground Air Structure Procedures

COM

• VHF voice and

data

• ATN connectivity for

VHF

• ATN end-systems

• Voice VHF

• ATN connectivity to

VHF avionics

• Voice VHF

• RCP* • Data link

procedures

• Message format

•Improved

pilot/controller

communications

• Facilitate ATC/FMS

dialogue

• Complement VHF

coverage

NAV

• GNSS • Augmentation

systems

• GNSS receiver • RNP certification

approval

• Approach

procedures

• Improved airspace

utilization

SUR

•ADS

•ADS-B*

•SSR

• ATN connectivity for

VHF

• Situation display for

ADS and ADS-B*

• ATN connectivity

with ADS and

ADS-B* function

and situation

display

• ADS, ADS-B*

avionics

• RSP* • Surveillance

procedures

• Improved airspace

utilization

• Improved situational

awareness*

• Reduced need for PSR

AUTOMATION

• Decision

support systems

• Situation display

• Automated flight

data processing

•FMS •Automation

procedures and

algorithm

development

• Message format

• Increase in

user-preferred flight

profiles

• Improved traffic

planning

• Improved conflict

prediction and

resolution

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-13

requirement must be taken into account in the development

of automated systems. Such systems should, to the extent

possible, be flexible with regard to separation minima par-

ameters. For example, a separation minimum of 7 minutes

in oceanic airspace may not meet the target level of safety

at a given point in time whereas 8 minutes may. Further-

more, flexibility must also be considered in the context of

the progression of planned reductions in separation minima.

4.49 Once the need to enhance operational efficiency

in a particular area has been identified, the potential bene-

fits to be gained, the costs to the user community and the

impact on air traffic operations must be investigated. Part of

this analysis will establish the capabilities necessary in the

ATM system, given the performance and capabilities of the

existing aircraft population, leading to an agreed safety level

for the operations desired. Within the context of the agreed

safety measure, a thorough analysis of operational safety,

including consideration of contingencies and environmental

conditions, should be conducted to establish the aircraft

requirements and to validate the ground system require-

ments. Once these requirements are understood, the need for

rule-making and a cost-benefit analysis must be determined.

Any operational procedures necessary to support the safety

constraints and contingencies or regulatory changes must be

identified and coordinated with the user community.

4.50 Planning and preparation for the changes should

be initiated using the results of a requirements assessment.

The effort can be divided into a number of activities, which

would be initiated by the development and coordination of

any necessary amendments to regional supplementary

procedures which would contain criteria to implement oper-

ational enhancements and/or reduced separation minima.

The result will lead to efforts to establish the State approval

process for aircraft and operators as well as a means for

investigating and tracking significant operational errors and

incidents.

4.51 A safety case will be completed whenever

necessary. There will also be a need to establish an ongoing

process to assess operational safety once the change takes

effect. A verification trial plan that will determine the tech-

nical and operational data necessary to gain confidence that

the requirements and methods to implement new Standards

are effective should be conducted in parallel with updates

of documentation.

4.52 With the analysis and planning complete, it will

be possible to begin operational implementation. During the

operational phase of implementation, it will be necessary to

ensure that appropriate organizations and States initiate

ongoing safety and performance monitoring programmes

and improvement processes. This analysis will involve

tracking errors, reviewing incidents that affect operational

safety and taking steps to mitigate against reoccurrence, and

assessing feedback from the user community on the safe and

effective use of operational procedures. The feedback

process may generate further initiatives.

GLOBAL ATM IMPLEMENTATION

4.53 The future ATM system must clearly be

compatible with ATM developments worldwide. It must be

possible to equip aircraft with a minimum set of avionics

usable everywhere. It is not acceptable to require one set of

avionics within one region and a different set in other

regions, each performing essentially the same functions.

Moreover, if international operators improve their on-board

capabilities to exploit ATM service improvements im-

plemented in one State, the return on their investment will

be enhanced if the same improvements are implemented in

other States. In oceanic areas, some service improvements

cannot be implemented meaningfully in only one FIR. For

example, to achieve the expected benefits, it is desirable that

reduction in separation be implemented in all contiguous

airspace through which a significant number of aircraft will

travel.

4.54 The ATM operational concept should assist and

guide airspace planners in airspace and systems design,

with the goal of providing for the safe and efficient

operations of aircraft for each of the phases of flight. This

includes navigation along the intended route of flight,

clearance from obstacles, support of separation minima and

added autonomy of flight*. The main interdependent

elements that affect the achievement of predetermined

levels of safety, efficiency and regularity are:

— nature of traffic;

— frequency of occurrence of potential conflict

situations;

— separation minima;

— controller’s intervention capability;

— communications performance;

— aircraft navigation performance; and

— surveillance performance.

* Emerging concept or technology — consensus still to be reached.

I-4-14 Global Air Navigation Plan for CNS/ATM Systems

4.55 After determining the ATM requirements of a

given area, a strategy should be developed to guide the

implementation of the CNS/ATM systems infrastructure,

taking into account the performance capabilities of the CNS

elements and the ATM objectives. These performance

capabilities are used to determine airspace design (e.g.

separation minima, route spacing, sectorization, instrument

procedures required and the capability for intervention by

the ground-based ATM service provider when required).

4.56 It is well understood that not everything that is

possible is also necessary and that a balance must therefore

be reached between the requirements first put forward for

the improvement of services and the cost involved in

implementation. An increase or decrease in the require-

ments for any single parameter or element may allow a

corresponding increase or decrease in some or all of the

other parameters. Seen from this light, technology is not an

end in itself.

4.57 When fully developed, the operational concept

will clarify the benefits of global ATM and will give ICAO

regional planning and implementation groups, States and

industry a clear objective for designing and implementing

ATM systems.

4.58 The process of planning for the implementation

of CNS/ATM systems should begin with the step-by-step

approach outlined in Part I, Chapter 3, in full consideration

of the guidance provided in this and other chapters of the

Global Plan, as well as of the SARPs so far developed and

other guidance material identified. Seen in this light, the

Global Plan itself forms the basis for the ATM operational

concept and can, in fact, be seen as part of that concept.

The planning work should be integrated with the substantial

work already accomplished by the planning and implemen-

tation regional groups. The Global Plan and the evolving

notion of the global ATM system requires an evolutionary

and flexible approach to planning and implementation.

GENERAL TRANSITION ISSUES

4.59 The transition from today’s ATM structure to one

of collaborative air traffic management enabled by the

global ATM system should be carefully planned to avoid

degradation in system performance. The level of safety

attainable today will need to be assured throughout the

transition. Careful planning will also be necessary to ensure

that aircraft are not unnecessarily burdened by the need to

carry a multiplicity of existing and new CNS equipment

during a long transition cycle.

4.60 For reasons of both economy and efficiency, it is

necessary to ensure that differences in the pace of develop-

ment around the world do not lead to incompatibility among

elements of the overall system. In particular, given the wide

coverage of satellite systems, worldwide coordination is

necessary.

4.61 It is recognized that there are major long-term

consequences of adopting new systems that will eventually

permit the elimination of a variety of current systems.

Decisions on whether particular systems can be removed

will depend on many factors. One essential factor is the

demonstrated capability of a new system. Moreover, a clear

and compelling case for transition to the global ATM

system must include consideration of the benefits perceived

by the aviation community.

4.62 Guidelines for transition to the future systems

encourage equipage by users for the earliest possible accrual

of systems benefits. Although a transition period of dual

equipage, both airborne and ground, is often necessary to

ensure the reliability and availability of a new system, the

guidelines are aimed at minimizing this period to the extent

practicable. Appendix B to this chapter lists the guidelines

that States, regions, users, service providers and manufac-

turers should consider when developing CNS/ATM systems

or planning for implementation of such systems.

— — — — — — — — —

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-15

APPENDIX A TO CHAPTER 4

ATM OPERATIONAL REQUIREMENTS IN AN RNP/RNAV ENVIRONMENT

Code

ATM operational

enhancements* Required functions — air Required services — ground Notes

AIR TRAFFIC SERVICES

1. Routings and required conventional functionalities

1A • fixed routes • RNAV capability • NAVAID infrastructure

1B • flexible routes • RNAV capability • NAVAID infrastructure

2. Routings and required CNS/ATM functionalities

2A • fixed routes • DCPC (voice/data)

• RNP/X approval/certification

•FMS

• DCPC (voice/data) • see Notes 1, 2 and 3

2B • flexible routes • DCPC (voice/data)

• RNP/X approval/certification

•FMS

• DCPC (voice/data) • see Notes 1, 2 and 3

2C • dynamic

user-preferred

re-route (e.g.

DARPs)

• DCPC (voice/data)

• RNP/X approval/certification

• Aeronautical operational control

(AOC) data link

• Direct flight plan uploads

•FMS

• DCPC (voice/data)

• AOC data link

• flight plan generation

• AOC/ATS data communications

• utilization dependent on airspace

complexity

• see Notes 1, 2 and 3

2D • autonomy of

flight** concept

• to be developed • to be developed • concept still undergoing definition

by ICAO

3. En-route vertical separation reductions

3A • 300 m (1 000 ft)

vertical separation

between FL 290

and FL 410

• RVSM certification/ operational

approval

• voice/data communications

• height monitoring sampling

• voice/data communications

• see ICAO

Regional

Supplementary Procedures

(Doc 7030) NAT/RAC

• sampling to verify that aircraft

population height-keeping

accuracy is in conformance with

appropriate Standards

4. En-route longitudinal separation reductions

4A • 80 NM (non-radar

environment)

• RNAV

• MNPS approval

• voice/data communications

• Mach number technique (MNT)

• 60-minute position reporting

• voice/data communications

• MNT may be required

• MNPS is used in a generic sense

and may not be required in all

cases

• see Note 1

4B • 50 NM (non-radar

environment)

• RNP 10 approval/certification

•FMS

• DCPC (voice/data)

• 30-minute position reporting

•MNT

• DCPC/voice/data

• final requirements to be

developed

• MNT may be required

• see Notes 1, 2 and 3

4C • 30 NM (non-radar

environment)

•FMS

• DCPC (voice/data)

• RNP 4 approval/certification

•ADS

• DCPC (voice/data)

•ADS

• final requirements to be

developed

• see Notes 1, 2, 3 and 4

4D • less than 30 NM

(non-radar

environment)

•FMS

• DCPC (voice/data)

• RNP/X approval/certification

•ADS

• DCPC (voice/data)

•ADS

• final requirements to be

developed

• see Notes 1, 2, 3 and 4

4E • 10 minutes

(non-radar

environment)

• RNAV

• voice/data communications

• MNT where prescribed

• voice/data communications

• RNAV capability may not be

required in all situations

• accurate time requirement/

common time reference

• see Note 1

I-4-16 Global Air Navigation Plan for CNS/ATM Systems

4F • 7 minutes

(non-radar

environment)

•FMS

• DCPC (voice/data)

• RNP 10 approval/certification

• DCPC (voice/data) • final requirements to be

developed

• accurate time requirement/

common time reference

• see Notes 1, 2 and 3

5. En-route lateral separation

5A • 60 NM (non-radar

environment)

• RNP 12.6 approval/certification

• voice/data communications

• pilot position reports

• presently implemented as MNPS

and AUSEP in the NAT and Asia

Pacific Regions respectively

• performance monitoring may be

required

• see Notes 1, 3 and 5

5B • 50 NM (non-radar

environment)

• RNP 10 approval/certification

• voice/data communications

• pilot position reports

• performance monitoring may be

required

• see Notes 1, 3 and 5

5C • 30 NM (non-radar

environment)

• RNP 4 approval/certification

• DCPC (voice/data)

• DCPC (voice/data) • final requirements to be

developed

• performance monitoring may be

required

• see Notes 1, 2, 3 and 5

5D • less than 30 NM

(non-radar

environment)

• DCPC (voice/data)

• RNP/X approval/certification

•ADS

• DCPC (voice/data)

•ADS

• final requirements to be

developed

• performance monitoring may be

required

• see Notes 1, 2, 3, 4 and 5

5E • 16.5 NM

(uni-directional)

(non-radar

environment)

• RNP 5 approval/certification

• DCPC voice

• DCPC voice • relates to VOR reference

system

• see Notes 3, 5, 6 and 7

5F • 18 NM

(bi-directional)

(non-radar

environment)

• RNP 5 approval/certification

• DCPC voice

• DCPC voice • relates to VOR reference

system

• see Notes 3, 5, 6 and 7

5G • 10 to 15 NM (radar

environment)

• RNP 5 approval/certification

• DCPC voice

• radar

• DCPC voice

• system safety evaluation

required

• see Notes 3, 5, 6 and 7

5H • 8 to 12 NM (radar

environment)

• RNP 4 approval/certification

• DCPC voice

• radar

• DCPC voice

• system safety evaluation

required

• see Notes 3, and 5

AIRSPACE MANAGEMENT

6A • airspace

integration and

flexible use of

airspace**

• to be provided to all aircraft • separate databases for:

— aircraft

—AOC

— military reserved airspace

— national security

— environmental

— aeronautical information

—airports

—weather

— traffic

—SAR

— rules of the air

• this provides the information that

is necessary to create flexible use

of airspace**

Code

ATM operational

enhancements* Required functions — air Required services — ground Notes

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-17

* For each particular operational enhancement, there will be a need for the airlines and the ATS providers to review existing procedures

to identify what new requirements are required prior to operational implementation.

** Emerging concept or technology — consensus still to be reached.

NOTES

1) When a data link is used for communications, voice communications must be available. Depending upon the separation

requirement, the voice requirement may be for direct voice.

2) Performance requirements of a data link depend upon the application for which it is being used.

3) The approval for RNP operations is specific for each RNP type.

4) The ADS requirement is associated with and related to the overall communications performance requirements for position

reporting.

5) Lateral route systems require regional safety assessments and agreement.

6) In some cases, the RNP requirement may be met without the use of RNAV; however, in future CNS/ATM systems, all

aircraft are expected to be RNAV-equipped.

— — — — — — — — —

AIR TRAFFIC FLOW MANAGEMENT

7A • integrated air traffic

flow management

• to be provided to all aircraft • separate databases for:

— aircraft

—AOC

— airspace requirements

— environmental

— aeronautical information

—airports

—weather

— traffic forecast

• integrated automation of database

management

•AOC interface

• ATC/ASM/ATFM interface

• purpose is to ensure an optimum

flow of air traffic by balancing

traffic demand and ATC capacity

Code

ATM operational

enhancements* Required functions — air Required services — ground Notes

I-4-18 Global Air Navigation Plan for CNS/ATM Systems

APPENDIX B TO CHAPTER 4

GUIDELINES FOR TRANSITION TO

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEMS

GENERAL

• The ATM system should ensure the provision of safe,

uniform procedures on a global basis.

• The ATM system must improve upon the present,

agreed-to levels of safety.

• The ATM system should offer users maximum flexibility

and efficiency in airspace utilization, taking into account

their operational and economic needs, as well as the

ground system capabilities.

• The ATM system should facilitate a dynamic airspace

environment that allows aircraft operators to follow

preferred and flexible flight profiles with minimum

constraints.

• The ATM system must be capable of functional

compatibility of the data exchanged between the air-

borne and the ground elements, in order to ensure

global efficiency.

• The ATM system should allow for the sharing of

airspace between different categories of users, and the

airspace should be organized as flexibly as possible,

considering different levels of aircraft equipage.

• The various elements for the overall ATM system

should be designed to work together effectively to

ensure homogeneous, continuous and efficient service

to the user from pre-flight to post-flight.

• Pilots and air traffic controllers should be kept involved

in the ATC process, and automated systems should be

human-centred.

• The ATM system should be capable of working with a

wide variety of traffic densities, aircraft types, avionics

sophistication, etc.

• The ATM system should not be overly sensitive to

random disturbances, such as outages, emergencies and

errors in forecasting.

TRANSITION AND IMPLEMENTATION

• The development and implementation of the ATM

system should be evolutionary.

• The design of the ATM system should provide a

well-understood, manageable, cost-effective sequence

of improvements that keeps pace with the users’ needs

and culminates in a system meeting safety, capacity,

efficiency and environmental demands.

• The ATM system design should allow for implemen-

tation at various levels of sophistication to provide

services tailored to specific applications and regions.

• Future ATM systems should be implemented in a way

that allows adjacent systems to interface so that boun-

daries are transparent to airspace users.

• During the transition period to future ATM systems,

present levels of integrity, reliability and availability of

existing systems must be maintained.

AIRSPACE ORGANIZATION

AND MANAGEMENT

• In the design of the future airspace structure, airspace

boundaries and divisions should not prevent the efficient

use of automated conflict detection and resolution tech-

niques nor the exploitation of the advanced avionics of

modern aircraft.

• The aim of airspace sectorization should be to develop

an optimum airspace configuration, in combination

with the use of other suitable methods for increasing

ATM system capacity.

• Airspace use should be carefully coordinated and

monitored in order to cater for the conflicting legitimate

requirements of all users and to minimize any constraints

on operations.

• When it is unavoidable to segregate different categories

of traffic, the size, shape and regulation category of

airspace should be tailored to the minimum required to

protect the operations concerned.

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-19

• The permanent segregation of airspace should be

avoided in favour of flexible use of airspace*; however,

where it is necessary to cater for specific flight oper-

ations, e.g. military, reservation of airspace for such

events should be limited in time and space to the

minimum required.

• Efficient communications should be provided between

the entities providing services to air traffic, in order to

enhance civil-military coordination in real-time.

• Consideration should be given to combining flight

information services with available surveillance services

outside controlled airspace.

• To facilitate airspace design, planning should be based

on an area control concept rather than on a fixed-route

network whenever practicable/feasible.

• Random RNAV areas should be introduced whenever

practicable/feasible in order to enable aircraft to fly

their preferred routes.

• Fixed-route systems based on RNAV should only, if

necessary, be applied in high-traffic density airspace.

Such route systems shall be published and shall be

designed to enable air traffic to be separated systemati-

cally, while seeking to permit economical flight paths.

• Areas that should strive for the earliest and shortest

implementation are those where there are known con-

straints in today’s system; that is, where the users’ needs

are not met, or where the users’ benefits cannot be fully

realized.

AIR TRAFFIC SERVICES

• The implementation and application of automation and

other advanced technologies, while necessary to increase

efficiency and regularity, should maintain and, where

possible, improve the controller’s work environment.

• The implementation of an improved air navigation

system should be supported by improvements in the

communications, navigation and surveillance systems

and by advanced automation functions.

• Airspace capacity increases should not cause a

concurrent increase in controller workload.

• Automation aids such as conflict prediction and resol-

ution advisory functions should be introduced to assist

the controller where practicable. The accuracy of these

systems must be assured.

• Safety levels must be improved as the use of automation

increases.

• Automation aids that improve planning data accuracy

and reduce the necessity for controller interventions to

resolve conflicting situations must contain provisions

which allow for required controller awareness in relation

to the traffic situation.

• The ATM system will allow for a transfer of

responsibility of some separation functions from ground

to airborne systems under specific circumstances. The

trend may continue based on advancements in cockpit

situational awareness; however, the ground system

should remain as the overriding authority in all cases

where arbitration is required.

• The data link application should take place during an

early stage of the transition phase, based on the

availability of any of the foreseen data link systems.

• Application of the data link should aim for a reduction

of voice communications load and also for an improve-

ment in the provision of flight data (short-term intent

and four-dimensional profile data for the entire flight

route) by providing FMS data to the ground ATC

system.

• Communications networks between ATM facilities

within a State and ATM facilities in adjacent States

should be established if they do not already exist.

• States and/or regions should coordinate to ensure that

where ATC applications, supported by AMSS such as

ADS, are to be introduced, they be introduced simul-

taneously in adjacent flight information regions (FIRs)

through which there are major traffic flows.

• States should develop operational procedures, in

collaboration with neighbouring FIRs, for the im-

plementation of new systems such as ADS within

airspace under their control, where such an application

would be advantageous.

• Rules and procedures should facilitate the operation of

aircraft with different equipment in the same ATM

environment.

* Emerging concept or technology — consensus still to be reached.

I-4-20 Global Air Navigation Plan for CNS/ATM Systems

• States and/or regions may consider segregating traffic

according to CNS capability, and granting preferred

routes/flight levels to aircraft with improved capabilities.

• States and/or regions should coordinate to ensure that

separation standards and procedures for appropriately

equipped aircraft are introduced approximately simul-

taneously in each FIR through which major traffic

passes.

• Systems or other provisions must allow the controller to

ensure safe separation in the event of system failures.

• Implementation of new functions should maintain or

improve existing or basic functions rather than just

replace them and should relieve rather than worsen

controller functions.

• Rules and procedures should be developed to facilitate

the transfer of aircraft between adjacent systems which

provide different levels of services.

• Rules and procedures for sharing responsibility between

the ground ATC system and the flight management

system, in calculating and maintaining flight profiles,

should be clearly defined prior to implementation.

• All the future automation specifications for ATC systems

should provide for functional coherence between air

traffic flow management and air traffic control systems.

AIR TRAFFIC FLOW

MANAGEMENT (ATFM)

• Data on likely future demands should be collated from

historical information, planned development by airports

and airlines, aircraft manufacturers’ order books, plus

the macro-economic forecasts of trends in the home and

other State economies.

• A recognized and common methodology for the assess-

ment of the capacity of the current and planned ATM

system should be developed to include sector capacities

and, in particular, “choke” points.

• Regions should consider the introduction of a centra-

lized flow management unit.

• Where more than one flow management unit exists,

plans to harmonize procedures and practices with

adjacent units should be developed.

HUMAN FACTORS

• Planning and implementation of improved ATM

capabilities should include consideration of Human

Factors impacts and requirements. The goals listed for

the future ATM system should be qualified in relation

to human factors, at least in terms of the following

considerations:

a) the level of safety targeted for the future system

should be defined not only with reference to various

system statistics, but also with reference to error-

inducing mechanisms related to human capabilities

and limitations as well as important individual cases;

b) the definition of system and resource capacity

should include reference to the responsibilities,

capabilities and limitations of ATS personnel and

air crews who must retain situational awareness and

understanding in order to carry out all of their

responsibilities;

c) the dynamic accommodation of three- and four-

dimensional flight trajectories to provide user-

preferred routings, while an ultimate goal for users,

may initially be restricted by human capabilities

and the need to organize the flow of air traffic in an

orderly manner in order to provide separation. The

transition period will need careful research and

evaluation of Human Factors aspects;

d) the provision of large volumes of potentially

relevant information to users and ATS personnel

should be limited to that which is absolutely necess-

ary and be mediated by methods that effectively

package and manage such information to prevent

information overload, while providing information

pertinent to particular operational needs;

e) a single airspace continuum should be free of oper-

ational discontinuities and inconsistencies between

kinds of airspace and kinds of facilities that affect

the responsibilities and activities of air crews or

ATS personnel at functional boundaries;

f) the organization of airspace in accordance with

ATM procedures should also be readily learned,

recalled and, to the maximum practical extent,

intuitively understood by air crews and ATS

personnel; and

g) responsibilities of pilots, air traffic controllers and

system designers should be clearly defined prior to

Part I. Operational Concept and General Planning Principles

Chapter 4. Air Traffic Management I-4-21

the implementation of new automated systems and

tools (e.g. conflict resolution advisories, data link,

ADS, etc.).

AERODROME OPERATIONS

• Metering, sequencing, and spacing aids should be

introduced in areas where there are frequent delays for

aircraft arriving in all weather conditions.

• Simultaneous approaches to closely spaced parallel

runways should be implemented at locations where

technology and procedures have been developed that

permit such use.

• Alternative approach capabilities should be considered

for terminal applications where there are closely spaced

airports, closely spaced parallel runways, noise footprint

requirements, terrain/obstacle clearance requirements, or

limited real estate available for new runway construction.

• Data link communications should be considered at

airports to relieve air-ground voice communications

congestion, and thereby reduce errors or confusion

arising from voice communications.

• Automated surface movement guidance and control

systems, in conjunction with surface detection radar or

differential GNSS equipment, which associate call signs

with displayed surface locations and contain controller

alerting capabilities, should be provided where the traffic

density and/or local conditions warrant this.

• Lighting systems, positional display systems and other

devices that assist pilots and controllers in preventing

runway incursions should be introduced according to

local needs.

I-5-1

Chapter 5

COMMUNICATIONS SYSTEMS

FUNCTION

5.1 The communications element of CNS/ATM

systems provides for the exchange of aeronautical data and

messages between aeronautical users and/or automated

systems. Communications systems are also used in support

of specific navigation and surveillance functions.

COMMUNICATIONS SERVICES

ENVISAGED

5.2 There are basically two categories of aeronautical

communications:

a) safety-related communications requiring high integ-

rity and rapid response:

1) air traffic services communications (ATSC)

carried out among ATS units or between an ATS

unit and an aircraft for ATC, flight information,

alerting, etc;

2) AOC communications carried out by aircraft

operators on matters related to safety, regularity

and efficiency of flights; and

b) non-safety related communications:

1) aeronautical administrative communications

(AAC) carried out by aeronautical personnel

and/or organizations on administrative and

private matters; and

2) aeronautical passenger communications (APC).

5.3 In general, communication systems used in

CNS/ATM systems are capable of carrying both of the

above-mentioned categories. However, safety-related com-

munications shall always have priority over non-safety

related ones.

MAIN FEATURES OF NEW

COMMUNICATIONS SYSTEMS

5.4 There are some fundamental differences between

conventional aeronautical communications systems and

those which form part of the new CNS/ATM systems. Some

key features of the new systems, which significantly differ

from conventional ones, are as follows:

a) most routine communications are done by data

interchange;

b) voice communications are mainly used in

non-routine and emergency situations; and

c) there is emphasis on global connectivity and

operation.

Such features allow for better use of communication

channels and enable facilities to be shared among many

users.

REFERENCES

Annex 10 — Aeronautical Telecommunications

Manual on Mode S Specific Services (Doc 9688)

Manual on HF Data Link (Doc 9741)

Handbook on Radio Frequency Spectrum Require-

ments for Civil Aviation including Statement of

Approved ICAO Policies (Doc 9718)

Manual of Technical Provisions for the Aeronautical

Telecommunication Network (ATN) (Doc 9705)

Comprehensive Aeronautical Telecommunication

Network (ATN) Manual (Doc 9739)

A Planning Guide for the Evolutionary Development

of the Data Interchange Portion of the Aero-

nautical Fixed Service (Circular 261)

Manual of the Secondary Surveillance Radar (SSR)

Systems (Doc 9284)

I-5-2 Global Air Navigation Plan for CNS/ATM Systems

AIR-GROUND COMMUNICATIONS

5.5 It is envisaged that most routine air-ground

communications in the en-route phase of flight will be via

digital data interchange. For this purpose, the user often

selects a particular message from a pre-constructed set of

messages using a screen menu, adds some specific

parameters (or free text) and then sends it. Some data

transfers take place between automated airborne and

ground systems without the need for manual intervention.

Such data exchanges will greatly reduce the volume of

voice communications and therefore reduce the workload

of pilots and controllers. In busy terminal areas, however,

the use of voice communications will likely still be

preferred. For emergency or non-routine communications,

voice will remain as the primary means of air-ground

communications.

5.6 Transmission of air-ground messages is carried

out over one of the following radio links:

a) AMSS — Geostationary communications satellites,

designed specifically for mobile communications,

offer wide/near global coverage and both voice and

data communications channels. The use of AMSS is

particularly suited to aircraft flying in oceanic

and/or remote continental airspace;

b) VHF (Analog) — Existing VHF analog radios have

excellent operational reliability and will continue to

be used for voice communications in busy terminal

areas as well as for general non-routine communi-

cations in their areas of coverage. Where the

saturation of VHF frequency bands for aeronautical

communications may occur, provisions have been

made to reduce the channel spacing from 25 kHz to

8.33 kHz to increase the number of available

channels in that area;

c) HF (Analog) — Radio communications using the

HF band for long distance contacts have reliability

limitations imposed mainly by the variability of

propagation characteristics. It is envisaged that with

increased use of AMSS in oceanic/remote areas,

congestion on HF channels will be relieved. Until a

new satellite constellation suitable for aeronautical

use, covering the entire globe, is put in place for

flights over polar regions, HF will remain as the

only available means of communications in these

areas (e.g. polar areas);

d) VDL Mode 2 — This mode provides an air-ground,

ATN-compatible, data link and uses digital radio

techniques. The nominal data rate of 31.5 kbps is

compatible with the 25 kHz channel spacing used in

analog VHF radio and for VDL Mode 3 (integrated

voice and data). The modulation scheme used in

Mode 2 is capable of supporting ATN protocol

suites for different operational applications, thereby

greatly increasing the efficient use of the VHF

channel;

e) VDL Mode 3 — This mode uses a time division

multiple access (TDMA) technique and is capable

of integrating both voice and data communications

systems. The improved utilization of the VHF

spectrum is achieved through the provision of four

separate radio channels over one carrier (25 kHz

channel spacing);

f) VDL Mode 4 — This mode uses a self-organizing

time division multiple access (STDMA) technique

and is intended to be used for surveillance appli-

cations (e.g. ADS and ADS-B). This mode is being

considered for use in other air-ground data link

applications;

g) SSR Mode S data link — The SSR Mode S data link

provides surveillance capability and an air-ground

data link, which is specifically suitable for limited

data messaging in high-density areas. It is capable of

operating in an environment where different levels of

Mode S data link capabilities exist; and

h) HF data link — The HF data link provides an

air-ground data link which is ATN-compatible and

is primarily considered to complement AMSS in

oceanic/remote areas.

5.7 AMSS, VDL, SSR Mode S and HF data links use

different data transmission techniques, but as individual

networks, they all use the same network access protocol in

accordance with the International Organization for

Standardization (ISO) — Open Systems Interconnection

(OSI) reference model. This provides for their inter-

connection to other ground-based networks so that the

aircraft end of any of these data links can be connected to

any ground-based system by adopting common interface

services and protocols, also based on the ISO OSI reference

model. The communications service, which allows ground,

air-ground and avionics data subnetworks to interoperate for

the specified aeronautical applications, is the ATN. The

above-mentioned air-ground data links are ATN-compatible

and can therefore constitute ATN subnetworks. In an ATN

environment, subnetworks are connected to other sub-

networks through ATN routers, which select the “best” route

for transmission of each data message. As such, the choice of

the air-ground data link is often transparent to the end-user.

Part I. Operational Concept and General Planning Principles

Chapter 5. Communications Systems I-5-3

5.8 Radio links used for communications with aircraft

in flight are of extreme importance to the safety, regularity

and economy of flights. As such, the necessary technical

and institutional arrangements must be in place to:

a) ensure the availability of a sufficient radio frequency

(RF) spectrum for aeronautical services, noting

present and foreseen levels of traffic; and

b) prevent RF interference (RFI) into frequencies,

bands, services and users of aeronautical radio

systems; and

c) allow the provision of communications services by

commercial service providers.

GROUND-GROUND

COMMUNICATIONS

5.9 It is envisaged that most routine communications

between ground-based aeronautical users and systems will

be by data interchange. Such interchanges between entities

such as meteorology offices, NOTAM offices, aeronautical

data banks, ATS units, etc., may be in any of the following

forms:

a) free-text messages;

b) pre-selected data messages (with some manually

added parts); and

c) automated data interchange between computerized

systems.

5.10 A variety of ground networks, implemented by

States, a group of States or commercial service providers,

will continue to provide data communications services to

aeronautical users. However, only networks that use packet

switching techniques and are compatible with the ISO OSI

reference model will be able to use the internet working

services of the ATN. With gradual implementation of the

ATN, the use of the aeronautical fixed telecommunication

network (AFTN) will diminish. During the transition period,

however, interconnection of AFTN terminals to the ATN

will be possible via special gateways.

5.11 Voice communications between ATS units will

continue to be required for emergency or non-routine cases.

Considering the relatively low usage of voice communi-

cations, dedicated direct-speech circuits will gradually be

replaced with aeronautical switched networks capable of

handling both voice and data. There is also a trend to use

fully digital voice switching and signalling techniques as

more flexible and less costly digital leased lines become

widely available.

AERONAUTICAL TELECOMMUNICATION

NETWORK (ATN)

5.12 The ATN and its associated application pro-

cesses have been specifically designed to provide, in a

manner transparent to the end-user, a reliable end-to-end

communications service over dissimilar networks in support

of air traffic services. ATN can also carry other communi-

cations service types, such as AOC communications, AAC

and APC. Some other features of the ATN:

a) enhance data security;

b) are based on internationally recognized data

communications Standards;

c) accommodate differing services (e.g. preferred

air-ground subnetwork);

d) allow the integration of public/private networks;

and

e) make efficient use of bandwidth, which is a limited

resource in air-ground data links.

A diagram of the ATN architecture is given in Figure I-5-1.

FUTURE TRENDS

5.13 As a result of advancing technology, new com-

munications systems offer more, better and cheaper services.

The use of such new systems for international civil aviation

applications is being investigated. Some future communi-

cations systems that have the potential of providing the

necessary level of service to the aviation community are:

a) non-geostationary satellite systems (using lower

orbits), which cover the entire globe and have less

power requirements; and

b) new network technologies providing integrated

voice and data service.

5.14 The most important question to be asked when

considering a new system is whether it meets existing or

emerging operational and user requirements. Other factors

I-5-4 Global Air Navigation Plan for CNS/ATM Systems

to be considered are standardization, certification, har-

monious deployment by various users, and cost-benefit

considerations.

REQUIRED COMMUNICATION

PERFORMANCE (RCP)*

5.15 The emergence of several types of data links for

the conduct of air-ground data interchange, as well as for

the support of specific navigation, surveillance and other

functions, has raised the concern that the air navigation

system is becoming too complex. Obviously, it would have

been ideal to have a single air-ground communications

system capable of handling all communications, navigation

and surveillance requirements in all types of airspace and

for all phases of flight in a cost-effective manner. However,

as no such technological solution has yet been found to

meet all operational requirements, the aviation community

has to consider all available as well as emerging communi-

cations systems, though some may only perform a single

function or only serve a limited area.

5.16 The availability of several communications sys-

tems does provide a degree of flexibility to planning and

implementation in different types of airspace; however, the

proliferation of subnetworks will add to the complexity of

the operation and administration of the global ATN. For

example, if a large continental airspace is already covered

by VHF for aeronautical communications, perhaps VDL

would be the best choice for an air-ground data link since

most of the necessary infrastructure (buildings, towers,

power supplies, etc.) would already be in place. Similarly,

if an extensive network of SSR Mode S has already been

implemented in an area, data link capability could be added

with relatively small additional investment.

5.17 Although having the choice between several

types of communications systems has some advantages

from the implementation point of view, it does make the

regional planning for air navigation systems more complex,

especially when it comes to making contiguous FIRs

harmonious and synchronous from the communications

point of view. One solution to this problem is to do away

with the specification of individual systems and instead,

translate all relevant operational requirements in a certain

airspace and scenario into a series of communications

performance parameters. The term required communi-

cations performance (RCP)* therefore refers to a set of

well-quantified communications performance requirements,

such as capacity, availability, error rate, and transit delay.

Once RCP* has been specified for an operational scenario

in a given airspace, any single communications system, or

combination of systems meeting the set parameters, can be

considered as operationally acceptable.

GENERAL TRANSITION ISSUES

5.18 Guidelines for transition to the future systems

encourage equipage by users for the earliest possible

accrual of systems benefits. Although a transition period of

dual equipage, both airborne and ground, is often necessary

to ensure the reliability and availability of a new system,

the guidelines are aimed at minimizing this period to the

extent practicable. Appendix A to this chapter lists the

guidelines that States, regions, users, service providers and

manufacturers should consider when developing CNS/ATM

systems or planning for implementation of such systems.

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 5. Communications Systems I-5-5

Figure I-5-1. ATN data communications environment

— — — — — — — — —

Avionics subnetwork

HF subnetwork

Mode S

subnetwork

VHF subnetwork Satellite

subnetwork

Airline ground

subnetwork

Aeronautical

operations

control

ATN ROUTER

ES ES ES ES ES

Aeronautical

operations

database

Weather

database

CAA ground

subnetwork

FIS database

ATC Weather

database

ATN ROUTER

Service provider

ground subnetwork

Management

processor

ESES

Data entry

processor

Data display

processor

Management

processor

ATN ROUTER

I-5-6 Global Air Navigation Plan for CNS/ATM Systems

APPENDIX A TO CHAPTER 5

GUIDELINES FOR TRANSITION TO COMMUNICATIONS SYSTEMS

• States should begin to use data link systems as soon

as possible after they become available.

• Transition to AMSS should initially be in oceanic

airspace and in continental en-route airspace with

low-density traffic.

• States/regions should coordinate to ensure that where

ATC applications supported by AMSS are to be

introduced, they should be introduced simultaneously

in adjacent FIRs through which there are major

traffic flows.

• During the transition period after AMSS is intro-

duced, the current levels of integrity, reliability, and

availability of existing HF communications systems

must be maintained.

• Communications networks between ATC facilities

within a State and ATC facilities in adjacent

States should be established if they do not already

exist.

• The ATN should be implemented in phases.

• If new application message processors and data link

systems are implemented, they should support

code- and byte-independent data transmission

protocols in order to facilitate transition to the

AT N .

• States should establish procedures to ensure that

both the security and interoperability aspects of the

ATN are not compromised.

I-6-1

Chapter 6

NAVIGATION SYSTEMS

OBJECTIVES

6.1 The navigation element of CNS/ATM systems is

meant to provide accurate, reliable and seamless position

determination capability, worldwide, through introduction

of satellite-based aeronautical navigation.

REQUIRED NAVIGATION

PERFORMANCE (RNP)

6.2 Modern aircraft are increasingly equipped with

RNAV, the use of which facilitates a flexible route system.

Also, by using the concept of RNP, the need for selection

between competing systems can be avoided. However, inter-

national standardization of navigation techniques, which are

in wide use internationally, is still required.

6.3 The RNP concept for en-route operations has been

approved by ICAO (Annex 11, Chapter 2) and has been ex-

tended to cover approach, landing and departure operations.

6.4 RNP is a statement of navigation performance

accuracy within a defined airspace based on the com-

bination of the navigation sensor error, airborne receiver

error, display error and flight technical error.

6.5 RNP types for en-route operations are identified

by a single accuracy value defined as the minimum navi-

gation performance accuracy required within a specified

containment level. The en-route RNP types are described in

Doc 9613.

6.6 The RNP types for approach, landing and depar-

ture operations are defined in terms of required accuracy,

integrity, continuity and availability of navigation. While

some RNP types contain accuracy specification of lateral

performance only (i.e. similar to en-route), other types also

include lateral and vertical performance specifications. The

types similar to en-route specification are intended for

operations such as non-precision approach or departure.

Most RNP types for approach and landing operations do

require vertical containment based on navigation system

information.

GLOBAL NAVIGATION

SATELLITE SYSTEM (GNSS)

6.7 The GNSS is a worldwide position and time

determination system, which includes one or more satellite

constellations, aircraft receivers, and system integrity

monitoring, augmented as necessary to support the RNP for

the actual phase of operation.

6.8 The satellite navigation systems in operation are

the global positioning system (GPS) of the United States

and the global orbiting navigation satellite system

(GLONASS) of the Russian Federation. Both systems were

offered to ICAO as a means to support the evolutionary

development of GNSS. In 1994, the ICAO Council

accepted the United States’ offer of the GPS, and in 1996

it accepted the Russian Federation’s offer of GLONASS.

6.9 The GPS space segment is composed of twenty-

four satellites in six orbital planes. The satellites operate

near-circular 20 200 km (10 900 NM) orbits at an incli-

nation angle of 55 degrees to the equator, and each satellite

completes an orbit in approximately 12 hours.

6.10 The GLONASS space segment consists of

twenty-four operational satellites and several spares.

GLONASS satellites orbit at an altitude of 19 100 km with

an orbital period of 11 hours and 15 minutes. Eight evenly

spaced satellites are arranged in each of the three orbital

planes, inclined 64.8 degrees and spaced 120 degrees

apart.

REFERENCES

Annex 10 — Aeronautical Telecommunications

Guidelines for the Introduction and Operational Use

of the Global Navigation Satellite System (GNSS)

(Circular 267)

Manual on Required Navigation Performance (RNP)

(Doc 9613)

Annex 11 — Air Traffic Services

I-6-2 Global Air Navigation Plan for CNS/ATM Systems

GNSS AUGMENTATIONS

6.11 To overcome inherent system limitations and to

meet the performance requirements (accuracy, integrity,

availability and continuity of service) for all phases of

flight, GPS and GLONASS require varying degrees of

augmentation. Augmentations are classified in three broad

categories: aircraft-based, ground-based and satellite-based

(see Table I-6-1).

Aircraft-based augmentations

6.12 One type of aircraft-based augmentation (ABAS)

is called receiver autonomous integrity monitoring (RAIM),

which can be used if there are more than four satellites with

suitable geometry in view. With five satellites in view, five

independent positions can be computed. If these do not

match, it can be deduced that one or more of the satellites

are giving incorrect information. If there are six or more

satellites in view, more independent positions can be

calculated and a receiver may then be able to identify one

faulty satellite and exclude it from the position deter-

mination calculations.

6.13 Other aircraft-based augmentations can also be

implemented and are usually termed aircraft autonomous

integrity monitoring (AAIM). An inertial navigation system,

for example, can aid GNSS during short periods when the

satellite navigation antennas are shadowed by the aircraft

during manoeuvres or during periods when insufficient

satellites are in view. Augmentation techniques particularly

useful for improving availability of the navigation function

also include altimetry-aiding, more accurate time sources or

some combination of sensor inputs combined through

filtering techniques.

Ground-based augmentations

6.14 For ground-based augmentation systems (GBAS),

a monitor is located at or near the airport where precision

operations are desired. Signals are sent directly to the

aircraft in the vicinity (approximately 37 km (20 NM)).

These signals provide corrections to increase the position

accuracy locally along with satellite integrity information.

This capability requires data link(s) between the ground

and the aircraft.

Satellite-based augmentations

6.15 It is not practical to provide coverage with

ground-based systems for all phases of flight. One way to

provide augmentation coverage over large areas is to use

satellites to transmit augmentation information. This is

known as satellite-based augmentation (SBAS).

6.16 The provision of satellite-based augmentation by

geostationary satellites has certain limitations and therefore

Table I-6-1. Examples of GNSS (GPS and GLONASS) augmentation requirements

* Aircraft-based augmentation systems provide limited availability of service. This may lead to operational restrictions

based on prediction of one satellite constellation status before departure.

Operation/phase of flight RNP type

Generic augmentation architecture

Supplemental-means Primary-means Sole-means

En-route RNP 1 and above ABAS ABAS* ABAS* or

ABAS + SBAS

Initial or intermediate

approach; non-precision

approach, departure

RNP 0.3 ABAS ABAS* or

ABAS + SBAS

ABAS* or

ABAS + SBAS

Non-precision approach

(with vertical guidance)

RNP 0.3/125 ABAS ABAS* or

ABAS + SBAS

ABAS* or

ABAS + SBAS

Precision approach down

to 60 m (200 ft)

(Category I)

RNP 0.02/40 ABAS + SBAS ABAS + GBAS ABAS + GBAS

Part I. Operational Concept and General Planning Principles

Chapter 6. Navigation Systems I-6-3

cannot be expected to support all phases of flight, especially

precision approach and landing of higher categories. Since

these satellites orbit above the equator, their signals would

not be available in polar regions and may be masked by

aircraft structure or terrain. This suggests that other GNSS

augmentation satellite orbits and/or ground-based aug-

mentation might need to be considered to alleviate these

shortcomings.

AVIONICS

6.17 Simple GPS or GLONASS receivers that do not

include RAIM capability (or similar forms of integrity

monitoring) generally cannot meet the requirements for all

phases of flight.

6.18 Multi-sensor systems, using GNSS as one of the

sensors, are expected to be in use for the foreseeable future.

Such navigation systems generally exhibit better levels of

performance than the individual sensor or stand-alone

systems. Aircraft using multi-sensor navigation systems,

such as integrated GNSS/IRS or GNSS/IRS/FMS, may be

certified as meeting levels of RNP which could not be

obtained by use of GPS or GLONASS alone.

WGS-84 COORDINATE SYSTEM AND

AERONAUTICAL DATABASES

6.19 The successful global implementation of satellite

navigation is predicated on the existence of a coordinate

and procedures database of a very high quality. Accurate

satellite navigation is only possible when the ground-

derived coordinates, calculated coordinates, and the satellite

system-derived coordinates use the same geodetic reference

system.

6.20 In support of evolving satellite-based technology,

ICAO adopted WGS-84 as the common geodetic reference

datum for civil aviation with an applicability date of

1 January 1998 (Annex 15). Implementation of WGS-84

involves, among other things, the transformation of existing

coordinates and reference datums to WGS-84.

6.21 Aeronautical databases are built and updated

through the use of surveys of existing navigation aids,

position fixes and runway thresholds and through the

design of new routes or approach procedures. Systems are

to be in place to ensure the quality (accuracy, integrity and

resolution) of position data from the time of the survey, to

the submission of information to the next intended user.

Aeronautical databases must be updated on a regular basis.

EVOLUTIONARY INTRODUCTION

6.22 GNSS implementation will be carried out in an

evolutionary manner, allowing gradual system improve-

ments to be introduced. Near-term applications of GNSS are

intended to enable the early introduction of satellite-based

en-route navigation, using the existing satellite systems (GPS

and GLONASS) and primarily aircraft-based augmentations.

6.23 Medium-term applications will make use of

existing satellite navigation systems with any augmentation

or combination of augmentations required for operation in

a particular phase of flight. Longer-term applications will

apply to future GNSS.

6.24 Three levels are generally accepted for the

introduction of GNSS-based operations:

a) supplemental-means GNSS must meet accuracy and

integrity requirements for a given operation or

phase of flight; availability and continuity require-

ments may not be met. Other navigation systems

supporting a given operation or phase of flight must

be on board;

b) primary-means GNSS must meet accuracy and

integrity requirements, but need not meet full

availability and continuity of service requirements

for a given operation or phase of flight. Safety is

achieved by limiting operations to specific time

periods and through appropriate procedural restric-

tions. Other navigation systems can be retained on

board to support the primary-means GNSS;

c) sole-means GNSS must allow the aircraft to meet,

for a given operation or phase of flight, all four

requirements: accuracy, integrity, availability and

continuity of service.

SYSTEMS TO SUPPORT APPROACH,

LANDING AND DEPARTURE OPERATIONS

6.25 The standard non-visual aids for precision

approach and landing are defined in Annex 10, Volume I,

Chapter 2. It is intended that the introduction and appli-

cation of these non-visual aids will be in accordance with

the global strategy set forth in Annex 10, Volume I,

Attachment B. This strategy will:

a) continue ILS operations to the highest level of

service as long as operationally acceptable and

economically beneficial;

I-6-4 Global Air Navigation Plan for CNS/ATM Systems

b) implement MLS where operationally required and

economically beneficial;

c) promote the use of multi-mode receivers (MMR) or

equivalent airborne capability to maintain aircraft

interoperability;

d) validate the use of GNSS, with such augmentations

as required, to support approach and departure

operations, including Category I operations, and

implement GNSS for such operations as appropriate;

e) complete feasibility studies for Category II and III

operations, based on GNSS technology, with such

augmentations as required. If feasible, implement

GNSS for Category II and III operations where

operationally acceptable and economically bene-

ficial; and

f) enable each region to develop an implementation

strategy for future systems in line with the global

strategy.

6.26 The terminology in 6.24 applies to the required

state of avionics equipage and the ability of aircraft to meet

RNP requirements with, in case of “sole means”, no other

navigation equipment on board. It is also related to the

intended operation (or phase of flight). Operational

approvals for aircraft are therefore issued for particular

operations and normally identify specific conditions or

restrictions to be applied. To this end they may vary from

State to State.

6.27 GNSS sole-means approval is therefore a

necessary, but not sufficient, condition for termination of

present radio navigation services. A number of aircraft may

be approved for sole-means GNSS navigation for particular

operations or phases of flight. However, the air traffic

service provider must provide a navigation service to all

users to support all phases of flight. It is therefore necessary

to harmonize withdrawal of conventional navaids with the

introduction of GNSS navigation service. These consider-

ations are not applicable to airspace where present navaids

are not available and GNSS alone can be introduced to

benefit GNSS-equipped users.

6.28 When introducing GNSS-based services, each

State shall identify the elements of GNSS that are provided

(e.g. GPS, GLONASS, SBAS, GBAS) and develop an

implementation plan. Where navigation services such as

VOR, DME and ILS already exist, States could credit the

economic savings associated with the decommissioning of

ground-based navigational aids. The cost of implementing

SBAS and GBAS should be tied to the provision of user

benefits and increased airspace efficiency associated with

area navigation and the potential to support lower decision

altitude/height to more runways.

6.29 Advantages of GNSS services include the use of

GPS/ABAS for en-route and non-precision approach oper-

ations where the coverage of ground-based navigation aids

does not exist or is limited. In such an environment, GNSS

would become the only navigation service as soon as it is

introduced. SBAS-based precision approach capability to

runways that currently only have a non-precision approach

capability will provide further advantages in terms of

increased safety and operational efficiency.

6.30 Several technical concerns have been raised with

respect to the reliance on GNSS services. Principal among

them is the possibility for intentional interference, or

jamming, that has the potential to disrupt GNSS navigation

services over relatively large areas. States and air navi-

gation service providers should develop plans to reduce the

likelihood of such occurrences, to detect and eliminate

sources of interference and to ensure that aircraft can

continue to operate safely during periods when GNSS

signals are disrupted. Depending on the traffic density in a

given airspace and the degree of integration and automation

of the air navigation system, a safety assessment might

demonstrate the need for navigational information derived

from different independent sources to address certain threats

such as intentional jamming.

6.31 Other risk areas are expected to be mitigated as

GNSS continues to evolve to a more comprehensive

service, such as the introduction of additional signals for

aeronautical use on GPS and GLONASS satellites, aug-

mentation system improvements, and the introduction of

additional satellites and satellite systems. Each State will

have to evaluate the effectiveness of the mitigation tech-

niques applied in its airspace to determine if it is acceptable

to rely on GNSS alone for the provision of navigation

service.

GENERAL TRANSITION ISSUES

6.32 Guidelines for transition to the future systems

encourage equipage by users for the earliest possible accrual

of systems benefits. Provision and carriage of terrestrial and

satellite-based navigation equipment are required during the

transition period when the reliability and availability of a

new system must be proven. Appendix A to this chapter lists

the guidelines that States, regions, users, service providers

and manufacturers should consider when developing GNSS

or when planning for its implementation.

Part I. Operational Concept and General Planning Principles

Chapter 6. Navigation Systems I-6-5

APPENDIX A TO CHAPTER 6

GUIDELINES FOR TRANSITION TO NAVIGATION SYSTEMS

• GNSS should be introduced in an evolutionary manner

with increasing benefits commensurate with improve-

ments in navigation service. These benefits should

culminate in GNSS sole-means operations.

• The ground infrastructure for current navigation systems

must remain available during the transition period.

• States/regions should consider segregating traffic ac-

cording to navigation capability and granting preferred

routes to aircraft with better navigation performance.

• States/regions should coordinate to ensure that separation

standards and procedures for appropriately equipped

aircraft are introduced approximately simultaneously in

each FIR through which major traffic passes.

• In planning the transition to GNSS, the following issues

must be considered:

a) schedule for provision and/or adoption of a GNSS

service, including aircraft and operator approval

processes;

b) extent of existing ground-based radio navigation

services;

c) strategy for transition schedule to GNSS capability

(i.e. benefits-driven or mandatory);

d) appropriate level of user equipage with GNSS

capability;

e) provision of other air traffic services (i.e. surveil-

lance and communications);

f) density of traffic/frequency of operations; and

g) mitigation of risks associated with radio frequency

interference.

I-7-1

Chapter 7

SURVEILLANCE SYSTEMS

CURRENT SURVEILLANCE SYSTEMS

7.1 The surveillance systems presently in use can be

divided into two main types: dependent surveillance and

independent surveillance. In dependent surveillance sys-

tems, the aircraft position is determined on board and then

transmitted to ATC. The current voice position reporting is

a dependent surveillance system in which the position of the

aircraft is determined from on-board navigation equipment

and then conveyed by the pilot to ATC by radiotelephony.

Independent surveillance is a system that measures aircraft

position from the ground. Current surveillance is either

based on voice position reporting or based on radar PSR or

SSR, which measures range and azimuth of aircraft from the

ground station.

FUNCTIONAL DESCRIPTION

Voice position reporting

7.2 Surveillance through voice position reporting is

mainly used in oceanic airspace and aerodrome control

service or area control service outside radar coverage.

Pilots report their position using VHF and/or HF radios.

Primary surveillance radar (PSR)

7.3 The ground-based PSR system provides infor-

mation on the bearing and distance of the aircraft. PSR

does not require carriage of any equipment by aircraft and

is capable of detecting almost any moving target. With

increasing usage of more advanced surveillance systems,

the use of PSR for international air traffic management will

diminish. PSR will, however, continue to be used for

national applications. Primary radars are currently used for

surface movement detection as well as weather detection.

Precision approach radars (PARs) are primary radars used

for approach operations based on specific procedures for

the pilot and the controller; however, use of PARs for civil

applications is rapidly decreasing.

Secondary surveillance radar (SSR)

7.4 The SSR interrogates transponder equipment

installed in the aircraft. In Mode “A”, the aircraft trans-

ponder provides identification information, aircraft bearing

and distance and in Mode “C”, it provides pressure-altitude

information. The current SSR is in wide use in many parts

of the world where terrestrial line-of-sight surveillance

systems are appropriate. The accuracy, resolution and

overall performance of range and azimuth information are

significantly improved by the application of monopulse

(including large vertical aperture antennas) and other

advanced processing techniques. The beneficial role of SSR

for surveillance purposes can be enhanced through the use

of Mode S, which is a technique that uses a unique address

(the 24-bit address) for each aircraft. It permits the selective

interrogation of Mode S transponder-equipped aircraft and

therefore eliminates garbling. It also provides for a two-way

data link capability between Mode S ground stations and

Mode S transponders. SSR Mode S is the appropriate

surveillance tool in high-density traffic areas. The inter-

connection of ground stations in clusters provides an

enhanced surveillance and communications system.

Automatic dependent surveillance (ADS)

7.5 The introduction of air-ground data links, together

with sufficiently accurate and reliable aircraft navigation

systems, presents the opportunity to provide surveillance

services in areas that lack such services in the present

infrastructure, in particular, oceanic and other areas where

REFERENCES

Annex 10 — Aeronautical Telecommunications

Manual of the Secondary Surveillance Radar (SSR)

Systems (Doc 9684)

Manual on Mode S Specific Services (Doc 9688)

Manual on Testing of Radio Navigation Aids,

Volume III — Testing of Surveillance Radar

Systems (Doc 8071)

I-7-2 Global Air Navigation Plan for CNS/ATM Systems

the current systems prove difficult, uneconomic, or even

impossible to implement. ADS is an application for use by

ATS in which aircraft automatically transmit, via a data

link, data derived from on-board navigation systems. As a

minimum, the data include the four-dimensional position,

but additional data may be provided as appropriate. The

ADS data will be used by the automated ATC system to

present information to the controller. In addition to pro-

viding traffic position information in non-radar areas, ADS

will find beneficial applications in other areas, including

high-density areas, where ADS may serve as an adjunct

and/or back-up for SSR, thereby reducing the need for

primary radar. In some circumstances, it may even sub-

stitute for secondary radar. As with current surveillance

systems, the full benefit of ADS is obtained by supporting

complementary two-way pilot/controller data and/or voice

communications (voice for at least emergency and non-

routine communications).

ADS–broadcast (ADS-B*)

7.6 ADS-B* is an expansion of the ADS technique

that involves a broadcast of the position information to

multiple aircraft or multiple ATM units. Each ADS-B*-

equipped aircraft or ground vehicle periodically broadcasts

its position and other relevant data derived from on-board

equipment. Any user segment, either airborne or ground-

based, within range of this broadcast, can process the

information. ADS-B* is currently defined only for line-

of-sight operations (e.g. broadcast over VHF digital link or

by SSR Mode S extended squitter). ADS-B* is also

envisaged to be applied for surface movement, thus being

an alternative to surface radar such as airport surface

detection equipment (ASDE).

TECHNICAL OPTIONS OVERVIEW

7.7 Implementation of ADS requires:

a) position data supplied by the on-board navigational

equipment;

b) message time stamp within 1 second coordinated

universal time (UTC);

c) air-ground data link;

d) a ground infrastructure providing the information to

AT C ; a n d

e) appropriate air traffic services procedures.

7.8 In the case of ADS, a two-way air-ground data

link capability is required, whereas in the case of ADS-B*,

one-way data links will suffice because the information is

transmitted in a broadcast mode. In addition, synchronized

time, such as GNSS time, is highly recommended for the

operation of ADS and ADS-B*.

ATM REQUIREMENTS FOR

SURVEILLANCE

7.9 ATM requirements for surveillance will vary with

the airspace concerned and the traffic density and com-

plexity. The requirements can be defined as follows:

a) current surveillance systems shall provide updated

aircraft position reports so as to assure safe

separation;

1) for oceanic and low-density airspace including

remote areas, an update rate of 12 seconds is

adequate;

2) in high-density en-route/terminal environments,

an update rate of 4 seconds is more appropriate;

b) the accuracy of the surveillance system should

support the separation minima for the defined

airspace;

c) the surveillance system should enable the ATM to

provide the user with a choice of flight path

en route and to fully accommodate emergency

procedures; and

d) the surveillance system should assist search and

rescue operations.

AIRBORNE COLLISION

AVOIDANCE SYSTEM (ACAS)

7.10 The airborne collision avoidance system (ACAS)

is an aircraft system based on SSR transponder signals,

which operates independently of ground-based equipment

to provide advice to the pilot on potential conflicting

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 7. Surveillance Systems I-7-3

aircraft that are equipped with SSR transponders (Mode C

or Mode S; ACAS cannot detect Mode A only trans-

ponders). ACAS I provides information as an aid to “see

and avoid” action but does not include the capability for

generating resolution advisories (RAs). ACAS II provides

vertical resolution advisories (RA) to the pilot. In the case

where both encountering aircraft are ACAS-equipped, the

manoeuvres can be coordinated automatically (ACAS

cross-link). ACAS II is presently being implemented in

several States or among groups of States. ACAS II

implementation must be considered in association with

pressure altitude reporting transponder carriage.

REQUIRED SURVEILLANCE

PERFORMANCE (RSP)*

7.11 The emergence of several types of surveillance

systems or procedures, in addition to existing surveillance

facilities to support ATM functions, has raised concern that

the air navigation system is becoming too complex. Admit-

tedly, it would have been ideal to have a single surveillance

system capable of meeting the surveillance requirements

for all phases of flights in all kinds of airspace. From a

cost-effective standpoint, however, surveillance systems

with different characteristics and capabilities are required to

handle traffic conditions that vary significantly from low-

density traffic areas to high-density terminal areas. Until

such time as one surveillance system is able to meet all

requirements, the aviation community has to consider all

options. While the availability of surveillance alternatives

provides flexibility during the planning process, it does

complicate the harmonization of the surveillance functions.

To facilitate the planning, one solution would be to translate

all relevant operational requirements into a series of sur-

veillance performance parameters. The term “required

surveillance performance (RSP)”* therefore refers to a set

of well-quantified surveillance performance requirements

such as capacity, availability, accuracy, and update rate.

Once RSP* has been specified for an operational scenario

in a given airspace, any single system or combination of

surveillance systems, meeting the set parameters, can be

considered operationally acceptable.

FUTURE TRENDS

7.12 ADS-B* has the potential to complement SSR in

terms of coverage (gap filler) and even to replace SSR for

low- to medium-traffic density. If aircraft are adequately

equipped, the ADS-B* information can also be used as a

basis for a cockpit display of traffic information (CDTI)*.

7.13 The level of equipage is expected to increase in

accordance with the global mandatory carriage of ACAS

and pressure-altitude SSR transponders.

7.14 Airborne separation assurance systems are being

developed that may enable the pilot to exercise responsi-

bility in certain circumstances for separation from other

aircraft. These systems may provide alert and protection

zones around aircraft, together with information to help the

pilot monitor and resolve potential conflicts. Other appli-

cations are being considered which may include traffic

information service-broadcast (TIS-B), ADS-B*, CDTI* and

conflict detection and resolution functionality.

7.15 Future surveillance may include an ACAS III*

system, which will provide both horizontal and vertical

resolution advisories.

GENERAL TRANSITION ISSUES

7.16 Guidelines for transition to the future systems

encourage equipage by users for the earliest possible

accrual of systems benefits. Although a transition period of

dual equipage, both airborne and ground, is often necessary

to ensure the reliability and availability of a new system,

the guidelines are aimed at minimizing this period to the

extent practicable. Appendix A to this chapter lists the

guidelines that States, regions, users, service providers and

manufacturers should consider when developing CNS/ATM

systems or planning for implementation of such systems.

— — — — — — — — —

* Emerging concept or technology — consensus still to be reached.

I-7-4 Global Air Navigation Plan for CNS/ATM Systems

APPENDIX A TO CHAPTER 7

GUIDELINES FOR TRANSITION TO SURVEILLANCE SYSTEMS

• States should, as necessary, develop operational

procedures in accordance with ICAO SARPs, pro-

cedures and guidelines, for the implementation of ADS

within airspace under their control.

• Transition to ADS should initially begin in oceanic

airspace and in continental en-route airspace with

low-density traffic.

• States and/or regions should ensure that ADS is

introduced in a coordinated fashion in adjacent FIRs

traversed by major traffic flows.

• Where different surveillance methods are employed in

adjacent FIRs, commonality or compatibility of the sys-

tems should be ensured to enable a service that is

transparent to the user.

• During the transition period in which ADS position

reporting is introduced, the current levels of integrity,

reliability and availability of existing position-reporting

systems must be maintained.

• States and/or regions should take action within the

ICAO framework to ensure that implementation of

changes due to ADS and other systems result in a more

efficient use of airspace.

• During the transition to ADS, suitably equipped aircraft

should be able to derive benefits from the use of pre-

ferred routes without penalizing non-ADS-equipped

aircraft.

• ADS should be introduced in incremental phases.

• ADS equipment should be implemented in accordance

with Standards and procedures in such a way as to per-

mit the use of ADS as a back-up for other surveillance

methods.

I-8-1

Chapter 8

METEOROLOGY

INTRODUCTION

8.1 This chapter describes how the provision of

meteorological information supports air traffic management

and the technological developments in meteorological sys-

tems, which will be required to facilitate the evolutionary

transition to new global ATM systems. It also addresses the

coordinated national, regional and global planning of

meteorological systems needed to realize the potential

benefits from improved meteorological information in the

new CNS/ATM systems.

METEOROLOGICAL SUPPORT

TO INTERNATIONAL

CIVIL AVIATION

8.2 Traditionally, the provision of meteorological in-

formation to support international civil aviation was based

primarily at the national level and organized hierarchically,

with a specific meteorological office designated to be

associated with each flight information centre (FIC)/area

control centre (ACC), approach control unit and air traffic

control tower. The associated meteorological offices sup-

plied selected meteorological information necessary to

enable each of the air traffic services units to meet its

various obligations.

8.3 The meteorological information provided was

related to an FIR and particular aerodromes required as

destinations and alternates in that FIR and in immediately

adjacent FIRs. Communication of this information beyond

the FIRs concerned was tightly controlled so as not to

overload the AFTN unnecessarily. The meteorological

information was provided to pilots, inter alia, in face-to-face

briefings in an airport meteorological office, using

controller/pilot voice communications and through the

automatic terminal information service (ATIS) and HF/VHF

meteorological information for aircraft in flight (VOLMET)

broadcasts.

8.4 It was inevitable, however, that the fundamental

changes in international civil aviation in the 1980s, such as

deregulation, increased air traffic and longer, direct flights,

and the increased associated costs of the provision of

facilities and services, which essentially prompted the

creation of CNS/ATM systems, would also drive a parallel

need for changes in the provision of meteorological

services for international civil aviation.

8.5 These changes in the provision of meteorological

services, which began in the early 1980s, comprised two

main elements. The first was the development of the ICAO

world area forecast system (WAFS) which, initially,

centralized the production of global upper wind and

temperature forecasts by two world area forecast centres

(WAFCs), along with the production of significant weather

(SIGWX) forecasts and the dissemination to States by

fifteen regional area forecast centres (RAFCs) of WAFC-

and RAFC-produced charts. The second element concerned

the gradual change in the content and format of the

meteorological information provided to pilots and a relax-

ation of the rules governing the exchange of operational

meteorological information (OPMET) messages to permit a

wider distribution.

8.6 In the recent past, changes which had generally

progressed steadily over the previous decade began to

accelerate markedly. This was not due to any sudden

change in the operational requirements — essentially these

were still being driven by the explosive growth in global air

traffic and the need for cost-effective means to satisfy the

attendant requirements — but by the technological develop-

ments in computing and telecommunications. These

developments made possible a complete rethinking of the

ways and means of providing the required meteorological

REFERENCES

Annex 3 — Meteorological Service for International

Air Navigation

Procedures for Air Navigation Services — Air Traffic

Management (PANS-ATM, Doc 4444)

Manual of Aeronautical Meteorological Practice

(Doc 8896)

Manual of Air Traffic Services Data Link Appli-

cations (Doc 9694)

I-8-2 Global Air Navigation Plan for CNS/ATM Systems

facilities and services in a cost-effective manner, while at

the same time improving safety. Taking advantage of these

technological developments so that aviation meteorology

contributes effectively to the smooth transition to global

CNS/ATM systems is the challenge facing the international

meteorological community today.

METEOROLOGICAL SYSTEMS TO

SUPPORT GLOBAL CNS/ATM

8.7 The need for aviation meteorology to think

increasingly in terms of global rather than regional or

national concepts had already been foreshadowed in the

development of the WAFS and in the changes made to the

content, format and exchange pattern of OPMET messages.

In fact, the original concept of the WAFS, as approved by

the ICAO Council, included a final phase in which all

WAFS data and products would be produced by computer at

the two WAFCs, with global dissemination of the infor-

mation direct from the WAFCs to States by satellite

broadcast. The rapid developments in computer technology

and associated forecasting techniques, and satellite broad-

casting technology have rendered it possible to plan for the

final phase of the WAFS much earlier than had hitherto been

anticipated. In parallel with these developments, the

introduction of a data link has permitted, for the first time,

the automated uplink of meteorological information direct to

the cockpit, either at the initiation of the ATM system or in

response to the pilot’s request, and the automated downlink

of data from the aircraft including wind and temperature,

turbulence and humidity.

8.8 Two other components of the global meteoro-

logical system are the ICAO international airways volcano

watch (IAVW) and the ICAO tropical cyclone warning

system, both of which are of particular importance for

international air navigation since volcanic ash and tropical

cyclones are the only weather phenomena which would

normally result in the cancellation of a flight at the

pre-flight planning stage. The IAVW was initially intro-

duced to be operated on a voluntary basis but has since

been consolidated into a well-structured global system

consisting of nine volcanic ash advisory centres (VAACs)

which issue volcanic ash advisories both in alphanumeric

and graphical formats to be used by MWOs for issuing

SIGMET messages, by international NOTAM offices for

the issuance of NOTAMs for volcanic ash and ASHTAMs,

by ATM for re-routing and activation of contingency

arrangements, and by operators for pre-flight and in-flight

planning. The ICAO tropical cyclone warning system was

established consisting of six tropical cyclone advisory

centres (TCACs) which issue tropical cyclone advisories to

be used by MWOs for issuing SIGMET messages, by ATM

for re-routing and activation of contingency arrangements,

and by operators for pre-flight and in-flight planning.

8.9 In a limited way, ATM is already employing

additional and enhanced meteorological information made

possible by the aforementioned technological advances in

meteorological systems. The application of these systems to

current operations is focused mainly on specific elements

of ATM, where it can be demonstrated that the provision of

enhanced or additional meteorological data and products is

either critical to the operation concerned or provides a cost-

benefit. An example of this is the provision of additional

and enhanced meteorological information to support the

following:

— the provision of medium-level SIGWX forecasts

and en-route diversion aerodrome reports and

forecasts for one-engine inoperative drift-down

procedures for extended range operations;

— the provision of the latest SIGMETs and upper

wind/temperature data from meteorological watch

offices (MWOs) and WAFCs respectively, direct to

ATC computers, for updating flight plans for

dynamic aircraft routing over the Pacific Ocean;

— the daily selection of the organized tracks over the

North Atlantic based upon upper wind fields

produced by the WAFCs; and

— the use of real-time information on hazardous en-

route and destination weather and updated upper

wind fields for air traffic flow control.

8.10 All of the examples provided in the previous

paragraphs concern pre-flight planning and en-route oper-

ations. These depend upon the WAFS, direct satellite

broadcasts, and the direct and preferably automated

provision of updated meteorological forecasts or real-time

data to ATC. But examples need not be restricted to en-route

operations. In the terminal area, the advent of data link has

already spurred the development of systems for the

automated provision of meteorological information direct to

aircraft, some examples of which are:

— uplink of reports from automatic weather observing

stations;

— uplink of wind shear/microburst warnings from

automated terminal Doppler weather radar

(TDWR); and

— automatic downlink of wind/temperature data from

aircraft on approach and during climb-out.

Part I. Operational Concept and General Planning Principles

Chapter 8. Meteorology I-8-3

METEOROLOGICAL SYSTEMS TO SUPPORT

THE TRANSITION TO THE NEW GLOBAL

CNS/ATM SYSTEMS

8.11 In order to support and facilitate the transition to

CNS/ATM systems, the meteorological systems described

in the foregoing paragraphs will have to be further

developed and more focused on global requirements, in

addition to national and regional requirements. These

developments must meet aeronautical requirements to

improve safety and provide an identifiable cost-benefit to

users. The systems must converge, as much as possible to

create a seamless and transparent global meteorological

system for the provision of meteorological service to

international civil aviation.

8.12 In many respects the WAFS and the ICAO direct

satellite broadcasts have already made the transition to a

seamless and transparent system, which, moreover, is also

converging with systems for the exchange of OPMET

messages. The global ATM system will require access to

global meteorological information on a far shorter timescale

than has been customary in the past. In many cases, virtual

“instant” access, including real-time data, will be required.

Such stringent requirements will dictate that as many of the

processes as possible, which the systems comprise, must be

automated. The meteorologists’ input will be increasingly

transferred to the beginning of the processes, even to the

extent of transferring knowledge and experience through

artificial intelligence to dedicated expert systems.

8.13 Development of the meteorological systems to

support a global ATM system will be required specifically

in the following areas:

a) rapid progress to the final phase of the WAFS with

two WAFCs producing automated global upper

winds/temperatures and SIGWX forecasts, which

may be input directly into ATC and airline

computers. The final phase is expected to be

implemented by 2002;

b) continued extension of the three ICAO direct

satellite broadcasts to exchange global OPMET

messages and, as necessary, other non-MET aero-

nautical information;

c) availability at ATC centres and airline centralized

operational control of background upper wind fields

for display, both in the form of WAFS global upper

wind forecasts and “real-time” wind fields derived

from the wind information reported automatically

from an aircraft in ADS messages; and reports and

forecasts of hazardous weather, particularly vol-

canic ash, thunderstorms, clear-air turbulence and

icing, to assist in tactical decision-making for air-

craft surveillance, air traffic flow management, and

updating flight plans for flexible/dynamic aircraft

routing;

d) automatic uplink of aerodrome weather observa-

tions to aircraft on approach or departure, including

D-ATIS and D-VOLMET to replace HF and VHF

VOLMET; and dedicated systems to detect hazard-

ous weather, such as automated terminal Doppler

weather radar (TDWR);

e) automatic downlink of meteorological information

derived from aircraft sensors (wind, temperature,

turbulence and humidity) to ATC computers to pro-

vide background upper wind fields, as described

above, and real-time descent wind profiles to assist

in the automatic sequencing of aircraft on approach

to maximize runway capacity; and relay of this

information to the two WAFCs for assimilation in

global numerical weather prediction models, thereby

improving the overall quality of subsequent global

forecasts;

f) use of meteorological sensors, including Doppler

radar, possibly providing input to expert systems,

which will provide automated runway wake vortex

reports and forecasts to assist in optimizing aircraft

separation, thereby maximizing runway capacity;

g) full implementation of the IAVW, which would

result in a reduction in the time-delay for volcanic

ash reports and advisories and associated SIGMETs

from volcano observatories, volcanic ash advisory

centres (VAACs) and meteorological watch offices

to reach area control centres and aircraft in flight by

employing more direct routing; and

h) harmonized common point of access to aeronautical

information services (AIS) and meteorological

services for air navigation meteorological infor-

mation to support combined automated AIS/MET

pre-flight briefing facilities.

PLANNING AND IMPLEMENTATION

OF METEOROLOGICAL SYSTEMS

8.14 All of the foregoing elements are either currently

in existence and being further developed or are the subject

of research and development by States. The implementation

of these elements to form a seamless global system will

I-8-4 Global Air Navigation Plan for CNS/ATM Systems

proceed step by step as aeronautical requirements for the

service are stated and reflected, as appropriate, in the

relevant ICAO SARPs. This is critical in order to indicate

clearly that the service is required by international civil

aviation to contribute to the maintenance or improvement in

air safety and/or provide a demonstrated cost-benefit to

users associated with global ATM. Once the requirements

are firmly established, standardization of the relevant

meteorological facilities and services will facilitate the

planning of a seamless and transparent meteorological

system to support the global ATM system.

8.15 In planning for the implementation of meteoro-

logical systems, account has to be taken of the existing

national, regional and global meteorological and telecom-

munications infrastructures and a determination made as to

which parts will be able to support the global ATM system

and which will need to be upgraded or replaced.

8.16 Clarification will be needed concerning the

optimum balance between the required meteorological

information being “pushed” to the aircraft from the ground

and being “pulled” to the aircraft by pilot request. How, in

which form and where the global meteorological infor-

mation will best be routed and concentrated will be very

much dependent upon receiving this clarification as early as

possible in the planning process. In general, it would seem

that, in the future, increasing emphasis will be placed on

“routine” meteorological information being accessible by

the pilot automatically upon demand, with directed or

broadcast transmissions being restricted mainly to safety-

related information. Making information accessible to the

pilot may be achieved in practice either by having it

uplinked and stored in the aircraft computers or stored on

the ground in OPMET databases and/or servers which can

be interrogated by the pilot. The optimum balance between

the meteorological information broadcast directed from the

ground to the aircraft, and meteorological information

obtained by pilots interrogating OPMET databases must

emerge from the development of the operational require-

ments, which will then be reflected in the pattern of global

OPMET exchange requirements.

I-9-1

Chapter 9

AERONAUTICAL INFORMATION SERVICES

INTRODUCTION

9.1 This chapter describes how aeronautical infor-

mation services (AIS) and aeronautical charts (MAP) have

traditionally been provided and the need for a new approach

to support global air traffic management systems and their

associated automation systems. This chapter also outlines

the necessary developments in AIS and MAP as well as the

ways and means of collecting, preparing, validating, organiz-

ing and distributing aeronautical information in support of

air traffic management.

AIS AND MAP SUPPORT TO

INTERNATIONAL CIVIL AVIATION

9.2 The major objective of AIS is to ensure the flow

of information necessary for the safety, regularity and

efficiency of international civil aviation. In that respect,

each Contracting State is required to provide this service

and is responsible for the information provided. Tradition-

ally, aeronautical information has been provided as hard-

copy documents in the form of the Integrated Aeronautical

Information Package, which contains information for the

entire territory and also areas outside the territory for which

a State is responsible for the provision of air traffic

services. The information must be provided in a suitable

form and must be of high quality, be timely and include, as

necessary, aeronautical information of other States. In

addition, pre-flight and in-flight information services must

be provided.

9.3 To satisfy the requirements of flight operations,

aeronautical information/data necessary for the safety,

regularity and efficiency of air navigation must be made

available to personnel, including flight crews and those

involved with flight planning, flight simulation and air

traffic services and to units responsible for flight infor-

mation services.

9.4 The role and importance of aeronautical

information/data has changed significantly with the im-

plementation of RNAV, RNP and airborne computer-based

navigation systems. These systems are all data-dependent,

and in that respect aeronautical data have become the

necessary critical components of the system. Consequently,

corrupt or erroneous aeronautical information/data can

potentially affect the safety of air navigation. In this

respect, as of 1 January 1998, each Contracting State must

take the necessary measures to introduce a properly organ-

ized quality system containing procedures, processes and

resources necessary to implement quality management at

each functional stage of the data process. Quality systems

must provide users with the assurance and confidence that

distributed aeronautical information/data satisfy established

requirements for data quality (accuracy, resolution and

integrity) and timeliness.

9.5 For the safe performance of air operations, it is

essential that current, comprehensive and authoritative navi-

gation data be available at all times, and that aeronautical

charts supply that information in a manageable and con-

densed manner. Considering that all segments of aviation

make reference to aeronautical charts for air traffic control,

planning and navigation purposes, it is of prime importance

to place current and accurate charts in the hands of users.

9.6 Current practices require Contracting States to

ensure the availability of specific charts either by producing

the charts themselves or arranging for their production by

another State, or by an agency which would then be pro-

vided with the necessary data. International specifications

are required in order to achieve the safety, regularity and

efficiency of international air navigation by specifying the

types of charts to be made available and by ensuring the

adequate uniformity of the charts. The increased speed of

aircraft, together with a greater range in operating altitudes

REFERENCES

Annex 4 — Aeronautical Charts

Annex 15 — Aeronautical Information Services

Procedures for Air Navigation Services — ICAO

Abbreviations and Codes (PANS-ABC, Doc 8400)

Aeronautical Chart Manual (Doc 8697)

Aeronautical Information Services Manual (Doc 8126)

World Geodetic System — 1984 (WGS-84) Manual

(Doc 9674)

I-9-2 Global Air Navigation Plan for CNS/ATM Systems

and route stages, and increasing air traffic congestion

impose requirements for rapid chart interpretation and

some latitude for improvements in chart design to meet

changing operational needs. In addition, the effective

functioning of AIS pre-flight information units is partly

dependent upon the availability of aeronautical charts for

flight planning. Finally, the aeronautical information

services are required to publish in their Aeronautical

Information Publications (AIPs) a description and list of

available aeronautical charts series, together with an

indication of their intended use.

9.7 The provision of aeronautical information and

aeronautical charts services to support international civil

aviation is primarily the responsibility of States. The

aeronautical information provided is related to the FIR and

aerodromes within a given region. This information is

provided to pilots in face-to-face briefings at the aerodrome

AIS unit or in flight, through air traffic control. Communi-

cation of the latest information to users is effected through

the aeronautical fixed telecommunication network (AFTN)

in the form of notices to airmen (NOTAM). So far,

automation of the AIS has been basically oriented toward

the NOTAM system, and planning has taken place at the

regional level. With the adoption of CNS/ATM systems by

international civil aviation, new requirements for aeronaut-

ical information and charts services have emerged. These

new requirements are driven by the growth in global air

traffic and the need for cost-effective solutions, as well as

the technological developments in computing and telecom-

munications. It is therefore essential that in the interest of

safety and efficiency of civil aviation, AIS and MAP

services contribute effectively to the transition to global

CNS/ATM systems by developing further specifications and

conditions to satisfy these new operational requirements.

AIS AND MAP SERVICES TO SUPPORT

GLOBAL CNS/ATM SYSTEMS

9.8 For CNS systems to operate and generate the full

benefits of their use through enhanced ATM, the support of

other services such as AIS and MAP is essential. In this

respect, the enhanced ATM system, along with the require-

ment for precise navigation capability, will require quality

aeronautical information so as to be able to provide

guidance for gate-to-gate operations* between origin and

destination. This will include the ability of aircraft to

navigate on the ground and en route, using on-board

navigation systems that can calculate desired tracks.

9.9 With the increased quantity of aeronautical infor-

mation and with the clearly defined operational requirement

for aeronautical data quality (accuracy, resolution and

integrity), emerging aeronautical databases are improving,

inter alia, the speed, efficiency and cost-effectiveness of

aeronautical information. For these reasons, many States

have begun or are planning to develop electronic aeronaut-

ical databases with the intent of using such data to prepare

and update their AIPs and/or to exchange electronic aero-

nautical information. It is therefore necessary to develop

new Annex 15 specifications related to the electronic

storage, provision and interrogation of aeronautical infor-

mation. These new specifications should provide neutral

international Standards on the basis of which an ICAO

Conceptual Information Data Model will be developed. To

satisfy the operational requirements for the exchange of

aeronautical data while taking into account the com-

patibility of different systems and formats, a new data

exchange model is also required.

9.10 The 1990s witnessed a revolution in the way

aeronautical information is processed, integrated and pre-

sented to pilots and other users. The technology is available

today to display a viable electronic chart in the cockpit,

thereby substantially reducing the need for paper charts.

The real need, however, is for more than just an electronic

page turner that replaces a paper chart book. The future

electronic chart must be intuitive and designed to simplify

the pilot’s interpretation tasks, while minimizing infor-

mation overload by reducing the amount of displayed data.

It must also provide pilots with the option of accessing only

the specific data required for a particular phase of flight. As

charted aeronautical information symbology is gradually

transferred from paper to electronic form, a degree of stan-

dardization of the symbology to be used in electronic chart

displays will be required. Some of these Standards have

already been developed and included in Annex 4; however,

further development is in progress.

9.11 In order to provide worldwide standardization of

the charting information necessary for aircraft to use

GNSS, some new charting specifications have also been

introduced into Annex 4, and the development of the

complete specifications continues.

9.12 It is important that terrain and obstacle infor-

mation be available and accurately presented on electronic

aeronautical charts. Users’ requirements for the quality and

format of electronic terrain and obstacle data must be taken

into account in addition to how this information can best be

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 9. Aeronautical Information Services I-9-3

consolidated with aeronautical information and presented

on electronic charts. Annex 4 specifications are being

developed to ensure that they facilitate and standardize the

provision of electronic terrain and obstacle information,

which meets user requirements while taking into account

quality assurance.

9.13 New Annex 15 specifications dealing with the

exchange of electronic aeronautical data through the use of

available and new technological means are under develop-

ment as well. In addition, data link communications as

specified for CNS/ATM systems will replace most voice

communications of aeronautical information currently

disseminated by ATS. Once a sufficient number of aircraft

are capable of air-ground data link communications and

aeronautical databases are made available, pilots will be

able to access and interrogate those databases at various

stages of flight. Worldwide standardization of the communi-

cation and display of these data is deemed necessary, which

will include aspects of surface-to-surface as well as data

link communications to facilitate interrogation of aeronaut-

ical information from aircraft. New Annex 15 Standards

will also include procedures for aeronautical data transfer,

taking into account data formats and data protection during

the transfer.

9.14 The ICAO Training Manual, Part E-3 —

Aeronautical Information Services Personnel (Doc 7192) is

being updated, and an ICAO training programme for

AIS/MAP personnel is being developed. The programme

will include training curricula for AIS/MAP technical

officers and will establish uniform Standards for the quali-

fications and scope of knowledge that must be met by all

AIS/MAP technical officers worldwide. The material will

be based on the recently updated operational requirements

for the provision of quality aeronautical information

necessary for the safety, regularity and efficiency of

international air navigation. As a result of the increased

responsibility of AIS/MAP personnel to provide quality

aeronautical information, there may eventually be a need to

license certain AIS/MAP personnel.

AIS/MAP SYSTEMS TO SUPPORT

THE TRANSITION TO THE NEW

GLOBAL CNS/ATM SYSTEMS

9.15 In order to support and facilitate the transition to

new global CNS/ATM systems, the aeronautical infor-

mation and charts systems will be further developed and

oriented more towards global requirements, in addition to

national and regional requirements. This should be done in

such a way that would safely increase efficiency and cost-

effectiveness to users. The goal, as far as possible, is the

creation of a seamless and transparent global aeronautical

information system.

9.16 It is envisaged that the global ATM system will

require global aeronautical information of a required qual-

ity. The ultimate goal would be to provide on-line, in

real-time, quality aeronautical information to any user, any

time, anywhere. To achieve this high-level goal, aeronaut-

ical information must be provided and exchanged in

electronic form based on a conceptually standardized data

model. Strict quality principles must be in place to ensure

that aeronautical data are available, verified and validated in

order to give the end-user confidence in the correctness of

the information.

9.17 Development of aeronautical information sys-

tems to support global ATM is specifically required in the

following areas:

a) completion by States of implementation of the

World Geodetic System — 1984 (WGS-84)

common geodetic datum adopted for international

civil aviation;

b) implementation by States of a quality system for the

origination, production, maintenance and distribution

of aeronautical information;

c) development and introduction of an ICAO concep-

tual information data model for the storage, retrieval

and exchange of aeronautical data;

d) extension of the broadcast of aeronautical infor-

mation through satellites to enable exchange of

aeronautical data, in textual and graphical form, and

messages associated with the status of ground-based

databases;

e) development of specifications for the direct uplink of

aeronautical information (including charts) into air-

craft, along with the possibility for interrogation,

from the aircraft, of aeronautical databases on the

ground; and

f) implementation of a common point of access for

AIS, MET and flight plan (FPL) information to sup-

port combined automated AIS/MET/FPL pre-flight

and in-flight briefing facilities.

I-10-1

Chapter 10

HUMAN RESOURCE DEVELOPMENT AND TRAINING NEEDS

INTRODUCTION

10.1 A major goal of CNS/ATM systems is to create

a seamless global air navigation system. A seamless air

navigation environment will require an international team

that is prepared to perform their jobs in such an environ-

ment. To achieve this, it is essential that personnel who will

form this team receive a consistent, quality level of training

throughout the world.

10.2 The evolution of aviation technologies has been

gradual in the past, and trainers have, for the most part, been

able to meet the challenges associated with change even

though sophisticated training methodologies and tools have

not always been at their disposal. However, the new

CNS/ATM systems are based on many new concepts, and

their implementation presents a greater challenge to trainers.

10.3 ICAO undertook an initial study to assess the

training implications of CNS/ATM systems. The objective

of the study was to gain an early understanding of the

amount of training that would be required by analysing the

degree to which basic job disciplines in the aviation system

will change with the introduction of the new technologies.

While this was only a preliminary study, the results

indicated that:

a) many aviation disciplines will change as a result of

the introduction of CNS/ATM technologies, and it

is likely that re-training will be required for a

number of these disciplines. The most important

changes seem to result from an increased use of

computers, data communications and automation;

b) the change from ground to satellite-based tech-

nology will mean that several aviation disciplines

will no longer be needed. At the same time, new

aviation disciplines will emerge as a result of the

introduction of CNS/ATM systems. From a human

resource planning standpoint, there will be a need

for re-deployment and training of personnel; and

c) the need for training and course development will

be especially high during the transition phase. Not

only will a large number of personnel have to be

trained or re-trained on new technologies, equip-

ment and procedures, but a sufficient number of

qualified personnel will need to remain proficient in

the skills necessary to operate and maintain the

older systems.

10.4 CNS/ATM systems training needs can be seen as

falling into three primary categories.

a) Foundation training. Early training in the funda-

mentals of automation, digital communications,

satellite communications and computer networking

is needed to provide all civil aviation personnel

with the prerequisite skills prior to receiving job-

specific training;

b) Training for implementation planners. Training

is needed at a senior management level to provide

decision-makers with the basic information needed

to begin planning for implementation of CNS/ATM

systems. This type of training is needed for

managers who will plan the implementation of CNS

systems, as well as those managers who will be

responsible for planning the ATM operational

aspects of the systems; and

c) Job-specific training. The third category of training

needed is that necessary for personnel to manage,

operate and maintain the systems on an ongoing

basis. This category also represents the bulk of the

training needed and the most complex to design,

develop and implement. Taking this into consider-

ation, ICAO has developed a strategy for the

development of training programmes, as described

in this chapter.

10.5 The first two categories of training described

above should be implemented as soon as possible and are

REFERENCES

Report of the World-wide CNS/ATM Systems Implemen-

tation Conference (Doc 9719)

I-10-2 Global Air Navigation Plan for CNS/ATM Systems

described in more detail below. A long-term strategy for

development of the job-specific training needed to manage,

operate and maintain CNS/ATM systems on an ongoing

basis, is also outlined below.

FOUNDATION TRAINING

10.6 In addition to the usual subjects covered in

typical civil aviation training centres, some additional foun-

dation or prerequisite training will be necessary. This

training will ensure that all personnel who will be involved

with the planning, implementation, management, operation

and maintenance of the new systems have an appropriate

background in the base concepts and technologies. Such

foundation training should be developed so that it addresses

the specific needs of the technical and operational planners,

as well as all personnel that will eventually be involved in

the operation, maintenance and management of the new

systems. The training needs include the following general

areas:

a) CNS/ATM systems;

b) digital communications;

c) computer fundamentals;

d) computer communications, including local/wide area

networks;

e) ISO-OSI reference model;

f) satellite communications systems used for fixed and

mobile applications;

g) satellite navigation systems;

h) automation issues;

i) fundamentals of air traffic management; and

j) aeronautical databases.

CNS SYSTEMS IMPLEMENTATION

PLANNING — TRAINING NEEDS

10.7 The existing communications, navigation and

surveillance systems have mostly been planned, imple-

mented and operated by individual States. The new

CNS/ATM systems, however, are global in nature and as

such are usually planned and implemented at a regional or

global level. Regional implementation can be carried out by

collective regional entities or commercial service suppliers.

As a result, many States can simply buy CNS services with

a minimum of local implementation of the systems.

10.8 Given the modality for the implementation of the

technical systems, the technical management personnel of

civil aviation administrations (CAAs) will need to become

familiar with the major functions and features of CNS

systems, as well as the implementation, leasing and

purchasing options available. They should then examine

various options for systems implementation with their ATM

colleagues and jointly decide upon their transition strategy.

In this regard, training that provides an overview of the

following CNS systems should be provided for senior

technical management personnel:

a) communications: AMSS, VDL, SSR Mode S

datalink, HF datalink and ATN;

b) navigation: GNSS, including standard augmentation

systems;

c) surveillance: SSR Modes A, C and S, ADS,

ADS-B* and ASAS*; and

d) relevant organizational, economic, certification and

operational matters.

ATM OPERATIONAL IMPLEMENTATION

PLANNING — TRAINING NEEDS

10.9 Senior operational managers involved with

transition planning to the new systems will need an over-

view of the topics listed above. In addition, operational

managers should receive training in the following areas:

a) traffic forecasting and cost-benefit analysis

techniques;

b) air traffic management;

1) airspace planning;

2) ATFM systems and procedures;

* Emerging concept or technology — consensus still to be reached.

Part I. Operational Concept and General Planning Principles

Chapter 10. Human Resource Development and Training Needs I-10-3

3) ATS systems and procedures; and

4) ATM-related aspects of flight operations;

c) CNS/ATM transition and implementation project

planning;

d) human resource planning and training issues;

e) issues related to the increased use of automation in

the new systems; and

f) operational and quality control issues associated

with aeronautical databases.

10.10 Because the existing systems will be operated

in parallel with the new systems for a period of time,

human resource planning and training will be a major

challenge during the transition period.

10.11 CNS/ATM systems will result in a greater use

of automation in many of the air traffic control functions

that were previously performed manually. As a result,

interactions between controllers and flight crews will take

on a different dimension. Thus, it is important that the oper-

ational planners receive early training in these issues, inclu-

ding the full implications of automation, including backup

procedures to be used in the event of system malfunctions.

This area of training will also be important during the job-

specific training for anyone involved in the operation of

CNS/ATM systems.

A LONG-TERM STRATEGY FOR

CNS/ATM JOB-SPECIFIC TRAINING

10.12 The Standing Policy of ICAO on aviation

training, as contained in Assembly Resolution A31-5,

Appendix H, forms the basis for the long-term CNS/ATM

training strategy. The ICAO Aviation Training Policy is

governed by three basic principles. First, aviation training is

the responsibility of Contracting States. Second, the ICAO

Aviation Training Programme shall encourage mutual

assistance among Contracting States in the training of

aviation personnel. Finally, the Organization does not

directly participate in the operation of training institutions,

but encourages and advises the Contracting States operating

such facilities.

10.13 Much progress has been made in the

establishment and ongoing development of national and

regional civil aviation training centres. However, short-

comings in human resource planning and training are still

frequently cited as important reasons for the lack of

implementation of regional air navigation plans. It is

anticipated that this problem could be further exacerbated

with the implementation of CNS/ATM systems.

10.14 In the past, training programmes for the existing

air navigation systems were, for the most part, developed

and implemented independently by each State’s civil

aviation training institution. Given the magnitude of change

in civil aviation jobs and the resulting training requirements

(10.3 refers), it is anticipated that civil aviation training

institutions, working individually or on an ad hoc basis, will

not be able to develop all of the training programmes

necessary for timely implementation of CNS/ATM systems.

Independent development of the CNS/ATM course materials

would also tend to defeat the ICAO goal of standardizing the

curricula, methods and content of training. A coordinated

and cooperative approach towards CNS/ATM training

development would help to achieve both the goal of timely

training development and standardization, and would also be

more efficient insofar as it could help to prevent duplication

of effort that has occurred in the past. The strategy as

outlined below consists of three basic elements and is

designed to facilitate international cooperation in the

development of CNS/ATM training materials.

a) Early identification of CNS/ATM training needs

and priorities. Given the considerable amount of

training that will need to be developed for the new

systems, as well as the need for training standard-

ization, it is imperative that a plan be established for

the cooperative development of the required course

materials. However, an effective and cost-efficient

plan can only be formulated once CNS/ATM

training needs and priorities are clearly identified.

As in any systematic approach towards project

management, the tasks must first be defined and

prioritized before they can be effectively allocated

to the entities that will perform the work;

b) Coordination and planning of CNS/ATM train-

ing development at the regional level. The actual

planning and coordination in the development of

CNS/ATM course materials should be carried out at

a regional level. There are existing structures within

the regions that would be appropriate for this type of

coordination. Moreover, experience has already been

gained in this approach as it is being used, to some

extent, in several ICAO regions. While human

resource planning and training coordination have

improved as a result of existing regionally

coordinated efforts, there are still shortcomings in

this area. A high level of regional coordination and

planning is particularly important in the development

I-10-4 Global Air Navigation Plan for CNS/ATM Systems

of specialized courses where the number of trainees

does not justify the implementation of courses in

each State’s national training centre; and

c) Widest possible participation in the TRAINAIR

Programme by States. In 1990, ICAO established

the TRAINAIR Programme to enhance training in

civil aviation. The programme offers an existing

framework for global coordination and harmon-

ization in training development. The use of the

TRAINAIR standardized course development meth-

odology ensures that the training packages

developed by members will have the widest possible

global use. The Programme also has a well-

established and proven network for the cost-efficient

sharing of course materials produced by members.

The TRAINAIR Programme could further improve

the effectiveness and efficiency of CNS/ATM course

development through the use of its methodology and

by providing global coordination and harmoniza-

tion between the regions as they develop CNS/ATM

training materials.

10.15 The first two strategies described above will be

facilitated through an ICAO Air Navigation Commission

(ANC) task established during 1996 involving regional

human resource planning and training needs. An objective

of this task is to analyse the changes to civil aviation job

profiles as a result of new systems, and the consequential

human resource planning and training requirements. In

addition, the task will also develop a model for human

resource planning and training for use at the regional level,

as well as supporting guidance material.

REGIONAL HUMAN RESOURCE

PLANNING AND TRAINING NEEDS

10.16 ICAO is preparing guidance material that will

assist States in planning for the human resources and

training needed for CNS/ATM systems, as well as for

existing systems. Most of the ICAO regions already have

regional forums to discuss and plan for the regional training

needs. The outputs of this task will enhance the existing

regional planning processes by providing a consistent

approach for use by all regions.

10.17 It is expected that this ANC task will produce

two major outputs. The first output would be a human

resource planning manual for use by States. The manual

will include tables that will assist States in determining

current and projected personnel needs. The planning tables

will take into consideration the needs that emerge as a

result of the implementation of CNS/ATM systems and will

also allow for the insertion of variables so as to reflect local

policies.

10.18 The second major output would be a model for

planning regional training capabilities. The model would

provide a systematic methodology for analysing human

resources plans; determining the needs for national and/or

regional training capabilities; and documenting the results.

The resulting training plans could be stand-alone docu-

ments or incorporated into the regional ANPs. As a part of

ICAO’s work programme, a study group could then review

the appropriateness of including human resource and/or

training planning information in the regional ANPs.

SOURCES OF TRAINING

10.19 The regional human resource planning and

training needs task will provide a systematic approach

towards determining the need for national and/or regional

training capabilities. The results of this analysis may be

published as a stand-alone document or incorporated into

the regional ANPs. This document, whether stand-alone or

as part of an ANP, will provide States with the information

needed concerning current training capabilities planned

within their regions in CNS/ATM areas.

10.20 Training opportunities that are offered to inter-

national trainees on a global basis are already listed in the

ICAO Training Directory. Courses that provide training in

CNS/ATM systems are now identified within the course

descriptions by the statement “CNS/ATM Content.”

10.21 TRAINAIR member civil aviation training

centres are also developing courses that address CNS/ATM

systems training needs. As mentioned above, TRAINAIR

offers an existing framework for the global coordination

and harmonization of training development. Members share

the courses, or standardized training packages (STPs), that

they develop using the TRAINAIR training development

methodology. This system is very efficient as members can

acquire STPs prepared by other members at a cost that is

not to exceed the actual cost of reproduction and postage.

Almost all course materials are produced on the computer

and the members now share electronic versions of the

courses. This greatly reduces the cost of acquiring STPs

from other members. Members will also begin to share

STPs using the Internet, which will once again reduce cost

and allow easier access to the materials.

10.22 TRAINAIR membership is open to all

government-operated civil aviation training centres.

Part I. Operational Concept and General Planning Principles

Chapter 10. Human Resource Development and Training Needs I-10-5

Participation by other civil aviation training centres is under

review. One of the major requirements of TRAINAIR

membership is to establish and maintain a Course Develop-

ment Unit that is dedicated to preparing STPs to TRAINAIR

Standards. As a Course Development Unit’s start-up costs

typically exceed the resources available within a developing

State’s training centre’s budget, these costs are normally

funded through ICAO technical cooperation projects.

10.23 ICAO’s Technical Co-operation Programme can

also assist in the development of training capabilities and

the funding of fellowships for international training through

Technical Co-operation Projects. Additional information

concerning the ICAO Technical Co-operation Programme

is provided in Part I, Chapter 15.

HUMAN RESOURCE DEVELOPMENT

DURING TRANSITION

10.24 Human resource development is an area of

particular importance when considering transition to

CNS/ATM systems. The main function of human resource

development is to help organizations meet the challenges

created by change, to adapt to new requirements and to

achieve the levels of human performance needed. The

transition to CNS/ATM systems represents significant

change. As a result of this change, human resource

development managers will need to review organizational

structures, plan for the human resources needed, review

selection criteria for new staff and plan for the development

of new training programmes.

10.25 As an integral part of transition planning, each

service provider should include a review of its organiza-

tional structure. CNS/ATM systems are global in nature and

usually planned and implemented at a regional or global

level, in some cases by collective regional entities or

commercial service suppliers. This may mean that a State’s

service provider’s organizational structure may need to

change in order to adapt to these conditions. The changes

to job profiles, elimination of some types of jobs and

creation of new jobs as a result of the new technologies will

also cause changes that may need to be reflected in

organizational structures.

10.26 The aim of human resource planning is to

ensure that the operational organizations have the right

number of people at the right time and with the right skills.

As a result of technological changes and the lead time

required to train personnel, human resource planning is one

of the major challenges faced by civil aviation managers.

Human resource planning has a direct effect on training, as

one of its outputs is a training demand forecast. This

forecast is an essential element in the preparation of a

training programme. It provides an estimate of both the

number of staff to be trained and the broad types of training

required.

10.27 Planners will need to take the following human

resource planning factors into consideration:

a) there are several job disciplines that will no longer

be required once a State has fully implemented the

new systems;

b) there will be new job disciplines as a result of the

implementation of the new systems;

c) most of the existing jobs will require additional

training for the new systems;

d) there will be a period of time in which the old and

new systems will operate in parallel; and

e) much of the training will be in areas that involve a

greater use of automation.

10.28 Typically, human resource plans should project

needs for at least five years ahead. This period is normally

required to provide enough time to re-deploy staff and recruit

new staff to other jobs when needed and prepare training as

required. As outlined in 10.17, ICAO is developing a manual

to assist States in human resource planning. The manual will

assist States in projecting human resource requirements for

both new and existing technologies.

10.29 The human resource and training requirements

during the transition period should be a major focus of

CNS/ATM systems implementation planners. From a human

resource planning standpoint, the factors listed above can

create a complex planning problem. In particular, the need

to operate old and new systems in parallel, in combination

with an evolutionary transition in which some job disci-

plines will be eliminated while others will be created, will

require careful planning.

10.30 Existing personnel will be involved in much of

the training during the transition period. Their time spent in

training can have a profound effect on human resource

plans and should also be considered. While some of this

training can be done using distance learning techniques,

there is still a significant amount of training that will need

to be done in a training centre. It is expected that the

I-10-6 Global Air Navigation Plan for CNS/ATM Systems

amount of training will peak during the transition period.

Typically, staffing will have to be adjusted during this

period to account for personnel in training, as well as the

operational personnel that may be required to deliver

training that is conducted in a training centre and on-the-

job training that is conducted in the field.

10.31 It is recommended that States begin the process

of planning for the human resources and training needed to

implement the new systems as soon as possible. Much of

this will depend on regional and national CNS/ATM sys-

tems implementation plans. However, it is possible for

States to begin a preliminary study that can be used as the

basis for creating a human resource plan for the imple-

mentation of CNS/ATM systems. An audit of the current

staffing needs, as well as a projection for the next five years

in established posts, will form an important basis for the

formation of the future human resource plans. Most States

already perform this type of analysis on an ongoing basis.

However, if this analysis has not been done recently, it is

highly recommended that it be undertaken as soon as

possible. Typically, the analysis begins with an audit of

current staffing levels. A projection is then made in all

current job categories as to the need for staffing based upon

the current deficit or surplus of staff, projected retirements

and staff “wastage” over a five-year period. Wastage is

defined as staffing losses due to potential reductions in

staffing, premature retirements, resignations and deaths.

Typically, wastage will be expressed as a percentage and is

derived by analysing the historical data for each job

category. If historical data is not available, the use of

average wastage rate of three per cent per year may be

used. A methodology for the conduct of a human resource

audit is available from the ICAO Air Navigation Bureau’s

Personnel Licensing and Training Section.

10.32 Selection criteria for new staff in all jobs should

be reviewed as a part of each State’s transition planning for

the new systems. The introduction of new technologies,

especially those using higher levels of automation, will

require new sets of skills. To ensure that the majority of the

newly hired employees can succeed in training and eventu-

ally perform their jobs in a safe and efficient manner, it will

be important that they are recruited with appropriate

aptitudes, skills and previous education. If the selection

criteria are not adjusted to meet the changing needs of the

workplace, training then becomes the primary means for

selection. Those trainees without the required aptitudes and

who do not succeed during training are “screened out”.

While this approach can serve the same purpose as a selec-

tion, it is extremely expensive to maintain. This approach

may also make it very difficult to meet the demand for

skilled personnel on a timely basis.

10.33 The development of training for automated

systems is more difficult than for non-automated systems.

One of the primary challenges in developing training for

automated systems is to determine how much a trainee will

need to know about the underlying technologies in order to

use automation safely and efficiently. It is recommended

that task analysis techniques be used as the basis of the

design for training in automated systems. Course develop-

ment based on a task analysis can be somewhat more time-

consuming than traditional training development techniques.

However, typically the resulting training tends to be more

effective and ultimately more cost-efficient.

10.34 As mentioned above, some of the training for

the new systems could be implemented using distance

learning techniques. Implementation of this type of training

can be more efficient as it reduces the time spent at a

centralized training centre. Training technologies in this

area have, over the past few years, improved dramatically.

Computer-based training and training over the Internet are

becoming more effective and cost-efficient. The foundation

training needed to provide all civil aviation personnel with

the prerequisite skills for their job-specific training is one

area in which distance learning could be used very

effectively. Personnel could take this type of training while

at their workplaces and thereby reduce the overall amount

of time that may be required in a training centre.

10.35 Planners should also be aware that the

implementation of a higher level of automation represents a

great deal of change to many civil aviation personnel. The

training needed to introduce this change should begin as

soon as possible by providing a foundation in computers

and automation. Frequently, experienced personnel that are

learning new concepts related to automation can be resis-

tant to this type of change. The possible resistance to

change is another challenge that should be anticipated and

addressed by planners.

I-11-1

Chapter 11

LEGAL ISSUES

INTRODUCTION

11.1 It has been generally agreed that there is no legal

obstacle to the implementation of CNS/ATM systems and

that there is nothing inherent in CNS/ATM systems that is

inconsistent with the Chicago Convention. There is also a

consensus that GNSS shall be compatible with the Chicago

Convention, its Annexes and other principles of international

law.

11.2 Presently, the legal aspects of CNS/ATM systems

address issues mainly related to GNSS, which is a key

element of ICAO CNS/ATM systems.

11.3 The Council has been considering the question

of a legal framework for GNSS, in the form of a new legal

instrument, or several instruments of different types, for

some time, with the assistance of the Legal Committee, a

Panel of Legal and Technical Experts and a Secretariat

Study Group. Even though there is no consensus on the

form of any new instrument, there has been much

discussion on what features it might contain. The primary

legal issue considered to require new law is how to secure

accessibility and continuity of GNSS services. Correspond-

ing to this issue, the institutional aspects mainly relate to

the future operating structures for GNSS. Attention has

been devoted to both the legal considerations in respect of

the existing systems and to the elaboration of a more com-

plete and lasting legal framework for the long-term future.

11.4 The transitional arrangements with respect to the

existing satellite navigation systems are governed by the

Chicago Convention and relevant SARPs. In addition,

aspects relating to the provision of the GNSS signal-in-

space were the subject of the exchange of letters between

ICAO and the United States, dated 14 and 27 October 1994,

and ICAO and the Russian Federation, dated 4 June and

29 July 1996.

11.5 The Panel of Legal and Technical Experts on the

Establishment of a Legal Framework with Regard to GNSS

(LTEP), which was established by the ICAO Council on

6 December 1995, has been given the mandate, inter alia, to

consider the different types and forms of the long-term legal

framework for GNSS and to elaborate the legal framework

that would respond to certain fundamental principles. The

consideration of the legal framework has resulted in

consensus on the text of a draft Charter on the Rights and

Obligations of States Relating to GNSS Services, which

was adopted by the 32nd Session of the Assembly

(22 September to 2 October 1998) in the form of Resolution

A32-19. (the “Charter”, Appendix A to this chapter refers).

Consideration of other legal issues has led to 16 Rec-

ommendations (Appendix B to this chapter refers). The

material in this chapter is intended to assist States in

identifying relevant legal issues, which they may encounter

in the planning and implementation of CNS/ATM systems.

FUNDAMENTAL PRINCIPLES OF THE

GNSS LEGAL FRAMEWORK

11.6 The Charter embodies certain fundamental

principles applicable to the implementation and operation of

REFERENCES

Report of the 29th Session of the Legal Committee

(Montreal, 4 to 15 July 1994) (Doc 9630)

Report of the First Meeting of the Panel of Legal and

Technical Experts on the Establishment of a Legal

Framework with Regard to GNSS (Montreal, 25 to

30 November 1996)

Report of the Second Meeting of the Panel of Legal

and Technical Experts on the Establishment of

a Legal Framework with Regard to GNSS

(Montreal, 6 to 10 October 1997)

Report of the Third Meeting of the Panel of Legal and

Technical Experts on the Establishment of a Legal

Framework with Regard to GNSS (Montreal, 9 to

13 February 1997)

Resolution A32-19, Charter on the Rights and

Obligations of States Relating to GNSS Services

Resolution A32-20, Development and elaboration of

an appropriate long-term legal framework to

govern the implementation of GNSS

I-11-2 Global Air Navigation Plan for CNS/ATM Systems

GNSS. Some of these principles were derived from the

Statement of Policy on CNS/ATM Systems Implementation

and Operation, adopted by the Council on 9 March 1994

(“Council Statement of 1994”), as well as from the

exchange of letters between ICAO and the United States and

ICAO and the Russian Federation, respectively. Certain

other principles are essentially restatements and elabora-

tions of provisions of the Chicago Convention.

The safety of international civil aviation

11.7 The safety of international civil aviation is a

paramount principle embodied in the Preamble and

Article 44 (h) of the Chicago Convention. The Charter,

described above, provides for a specific reference to this

principle in its paragraph 1:

“States recognize that in the provision and use of

GNSS services, the safety of international civil

aviation shall be the paramount principle.”

Accordingly, the safety of international civil aviation

should be fully safeguarded at all times in the operation of

GNSS, including during modification to the system.

Universal accessibility without discrimination

11.8 The principle of universal accessibility without

discrimination, which is also embodied in the Chicago

Convention and ICAO practice, is of particular importance

with respect to navigation satellites as compared to com-

munication satellites. In the case of the latter, the existence

of multiple providers and commercial competition will pro-

vide a natural basis for guaranteed accessibility. In the event

of the lack of access to the services of one provider, the

users will simply switch to another provider. Furthermore,

the major commercial providers of satellite communications

services (e.g. Inmarsat) provide in their constitutional instru-

ments the legal guarantees for accessibility to the services

without discrimination.

11.9 The case of navigation satellites is somewhat

different. In certain cases, aircraft operators and providers

of air traffic services have, in the past, relied on navi-

gational signals generated by navigation aids outside their

territory and not under their direct control (e.g. Loran,

Omega, or shorter range navigation aids). GNSS will

intensify such reliance on foreign systems. For the majority

of user States, the existing GNSS facilities are controlled

and operated by one or several States. For the time being,

multiplicity of system providers and commercial com-

petition do not exist in this field. While some consider that

the existing systems do not require a separate legal frame-

work, there has been concern among some potential civil

users of GNSS and States with respect to the guaranteed

access to, and continuity of, such services. Accordingly, the

Council Statement of 1994 affirmed explicitly that the

principle of universal accessibility without discrimination

shall govern the provision of all air navigation services by

way of CNS/ATM systems. The principle, which restates

and elaborates principles already enshrined in the Chicago

Convention, has also been incorporated into the exchange

of letters between ICAO and the United States and ICAO

and the Russian Federation concerning the provision of

GPS and GLONASS.

11.10 The Charter mentioned above provides that

every State and aircraft of all States shall have access, on a

non-discriminatory basis and under uniform conditions, to

the use of GNSS services, including regional augmen-tation

systems within the area of coverage of such systems. The

term “aircraft” is included in order to ensure that the aircraft

of all States will have such access.

11.11 It may be concluded that the principle of

universal accessibility without discrimination is now well

accepted. The remaining issue is how to render it generally

applicable. States in the process of planning and imple-

mentation of CNS/ATM systems could, if necessary, provide

additional assurances through bilateral agreements or other

arrangements to safeguard their accessibility.

Continuity of services

11.12 Closely related to the issue of non-

discriminatory access is the issue of the continuity of

services. When GNSS becomes the primary means of air

navigation and the traditional terrestrial facilities for air

navigation will have become obsolete, the discontinuation of

GNSS services, if decided unilaterally by the provider State,

could theoretically force users to rely on redundant and

back-up systems that might not be convenient or economical

for an extended period. The provision of GNSS services will

always follow the principle of redundancy. GNSS will

consist of a menu of options. The options range from an

automatic switch to a back-up system on “standby”, which

will be part of the institutional arrangements, to an insti-

tutional guarantee by an international organization which

may make alternative services available. In the exchange of

letters with ICAO, the United States and the Russian

Federation have respectively committed to take all necessary

measures to maintain the integrity and reliability of the

services and each of them expects that it will be able to

provide at least six years’ notice prior to termination of its

services.

Part I. Operational Concept and General Planning Principles

Chapter 11. Legal Issues I-11-3

11.13 The Charter states that every State providing

GNSS services shall ensure the continuity, availability,

integrity, accuracy and reliability of its services, including

effective arrangements to minimize the operational impact of

system malfunctions or failure, and to achieve expeditious

service recovery. States providing services shall ensure that

the services are in accordance with ICAO Standards. States

shall provide, in due time, aeronautical information on any

modification of the GNSS services that may affect the

provision of the services.

11.14 The concept of continuity may be understood in

either a technical or a legal sense. In the narrower technical

sense, continuity may refer to effective arrangements to

minimize the operational impact of unavoidable system

malfunctions or failure and achieve expeditious service

recovery. In a wider legal sense, continuity may also mean

the principle that the services are not to be interrupted,

modified, altered or terminated for military, budgetary or

other non-technical reasons. It is recommended that States

provide adequate safeguards to the principle of continuity

in both the technical and legal meaning in the implemen-

tation and operation of CNS/ATM systems.

11.15 The Chicago Convention and its Annexes

already provide Standards for the integrity and reliability of

air traffic services, including navigation aids, and additional

SARPs for GNSS are being developed.

Respect of State sovereignty

11.16 The principle of complete and exclusive sover-

eignty of States over the airspace above their territory is a

cornerstone of customary international air law, which has

been recognized by the Chicago Convention, 1944. The

Council Statement of 1994 affirmed that implementation

and operation of CNS/ATM systems, which States have

undertaken to provide in accordance with Article 28 of the

Chicago Convention, shall neither infringe nor impose

restrictions upon State sovereignty, authority or responsi-

bility in the control of air navigation and the promulgation

and enforcement of safety regulations. The same principle

has also been reiterated in the exchange of letters between

ICAO and the United States and ICAO and the Russian

Federation, respectively. In providing the GPS and

GLONASS signals to other States and their operators, the

United States and the Russian Federation will not be

performing functions under Article 28 of the Chicago

Convention, but will only provide navigation aid signals for

use in aircraft positioning.

11.17 The implementation of CNS/ATM systems will

favour the concept of “seamless airspace” as opposed to

airspace divided by FIRs or territorial State boundaries. For

example, one ATM facility may cover an entire region,

replacing the work of many existing facilities. From a

pragmatic point of view, the implementation of GNSS

requires that a balance be struck between the need to

respect State sovereignty and the need to promote the use

of advanced air navigation and ATM technology. A

necessary compromise may involve a certain flexibility in

the exercise of certain sovereign rights, in particular by

entrusting tasks of signal provision and augmentation to

foreign States and/or joint agencies or operating structures,

in exchange for additional benefits flowing from the public

utility services of GNSS. Regional air traffic management

arrangements are already functioning, or are under develop-

ment, in a number of places, and functioning well.

Compatibility of regional arrangements

with the global planning and implementation

11.18 The planning and implementation of CNS/ATM

systems is a complex, multifaceted, progressive process,

which must be carefully monitored and coordinated at the

international level. Such a planning and implementation

process could not be successful without global coordina-

tion. The responsibility of ICAO in this respect has been

affirmed in the Council Statement of 1994 and described in

Part I, Chapter 2, Appendix A.

11.19 Paragraph 5, subparagraph 2 of the Charter

provides that States shall ensure that regional or subregional

arrangements are compatible with the principles and rules

set out in the Charter and with the global planning and

implementation process for GNSS. Since the implemen-

tation of CNS/ATM systems is a complex and far-reaching

project, it will require that two primary conditions be met:

the first is to devise and implement the systems according to

a very well-prepared plan; and the second is for all members

of the global community to cooperate fully in its realization.

Financial resources are limited and should ideally be used to

achieve optimum results. Duplication of efforts should be

minimized and mutual interference prevented. Regional or

subregional arrangements should therefore promote the

global integration of the system.

Cooperation and mutual assistance

11.20 Paragraph 7 of the Charter provides that with a

view to facilitating global planning and implemen-tation of

GNSS, States shall be guided by the principle of

cooperation and mutual assistance. Paragraph 8 provides

that every State shall conduct its GNSS activities with due

regard for the interests of other States.

I-11-4 Global Air Navigation Plan for CNS/ATM Systems

11.21 These proposed broad principles appear necess-

ary in view of ICAO’s objective to achieve a single,

integrated, global CNS/ATM system. Since the global

system will be a seamless one, with airspace boundaries

transparent to users, it will require an unprecedented degree

of cooperation among international organizations, States,

service providers and users at all levels; local, national,

regional and global.

11.22 In the event that the space segments of GNSS

encounter technical failure or malfunction, it might be

necessary for the owner or controlling entity of the seg-

ments to receive cooperation and assistance from other

States. ICAO has repeatedly emphasized that States should

be guided by the principle of cooperation and mutual

assistance.

11.23 For the above reasons, cooperation and mutual

assistance are essential in the planning, implementation and

operation of CNS/ATM systems. The forms of cooperation

may vary, depending upon the situation in particular States

or regions.

OTHER LEGAL ISSUES

11.24 In addition to the fundamental principles

incorporated into the Charter, there are other legal issues

under consideration, such as:

a) certification;

b) liability;

c) administration, financing and cost-recovery; and

d) future operating structures.

In considering these issues, LTEP put forward 16 Rec-

ommendations (Appendix B to this chapter refers) which,

along with the report on the work of the Panel, were

submitted to the 32nd Session of the Assembly of ICAO,

through the Legal Commission, for further guidance. In this

respect, the 32nd Session of the Assembly adopted

Resolution A32-20 (Appendix C to this chapter refers).

Certification

11.25 GNSS, like other air navigation facilities,

requires certification by the relevant authorities in order to

ensure that it complies with Standards related to the safety

of international civil aviation. Recommendations 1 to 8

adopted by LTEP address the issues related to certification

(see Appendix B to this chapter).

Liability

11.26 Similar to terrestrial air navigation facilities,

GNSS may, due to technical failure, inaccuracy or other

reasons, become a cause of damage to aircraft, persons or

goods on the ground or in flight. Issues relating to

liability have been the subject of detailed discussions in

LTEP and are reflected in Recommendations 9 to 11 (see

Appendix B to this chapter).

Administration, financing

and cost-recovery

11.27 Recommendations 12 to 14 put forward by

LTEP are related to the legal aspects of administration,

financing and cost-recovery of GNSS services. These

recommendations refer, inter alia, to GNSS services as an

international service for public use, identify the possible

options for administrative mechanisms for GNSS, and

consider the possible methods of financing GNSS (see

Appendix B to this chapter).

Future operating

structures for GNSS

11.28 The term “future operating structure” is related

to long-term GNSS, rather than the existing systems. It is

ICAO’s established policy that GNSS should be imple-

mented as an evolutionary progression from existing global

navigation satellite systems, including the United States’

GPS and the Russian Federation’s GLONASS, toward an

integrated GNSS over which Contracting States exercise a

sufficient level of control on aspects related to its use by civil

aviation. Recommendations 15 to 16 put forward by LTEP

address the related issues and identify certain possible fields

of international action (see Appendix B to this chapter).

— — — — — — — — —

Part I. Operational Concept and General Planning Principles

Chapter 11. Legal Issues I-11-5

APPENDIX A TO CHAPTER 11

A32-19: CHARTER ON THE RIGHTS AND OBLIGATIONS OF STATES

RELATING TO GNSS SERVICES

Whereas Article 44 of the Convention on International

Civil Aviation, signed on 7 December 1944 (the “Chicago

Convention”), mandates the International Civil Aviation

Organization (ICAO) to develop the principles and tech-

niques of international air navigation and to foster the

planning and development of international air transport;

Whereas the concept of the ICAO communications,

navigation and surveillance/air traffic management (CNS/

ATM) systems utilizing satellite-based technology was

endorsed by States and international organizations at the

ICAO Tenth Air Navigation Conference, and was approved

by the 29th Session of the Assembly as the ICAO

CNS/ATM systems;

Whereas the Global Navigation Satellite System

(GNSS), as an important element of the CNS/ATM sys-

tems, is intended to provide worldwide coverage and is to

be used for aircraft navigation;

Whereas GNSS shall be compatible with international

law, including the Chicago Convention, its Annexes and the

relevant rules applicable to outer space activities;

Whereas it is appropriate, taking into account current

State practice, to establish and affirm the fundamental legal

principles governing GNSS; and

Whereas the integrity of any legal framework for the

implementation and operation of GNSS requires observance

of fundamental principles, which should be established in a

Charter;

The Assembly:

Solemnly declares that the following principles of this

Charter on the Rights and Obligations of States Relating to

GNSS Services shall apply in the implementation and

operation of GNSS:

1. States recognize that in the provision and use of

GNSS services, the safety of international civil aviation

shall be the paramount principle.

2. Every State and aircraft of all States shall have

access, on a non-discriminatory basis under uniform

conditions, to the use of GNSS services, including regional

augmentation systems for aeronautical use within the area

of coverage of such systems.

3. a) Every State preserves its authority and responsi-

bility to control operations of aircraft and to

enforce safety and other regulations within its

sovereign airspace.

b) The implementation and operation of GNSS

shall neither infringe nor impose restrictions

upon States’ sovereignty, authority or responsi-

bility in the control of air navigation and the

promulgation and enforcement of safety regu-

lations. States’ authority shall also be preserved

in the coordination and control of communi-

cations and in the augmentation, as necessary,

of satellite-based air navigation services.

4. Every State providing GNSS services, including

signals, or under whose jurisdiction such services are

provided, shall ensure the continuity, availability, integrity,

accuracy and reliability of such services, including effective

arrangements to minimize the operational impact of system

malfunctions or failure, and to achieve expeditious service

recovery. Such State shall ensure that the services are in

accordance with ICAO Standards. States shall provide in due

time aeronautical information on any modification of the

GNSS services that may affect the provision of the services.

5. States shall cooperate to secure the highest

practicable degree of uniformity in the provision and

operation of GNSS services.

States shall ensure that regional or subregional

arrangements are compatible with the principles and rules

set out in this Charter and with the global planning and

implementation process for GNSS.

6. States recognize that any charges for GNSS

services shall be made in accordance with Article 15 of the

Chicago Convention.

7. With a view to facilitating global planning and

implementation of GNSS, States shall be guided by the

principle of cooperation and mutual assistance whether on

a bilateral or multilateral basis.

I-11-6 Global Air Navigation Plan for CNS/ATM Systems

8. Every State shall conduct its GNSS activities with

due regard for the interests of other States.

9. Nothing in this Charter shall prevent two or more

States from jointly providing GNSS services.

— — — — — — — — —

Part I. Operational Concept and General Planning Principles

Chapter 11. Legal Issues I-11-7

APPENDIX B TO CHAPTER 11

RECOMMENDATIONS OF LTEP

Certification

Recommendation 1

ICAO SARPs on GNSS should cover the system perform-

ance criteria of relevant satellite components, signal-in-

space, avionics, ground facilities, training and licensing

requirements, and the system as a whole.

Such ICAO SARPs should contain adequate system

performance and failure mode information to enable States

to reasonably determine the safety impact on their air traffic

service.

Recommendation 2

With respect to all ICAO SARPs on GNSS, signal-in-space

provider States and provider international organizations

should be involved in the proposed ICAO verification and

validation process so that SARPs and supporting ICAO

documentation will be of high integrity.

Recommendation 3

States providing signals-in-space, or under whose juris-

diction such signals are provided, shall certify the

signal-in-space by attesting that it is in conformity with

SARPs.

The State having jurisdiction under the Chicago

Convention should ensure that avionics, ground facilities

and training and licensing requirements comply with ICAO

SARPs.

Recommendation 4

States providing signals-in-space, or under whose jurisdic-

tion such signals are provided, should ensure application of

ongoing safety management processes, which demonstrate

continued compliance with signal-in-space SARPs.

Recommendation 5

States providing signals-in-space, or under whose jurisdic-

tion such signals are provided, should produce a safety

management system document using the ICAO forum

referred to in Recommendation 8 below. To the extent

possible, such document should be consistent as regards

format and content. ICAO should distribute such signal-in-

space safety management system documentation.

Recommendation 6

Each State should define and ensure the application of

safety regulations for the use of the signal-in-space as part

of air traffic services in its own airspace.

Recommendation 7

For the purpose of authorization by a State of the use of the

signal-in-space in its airspace, additional information,

which may be required for such authorization, should be

made available and distributed through ICAO. Other

sources for obtaining such information may be used, inclu-

ding, inter alia, bilateral and multilateral arrangements,

Safety Case and NOTAMs.

Recommendation 8

States recognize the central role of ICAO in coordinating

the global implementation of GNSS and, in particular:

a) establishing appropriate Standards, Recommended

Practices and procedures in accordance with

Article 37 of the Chicago Convention in the

implementation and operation of GNSS;

b) coordinating and monitoring the implementation of

GNSS on a global basis, in accordance with ICAO’s

regional air navigation plans and global coordinated

CNS/ATM systems plan;

c) facilitating the provision of assistance to States with

regard to the technical, financial, managerial, legal

and cooperative aspects of the implementation of

GNSS;

d) coordinating with other organizations in any matter

related to GNSS, including the use of frequency

spectrum bands in which GNSS constituent elements

operate in support of international civil aviation; and

I-11-8 Global Air Navigation Plan for CNS/ATM Systems

e) carrying out any other function related to GNSS

within the framework of the Chicago Convention,

including functions under Chapter XV of the

Convention.

More specifically, the ICAO forum for exchange of

information on GNSS certification could have the following

functions:

a) to provide liaison between State ATS providers,

regulatory authorities, and signal-in-space providers;

b) to provide liaison between signal-in-space providers

and other States with respect to the format and

content of safety management system documents;

c) to identify the failure modes of the signal-in-space

and their impact on the safety of air traffic services

nationally, and to refer them to an appropriate body

as determined by the Council;

d) to identify what States require from signal-in-space

providers in order to be confident that performance

and risks associated with the signal-in-space are

adequately managed over the life cycle of the

system;

e) to facilitate information-sharing between signal-in-

space providers and other States as to the continued

compliance with the relevant SARPs, in order to

maintain confidence in the reliability of the system.

Liability

Recommendation 9

The following concepts, among other matters, should be

considered in relation to the liability regime for GNSS

which should be further studied:

a) fair, prompt and adequate compensation;

b) disclaimer of liability;

c) sovereign immunity from jurisdiction;

d) physical damage, economic loss, and mental injury;

e) joint and several liability;

f) recourse action mechanism;

g) channelling of liability;

h) creation of an international fund (as an additional

possibility or an option);

i) the two-tier concept, namely strict liability up to a

limit to be defined, and fault liability above the

ceiling without numerical limits.

Recommendation 10

With regard to the fault liability portion, signals should be

recorded for purposes of evidence in accordance with ICAO

SARPs.

Recommendation 11

In conducting the studies on the liability regime for GNSS

referred to in Recommendation 9, the following matters

should, inter alia, be taken into account:

a) how liability provisions concerning the operation,

provision and use of GNSS services should ensure

that damage arising from such services will be

compensated in an equitable manner;

b) the vital role of the signal transmitted by navigation

satellites for the safety of international civil aviation

could raise the question whether disclaimers of

liability would be appropriate in the case of navi-

gation satellites, particularly in cases involving

accidental death or injury;

c) having due regard to Principles 3 and 4 on the Draft

Charter on the Rights and Obligations of States

Relating to GNSS Services, whether the doctrine of

sovereign immunity should be excluded in liability

claims based on GNSS so as to ensure adequate

allocation of liability;

d) the practical experience in the commercialization of

GNSS services as they develop;

e) appropriate methods of risk coverage should be

utilized so as to prevent the frustration of legitimate

claims;

f) whether and to what extent liability provisions

should reflect the joint liability of all parties

involved in the operation, provision and use of

GNSS services;

Part I. Operational Concept and General Planning Principles

Chapter 11. Legal Issues I-11-9

g) liability provisions should have due regard to and,

where necessary, should supplement existing prin-

ciples and rules of international law, including air

and space law.

Administration, Financing

and Cost-recovery

Recommendation 12

GNSS services should be considered as an international

service for public use with guarantees for accessibility,

continuity and quality of the services.

The principle of cooperation and mutual assistance, as

enunciated in the Draft Charter on the Rights and Obli-

gations of States Relating to GNSS Services, should be

applicable, a fortiori, to the cost-recovery of GNSS.

Recommendation 13

In the absence of a competitive environment regarding the

provision of GNSS services, consideration should be given

as to whether mechanisms should be desirable to prevent

abuse of monopoly power on the part of GNSS providers.

The administrative mechanisms for GNSS should be at

multilateral, regional and national levels. The Danish-

Icelandic Joint Financing Agreement could be a model but

this would not exclude the use of other types of mech-

anisms, including existing regional arrangements.

Cost-recovery schemes, if any, should ensure the

reasonable allocation of costs among civil aviation users

themselves and among civil aviation users and other system

users.

Recommendation 14

The aviation user charges, which may be considered as

possible methods for financing of GNSS, include the

following:

a) yearly subscription charges per using operator;

b) yearly subscription charges per using aircraft;

c) yearly/monthly licence fees;

d) charges per flight;

e) charges in respect of different phases of flight;

f) charges based on total passenger-kilometres and

tonne-kilometres;

g) regular en-route charges; or

h) a combination of the above.

The principles recommended in the ANSEP Report and

in the ICAO Guidelines should in any event be taken into

account.

Future Operating Structures

Recommendation 15

The future operating structures should include a coor-

dinating role for ICAO with respect to the future GNSS,

including the system providing the primary navigation

signals-in-space.

The future GNSS primary signals-in-space should be

civilian-controlled, with user States exercising an appropri-

ate level of control over the administration and regulation

of those aspects that relate to civil aviation.

To the extent practicable, the future systems should

make optimum use of existing organizational structures,

modified if necessary, and should be operated in accord-

ance with existing institutional arrangements and legal

regulations.

Recommendation 16

National and/or regional operating structures for GNSS

should be developed initially. A single centralized operating

structure does not appear to be needed at this stage but may

be the subject of future study.

International coordination can be achieved through

regional organizations operating under the umbrella of

ICAO.

Possible fields of international action include:

a) international audit;

b) monitoring of a seamless and universally accessible

worldwide GNSS network;

I-11-10 Global Air Navigation Plan for CNS/ATM Systems

c) monitoring of the stable provision of the inter-

national GNSS signals-in-space;

d) signal monitoring of the availability, continuity,

accuracy and integrity of the GNSS signals-in-space.

Text on 11 bis*

The Panel recommends to the Council that:

• it should encourage the study of the concept of

addressing liability through a chain of contracts

between GNSS actors as an approach, in particular,

at regional level;

• a model for the future contractual arrangements

should embody results of the work done in applying

Recommendations 9 and 11;

• the study and development, in the appropriate ICAO

forum, of an instrument of international law in the

context of the long-term legal and institutional

framework for GNSS should be initiated.

— — — — — — — — —

* This text was put to an indicative vote during the Third Meeting

of LTEP, resulting in fourteen in favour, seven against and one

abstention.

Part I. Operational Concept and General Planning Principles

Chapter 11. Legal Issues I-11-11

APPENDIX C TO CHAPTER 11

A32-20: DEVELOPMENT AND ELABORATION OF AN APPROPRIATE LONG-TERM

LEGAL FRAMEWORK TO GOVERN THE IMPLEMENTATION OF GNSS

Whereas the Global Navigation Satellite System

(GNSS), as an important element of the ICAO CNS/ATM

systems, is intended to provide safety-critical services for

aircraft navigation with worldwide coverage;

Whereas GNSS shall be compatible with international

law, including the Chicago Convention, its Annexes and the

relevant rules applicable to outer space activities;

Whereas the complex legal aspects of the implemen-

tation of CNS/ATM, including GNSS, require further work

by ICAO in order to develop and build mutual confidence

among States regarding CNS/ATM systems and to support

the implementation of CNS/ATM systems by Contracting

States;

Whereas the worldwide CNS/ATM systems implemen-

tation Conference in Rio de Janeiro in May 1998 rec-

ommended that a long-term legal framework for GNSS be

elaborated, including the consideration of an international

convention, while recognizing that regional developments

may contribute to the development of such a legal frame-

work; and

Whereas the recommendations adopted by the

worldwide CNS/ATM systems implementation Conference

in Rio de Janeiro in May 1998 as well as the recommen-

dations formulated by the Panel of Legal and Technical

Experts on GNSS (LTEP) provide important guidance for

the development and implementation of a global legal

framework for CNS/ATM and in particular GNSS;

The Assembly

1. Recognizes the importance of regional initiatives

regarding the development of the legal and institutional

aspects of GNSS;

2. Recognizes the urgent need for the elaboration,

both at a regional and global level, of the basic legal

principles that should govern the provision of GNSS;

3. Recognizes the need for an appropriate long-term

legal framework to govern the implementation of GNSS;

4. Recognizes the decision of the Council on

10 June 1998 authorizing the Secretary General to establish a

Study Group on Legal Aspects of CNS/ATM systems; and

5. Instructs the Council and the Secretary General,

within their respective competencies, and beginning with a

Secretariat Study Group, to:

a) ensure the expeditious follow-up of the recommen-

dations of the worldwide CNS/ATM Systems

Implementation Conference, as well as those for-

mulated by the LTEP, especially those concerning

institutional issues and questions of liability; and

b) consider the elaboration of an appropriate long-term

legal framework to govern the operation of GNSS

systems, including consideration of an international

Convention for this purpose, and to present proposals

for such a framework in time for their consideration

by the next ordinary Session of the Assembly.

I-12-1

Chapter 12

ORGANIZATIONAL AND INTERNATIONAL

COOPERATIVE ASPECTS

INTRODUCTION

12.1 Two important characteristics of major CNS/ATM

components are the capacity to serve a large number of

States, even regions of the world, and the major investments

involved in their implementation. This has organizational

implications because States will need to cooperate in order

to benefit from the efficiency CNS/ATM systems offer. The

structure of the international cooperative effort required

will differ depending on the implementation option chosen

for a specific systems component and the States involved.

At the national level, implementation of CNS/ATM systems

will be facilitated where financially autonomous bodies

have been established to operate air navigation services.

Such authorities may also operate airports or be in the form

of an autonomous civil aviation authority. Whether at the

national or international level, financing of CNS/ATM

systems components as well as other air navigation services

infrastructure will be enhanced where such autonomous

bodies are responsible for infrastructure provision and

operation.

ORGANIZATIONAL FORMS

AT THE NATIONAL LEVEL

12.2 There are three basic or core forms of

organization for providing air navigation services at the

national level. These are as follows:

a) a government department that is subject to

government accounting and treasury rules; its staff

are employed under civil service pay and conditions;

b) the autonomous public sector organization that is

separate from an executive arm of government;

however, the government has total ownership of the

organization; and

c) the private sector organization that is owned by

private interests either totally or with the government

holding a minority share.

12.3 The decisions made by individual States as to the

organizational form at the national level, under which their

air navigation services would operate, will depend on the

situation in the State concerned, the organization of air-

space and whether the provision of services is delegated to

other States or delegated under some other organizational

form. These decisions will often be strongly influenced by

government policy; however, each State would need to take

due account of the following factors:

a) the overall framework of government and system of

administration followed by the State;

b) the legal and administrative arrangements to ensure

that the State’s responsibilities to uphold the relevant

articles of the Chicago Convention are maintained;

c) forecast industry activity;

d) the sources and cost of funds required to meet

related infrastructure investment needs;

e) the requirement of the aviation industry, both

international and domestic, to promote increased

efficiency of operations by the safe and efficient

provision of air navigation services; and

f) the importance of civil aviation to the State’s

economic and social objectives and the extent to

which civil aviation has been developed to meet

those needs.

REFERENCES

ICAO’s Policies on Charges for Airports and Air

Navigation Services (Doc 9082)

Manual on Air Navigation Services Economics

(Doc 9161)

Report on Financial and Related Organizational

and Managerial Aspects of Global Navigation

Satellite System (GNSS) Provision and Operation

(Doc 9660)

I-12-2 Global Air Navigation Plan for CNS/ATM Systems

12.4 Whatever organizational form is selected, in

accordance with Article 28 of the Chicago Convention, the

State is ultimately responsible for the provision and oper-

ation of air navigation services. With autonomous entities

providing and operating air navigation services, it is recom-

mended (ICAO’s Policies on Charges in Doc 9082/6,

paragraph 15 refers) that States establish an independent

mechanism for the economic regulation of the services. The

States should, where necessary, stipulate as a condition for

its approval of a new autonomous body or entity, that it

observe all relevant obligations of the States specified in the

Convention on International Civil Aviation and its Annexes

as well as other ICAO policies and practices, such as those

contained in ICAO’s policies on charges. These include

recommendations for States to encourage their air navi-

gation services providers to develop and apply performance

parameters in order to improve the quality of services

provided and the application of principles of best commer-

cial practice in order to promote transparency, efficiency

and cost-effectiveness.

SPECIFIC OPERATIONAL AND TECHNICAL

ORGANIZATIONAL ASPECTS

General

12.5 Implementation of CNS/ATM systems will

require considerable investment in the area of ATM (e.g.

automation and support systems) as well as in communi-

cations and navigation infrastructure. The latter involves

space segment elements as well as associated ground-based

elements (e.g. satellites or satellite transponders, ground

earth stations, etc.). The magnitude of the investments

involved and the capacity that will be provided are often of

such an order that it will not be possible, feasible, nor

practical for a State to implement such systems for its sole

use.

12.6 When CNS/ATM systems are implemented on a

global scale, the need for States to provide and operate

conventional communications, navigation and surveillance

systems will be significantly reduced. Regional air navi-

gation plans (ANPs) should provide a schedule for the

phase-out of facilities made redundant by the provision of

CNS/ATM systems services. From an organizational point

of view, this will mean that some staff now required to

operate conventional systems would become redundant,

although some could be redirected towards work associated

with the provision of the new CNS/ATM-related services.

The extent of the redundancy would also be influenced by

the technical solution and implementation option chosen, as

described in the paragraphs below. Because of the centraliz-

ation inherent in satellite operations, redundancies would

occur in most States in staff and facilities previously

devoted to serving the conventional systems, if the

economies of CNS/ATM systems application are to be fully

realized.

Aeronautical Mobile Satellite Services

(AMSS) — implementation and

option selection

12.7 The satellite-based system serving CNS/ATM

systems communications needs will require an extensive

network of ground-based facilities, including ground earth

stations (GES) and associated communications links to air

traffic facilities. As there are different means of system

access, States will have different implementation options.

Depending on requirements and circumstances, a State or a

group of States may choose various options. Relevant to the

selection of an implementation option and the resulting

organizational structure are such economic factors as

achievable economies of scale, scope for competition and

requirements for economic regulation. It should be stressed,

however, that the specific framework a State or group of

States selects cannot be established, nor can the appropriate

legal instrument covering its establishment be written, until

the States concerned have themselves determined which

approach best meets their requirements.

12.8 While some States may operate some elements

of the ground-based facilities themselves (e.g. GES), access

to satellite services will be primarily through service pro-

viders that will provide satellite access either directly or by

acting as coordinators for satellite operators. From an

organizational point of view, however, a State has a number

of implementation options to choose from, or it can choose

a combination of options. These cover a wide range within

which a State can:

a) contract with certified service providers;

b) commission existing multilateral State organ-

izations such as ASECNA, COCESNA and

EUROCONTROL to act on its behalf in dealing

with service providers;

c) join other States to form a group of States or to

form a new international organization which would

negotiate for service; and/or

d) use a mechanism within ICAO (e.g. Joint Financing

Agreement) to act on behalf of States in dealing

with service providers.

Part I. Operational Concept and General Planning Principles

Chapter 12. Organizational and International Cooperative Aspects I-12-3

12.9 Autonomous civil aviation organizations may

prefer to establish direct technical and commercial relation-

ships with satellite service providers where this is possible

and feasible.

12.10 Further to the above, the selection of the

implementation option a State applies is likely to be strongly

influenced by at least two factors, namely, the cost-

effectiveness of the alternatives, and the extent to which the

State concerned will continue to maintain the control that it

may exercise over the provision of services to civil aviation.

The latter also includes the extent to which existing facilities

and personnel continue to be utilized in the provision of

CNS/ATM systems services, as opposed to being made

redundant by the implementation option(s) selected.

Global Navigation

Satellite System (GNSS)

12.11 The GNSS will initially be composed of a

satellite system that provides standard positioning service

and system augmentation, which may either have wide area

or local area coverage. System augmentation is required for

meeting certain performance criteria that may be imposed.

Positioning signals are being offered free of charge by the

two provider States concerned: at least up to the year 2010

by the Russian Federation (the GLONASS system) and, for

the foreseeable future, with six years’ advance notice of any

change to that policy, by the United States (the GPS

system). Both these systems are military systems, which are

being made available for civilian use. Until these systems

are replaced by (civilian) systems requiring financial

commitments from the civil establishment worldwide, the

provision, as opposed to the use, of the standard positioning

service does not appear to be dependent on organizational

issues needing to be addressed by States other than the two

provider States.

12.12 Systems augmentation gives rise to somewhat

different considerations. For example, wide area augmen-

tation could be provided by the same State(s) or entity that

operates a satellite constellation providing global standard

positioning service. However, a group of States or a regional

organization might also undertake to operate the augmen-

tation satellite service required, either by themselves or by

contracting with a commercial or government organization

to do so on their behalf. Thus, the same type of options as

outlined in 12.8 above apply. In each instance, costs would

be incurred that would presumably need to be recovered.

From an organizational point of view, such augmentation

would in fact be a multinational facility or service to which

the guidance material on the provision and operation of

multinational facilities and services, which is addressed later

in this chapter, could apply, as long as the augmentation is

primarily to serve civil aviation. On the other hand, if civil

aviation is only going to be a minority user of the augmen-

tation services provided, and the entity will provide augmen-

tation services worldwide, a joint concerted approach

through, for example, ICAO, a regional air navigation

services providers association, or an international aviation

user association, for dealing with the service provider, may

be the most appropriate.

12.13 Augmentation with local coverage would most

likely not require international involvement provided that

the facility meets the specifications and Standards required

for it to be listed as an international civil aviation facility.

The facility itself could be provided by the national or local

government or under contract by a commercial entity.

Air traffic management (ATM)

12.14 With regard to organizational aspects, im-

plementation of CNS/ATM systems has special relevance to

ATM. This is because the advanced communications,

navigation and surveillance technology offers the possi-

bility to expand the capacity of individual air traffic

facilities in many parts of the world and particularly those

handling traffic over the high seas. As a result, it will be

possible and technically and economically feasible to pro-

vide ATM over expanded areas into what could be termed

ATM regions, and correspondingly reduce the number of

air traffic facilities. However, it should be assumed that the

decision made by individual States whether or not to

proceed in this manner would not only be taken on

technical or economic grounds, but would also depend on

other issues in the State concerned that would often be

strongly influenced by government policy.

12.15 It should be added that even without an air

traffic facility, a State may still need to incur costs

associated with providing CNS/ATM systems services as

well as other air navigation services for overflying traffic

and during the en-route phase of flight for traffic landing on

or departing from its territory (e.g. participation in GNSS

augmentation schemes, aeronautical fixed service (AFS)

links with one or more ACCs, and MET costs). Under such

circumstances, such costs together with the costs of closing

an air traffic facility would continue to be recoverable by

the State(s) concerned. This would call for cooperation or

agreement between that State and the entity operating the

facility serving the ATM region covering the State con-

cerned. The entity could be an international or regional

body, a joint operation by a few States, or another State.

The agreement or scheme should call for all costs attribu-

table to the provision of air navigation services to air traffic

I-12-4 Global Air Navigation Plan for CNS/ATM Systems

during the en-route phase of flight, that would be borne by

the State which has closed its facility, to be included in the

cost base, and recovered through the charges levied,

through the facility serving the expanded ATM region.

CNS/ATM systems costs attributable to services provided

during the approach and/or departure phase of flight would,

like the costs of other air navigation services attributable to

this phase of operations, be recoverable through approach

and aerodrome control charges.

INTERNATIONAL COOPERATION

The multinational facility or service in the context

of CNS/ATM systems implementation

General

12.16 A multinational air navigation facility or ser-

vice has been defined as a facility or service included in an

ICAO regional air navigation plan, for the purpose of

serving international air navigation in airspace extending

beyond the airspace serviced by a single State, in

accordance with that regional air navigation plan.

12.17 CNS/ATM systems or individual elements of

these systems are probably the most significant multi-

national facilities or services the aviation community will

have access to in the immediate future. This applies to both

the service potential of the systems and the costs involved.

Where a CNS/ATM systems element is to be provided as a

multinational facility or service, the participating States

would need to formalize the terms under which that

element or multinational facility/service is to be provided in

an agreement. A primary aim of the agreement would be to

ensure that the costs involved are shared amongst the

participating States in a fair and equitable manner. It should

be added that any State sharing in the costs of operating a

multinational air navigation facility or service can include

the relevant costs involved in the cost base for charges, such

as air navigation services charges, that it levies.

Implications for States and

ICAO technical planning bodies

12.18 Because of the financial and managerial impli-

cations involved, the approach by technical planning bodies

to the possible implementation of multinational facilities

and services may be expected to differ from that applied to

facilities or services to be implemented by a single State.

Regarding the latter, technical planning bodies essentially

focus on the technical aspects of the facilities and services

the State concerned must implement to meet its obligations

under the respective regional air navigation plan, to serve

international civil air traffic within the airspace for which it

alone is responsible. Provided these facilities or services

meet international Standards, aspects relating to their

financing and management remain an internal matter for

that State.

12.19 A different approach, however, is required in the

case of multinational facilities and services, because the

primary reason for their establishment is to enable two or

more States to carry out, more efficiently, the services each

has accepted responsibility for under the regional plan, and

in a more cost-effective manner than each of them could

achieve on its own. Consequently, it is to be expected that

the States concerned will wish to evaluate, at least in broad

terms, the financial aspects of such facilities before agreeing

to their incorporation in the regional plan and before

committing themselves to utilizing them.

12.20 For this reason, basic financial implications will

need to be considered by the technical planning groups at a

stage in their deliberations when it is believed that the best

or only solution to a problem involves recommending the

establishment of a multinational facility or service. To

avoid basic financial implications until after these groups

have finalized their recommendations could lead to delays

if one or more of the States expected to participate in the

operation of the multinational facility concerned raises

objections, for example, to the financial share it would be

expected to pay for. Such delays in implementing technical

solutions could compromise safety or efficiency in the area

concerned while new solutions acceptable to all the States

involved are sought.

Equity aspects

12.21 Equity in the sharing of the costs of a multi-

national facility or service and in the recovery of the costs

through user-charges is important. A multinational facility

operated by one State, but providing services used by two

or more States, at costs considerably over and above those

that would be incurred to solely meet the require-ments of

the State operating that facility, may give rise to inequity in

two areas if some form of cost sharing is not arranged.

First, for the State providing and operating the facility,

there is inequity from having to defray capital and running

costs in excess of those that the State would otherwise incur

to meet its own requirements. Second, where that State

would seek to recover its costs through user charges, users

within the airspace for which this State is responsible

would be asked to pay for costs of services not properly

attributable to them. These users would thereby, in effect,

Part I. Operational Concept and General Planning Principles

Chapter 12. Organizational and International Cooperative Aspects I-12-5

be required to subsidize services provided for other traffic

by another State. This would be contrary to ICAO policy.

Basic provisions

12.22 The basic provisions that would normally have

to be covered in an agreement concerning the establishment

and provision of a multinational facility/service are outlined

and described in detail in the general guidelines on the

Establishment and Provision of a Multinational ICAO EUR

Air Navigation Facility/Service, which ICAO has already

developed and which forms part of the Introduction to the

Air Navigation Plan — European Region (Doc 7754) (also

reproduced in Appendix 5 of the Manual on Air Navigation

Services Economics Manual (Doc 9161)). The ICAO

Council has decided that such guidelines be developed and

included in all other ICAO regional air navigation plans.

The guidelines developed by ICAO do not constitute a draft

model agreement nor draft model clauses since circum-

stances related to the planning, implementation and oper-

ation of individual multinational facilities/services may

vary considerably.

Forms of international cooperation

General

12.23 As has been pointed out earlier, many

CNS/ATM systems elements may have to be implemented

as multinational facilities and services. The international

cooperation may take different forms. In its simplest form

there is a coordination and harmonization process initiated

as a subregional activity between a limited number of

States. There are significant synergies to be created and

savings to be made by coordinating the planning, im-

plementation and operation of CNS/ATM systems across

borders with neighbouring States. On a larger scale, a more

formal machinery may be established as an International

Operating Agency, a Joint Charges Collection Agency or an

ICAO Joint Financing Arrangement (see Figure I-12-1).

International operating agencies

12.24 An international operating agency is a separate

entity assigned the task of providing air navigation services,

principally route facilities and services, within a defined

area on behalf of two or more sovereign States. The

services provided by such an agency are usually in the

categories of air traffic services, aeronautical telecommuni-

cations, search and rescue (essentially rescue coordinating

centres) and aeronautical information services, but can

extend to meteorological services for air navigation as well.

These agencies are also responsible for the operation of

charges collection systems for the services provided.

Examples of such agencies are ASECNA (which operates

airports as well as air navigation services), COCESNA and

EUROCONTROL.

Joint charges collection agencies

12.25 Another effective but less encompassing means

for States to benefit from international cooperation in the

provision of air navigation services is to participate in the

operation of a charges collection agency. This is because

States individually operating route facilities and charging

for the services rendered will be involved in considerable

accounting work and may also encounter collection diffi-

culties where there is a substantial volume of overflying

traffic. In such circumstances, a group of adjoining States

might benefit significantly from the formation of a joint

charges collection agency.

12.26 This agency would collect route air navigation

services charges on behalf of all of the participating States,

including those that are overflown. Since the majority of

aircraft are likely to land in the territory of at least one of the

participating States, this would enable most of the route air

navigation services charges to be collected without difficulty.

The agency would then transfer, to each participating State,

the charges revenue collected on its behalf. Added to each

charge levied for each participating State would be a small

fee or percentage to cover the State’s share of the agency’s

costs. A joint charges collection agency should also benefit

the users because the collection costs attributable to each

participating State should be lower than that State would

otherwise incur itself and need to recover from the users.

Considering that route air navigation services charges are an

essential source of revenue, it is important that the States

themselves, individually or collectively, remain fully in

control of the charges collection function. Another factor to

be considered is the additional prospect of further economies

resulting from the employment of better trained staff and

improved procedures.

12.27 The ICAO Council recommends that States or

their delegated service providers consider participating in

joint charges collection agencies whenever this is advan-

tageous, taking into account the following: the importance

of States themselves controlling the collection of their

charges; the need for careful study of the terms under

which the collection service is to be provided; identification

and description of the costs of the services for which they

are being charged; and the requirement that any admini-

strative fee be included in the charge.

I-12-6 Global Air Navigation Plan for CNS/ATM Systems

Joint financing arrangements

12.28 Joint financing-type arrangements may lend

themselves well to the implementation of a number of

CNS/ATM systems elements in situations where it is, for

example, very costly for a State to act alone or where an

existing regional organization (ASECNA, COCESNA,

EUROCONTROL, etc.) does not act on its behalf. Such

elements include integrity monitoring and wide area aug-

mentation systems required in connection with GNSS, and

could also include GES and the shared use of communi-

cations satellite transponders. Agreements for the joint

financing of air navigation facilities and services are

administered by ICAO on behalf of the contracting govern-

ments concerned. The involvement by ICAO in these

agreements is provided for under Chapter XV of the

Convention on International Civil Aviation (the Chicago

Convention) where the basic principles for “joint support”

are laid down.

12.29 Under a joint financing-type arrangement,

actual provision and operation of the CNS/ATM systems

elements concerned could be carried out by one State on

behalf of other participating States or contracted to a

commercial operator or service provider. Alternatively, a

group of States could jointly operate and provide the

facilities and services concerned. In the first two instances,

ICAO’s role in joint financing would be similar to that

under the Danish and Icelandic Joint Financing Agree-

ments. Where a group of States would operate the facility

jointly, ICAO’s role could, however, be expanded, particu-

larly during the implementation phase, to include, inter alia,

organizing the recruitment of staff, involvement in planning

for construction as may be required, and various associated

activities. Regardless of who actually provides and operates

the facilities or services concerned, in all instances, the

participating States under each scheme would exercise full

control through a governing joint support-type committee to

whom the ICAO joint financing secretariat would report.

12.30 Under the Danish and Icelandic joint financing

agreements, the air navigation services are provided by

Denmark and Iceland and used by more than eighty States.

The arrangements are established in the form of multilateral

agreements, which regulate the operation, administration,

financing and related support aspects of the air navigation

services to be provided under the joint-support scheme. The

administration of the agreements is provided by a special

section of the ICAO Secretariat which reports to the ICAO

Council and its Joint Support Committee. It has its own

budget separate from the general ICAO budget. This type of

arrangement provides the required neutrality, continuity and

aviation-related know-how, while offering the necessary

flexibility required for the operation of such international

public utilities.

12.31 A related example of a joint financing-type

arrangement is the Satellite Distribution System (SADIS)

Cost Allocation and Recovery (SCAR) scheme developed

by ICAO, which also, upon request of the governments

concerned, provides administrative services for the SADIS

Cost Recovery Administrative Group. The Group audits the

costs of the SADIS service and assesses the annual

contribution to be made by each State participating in the

Figure I-12-1. International cooperation

Joint Financing Arrangements

International Operating Agency

INTERNATIONAL COOPERATION

Joint Charges Collection Agency

Part I. Operational Concept and General Planning Principles

Chapter 12. Organizational and International Cooperative Aspects I-12-7

scheme. The SADIS service involves the distribution of

certain aeronautical meteorological data. The United

Kingdom operates the SADIS which is presently financed

by the States receiving the service. The SADIS service is

received by more than 90 States in Europe, Africa, the

Middle East and Western Asia.

ICAO assistance

12.32 Various bodies have pointed out that because of

the expertise it possesses and the neutral advice it can

provide, ICAO is in a special position to serve States

seeking to establish joint ventures to provide air navigation

services or to collect charges and, if requested, to admini-

ster cost recovery schemes for a multinational facility or

service. ICAO could also assist in the preparation and

negotiation of loans and could provide routine assessments

of economic aspects of air navigation planning and oper-

ations. The costs of any such assistance provided by ICAO

can be included in the cost basis for charges levied for the

facility or service involved. ICAO’s role would not be that of

an operator on behalf of States but rather of an organizer or

coordinator for the States in implementing the joint-venture

project and bringing it to full operational status.

I-13-1

Chapter 13

COST-BENEFIT AND ECONOMIC IMPACTS

GENERAL

13.1 The decision by States on whether and when to

enter into the financial commitments necessary to im-

plement CNS/ATM systems in the FIRs for which they have

the responsibility to provide ATM should be preceded by

appropriate cost-benefit analysis, taking into account the

economic impacts on service providers, aircraft operators,

passengers and freight consigners. The reasons for cost-

benefit analysis were considered briefly in Part I, Chapter 1.

User participation in cost-benefit analysis is encouraged.

Additionally, each service provider or operator may carry

out its own business case or financial evaluation, which will

be closely related to the cost-benefit study. Finally, an

understanding of the broader economic implications of new

systems might be helpful in promoting their implemen-

tation.

COST-BENEFIT METHODOLOGY

13.2 A cost-benefit analysis is used to estimate the

economic viability of a planned investment project, i.e. the

extent to which the total benefit from the investment

exceeds its total cost. CNS/ATM systems are complex and

consist of a package of investments. Measures of the

viability of the new investment package (the project case)

are based on a comparison with the existing systems (the

base case). The existing systems are defined to include their

normal and expected maintenance and possible develop-

ment over the planning horizon. The new facilities replace

the existing facilities, and as the latter are phased out, their

costs can be regarded as benefits from installing the new

systems. The most important benefits of CNS/ATM systems

are the cost reductions from more efficient flight operations

and reduced flight times, which are expected to emerge as

CNS/ATM systems are implemented.

13.3 A rigorous approach to developing a measure of

the expected economic performance of an investment project

is the net present value (NPV) or life-cycle approach, which

focuses on the annual flows of costs and benefits (cash flows)

related to the project. The costs and benefits in cash flow

terms are not distributed evenly over time. Typically, there

are large capital expenditures in the early years of a new

project followed by many years of benefits, and also of

operating and maintenance costs. There could be significant

costs during the period of transition from the existing to the

new systems, and these must be included in the analysis. The

benefits will normally be in the form of cost savings. The net

benefit in each year is equal to the sum of all the benefit

items minus the sum of all the cost items expected in that

year. The NPV (i.e. current year capitalized value) of the

stream of net benefits (net cash flows) can be determined by

a process of discounting the future cash flows. This process

takes into account the effect of the rate of interest on the

present value of each future cash flow. (Figure I-13-1

summarizes this approach.)

13.4 Estimation of the future flows of the costs and

benefits, and hence the NPV associated with the implemen-

tation of satellite-based CNS/ATM systems in an airspace,

requires many assumptions about the prices and quantities

of communications, navigation and surveillance equipment

and services, and about the amount of potential savings in

aircraft operating costs. Therefore, there is an element of

uncertainty and risk in the NPV results. The financial risks

can be appreciated by studying the effects on the NPV

estimate resulting from changes in the assumptions. A

particularly important assumption is that the transition to

CNS/ATM systems by ATM providers and aircraft oper-

ators occurs in a coordinated fashion so that net benefits are

maximized.

13.5 Comprehensive guidance material to assist States

in carrying out cost-benefit studies of the implementation

of CNS/ATM systems in their own airspace is available in

Circular 257, Economics of Satellite-based Air Navigation

REFERENCES

Economics of Satellite-based Air Navigation Services

— Guidelines for cost/benefit analysis of

communications, navigation and surveillance/

air traffic management (CNS/ATM) systems

(Circular 257)

I-13-2 Global Air Navigation Plan for CNS/ATM Systems

Services — Guidelines for cost/benefit analysis of

communications, navigation and surveillance/air traffic

management (CNS/ATM) systems. This circular focuses on

the NPV methodology, which is widely recognized and

used by financial institutions such as those potentially

involved in funding CNS/ATM systems. The methodology

is presented using a step-by-step tabular approach, which

may be applied manually or through a computer spread-

sheet; formatted spreadsheets using Quattro Pro, Lotus or

Excel software are available to States from the ICAO

Secretariat.

INTERPRETATION OF

COST-BENEFIT RESULTS

13.6 The interest rate used for discounting future cash

flows should be the minimum rate of return required from

investment in the CNS/ATM systems project. If a rate of

7 per cent per annum (real) was used, then any NPV result

above zero would imply a forecast of a real rate of return

greater than 7 per cent per annum from the investment

project. More precisely, the project was expected to earn a

real rate of return of 7 per cent per annum plus a surplus

equal to the NPV value.

13.7 NPV calculations can be repeated for alternative

implementation plans in order to assess which particular

plan is the most cost-effective. For example, the NPV of an

implementation employing SSR Mode A/C and VDL for

surveillance and data communications can be compared

with the NPV of an implementation plan with Mode S for

both surveillance and data. As another example, the econ-

omic consequences of extending or shortening the period

during which services are provided by both the present

technology and the new technology systems (in parallel)

can be assessed in a similar way.

13.8 A cost-benefit analysis can be done for the

airspace of a State or group of States. It is recommended

that separate cost-benefit analyses be done for the ATM

provider or the relevant State authority and for the aircraft

operators. Where this is done, it is possible that the State

authorities may see only a modest net benefit (NPV) or

perhaps even a net financial cost associated with the

implementation of CNS/ATM systems. Any such net benefit

or net cost experienced by a service provider should be

Figure I-13-1. Overview of the net present

value (NPV) approach

TRAFFIC DEMAND, BY YEAR

CNS/ATM COSTS, BY YEAR

equipment

purchase of services

training

CNS/ATM BENEFITS, BY YEAR

avoided costs of present technology

savings to aircraft operators

passenger timesavings

NET BENEFITS, BY YEAR

NET PRESENT VALUE

Part I. Operational Concept and General Planning Principles

Chapter 13. Cost-Benefit and Economic Impacts I-13-3

accompanied by adjustments to air navigation charges so

that the organization earns a reasonable return on capital

invested. It is expected that the cost-benefit analysis for the

airlines should produce a large positive NPV, depending on

regions and traffic characteristics. Even if some of this net

benefit was needed to compensate the service provider,

through increased en-route charges, there should normally

be an overall surplus.

13.9 The resulting effect on the airlines’ net financial

benefit attributable to implementation of CNS/ATM systems

in a region or State must be examined. Figure I-13-2

illustrates the three options for using these benefits: by

compensating the service providers, if necessary, improving

airlines’ financial performance or reducing fares and rates.

13.10 Competitive market forces should ensure that

the airlines’ net benefit, which remains after compensating

the service providers, will be passed on by the airlines to

the passengers, both local residents and visitors, and freight

shippers, including exporters and importers, in the form of

lower fares and rates, in real terms. This represents the

main contribution of CNS/ATM systems to the economy of

States. In due course, lower fares should increase the

demand for air travel and tourism, and lower freight rates

should improve the cost structure of companies and

increase trade. The benefits associated with this extra

demand are expected to be much smaller than the benefits

received by the existing air traffic and are more difficult to

measure.

RISKS FOR STATES

13.11 There could be a financial risk for some States

associated with the diversion from their airspace of inter-

national overflight traffic as a result of the regional

implementation of CNS/ATM systems. From a regional

perspective, a redistribution of traffic flows associated with

CNS/ATM systems should contribute to the overall econ-

omic benefit of the new systems. However, from the

perspective of a single State, the impact of the redistri-

bution could be quite complex, with either positive or

negative consequences. For example, if the geographic

pattern of the traffic were such that the realignment of flight

paths reduced the traffic in the State’s airspace, the State

would have access to less revenue. The loss of revenue

might be even greater if the State did not convert to the new

systems.

13.12 The prospect of new flight patterns emphasizes

the importance of international cooperation, not only for

implementing the most efficient routes, but also for

achieving an acceptable distribution of benefits and for

reducing the financial risks faced by individual States.

Cost-benefit studies for regional State groupings have an

important role in the regional planning of CNS/ATM sys-

tems. The net economic impact may be more accurately

measured at the regional or subregional level, since it is at

this level, rather than at the State level, that some of the

costs will be incurred, and the benefits received. Because of

the long time frame of the studies, it may also be necessary

to update the validation, for example after five years of

operation of the new systems.

Business case evaluation

13.13 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.

13.14 For a service provider, a business case evalu-

ation must include the impact on revenues of changes in

route charges associated with the implementation of

CNS/ATM systems. Assuming that the ATM service

provider is an autonomous organization operating on a

commercial basis and is currently covering its costs with

the present technology systems, the basic issue is for the

service provider to be satisfied that the changes in revenues

expected from the planned changes to en-route charges will

match the net change in costs, measured by the cost-benefit

analysis. However, if the relationship between costs and

revenues is not being monitored (e.g. if costs are met from

the government budget and revenues are treated indepen-

dently as general government revenues), then the ATM

services are not being provided on a commercial basis.

Even in these circumstances it is recommended that a busi-

ness case evaluation be conducted to assess the financial

impact of the new systems on the service provider.

13.15 For an airline, a business case evaluation would

include, among other factors, assumptions about the impact

on its costs of expected changes in route charges and the

impact on revenues of changes in airline fares and rates,

where these changes are associated with the implemen-

tation of CNS/ATM systems. These impacts are in addition

to the direct investment costs and operating cost savings

I-13-4 Global Air Navigation Plan for CNS/ATM Systems

attributable to the new systems and identified in the cost-

benefit analysis described above. The impact of route

charges will depend on the outcome of the policies and

evaluations of the service providers. Assumptions about

fares and rates will reflect competitive pressures in air

travel and freight markets.

Other economic effects of

CNS/ATM systems implementation

13.16 States may be interested in the broader

economic and social impact of CNS/ATM systems as well

as the financial viability of the new systems. For example,

implementation of the new systems should produce pas-

senger timesavings, improve safety, produce environmental

benefits and may also lead to some industry restructuring

and changes in skills required.

13.17 CNS improvements, which produce benefits for

ATM such as more direct flight paths and less delay from

airspace congestion, will reduce the passenger travel time

for a given journey. If passengers value these timesavings,

they represent an additional benefit. The evaluation of this

benefit is discussed in Circular 257.

13.18 CNS/ATM systems are expected to bring

environmental benefits because of reductions of nitrous

oxide and carbon emissions through more direct routing of

aircraft. These benefits will accrue to the global community

in general and are not limited to participants in the air

transport industry. Recognition of these benefits provides a

reason for subsidizing investment in CNS/ATM systems.

The increase in automation of ATM, the withdrawal of

some ground-based navigation aids, and the possible relo-

cation of some ATM facilities to fewer centralized locations

should result in labour productivity improvements, and

hence reductions in unit costs, over the long term. The

labour released by this process should, in most regions, be

absorbed by the requirement to service expanded traffic

volumes generated by general economic growth. However,

there may be situations where some redeployment of staff

to other economic sectors is necessary, with further

economic and social consequences.

13.19 The reduced costs and lower price of air

transport made possible by CNS/ATM systems, and the

resulting increased air traffic demand, could increase the

viability of investment in activities closely related to air

transport, not only accommodation and tourism, but also

those manufacturing and agricultural industries which ship

materials and products by air. These indirect benefits are

part of a dynamic process of economic growth and should

not be attributed entirely to CNS/ATM systems. They will

only be fully exploited provided the complementary

investment in the associated industries is undertaken. The

various economic effects are highlighted in Figure I-13-3.

13.20 An understanding of the contribution of air

transport to general economic activity can increase the

political commitment to the process of transition to

CNS/ATM systems. National accounting and industry data

and employment surveys may be used to determine the

share of air transport in total economic activity and its

importance as an employer. The input/output tables of a

State’s national accounts can illustrate the interrelationships

among the various elements of the air transport industry

and other industries and economic sectors. Other industries

purchase air transport services or supply products and

services to the air transport industry. From a national or

regional economic planning perspective, it is especially

important to appreciate the role of air transport in generat-

ing employment and incomes and in supporting other non-

aviation economic activities. This will put into perspective

the value of supporting and investing in state-of-the-art

national and regional air transport facilities.

Figure I-13-2. Distribution of airlines’ net benefits

Airlines’ net

benefits

Compensate

service provider

Improve financial

performance

Lower fares

and rates

Part I. Operational Concept and General Planning Principles

Chapter 13. Cost-Benefit and Economic Impacts I-13-5

Figure I-13-3. Summary of economic effects of CNS/ATM

ECONOMIC EFFECTS

• Financial benefits and lower fares and rates

• Improved safety

• Passenger timesavings

• Environmental benefits

• Transfer of high-tech skills

• Productivity improvements and industry restructuring

• Higher traffic and stimulation of related industries

I-14-1

Chapter 14

FINANCIAL ASPECTS

INTRODUCTION

14.1 Financing CNS/ATM systems elements, in par-

ticular at the national level, would normally be approached

in a manner similar to that applied to conventional air

navigation systems. However, a characteristic of most

CNS/ATM systems elements that differentiates these

systems from most conventional air navigation systems is

their multinational dimension. Consequently, and because

of the magnitude of the investments involved, financing of

basic systems elements may, in many cases, need to be a

joint venture by the States involved at the regional or global

level.

COST-RECOVERY

ICAO policy

14.2 Whatever approach is taken by a State or group

of States collectively to provide CNS/ATM systems

services within the airspace for which responsibility has

been assumed, the resultant cost-recovery through charges

must be in conformity with basic ICAO airport and air

navigation services cost-recovery policy. This policy is

contained in Article 15 of the Convention on International

Civil Aviation (Chicago Convention) and is supplemented

by ICAO’s Policies on Charges for Airports and Air

Navigation Services* (Doc 9082). The implementation of

CNS/ATM systems should not require any basic changes to

that policy.

14.3 The Statement of ICAO Policy on CNS/ATM

Systems Implementation and Operation, approved by the

ICAO Council in March 1994, addresses cost-recovery as

follows:

“In order to achieve a reasonable cost allocation

between all users, any recovery of costs incurred in

the provision of CNS/ATM services shall be in

accordance with Article 15 of the Convention and

shall be based on the principles set forth in the

Statements by the Council to Contracting States on

Charges for Airports and Air Navigation Services**

(Doc 9082), including the principle that it shall

neither inhibit nor discourage the use of the

satellite-based safety services. Cooperation among

States in their cost-recovery efforts is strongly

recommended.”

14.4 In ICAO’s policies set out in Doc 9082, the

following four general principles should particularly be

noted with regard to CNS/ATM systems:

a) in paragraph 36, “. . . as a general principle, where

air navigation services are provided for international

use, the providers may require the users to pay their

share of the related costs; at the same time,

international civil aviation should not be asked to

meet costs that are not properly allocable to it . . .”;

b) paragraph 38 i), “The cost to be shared is the full

cost of providing the air navigation services,

including appropriate amounts for cost of capital

REFERENCES

ICAO’s Policies on Charges for Airports and Air

Navigation Services (Doc 9082)

Manual on Air Navigation Services Economics

(Doc 9161)

Report on Financial and Related Organizational and

Managerial Aspects of Global Navigation

Satellite System (GNSS) Provision and Operation

(Doc 9660)

Manual on Air Traffic Forecasting (Doc 8991)

* Replacing Statements by the Council to Contracting States on

Charges for Airports and Air Navigation Services.

** Since retitled ICAO’s Policies on Charges for Airports and

Air Navigation Services (Doc 9082/6).

I-14-2 Global Air Navigation Plan for CNS/ATM Systems

and depreciation of assets, as well as the costs of

maintenance, operation, management and admini-

stration.”;

c) in paragraph 38 ii), “The costs to be taken into

account should be those assessed in relation to the

facilities and services, including satellite services,

provided for and implemented under the ICAO

Regional Air Navigation Plan(s) . . .”; and

d) in paragraph 47, “. . . the providers of air navigation

services for international use may require all users

to pay their share of the cost of providing them

regardless of whether or not the utilization takes

place over the territory of the provider State.”

14.5 Particular attention also needs to be given to the

following principle in paragraph 41 iii) of Doc 9082:

“Charges should be determined on the basis of

sound accounting principles and may reflect, as

required, other economic principles, provided that

these are in conformity with Article 15 of the

Convention on International Civil Aviation and

other principles in this document.”

The application of economic principles to setting charges

which are consistent with ICAO’s policy should emphasize

the need to recover costs in an efficient and equitable

manner from the users of air navigation services. Within an

economic context, charges should be set to recover costs,

provide a reasonable return on investment where appropriate

and provide additional capacity when justified.

14.6 In a situation where system operation takes place

outside the service provider State, that State nevertheless

must approve the use of the service within the airspace for

which it has accepted responsibility. It also must ensure and

stipulate that the service meets ICAO requirements.

Furthermore, if services are charged for, the charging

practices must be established in accordance with ICAO

recommended cost-recovery policy and practices.

14.7 In a recent review of ICAO cost recovery policy,

pre-funding of projects was given extensive consideration

and the following policy guidance was added in para-

graph 42 of Doc 9082:

“. . . notwithstanding the principles of cost-

relatedness for charges and of the protection of users

from being charged for facilities that do not exist or

are not provided (currently or in the future) that, after

having allowed for possible contributions from

non-aeronautical revenues, pre-funding of projects

may be accepted in specific circumstances where this

is the most appropriate means of financing long-term,

large-scale investment, provided that strict safeguards

are in place, including the following:

i) Effective and transparent economic regulation

of user charges and the related provision of

services, including performance auditing and

“bench-marking” (comparison of productivity

criteria against other similar enterprises).

ii) Comprehensive and transparent accounting, with

assurances that all aviation user charges are, and

will remain, earmarked for civil aviation services

or projects.

iii) Advance, transparent and substantive consul-

tation by providers and, to the greatest extent

possible, agreement with users regarding sig-

nificant projects.

iv) Application for a limited period of time, with

users benefitting from lower charges and from

smoother transition in changes to charges than

would otherwise have been the case once new

facilities or infrastructure are in place.”

Cost determination

Relevance of ICAO regional air navigation plans

in the context of CNS/ATM cost-recovery

14.8 As stated above, charges for CNS/ATM systems

services should not be imposed unless these services are

actually being provided according to the regional ANPs

concerned. Consequently, it is important that regional plans

be promptly amended to incorporate the relevant CNS/ATM

system element(s) once the States involved have agreed that

the element(s) should form part of the plan or plans

concerned.

14.9 Moreover, the regional ANPs should provide a

schedule for the phase-out of facilities made redundant by

the provision of CNS/ATM systems services. This is also of

major importance because significant financial benefits from

CNS/ATM systems implementation will not be realized if

the facilities and services made redundant, continue to be

listed in the regional plans and charged for.

14.10 As CNS/ATM systems components are im-

plemented, States should add the associated costs to their

Part I. Operational Concept and General Planning Principles

Chapter 14. Financial Aspects I-14-3

cost base for air navigation services charges. States sharing

the costs of a multinational air navigation facility or service

may include the costs involved in its cost base for charges.

CNS/ATM system trials and major research and develop-

ment work may be included as part of the capital invest-

ment, the subsequent annual depreciation of which could

then be included in the cost base for air navigation services

charges.

Determining CNS/ATM systems costs

14.11 The CNS/ATM systems services costs attribu-

table to en-route utilization could be included, together

with other air navigation services costs allocable to

en-route utilization, in the cost basis for, and recovered

through, route air navigation services charges levied by the

State concerned. However, as noted in Chapter 12, 12.16,

implementation of CNS/ATM systems offers the cost

saving potential of merging many FIRs and corres-

pondingly reducing the number of ATC facilities. Never-

theless, even without an en-route ATC facility such as an

ACC, a State would still need to incur costs associated with

providing CNS/ATM systems services as well as other air

navigation services to traffic during the en-route phase of

flight, e.g. costs associated with participation in and/or

provision of GNSS augmentation, provision of AFS links

with one or more ATC facilities, MET services, etc.

Recovery of these costs would require cooperation or

agreement between the State concerned and the entity oper-

ating the facility serving traffic in the expanded ATM area

wherein the State concerned would be located. The purpose

of such an approach would be for route air navigation

services costs to be included as an identifiable element in

the cost basis for, and recovered through, the charges levied

by the facility serving the expanded ATM area. The charges

share represented by these costs would then be transferred

to the State upon payment by the users.

14.12 The costs of air navigation services provided

during the approach and aerodrome control phase of air-

craft operations should be identified separately and could

either be included in any approach and aerodrome control

charges that might be levied on traffic at the airports con-

cerned or, alternatively, could be included in approach

and/or aerodrome control costs that would be charged by

the ATM provider to any of these airports. In the latter

instance, each airport could then include those costs, to-

gether with other air navigation services costs, in the cost

basis, and recover them through landing or similar charges.

14.13 From an organizational viewpoint, it is

important, with regard to cost-recovery, that where air

navigation services costs are to be recovered, the State

concerned should assign, to one entity, the responsibility

for ensuring that the costs attributable to the provision of air

navigation services by the different entities in the State are

included in the cost basis for any cost-recovery programme

or mechanism.

Allocation of CNS/ATM systems (GNSS) costs

to other than civil aviation users

14.14 Civil aviation users constitute a minor share of

navigation satellite users. More important than the magni-

tude of civil aviation’s usage in relative terms is that the

users should not pay for more than their fair share of the

costs of GNSS provision. Allocation of costs for systems

augmentation or other costs of GNSS service provision

attributable to users other than civil aviation, as well as civil

aviation, should therefore precede any cost-recovery from

civil aviation.

Allocation of CNS/ATM systems costs attributable

to civil aviation among user States

14.15 Costs, in the form of payments made by a State

to a service provider offering CNS/ATM systems services

to several States, will need to be allocated amongst the

different CNS/ATM systems user States involved. That, in

turn, will require an agreement between the parties con-

cerned as to how such an allocation should proceed.

Assuming a uniform level of service, such allocation could

be based on either distance flown or the number of flights

in the airspace for which each State has accepted re-

sponsibility. Both are viable options. Distance flown would

offer more precision while using number of flights as the

basis would be simpler to administer.

Allocation at the State level of CNS/ATM systems

costs attributable to civil aviation

14.16 Once the costs attributable to civil aviation have

been determined and cost-recovery from users is to be

pursued, consideration will need to be given to the

allocation of these costs between en-route, approach and

aerodrome control utilization. This in turn will determine

the extent to which route air navigation services charges, as

opposed to approach and aerodrome control charges, will

be affected. To ignore this issue when users are to be

charged directly would distort the principle of equity in

charging, since overflying traffic could be subsidizing

landing traffic or vice versa, depending on the accuracy of

the cost allocation.

I-14-4 Global Air Navigation Plan for CNS/ATM Systems

Cost-recovery during development

and implementation

14.17 One particular issue that needs to be addressed

in the implementation of CNS/ATM systems is the treat-

ment of costs and cost-recovery during the three stages of

systems implementation, i.e. development, transition and

CNS/ATM systems as the only systems. Paragraph 3.8 of

the Report on Financial and Related Organizational and

Managerial Aspects of Global Navigation Satellite System

(GNSS) Provision and Operation (Doc 9660) addresses this

particular issue in the specific context of GNSS.

14.18 The implementation of CNS/ATM systems

elements will, in many cases, lead to the retirement of

existing ground-based facilities before the end of their

economic life. In such circumstances, the balance of the

undepreciated portion of the facilities concerned could be

included in the cost basis for charges. The same procedure

could apply to such costs that may be incurred because of

premature retirement or training of personnel made redun-

dant by the implementation of the new systems. Such costs,

however, should be limited to termination settlements, costs

attributable to early retirement and costs of retraining

and/or relocation. These costs could be capitalized and

thereafter written off gradually, with the portion written off

each year being included in the cost basis for air navigation

service charges. These factors would need to be taken into

account in any related cost-benefit analysis or business case

study.

Compensation where revenues from

redundant facilities exceed costs

14.19 As a result of CNS/ATM systems implemen-

tation, some States may experience a net loss in revenue.

Compensation for loss of what is in essence profits should

be viewed with extreme caution, considering that there are

the broader socio-economic benefits generated by opening

up new or improved air services. Moreover, such com-

pensation, if included in the cost basis for charges, could in

fact be considered a royalty payment, which would be

contrary to the intent expressed in Article 15 of the Chicago

Convention.

Consultation with users

14.20 Particular attention should be drawn to

Doc 9082, paragraphs 49 to 51, and the emphasis placed on

consultation with users regarding increased or new air

navigation services charges; and also on users being

consulted as early as possible when major air navigation

services are being planned. This would call for such

consultations to be carried out when plans are being

developed for the implementation of CNS/ATM systems

elements, whether at the global, regional or national level.

FINANCING

General

14.21 The basic steps of financing include air traffic

forecasts, a financial and economic analysis, a financing

plan and sources of financing (see Figure I-14-1).

14.22 Direct financing of many basic components

may not involve aviation at all, particularly where aviation

is only a relatively minor, even if important, user of a

particular system, e.g. satellite navigation. In such situ-

ations, financing may be arranged by the system operator

with aeronautical users paying for access through leases or

charges, which would include an element to recover the

costs of financing and repayment of capital.

Air traffic forecasts

14.23 Sound traffic forecasts are essential to any air

navigation services infrastructure development project and

its financing. The main purpose of such forecasts is to

identify traffic developments and to establish the associated

capacity requirements of the air navigation facility or

service involved. These forecasts are also important for

carrying out financial and economic analyses and for

preparing revenue estimates from charges on air traffic. For

guidance on the preparation of traffic forecasts, reference is

made to the Manual on Air Traffic Forecasting (Doc 8991).

Financial and economic analysis

14.24 Every major investment decision taken by a

service provider should be supported by analyses to

demonstrate costs and benefits to service providers, users

and, as appropriate, the wider community. Such analyses

are important when choosing between options for the

implementation of CNS/ATM systems and when seeking

government or private financing. Three types of analyses

may be of interest:

1) cost-benefit analysis to demonstrate financial via-

bility and to identify the investment option that best

Part I. Operational Concept and General Planning Principles

Chapter 14. Financial Aspects I-14-5

conforms with the economic goal of maximizing

net benefits; and/or

2) business case study (financial evaluation) which

deals with the direct costs, revenues and sources of

funds and focuses on financial accounts and cash

flows to demonstrate to a service provider of capital

funds that loan obligations can be served;

3) economic impact study to assess the contribution

of air navigation services to the economy.

Note.— Financial and economic analysis are discussed

in more detail in Part I, Chapter 13.

Financing plan

14.25 The purpose of the financing plan is to provide

basic information as follows:

a) estimates of the element costs (labour, materials,

equipment, etc.) of each distinct part of the overall

project;

b) the funds required to make disbursements at various

stages in the project’s progress;

c) the currencies in which payments are to be made;

and

d) the sources from which the funds are to be forth-

coming, whether from:

1) sources generated by the entity providing air

navigation services from its operations, which

would primarily include user charges, and

possibly retained earnings, but could in some

circumstances also include contractual pay-

ments; or

2) other sources, including information on the

applicable conditions, i.e. interest rate, repay-

ment period, etc.

14.26 Also to be emphasized is the importance of the

availability of data showing the financial situation of the air

navigation services provider over recent years, as well as

anticipated developments over the period of debt repay-

ment. Of particular relevance is the recording of revenues

Figure I-14-1. The basic steps of financing

1. Air traffic forecasts

2. Financial and economic

analysis

3. Financing plan

4. Sources of financing

I-14-6 Global Air Navigation Plan for CNS/ATM Systems

and expenses by major item. Estimates regarding future

financial developments would emanate from budgets and

longer-term financial plans. In the absence of such financial

data, it would be much more difficult to decide whether or

not the loan or financing sought should be granted and, if

so, what terms should be offered.

Sources of financing

General

14.27 A survey of potential sources of funds and

which of them to approach should be done as early as

possible in the planning process. Potential sources of funds

will vary considerably from project to project and State to

State. The sources to be approached should be studied and

decided upon individually for each project and could be

grouped as follows: direct contributions from govern-

ment(s); loans or debt financing; internally generated

resources; equity financing; and leasing (see Figure I-14-2).

Direct contributions from governments

14.28 The extent to which direct contributions will be

required from the government depends on a number of

factors. Chief among these is the organizational form under

which CNS/ATM systems services will be provided, i.e.

will the government be directly involved, either alone, or in

a joint effort with other governments, or will it primarily

involve a commercial corporation? Another factor is the

type of CNS/ATM systems component involved, e.g. is

funding being required for satellite elements or “national”

ground-based facilities? Yet another factor is whether the

traffic volume within the airspace concerned is sufficient to

support the CNS/ATM systems component in financial

terms, including servicing debt. If such traffic is not

sufficient, as in a situation where, for example, a local

augmentation unit would service one or more airports with

very limited traffic, direct contributions from the govern-

ment may be the only realistic alternative.

14.29 For most States, particularly developing States,

the foreign sources of financing are principally government-

operated. Such foreign financing may be available from

foreign governments in the form of loans negotiated directly

with the government of the recipient country, or may other-

wise be facilitated by particular agencies of government,

which have been established for the primary purpose of

promoting the nation’s export trade. Of particular impor-

tance among the possible sources of foreign financing

available to developing States are the international banks

and funds that have been established to assist in the

financing and execution of projects promoting national

economic development.

14.30 Project costs payable in foreign funds constitute

a demand on the State’s reserves of foreign exchange and

as such their financing will usually have to be arranged

through or with the approval of the appropriate government

authorities. Nevertheless, foreign sources should always be

Figure I-14-2. Sources of financing

Sources of financing

Direct from

governments

Debt

financing

Internally

generated

resources

Equity

financing

Leasing

Part I. Operational Concept and General Planning Principles

Chapter 14. Financial Aspects I-14-7

explored as a matter of course, since financing may be

available from them on more favourable terms than those

obtainable from domestic institutions (e.g. lower interest

rate, repayment over a longer period, etc.). However, there

are also some risks involved in foreign exchange, such as

currency fluctuations.

Debt financing

14.31 The feasibility of debt financing will depend on

whether the traffic to be served by the CNS/ATM systems

component to be financed is of sufficient volume and

strength to service the debt, including interest and repayment

of capital. Where an international agency or corporate-type

entity would be providing basic CNS/ATM systems services,

its costs of financing could be reduced if the States for which

the basic services are being provided were to guarantee the

servicing and repayment of the loans concerned. This in turn

should reduce the costs to be recovered from these user

States.

Internally generated resources

14.32 Depreciation and retained profits from the

operation of air navigation services may become a sup-

plementary source of financing for CNS/ATM systems

facilities. However, with regard to profits, an important

qualification that needs to be recalled is the principle

outlined in Doc 9082, paragraph 38:

“Air navigation services may produce sufficient

revenues to exceed all direct and indirect operating

costs and so provide for a return on assets (before

tax and cost of capital) to contribute towards

necessary capital improvements.”

Reference should also be made to the text on pre-funding of

projects in 14.7 above.

Equity financing

14.33 Equity financing may be a viable alternative in

some instances. For example, if a CNS/ATM systems

component’s services were acquired under contract from a

commercial service provider, that operator could finance

the investment required partially or completely through

increased equity.

Leasing

14.34 Leasing rather than outright ownership could

become an important alternative in CNS/ATM systems

component provision. This could apply, for example, with

regard to GNSS integrity monitoring and wide-area aug-

mentation systems, where access may be effected in a less

time- and capital-consuming manner than if the State(s)

concerned were to operate these facilities itself (them-

selves). The possibility could also be explored of applying

leasing to local area augmentation units, possibly through

the establishment of leasing companies, which would oper-

ate in a manner similar to those purchasing and leasing out,

for example, computer systems, communications systems

and/or aircraft under long-term leases.

I-15-1

Chapter 15

ASSISTANCE REQUIREMENTS AND

TECHNICAL COOPERATION

INTRODUCTION

15.1 Planning and implementation of CNS/ATM

systems requires cooperation among all partners that have

a stake in its successful implementation. Assistance

requirements of developing States in particular, need to be

addressed. Technical and financial cooperation of the

aviation and development financing communities will be

required worldwide with the coordination of ICAO to

ensure harmony and safety.

15.2 ICAO has established the ICAO Objectives

Implementation Mechanism, inter alia, to foster early and

harmonious implementation of CNS/ATM systems and to

create an avenue for the planning and implementation of

CNS/ATM systems-related projects, for the ultimate benefit

of the recipient States and the users of the system.

ASSISTANCE REQUIREMENTS OF

DEVELOPING ICAO CONTRACTING STATES

FOR CNS/ATM PLANNING AND

IMPLEMENTATION

Summary of ICAO surveys

15.3 On behalf of the CNS/ATM Systems Implemen-

tation Task Force (CASITAF), which was comprised of rep-

resentatives from a wide range of States, international

organizations, industry and observers, convened by ICAO

in 1994, the Technical Co-operation Bureau (TCB) of

ICAO conducted an initial survey of States’ requirements

for assistance in CNS/ATM planning and implementation,

through a questionnaire involving seven ICAO Regional

Offices. The replies to that questionnaire indicated a sub-

stantial need for assistance and a preference for this

assistance to be provided through ICAO. Having considered

the results of the survey, and to ensure harmonization of

implementation and early benefits to users, CASITAF rec-

ommended that where assistance was required it should be

provided through ICAO.

15.4 The results of this survey were presented to the

ALLPIRG/Advisory Group, which is comprised of rep-

resentatives of the planning and implementation regional

groups (PIRGs), ICAO regional offices, international

organizations, industry and observers, at a meeting con-

vened by ICAO in April 1997. Another survey was carried

out by ICAO in the first half of 1997 to update and further

define the assistance requirements of the developing ICAO

Contracting States for CNS/ATM systems planning and

implementation. A breakdown of the results of the survey

into areas of assistance requirements and sources of assist-

ance is provided in Appendices A and B to this chapter,

respectively.

15.5 The results of the 1994 and 1997 ICAO surveys

and experience gained through initial ICAO technical

cooperation projects on the subject (described below)

confirm that, while some States will be in a position to

develop their national CNS/ATM systems plan and im-

plement it using their own resources, the majority of States

require external assistance. The surveys demonstrated that

developing States mainly require assistance with:

— needs assessments and project development;

— donor mobilization and financing arrangements;

— familiarization/specialized seminars and workshops;

— transition planning including cost-benefit and cost-

recovery analyses;

REFERENCES

ICAO Strategic Action Plan

Statement of ICAO Policy on CNS/ATM Systems

Implementation and Operation, ICAO Council, 1994

Criteria Governing the Provision of Technical Co-

operation, ICAO Council 1984

I-15-2 Global Air Navigation Plan for CNS/ATM Systems

— systems planning, specification, systems procure-

ment, installation, commissioning; and

— human resource planning and development.

15.6 The 1997 survey in particular provided an over-

view of the needs of developing States in the various PIRGs,

listed by areas of major assistance requirements (see

Appendix A to this chapter). Out of a total of 79 responses

received from developing States, 68 indicated that they were

in need of external assistance for CNS/ATM systems

planning and implementation in one or more areas listed

above. Furthermore, about 80 percent of the responses stated

a need for external assistance across the whole spectrum, i.e.

from a formal needs assessment survey, through implemen-

tation planning, including cost-benefit analysis and systems

procurement, to human resources planning and develop-

ment. Satisfying this need of developing States, not only

with regard to transfer of know-how but also for external

financing, is a major task for the international community.

This task requires urgent attention if globally harmonized

implementation of CNS/ATM systems is to be achieved and

early benefits are to be realized by users.

Sources of assistance and funding

15.7 The results of the 1997 survey also demonstrated

the desire of the majority of developing States to obtain

external technical assistance from ICAO for CNS/ATM

systems planning and implementation (see Appendix B to

this chapter). Out of the 68 responses received from

developing and least developed States, 83 per cent of

developing States and 97 per cent of least developed States

replied that they rely on ICAO to provide external

assistance, while 49 per cent of developing States and

48 per cent of least developed States also indicated the need

for assistance in specific areas, from other external sources.

15.8 To meet the needs of developing States for exter-

nal assistance and funding through or from ICAO, funding

will have to be made available by the international develop-

ment financing community.

15.9 It is anticipated that bilateral assistance, whether

through grants or loan arrangements, will be increasingly

made available to developing States requiring major

upgrading of civil aviation equipment. Transfer of know-

how through specialized expertise in CNS/ATM systems

planning and, in particular, human resource development,

will require the involvement of the aviation industry and the

development and financing communities, particularly

multilateral donors. Whereas interregional planning efforts,

including accompanying training, would be more suitable

for financial support from global development financing

partners, such as certain Bretton Woods organizations;

international organizations and associations; industry and

service providers as representative partners and regional

development banks, these may be joined by subregional

associations and States for regional, subregional and national

planning and implementation of CNS/ATM systems.

ICAO OBJECTIVES

IMPLEMENTATION MECHANISM

15.10 The following paragraphs describe the ICAO

mechanism established to assist, inter alia, in coordinating

the provision of assistance in CNS/ATM systems planning

and implementation, in which the above-mentioned develop-

ment partners, as well as States themselves, may find a

suitable channel to provide the necessary support.

Establishment

15.11 The ICAO Objectives Implementation Mech-

anism was established by the ICAO Assembly in 1995. The

Assembly endorsed a new policy on ICAO technical

cooperation, which included the establishment of a funding

mechanism, as well as the objectives of the new policy

emphasizing global implementation of SARPs and ANPs,

including, in particular, CNS/ATM. The Assembly

encouraged Contracting States “to make use of the Tech-

nical Co-operation Programme of ICAO and to contribute

to this new funding mechanism, aimed at consolidating all

other funding arrangements”. The first meeting of the

ALLPIRG/Advisory Group, held in April 1997, concluded

that ALLPIRG members, in order to ensure timely and

coordinated implementation of CNS/ATM systems, should

support ICAO and States in mobilizing funds for the ICAO

Objectives Implementation Mechanism of the ICAO

Technical Co-operation Programme in line with Assembly

resolutions. The Technical Co-operation Programme is

described in 15.16 to 15.20.

Objectives

15.12 The aims of the ICAO Objectives Implemen-

tation Mechanism are to provide additional resources to

ICAO for following up on ICAO’s Regular Programme

activities; resources which could be applied to technical

cooperation projects identified as required to support the

implementation of SARPs and the facilities and services

listed in the ANPs. The mechanism is strategically linked to

ICAO’s plans for the implementation of CNS/ATM systems.

Part I. Operational Concept and General Planning Principles

Chapter 15. Assistance Requirements and Technical Cooperation I-15-3

It stimulates ICAO’s action for initiating projects required

for the development of international civil aviation.

15.13 The mechanism gives priority and support to

technical cooperation activities in the field of SARPs and

ANPs implementation, CNS/ATM, safety oversight, avi-

ation security, civil aviation master planning, restructuring

of civil aviation departments/authorities and human resource

development.

Contributions to the mechanism

15.14 The ICAO Objectives Implementation Mech-

anism includes a variety of funding modalities to suit

particular donors’ needs and provides a framework for

flexible arrangements for the implementation of projects.

Donations are also welcome in the form of voluntary

contributions in kind, such as scholarships, fellowships,

training equipment and funds for training, from States and

other public or private sources.

15.15 Funding and operation of the mechanism has

been established, separately or in combination with each

other, in accordance with the following methods:

a) General fund. States or donors deposit funds in a

special account established for the mechanism.

These funds are used exclusively for the implemen-

tation of technical cooperation projects approved by

ICAO. The funds are not to be tied to projects for

any special area or purpose nor are they to be used

for the purchase of equipment in the donor country

or employment of its nationals, etc.

b) Specific ICAO project. States or donors indicate

their willingness to participate in the mechanism

and give an indication of the amount they expect to

donate for the year. Periodically during the year,

ICAO circulates descriptions of projects requiring

financing and States or donors indicate their will-

ingness to finance all or part of a particular project.

On advice from ICAO of the intent to proceed with

a project, the funds are deposited in the account

established for that project.

c) Specific State project. States or donors advise

ICAO of their desire to see a particular improvement

or development implemented and their willingness

to finance the project under the mechanism for tech-

nical cooperation. ICAO costs the project and

submits a preliminary budget to the States or donors.

On approval of the preliminary budget, a full project

document is developed for signature by the recipient

State, the donor and ICAO. The necessary funds are

then deposited with ICAO in an account established

for that project.

d) General but identified issue. A variation of the

method outlined in c) is for a State or donor to

make funds available for a particular issue, but to

leave it to ICAO to decide how the funds are to be

spent. For example, funds may be used for fellow-

ships or for advancing some specific technical

matter, such as CNS/ATM.

ICAO TECHNICAL COOPERATION IN

CNS/ATM IMPLEMENTATION

Mandate, objectives and role

15.16 ICAO offers technical cooperation in the civil

aviation field through its Technical Co-operation Bureau

(TCB), which was created in 1952. TCB carries out projects

funded by developing States themselves or by various

bilateral and multilateral funding institutions, including

UNDP.

15.17 The Criteria Governing the Provision of Tech-

nical Co-operation, approved by the ICAO Council in 1984,

define the objectives of ICAO technical cooperation as

follows:

“ICAO will cooperate with Governments in

providing assistance to civil aviation development in

any sector, international or domestic, when such

development will promote the economic and/or

social growth of the country concerned, or will

enhance the safety and efficiency of civil aviation

and implementation of the Regional Air Navigation

Plan.”

15.18 More specifically, with regard to CNS/ATM, in

1994 the ICAO Council “recognized, in the interest of

globally coordinated, harmonious implementation and early

realization of benefits to States, users and providers of

services, the need for technical cooperation in the

implementation and efficient operation of CNS/ATM

systems.” It decided that:

“Towards this end, ICAO shall play its central role

in coordinating technical cooperation arrangements

for CNS/ATM systems implementation. ICAO also

invites States in a position to do so to provide

assistance with respect to technical, financial,

I-15-4 Global Air Navigation Plan for CNS/ATM Systems

managerial, legal and cooperative aspects of

implementation . . . In addition, ICAO shall facili-

tate the provision of assistance to States with regard

to the technical, financial, managerial, legal and

cooperative aspects of implementation.”

15.19 The Council, in defining the ICAO policy on

CNS/ATM systems implementation, stressed the need for

the ICAO Technical Co-operation Programme to assist

States in the transition to CNS/ATM systems and stated

“that, on a priority basis, ICAO undertake to take action to

encourage multilateral and bilateral agreements and/or to

secure the necessary funds to support technical cooperation

programmes . . ., and encourage States and stakeholders to

provide staff or other resources to support ICAO free of

charge . . .”

15.20 The Technical Co-operation Programme is

implemented through projects that typically provide assist-

ance to the recipient administration through three means:

experts are assigned, either individually or through sub-

contracted consultant firms, to provide technical advice and

transfer of know-how; national staff are trained abroad

through the award of fellowship training programmes;

equipment is procured, installed and commissioned.

Special features of

ICAO Technical Cooperation

Recipient States of technical cooperation

15.21 The ICAO Assembly has urged “Contracting

States to give high priority to civil aviation development

and, when seeking external assistance for this purpose, to

stipulate to funding organizations, through an appropriate

level of government, that they wish ICAO to be associated

as the executing agency with civil aviation projects that

may be funded.”

15.22 Based on ICAO’s status as a United Nations

Specialized Agency, certain important privileges may be

applicable to civil aviation authorities purchasing equip-

ment through ICAO, in accordance with the UNDP

Standard Basic Assistance Agreement, in place in most

recipient States where funding is provided under a UNDP

project.

15.23 Governments with insufficient financial re-

sources may be assisted by ICAO in identifying suitable

donors for their projects and in the negotiations with these

donors of convenient funding arrangements, which could

include loans taken to finance technical cooperation inputs.

This is consistent with the established ICAO policy that the

costs for improvements in civil aviation services and

facilities in developing States, which benefit first the users

of these facilities, can be included in the cost basis for

charges after implementation has been completed. Conse-

quently, user charges can be applied to service loans (i.e. to

repay capital and interest) which finance specific facilities

and services provided for, and implemented under, the

ICAO regional air navigation plans.

Donors and funding organizations

15.24 The ICAO Assembly has recommended

“Contracting States with bilateral or other government-

sponsored aid programmes to consider the value of using

the ICAO Technical Assistance organization in helping to

implement their programmes of assistance to civil

aviation”. It also “recommends to these funding organiz-

ations, wherever appropriate, to give preference to ICAO

for the identification, formulation, analysis, implementation

and evaluation of civil aviation projects in the field of

technical assistance.”

15.25 ICAO can assist governments in the selection of

equipment, equipment manufacturers (through international

tender calls), individual consultants and consultancy

companies as well as existing training establishments, to

meet project goals in the most cost-effective manner. In this

respect, ICAO’s neutrality allows for the selection of

suppliers on a worldwide basis, where required.

15.26 Unless donors and funding organizations

specifically ask ICAO not to do so, recipient countries will

be informed about the funding sources in order to achieve

visibility for the donor/funding organization. Furthermore,

contributions received may, in particular cases, be published

in the ICAO Journal for worldwide distribution. Funds are

therefore not anonymous, unless the donor/funding organiz-

ation chooses to make arrangements to that effect.

15.27 Furthermore, ICAO will implement projects in

close coordination with donors and funding organizations,

and in accordance with the conditions defined by the

donor/funding organization for the use of funds made

available, such as limitations on the geographical area for

equipment purchases, expert selection and utilization of

training institutions. At the same time, ICAO will take

responsibility for legally acceptable, technically satisfactory

and cost-effective project implementation through com-

prehensive project monitoring, support, evaluation and

reporting.

15.28 Funding organizations such as regional and

interregional development banks are responsible for the

Part I. Operational Concept and General Planning Principles

Chapter 15. Assistance Requirements and Technical Cooperation I-15-5

most cost-effective investments of the funds entrusted to

them. It is, therefore, in the interest of these funding

organizations to entrust the implementation of civil aviation

projects to ICAO, or to at least consult or associate the

Organization prior to investing in such projects. This will

ensure compatibility with global civil aviation Standards,

Recommended Practices and Procedures and achieve an

adequate return on the investment for both the contributors

and the recipient States.

Strategies for ICAO technical

cooperation in CNS/ATM

implementation

15.29 Initial assistance for CNS/ATM has been

provided to several States from multilateral and bilateral

sources, including ICAO, focusing mainly on familiar-

ization, initial transition planning and setting up of pilot

projects.

15.30 CNS/ATM familiarization projects were

implemented by ICAO in the Asia/Pacific and Latin

America Regions in 1995–1996, confirming the require-

ments and expectations of States for assistance and support

through ICAO with their CNS/ATM systems transition and

implementation planning and implementation. Additional

CNS/ATM familiarization seminars were conducted by

ICAO in 1996–1997, either on a subregional basis or at the

request of specific States. States have been assisted by

ICAO in carrying out cost-benefit analyses for national

CNS/ATM systems implementation, based upon ICAO’s

cost-benefit analysis guidelines. National civil aviation

master plans, prepared by ICAO for numerous States, now

regularly address phased CNS/ATM systems implemen-

tation and training requirements.

15.31 ICAO assistance is currently focused on

assisting States and users in deriving early benefits from

CNS/ATM through the planning for, and immediate appli-

cation of, satellite-based systems, such as through WGS-84

surveys and training, GPS, ADS/CPDLC and ATN pro-

cedures development and training, as well as providing the

basic infrastructure necessary to implement CNS/ATM

systems. Providing that technical cooperation in these target

areas meets with States’ and donors’ expectations, it can be

assured that financing from States’ or donors’ funding

allocations meets required priorities. ICAO projects are also

assisting States in procuring equipment to set up the basic

infrastructure necessary to implement CNS/ATM systems.

15.32 In addition, human resources development

requirements, commensurate with CNS/ATM systems

implementation are being addressed at the national as well

as at the regional level through efforts to introduce or

expand CNS/ATM-related training courses at national Civil

Aviation Training Centres (CATCs). The ICAO TRAINAIR

training resource sharing network is proposed as the meth-

odology and vehicle for standardized needs-based and

curriculum-driven training introduced at the CATCs, with

more basic training carried out through nationally oriented

courses and advanced training proposed for regional

training courses at regionally oriented CATCs. Highly tech-

nical, managerial, institutional, organizational, legal and

financial subjects will continue to be dealt with in regional

or national seminars led by specialized ICAO staff.

15.33 Cooperative arrangements among Contracting

States in a subregion or region, managed by ICAO, con-

cerning a homogeneous ATM area or major international

traffic flow, as described in Part I, Chapter 3, similar to

cooperative arrangements under implementation, inter alia,

in ICAO’s Universal Safety Oversight Audit Programme and

proposed under its Aviation Security and TRAINAIR

Programmes, will allow participating States to closely col-

laborate in planning as well as in systems procurement and

training. Cooperative, multinational arrangements, provided

these are priority-endorsed by the participating States as

well as subregional organizations, where applicable, should

fall into line with the latest development focus of at least

some multilateral development partners, possibly even with

bilateral donors. These cooperative arrangements are conse-

quently proving to be avenues for cost-sharing arrangements

of interest to, and suitable for, States as well as a variety of

donors, funding organizations and the aviation industry.

They have, therefore, potential for substantial application for

CNS/ATM systems where inter-State cooperation is essen-

tial for cost-effective and harmonious implementation.

Additionally, cooperative projects provide a vehicle for tech-

nical cooperation among developing countries (TCDC), and

regional capacity-building. Recognizing the importance of

proper cost-benefit analysis for CNS/ATM planning and

implementation, on a country-specific as well as regional

basis, TCB continues to participate in an ICAO project team

establishing guidelines for CNS/ATM-related business case

development.

15.34 The ICAO Strategic Action Plan, based upon

the Chicago Convention and adopted in 1997, aims at

furthering the safety, security and efficiency of international

civil aviation, by developing a vision for harmonious

development of international civil aviation on a national

and regional basis and reflecting this vision in global plan-

ning. The Plan advocates for the Organization to ensure the

currency, coordination and implementation of regional

ANPs and to provide the framework for efficient implemen-

tation of new air navigation systems. To this end, it stresses,

I-15-6 Global Air Navigation Plan for CNS/ATM Systems

inter alia, ICAO through its Technical Co-operation Pro-

gramme assisting States in the mobilization of human,

technical and financial resources for civil aviation facilities

and services.

15.35 Satellite-based air traffic management, including

its supporting communications, navigation and surveillance

services, is essentially a global undertaking of air navigation

systems’ evolution, requiring supporting regional and

national infrastructures and human resources. Development

and implementation of SARPs for CNS/ATM systems by

ICAO are therefore of crucial importance to the international

aviation community and in particular to States. While cer-

tain States will be in a position to address their CNS/ATM

systems development needs using their own resources,

external assistance will be required by the vast majority of

developing States for providing the infrastructures and

qualified human resources needed, as substantiated by the

two ICAO surveys briefly described in 15.3 to 15.9. The

surveys prove that, if harmonized implementation is to be

effected worldwide and efforts are to be made for early

benefits to be gained from the new systems, as mandated by

the ICAO Assembly, major efforts must be made by the

international aviation and development financing com-

munities to put in place the required regional and national

infrastructures, and commensurately developed human

resources, and secure the required funding.

15.36 The ICAO Technical Co-operation Programme

has traditionally assisted Contracting States in the estab-

lishment and/or upgrading of civil aviation facilities and

services in accordance with States’ requirements and the

regional ANPs. As part of the ICAO Strategic Action Plan,

this Programme must place enhanced emphasis upon the

implementation of ICAO’s SARPs to the greatest possible

extent worldwide. Since a substantial part of future SARPs

are being geared towards CNS/ATM systems, the ICAO

Technical Co-operation Programme will have to play an

increasing role in the implementation of these new air

navigation systems, including associated facilities, services

and related human resource planning and development.

15.37 ICAO will perform its function in CNS/ATM

technical cooperation effectively, as mandated by its

Assembly (i.e. its 187 Contracting States), and as requested

by other international organizations, industry and users

through CASITAF and ALLPIRG/Advisory Group meetings

and reinforced by its Strategic Action Plan. Recognizing the

limited resources of the Technical Co-operation Bureau of

ICAO, however, and the continuing restriction of zero growth

for ICAO’s regular budget, an effective ICAO CNS/ATM

Technical Co-operation Programme will require substantial

additional external resources, particularly funding, to enable

it to perform the functions and to implement projects relating

to the requirements identified in the surveys carried out.

15.38 For the ICAO CNS/ATM Technical Co-

operation Programme to fulfil this mandate and the stra-

tegic functions envisaged, it will focus on activities that are

at the core of States’ and users’ interests, and for which

funding consequently can be assured. While harmonized —

“seamless” — implementation of CNS/ATM systems

worldwide is the main concern of the international aviation

community, initial areas to be focused upon will necessarily

be those which generate early benefits to users and, hence,

have the added attraction of economic value, i.e. an

immediate return on investments made.

15.39 To be in a position to better respond to States’

and users’ requirements, the ICAO Technical Co-operation

Programme — being a non-commercial entity and tradi-

tionally assisting its developing Contracting States mainly

through governments — has therefore embarked upon the

expansion of its resource base by focusing on non-traditional

development partners and funding sources. These non-

traditional development partners and funding sources

include not-for-profit interregional and regional development

banks and financing institutions, international organizations

and associations and, to a limited extent, industry and

service providers. Entities operating in civil aviation on a

purely commercial basis are, so far, not in a position to

collaborate with ICAO contractually, other than as

subcontractors.

15.40 With this aim of expansion of its resource base,

the ICAO TCB will continue to present to development and

financing partners its capabilities and experience in the

implementation of civil aviation projects worldwide. In

particular, emphasis has been placed on the presentation of

the unique values it can contribute to projects aimed at the

upgrading of civil aviation facilities and services as part of

CNS/ATM systems implementation planning worldwide.

Resource mobilization will, therefore, continue to be one of

the main activities of TCB. Funding sources, such as

Bretton Woods institutions, regional development banks

and industry will be approached to fund the projects.

15.41 Results of initial projects carried out with

non-traditional development and financing partners are

encouraging because they underscore large areas of

common interest where ICAO is in a unique position to

contribute the required technical and managerial expertise

and experience in an objective manner, thus ensuring the

provision of balanced advice, in the ultimate interest of the

recipient States. In addition, ICAO, being a not-for-profit

development partner, is able to provide cost-effective

Part I. Operational Concept and General Planning Principles

Chapter 15. Assistance Requirements and Technical Cooperation I-15-7

services, thereby assisting financing partners and recipients

in conserving scarce resources. These initial projects, how-

ever, also underscore the necessity for sufficient funding to

carry out, through the ICAO Technical Co-operation

Programme, project development activities expected by

States.

15.42 As ICAO’s most prominent goal is to provide

its Contracting States with assistance in the implementation

of SARPs worldwide, ICAO’s Technical Co-operation

Programme will associate itself with as many CNS/ATM-

related civil aviation development efforts as possible, in the

ultimate interest of States, as this would contribute to

ensuring harmonized and technically acceptable implemen-

tation. Financing of a healthy, relevant and effective ICAO

Technical Co-operation Programme, particularly for

CNS/ATM is, therefore, in the interest of all ICAO

Contracting States, inasmuch as harmonized and SARPs-

compliant CNS/ATM implementation results in substan-

tially enhanced safety and efficiency of civil aviation

worldwide, eventually bringing multi-billion dollar savings

to service providers, industry and users.

— — — — — — — — —

I-15-8 Global Air Navigation Plan for CNS/ATM Systems

APPENDIX A TO CHAPTER 15

CNS/ATM ASSISTANCE REQUIREMENTS OF

DEVELOPING ICAO CONTRACTING STATES, BY PIRG

— — — — — — — — —

ICAO PIRGs

Assistance

needs

assessment

Implementation

planning

including

cost-benefit

analyses

Systems

procurement/

installation/

commissioning

Human

resources

planning/

development Seminars/

workshops Seminars/workshops

(No. of States) (No. of States) (No. of States) (No. of States) (No. of States) (Subjects/numbers)

APANPIRG 22 20 19 21 18 GNSS/42

ATN/43

RNP/37

WGS/34

OWN/29

ECON/37

GPS/23

AMSS/32

ADS/39

LEG/36

INST/33

OTH/6

APIRG 2624222622GNSS/17

ATN/23

RNP/18

WGS/19

OWN/20

ECON/19

GPS/26

AMSS/16

ADS/23

LEG/18

INST/18

OTH/16

EANPG000000

GREPECAS 16 14 14 13 13 GNSS/22

ATN/16

RNP/15

WGS/13

OWN/11

ECON/10

GPS/19

AMSS/15

ADS/19

LEG/11

INST/12

OTH/1

MIDANPIRG43443GNSS/3

ATN/3

RNP/2

WGS/3

OWN/1

ECON/2

GPS/3

AMSS/3

ADS/3

LEG/1

INST/1

TOTAL 6861595456GNSS/84

ATN/85

RNP/72

WGS/69

OWN/61

ECON/68

GPS/71

AMSS/66

ADS/84

LEG/66

INST/64

OTH/23

Part I. Operational Concept and General Planning Principles

Chapter 15. Assistance Requirements and Technical Cooperation I-15-9

APPENDIX B TO CHAPTER 15

INDICATED PREFERRED SOURCE OF CNS/ATM ASSISTANCE FOR

DEVELOPING/LEAST DEVELOPED ICAO CONTRACTING STATES, BY PIRG

ICAO PIRGs

No. of questionnaires

sent to

developing/least

developed*

countries

No. of replies

received from

developing/least

developed countries

No. of replies

received from

developing/least

developed countries

requiring assistance

Percentage of

developing/least

developed countries

requiring assistance

from ICAO

Percentage of

developing/least

developed countries

requiring assistance

from other sources** in

certain specific areas

APANPIRG DCs:

LDCs: 19

10 DCs:

LDCs: 18

7DCs:

LDCs: 15

7DCs:

LDCs: 66%

100% DCs:

LDCs: 13%

57%

APIRG DCs:

LDCs: 18

31 DCs:

LDCs: 10

17 DCs:

LDCs: 9

17 DCs:

LDCs: 90%

88% DCs:

LDCs: 80%

35%

EANPG DCs:

LDCs: 2

0DCs: 2 0

GREPECAS DCs:

LDCs: 28

1DCs:

LDCs: 17

1DCs:

LDCs: 15

1DCs:

LDCs: 100%

100% DCs:

LDCs: 53%

MIDANPIRG DCs:

LDCs: 15

2DCs:

LDCs: 6

1DCs:

LDCs: 3

1DCs:

LDCs: 75%

100% DCs:

LDCs: 50%

100%

TOTAL DCs:

LDCs: 82

44 DCs:

LDCs: 53

26 DCs:

LDCs: 42

26 DCs:

LDCs: 83%

97% DCs:

LDCs: 49%

48%

Total responses received from developing/least developed ICAO Contracting States by the end of April 1997: 79.

* Developing country: DC, least developed country: LDC: According to classification by the United Nations in developing and least

developed countries.

** Some responses indicated assistance requirements from ICAO and from other sources.

I-16-1

Chapter 16

ENVIRONMENTAL BENEFITS ASSOCIATED

WITH CNS/ATM INITIATIVES

BACKGROUND

Aviation and the environment

16.1 Against a background of increasing concern

regarding the impact of aircraft engine emissions on the

environment, ICAO has been considering what steps could

be taken by the international aviation community to control

emissions.

16.2 Aircraft engines burn fuel, producing emissions

that are similar to other emissions resulting from fossil fuel

combustion. However, aircraft emissions are unusual in that

to a significant degree they are emitted at altitude. These

emissions give rise to important environmental concerns

regarding their global impact and their effect on local air

quality.

16.3 At a global level, the principal concern is

aviation’s contribution to climate change. The Kyoto

Protocol to the United Nations Framework Convention on

Climate Change (UNFCCC) requires developed countries

to reduce their collective emissions of greenhouse gases by

approximately 5 per cent by the period 2008–2012,

compared to 1990. These targets do not apply to emissions

from international aviation. Instead, Article 2, paragraph 2

of the Kyoto Protocol states that the responsibility for

limiting or reducing emissions from international aviation

shall fall to the UNFCCC parties, working through ICAO.

16.4 Future concerns about aviation’s role in both

climate change and local air quality are largely due to the

projected continued growth in this sector. While past

technological improvements have reduced the growth rate of

emissions and this progress is expected to continue in the

future, total emissions will nevertheless continue to increase.

For example, the Intergovernmental Panel on Climate

Change (IPCC)’s report projects growth in the sector of 5 per

cent per year between 1990 and 2015 with CO2 emissions

growing at 3 per cent annually over the same period.

16.5 Against this background, ICAO’s Committee on

Aviation Environmental Protection (CAEP) has been

studying possible means to reduce aircraft engine emissions

including the reduction at source, through operational

measures or using market-based options.

16.6 In addressing concerns associated with aircraft

engine emissions, CAEP is guided by the following

principles:

a) measures to address emissions should take into

account environmental need, technical feasibility

and economic reasonableness;

b) measures to address emissions should also take into

account any potential implications for safety, which

must not be compromised, and for aircraft noise.

Measures aimed at one type of emission (for

example, CO2) or one emission-related problem (for

example, climate change) should take into account

any potential implications for other types of

emissions or for other emission-related problems;

c) measures to address emissions should be developed

on a harmonized worldwide basis, wherever possible.

Reducing fuel burn through improved

operational measures

16.7 Currently, aircraft operations often involve

indirect routings, non-optimal flight profiles, congestion

resulting in airborne holding and queuing, delay and other

factors that may contribute to increased or unnecessary fuel

burn and associated emissions. CAEP is undertaking an

initial analysis of the impact on aircraft emissions from the

planned CNS/ATM systems enhancements and will make

the results available to those involved in planning future air

traffic improvements at the regional level.

The initial CNS/ATM study and the extension

for a global analysis

16.8 At the direction of the Council, CAEP’s Working

Group 4, Emissions — Operational Issues, initiated a study

I-16-2 Global Air Navigation Plan for CNS/ATM Systems

of the environmental benefits made possible through the

implementation of CNS/ATM systems. This work is driven

in part by the IPCC Special Report on Aviation and Global

Atmosphere (1999), which concluded: “As the aviation

industry grows more and more rapidly, the impact of air

traffic operations on the global atmosphere becomes

increasingly important. Efforts to control or reduce the

environmental impact of air traffic have identified a range

of options that might reduce the impact of aviation

emissions. In particular, it is expected that improvements in

air traffic management (ATM) and other enhanced oper-

ational procedures for air traffic systems could help reduce

aviation fuel burn, and thereby reduce the levels of aviation

emissions.”

16.9 The terms of reference (TOR) of Working

Group 4 established by the CAEP are to “quantify and

ensure that relevant environmental impacts of aviation

emissions are taken into account in the global and regional

planning of CNS/ATM and incorporated into airport

planning.” In response to the TOR, CAEP directed Working

Group 4 to “evaluate the potential impact of CNS/ATM

systems enhancements and recommended actions to

facilitate implementation on a regional and global basis.”

16.10 The data from the first analysis were presented

to the CAEP in January 2001 with preliminary results

referring to the benefits of implementation of CNS/ATM

systems in two regions of the world. These regions have

been used for developing a parametric model. The actual

TOR established that Working Group 4 would expand this

model to the rest of the world in cooperation with the

PIRGs and the ICAO Secretariat.

16.11 Potential benefits from CNS/ATM systems for

this initial study were based on planned implementation

strategies for Europe and the United States.

THE PARAMETRIC MODEL

Basis of the model

16.12 Implementation of CNS/ATM systems will

generally have benefits in three areas: improved airport

capacity that reduces delays at congested airports, shorter

cruise times through the use of more direct routes, and an

increase of unimpeded taxi times. The model looks at many

types of CNS/ATM systems enhancements, e.g. route

network optimization through reduced separations, airspace

management and civil/military coordination, collaborative

flight planning and re-routing, strategic capacity manage-

ment, reduced vertical separation minima (RVSM) and

wind-optimized direct routes resulting in shorter cruise

times.

Summary of the methodology

16.13 The scope of the study included baseline and

optimized scenarios for the years 1999, 2007, 2010 and

2015. A baseline scenario was established that showed the

case without CNS/ATM initiatives, but with non-CNS/ATM

measures such as an additional runway or aircraft engine

improvements included. Then, an optimized scenario was

developed that incorporated planned CNS/ATM measures

as well as the non-CNS/ATM measures included in the

baseline scenario.

16.14 In the parametric model, the following variables

that directly influence fuel consumption were identified for

use in the model:

a) phase of flight;

— surface (taxi-in and taxi-out)

— take-off

— initial climb below 3 000 ft (914.4 m)

— cruise, phase of flight occurring above 3 000 ft

(914.4 m)

— final approach below 3 000 ft (914.4 m)

— aircraft type and engine

b) airborne delays;

c) ground delays (taxi-in and taxi-out delays);

d) approach delays (air holds in the “last tier” due to

congestion at the destination airports);

e) demand (the number of current and forecasted

flights between city-pairs);

f) traffic growth rate (using the Forecasting and

Economic Analysis Support Group’s (FESG)

annual growth rate); and

g) rate of improvement in aircraft performance and

fleet mix changes (using FESG’s assumption of a

20 per cent total reduction in fuel burn rates in the

next 20 years).

16.15 Other variables, such as airport capacity and

weather conditions, can impact upon one of the direct

Part I. Operational Concept and General Planning Principles

Chapter 16. Environmental Benefits Associated with CNS/ATM Initiatives I-16-3

variables described above. For example, demand growth

and airport capacities can affect ground and arrival delays.

CNS/ATM measures may increase airport capacities.

Queuing theory approximations are used to estimate the

percentage change in delay caused by capacity or demand

increases. Similarly, airport capacities under visual flight

rules (VFR) and instrument flight rules (IFR) conditions are

estimated for the baseline and optimized scenarios.

Model input

16.16 The following summarizes the input needed by

the model to assess the potential fuel savings from any

CNS/ATM systems implementation plan. Some of the data

is universal (i.e. specific aircraft fuel burn rates) while some

of it is specific and unique to each region. To expand the

study to other ICAO regions, and to develop a truly global

assessment, specific or unique data would need to be

gathered from each region based on regional CNS/ATM

implementation plans. Where region-specific data are not

available, global assumptions or other available data can be

used. The model uses the following input:

a) planned CNS/ATM enhancements;

b) fuel burn rates (lbs/min) for phase of flight; idle,

take-off, climb (up to 3 000 ft (914.4 m)) and

approach;

c) minimum take-off, climb and approach times;

d) “cruise” phase median, low and high fuel burn rate

(lbs/min) for existing aircraft types using all flights,

and flights between city-pairs of less than 500 miles

great circle distance;

e) identification of aircraft types (regional fleet mix),

and future fleet mix forecast;

f) the amount of delay on the ground (taxi) and on

approach (arrival delay due to congestion at the

airport) for major airports in the region;

g) current and future airport capacities and improve-

ments expected to result from airport capacity

changes, physical and procedural, and from

CNS/ATM initiatives;

h) identification of capacity-constrained airports;

i) unimpeded taxi times for major airports;

j) airport weather information (average VFR and IFR);

k) future growth forecast;

l) estimated approach delays;

m) estimated taxi-out and taxi-in delays; and

n) current routes for baseline scenarios.

Initial findings of the study

16.17 Within the time frame under consideration

(1999–2015), global air traffic is expected to increase by

approximately 61 per cent (source: FESG). In the same

time period, fuel consumption and CO2 emissions are

projected to increase by just 37 per cent.

16.18 Fuel burn and CO2 emissions are growing less

quickly than traffic because of the introduction of more

efficient engine technology, aircraft retirement and fleet

expansion. This reflects the already strong commitment of

the aviation industry to fuel conservation and the

consequent emission reductions.

16.19 The preliminary results of this study show that

by 2015 there will be an additional benefit of approxi-

mately 5 per cent fuel burn and CO2 emission savings due

to the introduction of planned CNS/ATM systems im-

plementation measures within the United States and

Europe. This table shows a summary of the annual fuel and

CO2 savings for 2015 from CNS/ATM systems improve-

ments for both the United States (CONUS) and the Europe

Civil Aviation Conference (ECAC) States of the European

Region. The results are displayed by flight segment.

Preliminary results show savings of a similar order of

magnitude for oxide of nitrogen (NOX), unburned hydro-

carbon (HC) and carbon monoxide (CO), but the work is

subject to further analysis, verification and validation.

FUTURE ACTIVITIES

16.20 The model can be improved to encompass on a

more comprehensive basis all regions of the world and to

become more user-friendly. After subsequent steps are

Flight segment CONUS ECAC

Above 3 000 ft (914.4 m) 5% 4%

Below 3 000 ft (914.4 m) 5% 7%

Surface 11% 3%

Whole flight 5% 5%

I-16-4 Global Air Navigation Plan for CNS/ATM Systems

achieved and the material matures, the Global Plan will be

updated accordingly. Future work will focus on the

following activities:

a) gathering information on CNS/ATM systems

initiatives in other regions of the world to expand

the model in order to represent a worldwide result;

b) performing additional simulations to estimate the

impact of specific technology enhancements on

flight efficiency which result in changes to fuel

usage and emissions. A more detailed examination

of the effect of altitude on the emissions and fuel

usage will be performed;

c) enhancing the parametric model as new information

becomes available. Various parameters will be

calibrated to better represent different regions of the

world; and

d) enhancing the user interface of the parametric model

so any decision-maker can use it easily to perform

sensitivity analyses. This would enable the decision-

maker, for example, to change the forecast demand

input and compare the resulting fuel savings due to

CNS/ATM initiatives or to change the schedule or

the impact of one or several CNS/ATM initiatives

and compare the resulting fuel savings.

Regional planning considerations

16.21 Regional planning groups should take environ-

mental factors into consideration when developing

CNS/ATM systems implementation plans. Although future

plans could include developing a user-friendly, stand-alone

modelling capability, the current model is run under the

auspices of ICAO/CAEP’s Working Group 4. Rep-

resentatives of the PIRGs are encouraged to contact the

ICAO Secretariat to initiate the process to evaluate the

environmental benefits of planned CNS/ATM systems

enhancements.

16.22 After initial contact with the Secretariat,

arrangements will be made to gather the appropriate model-

ling data for a particular region to begin the modelling

effort. The data as described above can be collected from

existing databases, from direct interviews between rep-

resentatives from the regional planning groups and the

modellers, or by the development of regional-specific

assumptions.

16.23 The results of the model can be useful in pro-

viding national decision-makers within the various regions

with information upon which to base airspace architecture

decisions and in providing the international climate change

body with information on what the aviation industry is

doing now to protect the environment in the future.

PART II

Facilities and Services for the

Implementation of the Global Plan

II-1-1

Chapter 1

INTRODUCTION

GENERAL

1.1 The Global Air Navigation Plan for CNS/ATM

Systems (Global Plan) has a clear and functional relation-

ship to the regional air navigation plans (ANPs). This has

been accomplished by dividing the Global Plan into two

parts: the Operational Concept and General Planning

Principles (Part I) and the Facilities and Services for the

Implementation of the Global Plan (Part II). Part I provides

guidance for the further development of the basic oper-

ational requirements and planning criteria (BORPC) of the

regional ANPs. It also provides the global guidance needed

to plan for the facilities and services required to support the

implementation of CNS/ATM systems at the regional level.

These facilities and services are then identified in the

facilities and services implementation documents (FASIDs)

of the regional plans and subsequently reflected in Part II of

the Global Plan. Part II of the Global Plan has a corollary

and ongoing interrelationship with the FASIDs of the

regional ANPs.

PART II OF THE GLOBAL PLAN

1.2 Part II of the Global Plan depicts the facilities and

services to be provided to satisfy the requirements for

implementation of global CNS/ATM systems. It will be

amended as necessary to reflect changes in facilities and/or

services emanating from regional type air navigation

meetings or through the amendment procedure described in

the regional ANPs. The information in this part, therefore,

largely reflects what has been agreed to through the normal

regional planning processes, and as such, requires no

separate, formal approval process.

1.3 Part II will serve the purpose of clearly identifying

the inter-regional CNS/ATM systems infrastructure, which

is necessary to support the implementation of global

CNS/ATM systems. It will also serve as an executive

work remaining.

1.4 Parts I and II of the Global Plan together provide the

means for a step-by-step approach to planning for implemen-

tation of global CNS/ATM systems. To begin the process,

several homogeneous ATM areas and major international

traffic flows have been identified in Part II, Chapter 4.

1.5 As the ATM operational concept and the

associated concepts of required communication perform-

ance (RCP)*, required navigation performance (RNP),

required surveillance performance (RSP)* and required

total system performance (RTSP)* mature, they should be

integrated into the planning process so that further develop-

ment can take place. Planning and implementation should

therefore be seen as a continuing, evolving and maturing

process.

1.6 Based on the above, PIRGs are responsible for the

integration and harmonization of CNS/ATM systems plans

for their various regions, while ICAO, through this Global

Plan, ALLPIRG meetings, worldwide conferences, and an

inter-regional coordination mechanism, will carry out the

inter-regional coordination to ensure global compatibility,

harmonization and seamlessness amongst the systems.

1.7 The tables in this part, when completed, will form

the framework to guide the implementation of CNS/ATM

systems on a global basis, using the traditional regional

planning processes, leading to a global, integrated ATM

system.

* Emerging concept or technology — consensus still to be reached.

II-2-1

Chapter 2

REGIONAL PLANNING AND IMPLEMENTATION

INTRODUCTION

2.1 The planning and implementation of CNS/ATM

systems takes place primarily at the regional level. The

following material is intended to support the regional

process. It forms the basic structure for regional CNS/ATM

systems plans and their transition.

Organizational structure

2.2 In each ICAO region, the development and

updating of the regional ANP is a primary responsibility

of the planning and implementation regional group

(PIRG). The PIRG should therefore be considered as an

effective vehicle for the development of a regional plan for

the planning and implementation of CNS/ATM systems. A

separate expert subgroup may be established by the PIRG

to specifically address the planning and implementation of

CNS/ATM systems. Such a subgroup should include the

States of the region, user representatives and service pro-

viders of CNS/ATM systems. The terms of reference of

the subgroup should consist of at least the following

elements:

— review, monitor, and identify any shortcomings or

deficiencies in the present CNS/ATM systems in the

region;

— develop a regional plan for the implementation of

CNS/ATM systems based on the Global Air Navi-

gation Plan for CNS/ATM Systems (Global Plan)

and, in particular, the global planning methodology

identified in Chapter 3 of Part I;

— coordinate the updating, on a regular basis, of the

regional CNS/ATM systems implementation plan;

— update, on a regular basis, Chapter 1 and the tables

in Part II of the Global Plan;

— monitor research and development, and trials and

demonstrations within the region;

— monitor information received from other regions;

— coordinate State, international organization, airline

and industry plans for the implementation of the

regional CNS/ATM systems implementation plan;

— provide a forum for the active exchange of infor-

mation among States in order to resolve planning

and implementation problems as they arise; and

— facilitate the transfer of CNS/ATM systems exper-

tise, equipment, trials, data, etc. among States.

Process description

2.3 The PIRG should review the objectives and

functions of the Global Plan, and the Statement of ICAO

Policy on CNS/ATM Systems Implementation and Oper-

ation with respect to each particular region. Figure II-2-1

illustrates the approach to planning for CNS/ATM systems

based on homogeneous ATM areas and/or major inter-

national traffic flows.

2.4 Based on specific features of a geographical

nature, traffic flows, airspace structure, essential facilities

and services, traffic density and the level of sophistication

required, the region should be divided, if necessary, into a

number of homogeneous areas, taking into account the

priority structure of CNS systems elements and areas of

applicability with regard to implementation (3.4 of Part I

refers). Major international traffic flows should be ident-

ified wherein it is logical to specify a detailed plan for the

implementation of CNS/ATM systems (3.6 of Part I refers).

An evaluation of present CNS/ATM systems in the homo-

geneous areas and/or major traffic flows should be made

and any shortcomings identified.

2.5 For the homogeneous ATM areas or major

international traffic flows, an air traffic forecast of the

growth of air transport, including commuter and general

aviation, should be developed. Based on this forecast, a

II-2-2 Global Air Navigation Plan for CNS/ATM Systems

Figure II-2-1. Approach to planning for CNS/ATM systems on the basis of homogeneous ATM

areas and/or major international traffic flows

Implement

CNS/ATM

systems

Establish a

framework to

interface with

CNS/ATM

partners

Determine

means and

methods of

cost-recovery

Examine the

possibilities of

funding

Prepare a

detailed

implementation

plan report

List

the current

infrastructure

Evaluate

current system

CNS

ATM

Regional

planning and

implementation

group

Identify

homogeneous

ATM areas and/

or international

traffic flows

List ICAO

regions/FIRs/

States

Carry out

air traffic

forecasts

Iterations

Analyse

benefits/

improvements

Determine ATM

objectives/

establish

corresponding

CNS facilities

Scenarios

Ascertain

airspace user

needs

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-3

specific ATM plan should be developed. During the process,

the specific needs of the users and service providers should

be taken into account.

2.6 Subsequent to the development of ATM plans,

ATM objectives and CNS requirements should be deter-

mined. After an analysis, decisions on technical and

operational systems implementation time lines should be

reflected in regional implementation tables and in the tables

of Part II of the Global Plan.

2.7 Priorities should be established in terms of time-

scales and in response to identified constraints and the

requirements of States as to the systems and areas of

applicability whereby the most immediate benefits could be

provided or where early implementation may be most

likely. The planning methodology in 3.15 of Part I of the

Global Plan provides a step-by-step approach for PIRGs to

follow. The establishment of milestones should take into

account the following key events relative to each system:

a) completion of pertinent tasks by relevant ICAO

groups, including the adoption of SARPs;

b) adoption of relevant avionics Standards;

c) completion of relevant research and development,

and application developments;

d) availability of sufficient satellite capacity;

e) availability of avionics;

f) completion of pre-operational trials and the vali-

dation process;

g) availability of suitable procedures;

h) availability of ground infrastructure;

i) completion of training;

j) effective date for mandatory carriage, where appro-

priate; and

k) withdrawal of obsolete systems elements (airborne

and ground).

2.8 The regional CNS/ATM systems plan, when final-

ized, should reflect technical and operational requirements.

To facilitate implementation, regional planning should take

into account each element of the CNS systems (tables of

Chapters 6, 7 and 8 of Part II refer) and relevant objectives

of the ATM as identified in the table in Chapter 4 of Part II.

REGIONAL OFFICES AND THEIR

ASSOCIATED PLANNING AND IMPLEMENTATION

REGIONAL GROUPS (PIRGs)

ICAO Bangkok — ASIA/PAC Air Navigation Planning and

Implementation Regional Group (APANPIRG)

ICAO Cairo — Middle East Air Navigation Planning and

Implementation Regional Group (MIDANPIRG)

ICAO Lima/Mexico — CAR/SAM Regional Planning and

Implementation Group (GREPECAS)

ICAO Mexico — North American Planning Group

(NAMPG)

ICAO Dakar/Nairobi — AFI Planning and Implementation

Regional Group (APIRG)

ICAO Paris — North Atlantic Systems Planning Group

(NAT SPG); European Air Navigation Planning Group

(EANPG)

REGIONAL PLANNING GROUPS AND THEIR

AREAS OF RESPONSIBILITY

Asia/Pacific Air Navigation Planning and

Implementation Regional Group (APANPIRG)

Chairman of APANPIRG: Mr. H.S. Khola (India)

Secretary: Mr. L.B. Shah (ICAO Regional Director,

Bangkok)

Chairman of CNS/ATM IC Subgroup: Rodney Bracefield

(New Zealand)

2.9 The ICAO Council established the APANPIRG in

1991. Its membership consists of fifteen States: Australia,

Bangladesh, China, Fiji, France, India, Indonesia, Japan,

Malaysia, New Zealand, Pakistan, the Republic of Korea,

Singapore, Thailand and the United States. The CNS/ATM

Subgroup was set up in the same year to produce the

CNS/ATM plan for the ASIA/PAC Regions. The broad plan

II-2-4 Global Air Navigation Plan for CNS/ATM Systems

was produced in 1994 and contains traffic forecasts, a

description of the CNS/ATM system, transition guidelines,

trials and developments and an implementation summary.

The plan is updated annually to keep pace with the progress

of developments.

2.10 In 1994, the CNS/ATM Subgroup was re-formed

to become the CNS/ATM Implementation Coordination

Subgroup in order to emphasize that implementation was

being carried out and was being coordinated on a regional

basis.

Middle East Air Navigation Planning and

Implementation Regional Group (MIDANPIRG)

Chairman of MIDANPIRG: Mr. A. Al-Harthy (Oman)

Secretary: Mr. A. Zerhouni (ICAO Regional Director,

Cairo)

Chairman of CNS/ATM Subgroup: Mr. M. Al Alawi (Saudi

Arabia)

2.11 The ICAO Council established the MIDANPIRG

in 1993. Its membership is drawn from Bahrain, Egypt, Iran

(Islamic Republic of), Jordan, Lebanon, Oman, Saudi

Arabia and the United Arab Emirates.

2.12 MIDANPIRG was tasked with ensuring the

continuous and coherent development of the Middle East

Regional Air Navigation Plan as a whole and in relation to

those of adjacent regions.

2.13 The first meeting of the CNS/ATM Subgroup,

established to structure the planning and implementation of

CNS/ATM systems within the Middle East Region, was

held in January 1995. In 1997, the group developed a draft

regional plan for CNS/ATM systems. The MIDANPIRG, in

September 2000, adopted the first edition (2000) of the

CNS/ATM implementation plan for the MID region, which

will be subject to ongoing updates.

Africa-Indian Ocean Planning and

Implementation Regional Group (APIRG)

Chairman of APIRG: Mr. Mohamed Cherif (Tunisia)

Secretary: Mr. A. Cheiffou (ICAO Regional Director, Dakar)

Chairman of CNS/ATM/Implementation Coordination Sub-

group: Mr. G. Elefteriou (Côte d’Ivoire)

2.14 The APIRG was set up by the ICAO Council in

1980. This group is composed of members from States in

the Africa-Indian Ocean Region, ensuring a balanced

representation of the region as a whole. The current

membership (twenty-nine Member States) of APIRG

includes Angola, Algeria, Cameroon, Congo, Côte d’Ivoire,

Democratic Republic of the Congo, Egypt, Eritrea, Ethiopia,

France, Gabon, Ghana, Guinea, Kenya, Lesotho, Malawi

(also representing Zimbabwe), Mali, Mauritania, Morocco,

Niger, Nigeria, Senegal (also representing Gambia), South

Africa, Spain, Togo, Tunisia, Uganda, United Republic of

Tanzania and Zambia, and three international organizations.

2.15 The Africa-Indian Ocean implementation plan

for CNS/ATM systems, as developed by the CNS/ATM

Subgroup, was adopted by APIRG at its tenth meeting, held

in June 1996, and was endorsed by the Seventh Africa-

Indian Ocean Regional Air Navigation Meeting (AFI/7),

held in Abuja, Nigeria, in May 1997. This implementation

plan is being reviewed and updated periodically by APIRG,

based on input from States and international organizations.

North Atlantic Systems

Planning Group (NAT SPG)

Co-chairpersons of NAT SPG: Vacant

Secretary: Mr. C. Eigl (ICAO Regional Director, Paris)

CNS/ATM Subgroup: No subgroup at this time (fully

integrated into NAT SPG)

2.16 The ICAO Council established the NAT SPG in

1965 as the first regional planning group covering the North

Atlantic Region. Canada, Denmark, France, Iceland,

Ireland, Norway, Portugal, the United Kingdom and the

United States are members, while the Russian Federation,

Spain, the International Mobile Satellite Organization

(Inmarsat) and several international associations and

organizations are observers.

2.17 In 1992, the group was tasked with developing

proposals for CNS/ATM systems implementation, as well

as proposals for institutional arrangements. In 1994, the

North Atlantic Implementation Management Group (NAT

IMG) was created to coordinate and manage — on behalf

of the NAT SPG — the North Atlantic implementation

plan.

2.18 The NAT IMG has taken a number of important

initiatives since its creation. These include a cost-

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-5

effectiveness programme, the establishment of a project

coordination office and, on 27 March 1997, the introduction

of reduced vertical separation minima (RVSM).

North American Planning Group (NAMPG)

Co-chairpersons of Group:

Mr. Ken Moody (Canada)

Mr. Jaime Zapiain (Mexico)

Ms. Carey Fagan (United States)

Secretary: Mr. R. Ybarra (ICAO Regional Director, Mexico)

2.19 In 1994, the Directors of Civil Aviation of

Canada, Mexico and the United States agreed to form the

North American Planning Group, comprised of these three

States, which was established under the auspices of the

North American Free Trade Agreement (NAFTA). This

group serves as the focal point for the planning and

implementation of CNS/ATM systems in the North

American Region. Although Mexico is geographically

located in the ICAO Caribbean Region, the Directors of

Civil Aviation of all three States agreed that, because of

common borders, Mexico is more homogeneous, consistent

and coherent with the North American Region. Mexico’s

CNS/ATM plans are also included in the GREPECAS

planning process. The ICAO NACC Office provides the

necessary coordination support for the group.

2.20 The group formulated the CNS/ATM systems

plan for the region at its first meeting, held in June 1995.

The plan has been reviewed and updated annually and in

February 1999, the plan was reformatted using the ICAO

Global Plan as the model. The plan now includes the Gulf

of Mexico airspace as a homogeneous area and was sub-

mitted to ICAO in April 1999 for consideration. The

nomination of Canada’s Northern and Arctic Domestic

Airspace as a homogeneous ATM area is also under con-

sideration by Canada. In 2001, the group plans to update

the North American Air Navigation Plan and submit a

proposal for amendment.

2.21 The United States Federal Aviation Admini-

stration (FAA) formed the Gulf of Mexico Work Group

(GOMWG) in early 1999 to address capacity limitations

and to improve safety in the Gulf of Mexico airspace.

2.22 The GOMWG is co-chaired by the United States

(FAA), Mexico (SENEAM) and the Air Transport

Association (ATA). The work group is supported by a

steering committee and two subgroups. The Steering Com-

mittee provides technical support and guidance to the entire

body. The Communications, Navigation, Surveillance,

Weather and Automation Subgroup (CNSWA) focuses on

recommending solutions that address communications,

navigation, surveillance, weather collection and distribution,

and automation shortcomings. The Airspace and Procedures

Subgroup seeks to recommend solutions that involve

airspace allocation and procedural issues.

Caribbean/South American Regional Planning and

Implementation Group (GREPECAS)

Chairman of GREPECAS: Mr. J.P. Sánchez Dañino

(Mexico)

Secretary: Mr. Raymond Ybarra (ICAO Regional Director,

Mexico)

Chairman of ATM/CNS Subgroup: To be determined

2.23 The ICAO Council established the GREPECAS

in 1990. As a result of the great emphasis placed on

activities related to CNS/ATM systems, the CNS/ATM

Subgroup was formed. This subgroup proceeded to develop

a regional implementation plan, which was approved by

GREPECAS at its sixth meeting, held in 1996. At the same

time, the subgroup was re-formed to become the CNS/ATM

Implementation Coordination Subgroup, which developed

an action plan for the implementation of CNS/ATM sys-

tems. During the GREPECAS/9 Meeting (August 2000) a

restructuring of GREPECAS was made by which means the

CNS/ATM Subgroup was disbanded, creating instead the

ATM/CNS Subgroup, composed of the ATM and CNS

Committees, which will have as an objective, among others,

to promote and follow up the implementation of the

CNS/ATM system required in the CAR/SAM ANP.

2.24 The membership of GREPECAS comprises

Antigua and Barbuda (representing Dominica, Grenada,

Saint Kitts and Nevis, Saint Lucia, and Saint Vincent and

the Grenadines), Argentina, Barbados, Brazil, Chile,

Colombia, Costa Rica, Cuba, Ecuador (in rotation with

Panama, Guyana and Suriname every two years), France,

Mexico, Paraguay (in rotation with Bolivia and Uruguay

every two years), Peru, Trinidad and Tobago, the United

Kingdom, the United States and Venezuela.

European Air Navigation

Planning Group (EANPG)

Chairman of EANPG: Mr. Karsten Theil (Denmark)

II-2-6 Global Air Navigation Plan for CNS/ATM Systems

Secretary: Mr. C. Eigl (ICAO Regional Director, Paris)

CNS/ATM Subgroup: Established by EANPG/42 (4 to

7 December 2000)

2.25 The ICAO Council established the EANPG in

1972. In order to meet the new challenges, the EANPG

Programme Coordination Group (COG) was created in

1995 to assist the EANPG Chairman and the ICAO

Secretariat in facilitating and coordinating the work of the

EANPG between meetings, thus maintaining a dialogue

with other regions and avoiding duplication of work. The

EANPG directly monitors progress made with the

implementation of CNS/ATM systems in the European

Region.

2.26 The EANPG is comprised of representatives

from Baltic States (Estonia, Latvia and Lithuania),

Belarus, Benelux States (Belgium, Luxembourg and the

Netherlands), Caucasian States (Armenia, Azerbaijan and

Georgia), Central Asian States (Kazakhstan, Krygyzstan,

Tajikistan, Turkmenistan and Uzbekistan), Croatia (also on

behalf of the former Yugoslav Republic of Macedonia),

the Czech Republic, Finland, France, Germany (also

representing Austria), Greece, Italy, Portugal, the Russian

Federation, Scandinavian States (Denmark, Norway and

Sweden), Spain, Switzerland, Turkey, Ukraine and the

United Kingdom.

CURRENT STATUS OF PLANNING AND

IMPLEMENTATION OF CNS/ATM SYSTEMS

ASIA/PAC Air Navigation Planning and

Implementation Regional Group (APANPIRG)

Air traffic management — current status

and regional strategy

2.27 The present ATM system in the Asia/Pacific

Regions suffers from the following shortcomings:

a) lack of surveillance facilities over large areas of the

regions which require relief from congestion;

b) air-route availability constrained by point-source-

navigation-aids resulting in choke-points;

c) dissimilar ATS procedures and separation standards

causing flight information region (FIR) boundary

changes to flight profiles;

d) the uncoordinated provision of present CNS

systems resulting in duplication of resources and

services;

e) a lack of appropriate parallel ATS route structures

that relieve route congestion; and

f) poor-quality communications facilities and language

difficulties.

2.28 Adequate surveillance, appropriate parallel ATS

route structures, and optimum flight profiles are required in

order to overcome the present limitations and to better cope

with growth. Language difficulties and coordination pro-

cedure problems can be largely resolved by automated data

processes. Efficient coordination between adjacent FIRs,

and common navigation standards and procedures are also

essential to ensure a transparent transfer of ATS responsi-

bility. Due to the large oceanic areas of the Asia/Pacific

Regions, only satellite technology can efficiently provide

the necessary seamless and flexible regional interface

necessary.

General remarks

2.29 As new CNS systems provide for closer inter-

action between ground systems and airspace users before

and during flight, improvements to ATM will permit more

flexible and efficient use of the airspace and will enhance

traffic safety and regularity of flight. ATM may be viewed

as the principal beneficiary of the CNS improvements, i.e.

it is the resultant benefits to ATM that constitute the

rationale for incurring the costs of CNS improvements. In

turn, improvements in ATM will ultimately benefit all

airspace users.

2.30 The following changes in ATM are envisaged in

the Asia/Pacific Regions and are to be supported by future

CNS systems:

a) improved handling and transfer of information

between operators, aircraft, and ATS units;

b) extended surveillance by using aircraft positions

derived from airborne systems (i.e. automatic

dependent surveillance);

c) advanced ground-based data processing systems,

allowing for:

1) the ability to take advantage of the navigation

accuracy, in four dimensions, of modern aircraft;

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-7

2) improved accommodation of user-preferred

flight profiles in all phases of flight, based on

the operator’s objectives; and

3) improvement in conflict detection and resol-

ution, automated generation and transition of

conflict-free clearances and rapid adaptation to

changing traffic conditions;

d) these three aims of development, together with

improved planning, will allow more dynamic air-

space and ATM, particularly in high-density

airspace.

Communications — current status

and regional strategy

2.31 The Asia/Pacific Regions are characterized by

the use of:

a) data and voice communications for direct satellite/

aircraft links in some parts of the regions. High

frequency (HF) voice is being maintained during

the transition period;

b) very high frequency (VHF) for voice and data

communications in many continental and terminal

areas;

c) SSR Mode S data link, in the near future, in some

parts of the regions for air traffic services (ATS)

purposes in some high-density airspace; and

d) ATN, in the future, for the interchange of digital

data over dissimilar ground-to-ground and air-

ground communications links between end systems.

General remarks

2.32 The Asia/Pacific Regions contain large expanses

of ocean where the CNS systems, which could be used, are

severely limited. Thus, air-ground communications have

been limited to high frequency (HF), often with the need

for intermediate communicators. Surveillance has been

limited to pilot reports of position via HF communications.

These limitations have resulted in the large separations that

apply in oceanic airspace. For these reasons, the

Asia/Pacific Regions have been quick to embrace the new

CNS/ATM systems, particularly controller-pilot data link

communications (CPDLC) and automatic dependent

surveillance (ADS).

Navigation — current status

and regional strategy

2.33 The Asia/Pacific Regions are characterized by the:

a) progressive introduction of area navigation (RNAV)

capability in compliance with required navigation

performance (RNP) criteria;

b) use of global navigation satellite system(s) (GNSS)

for aircraft navigation;

c) use of instrument landing systems (ILS), GNSS and

microwave landing systems (MLS) for approach

and landing guidance systems in accordance with

the regional strategy adopted by APANPIRG; and

d) progressive withdrawal of current navigation aids

(NDB, VOR, DME).

Surveillance — current status

and regional strategy

2.34 The Asia/Pacific Regions are characterized by:

a) the use of SSR Mode A, C and, in the near future,

Mode S in some terminal areas and high-density

continental airspace;

b) the use of ADS in some parts of the regions; and

c) the diminishing use of primary radar.

Middle East Air Navigation Planning and

Implementation Regional Group (MIDANPIRG)

Air traffic management — current status

and regional strategy

2.35 While there are some remote and less developed

areas without radar coverage, the MID Region is, in

general, well covered by radar. Current air traffic control

procedures are therefore mostly based on the use of radar

control. There are a small number of fixed RNAV routes in

the region. On the majority of routes outside radar coverage

within the region, 10 minutes longitudinal separation is

applied.

2.36 The CNS/ATM Subgroup has determined the

major traffic flows and divided the region into two

II-2-8 Global Air Navigation Plan for CNS/ATM Systems

geographic areas based on these traffic flows. The determi-

nation of the overall ATM objectives is ongoing. Regional

timescales for the introduction of the various ATM

elements of the overall CNS/ATM system have, never-

theless, been produced. The CNS/ATM Subgroup has also

established a task force to examine the introduction of RNP

and RNAV routes in more detail. Because the development

of ATM objectives is not yet complete, and the plans for

introductions of RNP and RNAV routes are not finalized,

the current timescales could be subject to change as the

development work continues.

Communications — current status

and regional strategy

2.37 At present, air-ground communications in the

region are provided by VHF voice. However, in some parts

of the region, air-ground communications are limited to HF.

In ground-to-ground communications, the existing low-

speed aeronautical fixed telecommunication network

(AFTN) system in some parts of the region is not capable

of fully supporting the efficient exchange of data required

by the present ATS system. Furthermore, ground-ground

communications between area control centres (ACCs) are

adversely affected by the lack of full implementation of

direct-speech circuits.

2.38 Very high frequency (VHF) will remain in use for

air-ground voice and data communications in most contin-

ental and terminal areas. The SSR Mode S data link will be

used for ATS purposes in high-density airspace. The aero-

nautical telecommunication network (ATN) will provide the

interchange of digital packet data between end-users over

various air-ground communications subnetworks.

Navigation — current status

and regional strategy

2.39 The present infrastructure of NAVAIDs within

the MID Region is considered adequate to service the

foreseeable navigation requirements of the region.

2.40 RNAV capability, in compliance with RNP

criteria, will be progressively introduced. GNSS will pro-

vide worldwide coverage and will be used for aircraft

navigation and for non-precision-type approaches and, with

appropriate augmentation, for Category I approaches.

Surveillance — current status

and regional strategy

2.41 Radar coverage in the Middle East is available in

most areas, but not in all areas where it is necessary for the

provision of efficient ATC and where its provision would

be physically possible. For some oceanic or remote areas,

surveillance is still limited to pilot reports of position via

HF communications resulting in the application of large

separation minima.

2.42 In the future, SSR Modes A/C will be used in

terminal areas and high-density continental airspace. ADS

will be used over oceans/continental airspace and possibly

as a back-up to SSR in high-density traffic areas. The use

of primary radar will diminish.

AFI Planning and Implementation

Regional Group (APIRG)

Air traffic management — current status

and regional strategies

2.43 In accordance with the guiding principles

adopted in the AFI CNS/ATM Implementation Plan

(Doc 003), the implementation of CNS/ATM in the region

is gaining momentum. Fully conscious of the implemen-

tation goals and strategies of the global ATM, the APIRG

and its relevant subgroups (ATS, CNS/ATM and COM

Subgroups) have already laid down the necessary frame-

work for the evolutionary implementation of CNS/ATM in

the region. The implementation strategy is aimed at taking

advantage, in a timely manner, of those individual elements

of the CNS/ATM systems for which positive benefits have

been identified. Since effective implementation of the

CNS/ATM Plan will be highly dependent on Human

Factors (man-machine interface), the need to maintain

quality assurance/proficiency checks for ATS personnel has

been identified.

2.44 However, there are many shortcomings and

deficiencies in the region, which impede the smooth

transition towards new systems; consequently substantial

resources are dedicated to the elimination of these inad-

equacies. The major challenge still remains in the field of

communications; although significant improvements have

been noted through the use of VSAT technology, reliable

means of communications (HF, VHF and ATS/DS) and

proper coordination still remain a major requirement in the

region.

2.45 The implementation coordination groups (ICGs)

which have been established for the 10 homogeneous areas

of routing (AR-1 to AR-10) based on traffic affinities have

already met on various occasions, and implementation is

being carried out in a coordinated and coherent manner.

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-9

2.46 Emphasis is being put on the implementation of

the following elements:

— reduction of longitudinal separation to 10 minutes;

— implementation of RNP 10 and RNP 5 along major

traffic flows;

— implementation of random routing areas;

— planning for the implementation of reduced vertical

separation minimum between FL 290 and 410

inclusive;

— progressive introduction of ATC automation;

— reduction of lateral separation from 100 NM to 50

(in RNP 10 environment) and eventually to 30 NM

(in RNP 4 environment) in selected airspace;

— progressive introduction of longitudinal RNAV/RNP

separation minima of 10 minutes and/or 80 NM

RNAV-derived distance, in selected airspace from

2001 onwards;

— progressive introduction of automatic dependent

surveillance (ADS) in selected airspace from 2000

onwards; and

— completion of implementation of WGS-84-based

coordinates to be pursued as a matter of high

priority to facilitate introduction of GNSS.

2.47 The need for inter-regional cooperation for the

harmonization of systems and procedures cannot be

over-emphasized.

Airspace management

2.48 In fostering the implementation of the CNS/ATM

Plan, the concept of a cooperative approach to airspace

management has been emphasized. Several regional bodies

have already agreed to establish a common upper airspace

ATM system in their areas.

Communications — current status

and regional strategy

2.49 Aeronautical mobile service (AMS) is mainly

provided by HF voice within most of the FIRs, and by VHF

voice within terminal areas. Efforts will continue on the

implementation of remote and extended range VHF.

2.50 The aeronautical fixed telecommunication net-

work (AFTN) is characterized by analog and low-speed

circuits which do not meet the requirements for efficient

support of data exchange in the present ATS system.

ATS/DS communications between ATS units are also

adversely affected by shortcomings and deficiencies. In an

endeavour to remedy this situation, full implementation of

the AFS plans and the upgrade of AFTN circuits are being

pursued vigorously. The transition to the ATN will be

initiated by migrating to the ATS Message Handling

System (AMHS).

2.51 Very high frequency (VHF) voice will remain the

main form of pilot-controller communications throughout

the region within the time frame envisaged in the first stage

of the CNS/ATM implementation plan. Meanwhile, the

early introduction of data link communications is supported

and encouraged with the initial main objective of reducing

air-to-ground communications workload.

Navigation — current status

and regional strategy

2.52 Since the present infrastructure of navigational

aids is not considered adequate to service the foreseeable

navigation requirements of the AFI Region, RNAV

capability, in compliance with RNP criteria, will be

progressively introduced.

2.53 Terminal areas. As a general principle, navi-

gation facilities in TMAs must allow for navigation during

departure, holding and approach with the required degree of

accuracy. For the time frame encompassed by the first

stage, the standard navigation aid in TMAs is envisaged to

remain the VOR/DME. GNSS may initially be used as

supplemental navigation means in the TMAs. NDBs may

continue to be used in TMAs on a case-by-case basis when

there is an agreed requirement.

2.54 En route. VOR will continue to be the agreed

en-route navigation aid in the AFI Region along conven-

tional ATS routes. In case a requirement exists for a new

route or for a higher level of navigation performance along

an existing route, primary consideration should be given to

meeting the requirement by the implementation of an

RNAV route. NDBs will not normally be provided for

en-route navigation unless there is an operational require-

ment which cannot be satisfied by any other means. GNSS

II-2-10 Global Air Navigation Plan for CNS/ATM Systems

will be used as a supplemental en-route navigation means

and as the primary en-route means in designated airspace.

Surveillance — current status

and regional strategy

2.55 Since radar has not been a requirement in the

region, the present surveillance system is characterized by

very limited radar coverage in most of the FIRs. In fact, the

surveillance system is mainly procedural-based, i.e. limited

to pilot reports of position via HF communications, resulting

in the application of large separation minima.

2.56 Terminal areas. Secondary surveillance radar

(SSR) should be used within busy TMAs meeting criteria

defined by APIRG. Primary radar may continue to be used

in those TMAs where there is a mix of transponder-

equipped and non-transponder-equipped aircraft and the

number of non-transponder-equipped aircraft is sufficiently

large to justify the requirement. ADS may be introduced,

initially on a trial basis and eventually in broadcast mode

(ADS-B) which is still under development.

2.57 En-route. En-route surveillance will mostly

continue to be based on present procedural methods, but

with improved pilot-controller communications in terms of

reliability and transit times. This improvement will come

about mostly as a result of enhanced mobile communi-

cations and of the fixed communications between adjacent

ATS centres. Where a requirement for en-route surveillance

has been identified, this shall rely essentially on SSR, and

on ADS particularly for low-density, remote and oceanic

airspace outside SSR coverage. There is no requirement for

primary radar for en-route surveillance in the region. Those

already in place should be progressively phased out.

European Air Navigation

Planning Group (EANPG)

2.58 The regional strategy for planning and

implementation of CNS/ATM systems in the European

Region is carried out by the European Air Navigation

Planning Group (EANPG) through the management of the

European Air Navigation Plan. This planning applies to a

large number of States (49), covering an area which extends

from the North Atlantic Region to the Asia/Pacific Regions.

2.59 The geographic characteristics and density of air

traffic vary considerably across the region. For this reason,

the Special European Regional Air Navigation Meeting

(SP EUR RAN, Vienna, September 1994) agreed that,

considering the complexity and diversity of the region, air

navigation planning could best be achieved if it was

organized in homogeneous areas of common requirements

and interests, taking into account traffic density and the

level of sophistication required.

2.60 For the above reasons, the western part of the

region, an area of high traffic density, has seen its planning

and implementation deeply influenced by the collective

actions of States under the umbrella of the European

Organisation for the Safety of Air Navigation

(EUROCONTROL), whilst other States of the region

(mainly States of the former Soviet Union) are assisted more

directly by ICAO in their planning efforts. In addition, other

State groupings such as the European Civil Aviation

Conference (ECAC), the Joint Aviation Authorities (JAA)

and others are also involved in air navigation planning,

within their respective geographical coverage areas and

under their own remits. However, coordination of planning

activities is required by the EANPG in order to ensure that

they all remain within the framework of the Global Plan,

whilst respecting the integrity and compatibility of

CNS/ATM systems among each other.

2.61 The ICAO European Regional planning

machinery and the depth of its involvement in im-

plementation and coordination aspects has evolved much

further than required by the Chicago Convention. ICAO,

at the regional level, has always provided a forum for

States in which purely air navigation planning was

combined with, and expanded to include, detailed

implementation planning.

2.62 With respect to the remaining part of the region,

work is in progress through the Group for Air Traffic

Management in the Eastern part of the ICAO EUR Region,

including Middle Asia (GATE) a subgroup of EANPG, to

keep pace with developments and to ensure coherent

planning and implementation of CNS/ATM systems, taking

into account the interfaces between subregions and other

ICAO regions.

2.63 Planning of a number of air navigation domains

for the western part of the region was progressed through

the European Air Traffic Control Harmonization and

Integration Programme (EATCHIP) and its successor, the

European Air Traffic Management Programme (EATMP),

managed by EUROCONTROL. Details pertinent to the

harmonization and integration process applicable to ECAC

States are contained in the Convergence and Implemen-

tation (CIP) Document of EUROCONTROL. (Time lines

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-11

indicated in the templates represent system implementation

forecast information based on the CIP and/or information

available to the Secretariat).

Air traffic management — current status

and regional strategy

2.64 Present ATM systems in the European Region

suffer shortcomings which include:

a) a non-effective use of EUR Region airspace, not

sufficiently flexible and constrained by national

boundaries;

b) in some areas of the EUR Region, and particularly

in the “core area”, despite efforts made by States

through national measures and EATCHIP, ATC

systems are reaching their capacity limits, causing

an unacceptable number and level of delays;

c) in other parts of the EUR Region, although the need

for more capacity is less acute throughout the

region, the lack of a seamless approach to en-route

and airport operations continues to prevent the

optimization of resources;

d) lack of surveillance facilities mainly over large

areas in the eastern part of the EUR Region;

e) dissimilar ATS procedures and separation standards

causing flight information region (FIR) boundary

changes to flight profiles;

f) the under-coordinated provision of present CNS

systems resulting in duplication of resources and

services;

g) poor-quality communications facilities and language

difficulties in the eastern part of the region.

2.65 To overcome the present limitations and cope

with growth, overall surveillance, appropriate ATS route

structures and optimum flight profiles are required.

Language difficulties and coordination procedure problems

can be largely resolved by automated data processes.

Efficient coordination between adjacent FIRs and common

navigation standards and procedures are also essential to

ensure that a transparent transfer of ATS responsibility is

provided.

General remarks

2.66 As new CNS systems will provide for closer

interaction between ground systems and airspace users

before and during flight, improvements to ATM will permit

a more flexible and efficient use of the airspace and will

enhance traffic safety and regularity of flight. ATM may be

viewed as the principal beneficiary of CNS improvements,

i.e. it is the resultant benefits to ATM which constitute the

rationale for incurring the costs of CNS improvements. In

turn, improvements in ATM will ultimately benefit all

airspace users.

2.67 The goals for the future ATM system can be

summarized as follows:

a) maintenance of or increase in the existing level of

safety;

b) increased system capacity and full utilization of

capacity resources as required to meet traffic

demand;

c) dynamic accommodation of user-preferred four-

dimensional flight trajectories;

d) accommodation of full-range aircraft types and

airborne capabilities;

e) improved provision of information to users, such as

weather conditions, traffic situation and availability

of facilities;

f) improved navigation and landing capabilities to

support advanced approach and departure

procedures;

g) increased user involvement in ATM decision-

making including air-ground computer dialogue for

flight negotiation;

h) creation, to the maximum extent possible, of a

single continuum of airspace, where boundaries are

transparent to users;

i) organization of airspace in accordance with ATM

provisions and procedures;

j) minimization of airborne delays and holding,

coupled with adjustment of flight-track schedules to

achieve efficient traffic flows as well as efficient

airspace and airport usage; and

k) improved ATS strategic planning to minimize future

aircraft conflict and tactical conflict-resolution

manoeuvring by the ATS system.

II-2-12 Global Air Navigation Plan for CNS/ATM Systems

2.68 The following directions of change in ATM are

envisaged in the European Region and are to be supported

by future CNS systems:

a) improved handling and transfer of information

between operators, aircraft and ATS units;

b) extended surveillance by using aircraft positions

derived from airborne systems (i.e. automatic

dependent surveillance);

c) advanced ground-based data processing systems,

allowing for:

1) the ability to take advantage of the navigation

accuracy, in four dimensions, of modern aircraft;

2) improved accommodation of user-preferred

flight profiles in all phases of flight, based on

the operator’s objectives; and

3) improvement in conflict detection and resol-

ution, automated generation and transition of

conflict-free clearances and rapid adaptation to

changing traffic conditions;

These three aims of development, together with improved

planning, will allow more dynamic airspace and ATM,

particularly in high-density airspace.

2.69 A comprehensive assessment and analysis of the

characteristics and the capabilities of the present system

and of their implementation in various parts of the world

ascertained that the shortcomings of the present CNS

systems amount to essentially three factors:

a) the propagation limitations of current line-of-sight

systems and/or accuracy and reliability limitations

imposed by the variability of propagation charac-

teristics of other systems;

b) the difficulty, caused by a variety of reasons, to

implement present CNS systems and operate them

in a consistent manner in large parts of the world;

and

c) the limitations of voice communications and the

lack of digital air-ground data interchange systems

to support automated systems in the air and on the

ground.

2.70 The limitations summarized in 2.69 are intrinsic

to the systems themselves. Although their effects are not

the same for every part of the world, it is evident that one

or more of these factors inhibits the further development of

air navigation almost everywhere. New CNS systems

should surmount these limitations to allow ATM, on a

global scale, to evolve and become more responsive to

users’ needs.

2.71 The present ground communications system, the

aeronautical fixed telecommunication network (AFTN), is

limited in throughput, data integrity, and the ability to

handle bit-oriented message and data exchanges. The

communications path will evolve to full aeronautical tele-

communication network (ATN) capability through the

deployment of ATN ground-ground routers. The ATN

ground-ground router capability will be used to establish

ATN routing domains. By implementing AFTN/ATN gate-

ways over the ATN (bit-oriented) networks interconnected

by ATN ground-ground routers, ground communications

system resolves the shortcomings of AFTN, and will finally

evolve into the ATS Message Handling System (AMHS).

Some ground ATN networks are used for the ground

portion of air-ground data interchange by deploying ATN

air-ground router situated at the ground end of air-ground

data link, connected to ground network and exclusively

used for air-ground data interchanges.

2.72 On-going projects:

Communications — current status

and regional strategy

2.73 The European Region is characterized by the use

of:

a) very high frequency (VHF) for voice and data

communications in many continental and terminal

areas; a shortage in the number of available VHF

frequencies imposed the implementation of the

EUROCONTROL “8.33 kHz Channel Spacing

Project” in the so-called European core area;

Project Organization

ACAS — Airborne collision

avoidance system

EUROCONTROL

RVSM — Reduced vertical

separation minimum in Europe

ICAO EUR/NAT

+ EUROCONTROL

URD — ATM user

requirement document

EUROCONTROL

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-13

b) data and voice communications for direct satellite/

aircraft links in some parts of the region;

c) SSR Mode S data link, in the near future, in some

parts of the region for air traffic services (ATS)

purposes in some high-density airspace; and

d) ATN, in the future, for the interchange of digital

data over dissimilar ground-to-ground and air-

ground communication links between end systems.

2.74 The users of end systems include aircrew, air

traffic controllers, aircraft operators, and others. The ATN,

which is based on the International Organization for

Standardization (ISO) open systems interconnection (OSI)

reference model, will provide the inter-networking of

aeronautical “subnetworks” in OSI terminology. User

access to the ATN is via one or more subnetworks, which

are connected by ATN routers. ATN routers may be either

mobile (aircraft) or fixed (ground-based). The ATN router

selects a path via aeronautical subnetworks based on

user-specified communications parameters and subnetwork

availability. This action is transparent to the end systems

user who, therefore, does not need to know the area of

coverage of particular subnetworks nor to change com-

munications procedures depending upon the subnetworks in

use.

2.75 An opportunity offered to enable early use of

current technology by the application of ARINC Specifi-

cation 622 over character-based data communications

systems such as aircraft communications addressing and

reporting system (ACARS) may provide for significant

benefits in ATM. Several States are proceeding with

implementation of ATS ground facilities that take early

advantage of aircraft CNS packages, both of which are

based on the ARINC Specification 622. The implemen-

tation plans recognize that eventual transition to the ATN is

an objective and that ARINC Specification 622 is an

interim step designed to gain early CNS/ATM benefits from

existing technology.

General remarks

2.76 The European Region contains large expanses of

sparsely populated, low traffic density continental area

(Russian Federation) where the CNS systems which could

be used are severely limited. Thus air-ground communi-

cations have been limited to high frequency (HF), often

with the need for intermediate communicators. Surveillance

has been limited to pilot reports of position via HF

communications. These limitations have resulted in the

large separations. For these reasons that area has been quick

to embrace the new CNS/ATM systems, particularly

controller-pilot data link communications (CPDLC) and

automatic dependent surveillance (ADS).

2.77 On-going projects:

Navigation — current status

and regional strategy

2.78 The European Region is characterized by:

a) the progressive expansion of area navigation

(RNAV) in conjunction with the ICAO required

navigation performance (RNP) Standards; B-RNAV

(RNP 5) was introduced starting in January 1998 in

the entire ATS route network in the ECAC area;

b) in addition to RNAV and INS, the use of global

navigation satellite system(s) (GNSS) for aircraft

navigation;

c) WGS-84 implementation in large areas of the EUR

Region; implementation in the whole area is

ongoing;

d) the use of instrument landing systems (ILS) and a

limited number of microwave landing systems

(MLS) for approach and landing in accordance with

the ICAO strategy; and

Project Organization

ODIAC — Operational

requirements for ATM air-ground

data communications services

EUROCONTROL

Link 2000+ — Implementation of

operational air-ground data link

services in Europe (VDL Mode 2

and ATN)

EUROCONTROL

ASTERIX — All-purpose structured

EUROCONTROL radar information

exchange

EUROCONTROL

8.33 kHz — 8.33 kHz channel

spacing

ICAO EUR/NAT

+ EUROCONTROL

PETAL II — Preliminary

EUROCONTROL test of air-ground

data link

EUROCONTROL

WACS — Wireless airport

communications system

EUROCONTROL

MODE-S EUROCONTROL

II-2-14 Global Air Navigation Plan for CNS/ATM Systems

e) the progressive withdrawal of current navigation

aids (NDB/VOR/DME) in use.

2.79 Aircraft are increasingly being equipped to

utilize RNAV techniques, which is appropriate and inevi-

table because these techniques facilitate a flexible route

system. Therefore, the future navigation system is based

on the availability of airborne RNAV capability. The new

concept called RNP has been developed to complement the

RNAV system. RNP is broadly defined as the maximum

deviation from assigned track within which the aircraft can

be expected to remain with a given degree of probability.

This concept eliminates the need for ICAO selection

between competing navigation systems from the outset;

however, it will not prevent ICAO from dealing with navi-

gation techniques, which are in wide use internationally.

2.80 GNSS systems provide independent navigation,

where the user performs on-board position determination

from information received from broadcast transmissions by

a number of satellites. GNSS provides highly reliable,

highly accurate, high-integrity global coverage indepen-

dently. Although the RNP concept allows for more than one

satellite navigation system to be in use simultaneously,

from an aircraft equipment point of view, maximum inter-

operability is essential as it would significantly simplify

avionics and thereby reduce cost. It would also be attractive

if satellite navigation systems could serve as complemen-

tary to and/or in a back-up role for each other.

2.81 On-going projects:

Surveillance — current status

and regional strategy

2.82 The European Region is characterized by:

a) the use of SSR Modes A and C and, in the near

future, Mode S in some terminal and high-density

continental airspace;

b) the use of ADS in some parts of the region; and

c) the diminishing use of primary radar.

2.83 Automatic dependent surveillance (ADS) is

becoming available over the North Sea and continental

airspace of the Russian Federation. SSR (augmented as

necessary by Mode S) will continue to be used in terminal

areas and in some high-density airspace. The use of

primary radar will diminish.

2.84 The introduction of air-ground data links,

together with sufficiently accurate and reliable aircraft

navigation systems, presents the opportunity to provide

surveillance services in areas which lack such services in

the present infrastructure and in areas where the current

systems prove difficult, uneconomical or even impossible,

to implement. ADS is a function for use by ATS in which

aircraft automatically transmit, via a data link, data derived

from on-board navigation systems. As a minimum, the data

should include the four-dimensional position. Additional

data may be provided as appropriate. The ADS data would

be used by the automated ATC system to present infor-

mation to the controller. In addition to areas which are at

present devoid of traffic position information other than

pilot-provided position reports, ADS will find beneficial

application in other areas, including high-density areas,

where it may serve as an adjunct to and/or back-up for

secondary surveillance radar and thereby reduce the need

for primary radar. Also, in some circumstances, it may even

substitute for secondary radar in the future. As with current

surveillance systems, the full benefit of ADS requires

supporting complementary two-way pilot-controller data

and/or voice communications (voice for at least emergency

and non-routine communications).

2.85 On-going projects:

Project Organization

WGS-84 — World geodetic

system 1984

ICAO EUR/NAT +

EUROCONTROL

B-RNAV — Basic RNAV ICAO EUR/NAT +

EUROCONTROL

P-RNAV — Precision RNAV ICAO EUR/NAT +

EUROCONTROL

EGNOS — European geostationary

navigation overlay service

EU + others

GALILEO — European GNSS

system

EU + others

Project Organization

ARTAS — ATM surveillance

tracker and server system

EUROCONTROL

MODE-S ICAO EUR/NAT +

EUROCONTROL

ADS — Automatic dependent

surveillance

EUROCONTROL

ADS-B — Automatic dependent

surveillance broadcast

Russian Federation

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-15

CNS systems evolution

2.86 The new CNS concept is very flexible in that

each State has the choice of implementing specific system

elements to meet its individual requirement for forming a

complete, operable CNS/ATM system. Thus, the communi-

cations elements can be implemented using any or all

combinations of satellite, VHF or SSR Mode S. States with

high traffic density airspace would probably use all of

these, but small States with continental airspace could

implement the communications aspect of CNS/ATM and

ADS using VHF alone.

CAR/SAM Regional Planning and Implementation

Group (GREPECAS)

Air traffic management — current status

and regional strategy

2.87 The tasks of planning the transition to

CNS/ATM systems in the CAR/SAM Regions and

developing a CNS/ATM Systems Implementation Plan

were delegated to the new ATM/CNS Subgroup of the

GREPECAS that has the responsibility of coordinating and

harmonizing the work of the ATM and CNS Committees

with regard to CNS/ATM matters.

2.88 In spite of the fact that much progress has been

achieved, which has improved the provision of ATS in the

CAR/SAM Regions since the Third CAR/SAM Regional

Air Navigation Meeting (RAN CAR/SAM/3, Buenos Aires,

1999), there are still a number of significant deficiencies to

overcome. These are expected to be solved through the

implementation of ICAO CNS/ATM systems.

2.89 These deficiencies include the users’ difficulties

in utilizing the most optimum flight profiles in some areas

of the CAR/SAM Regions, and the lack of ground system

capacity to fully satisfy the users’ needs and requirements.

2.90 Even though no persistent problems exist in the

CAR/SAM Regions with regard to aircraft departure

delays, on the basis of studies carried out by GREPECAS,

some congested ATS routes and/or areas have been

identified, especially during peak hours and/or during

holiday periods. Likewise, there is a lack of flexibility in

some parts of the airspace, which hinders accommodation

of the users’ needs, thereby under-utilizing the capacity of

modern aircraft navigation systems.

2.91 The ATS route network in the CAR/SAM

Regions should be improved through implementation of a

greater number of RNAV routes, which would join pairs of

cities with high volumes of traffic. Likewise, and due

mainly to difficulties with the implementation of current

surveillance systems, large areas exist that do not have the

appropriate level of radar surveillance, especially over

oceanic and remote airspace.

2.92 The regional strategy for the implementation of

the CNS/ATM systems is being developed on the basis of

the aforementioned deficiencies. The progressive evolution

of ATM in the CAR/SAM Regions requires identifying

homogeneous areas and associated air traffic flows. The

ATM strategy and requirements would then be developed

on the basis of such traffic flows. The timescales associated

with these areas will therefore be refined over time. RNAV

trials and demonstrations were initiated in two flows:

Miami-Santiago and Miami-Rio de Janeiro/São Paulo.

Communications — current status

and regional strategy

2.93 The CAR/SAM/3 RAN Meeting, in revising the

air-ground communications requirements, formulated a

new plan for the AM(R)S for voice and data communi-

cations considering ATN-compatible air-ground subnet-

works such as VDL, HFDL and AMSS to meet digital data

communications as per the CNS/ATM systems concept. In

relation to voice communications, it should be noted that in

certain areas VHF communications still suffer from

coverage gaps and HF is used especially in oceanic and

remote areas. However it should also be noted that HF

communications services provided from some HF aero-

nautical stations need to be improved. Efforts are being

made to eliminate as much as possible the HF and VHF

voice communications deficiencies, and plans are being

carried out to implement air-ground data links. In this

regard FANS-1/A-equipped aircraft are being used to

conduct CPDLC/ADS tests in order to gain pre-operational

experience. Following the tendency of aviation industry

developments, the implementation of VDL Mode 2 and

ACARS over VDL Mode 2 (AOA) would be studied to

support CPDLC applications. Tests on HFDL are being

conducted.

2.94 In relation to ground-ground voice communi-

cations, plans in this respect formulated by the

CAR/SAM/3 RAN Meeting show the tendency to im-

plement voice communications using digital technology,

and several digital networks integrating voice and data are

operating or under development. In this regard continuous

improvements are being made in relation to the elimi-

nation of voice communications problems associated with

reliability and efficiency as well as the elimination of

II-2-16 Global Air Navigation Plan for CNS/ATM Systems

shortcomings from the air navigation plan. Plans for

implementation of AIDC data communications are being

studied.

2.95 The current AFTN meets operational require-

ments. The CAR/SAM/3 RAN Meeting developed new

plans for message and data transmission. The current AFTN

is being progressively improved by implementing

AFTN/X.25 circuits and increasing the circuits’ modulation

rates. The implementation of digital networks would

facilitate the introduction of highly reliable and efficient

circuits to link AFTN communications centres as well as to

deploy the regional ATN backbone. Plans for the implemen-

tation of the AMHS are being studied as the first ATN

ground-ground application in order to initiate transition

from the AFTN to the ATN internet services.

Navigation — current status

and regional strategy

2.96 The radio navigation services in the CAR/SAM

Regions are currently being provided by conventional

ground-based navigation aids and most of the required

facilities have already been implemented. The non-

directional radio beacons (NDBs) are gradually being

replaced by VHF omnidirectional radio range (VORs) and

UHF distance measuring equipment (DME). The instru-

ment landing system (ILS), Cat I or Cat II, has been used

at many airports of the regions for precision instrument

approach and landing, and use of the microwave landing

system (MLS) is not foreseen in the CAR/SAM Regions.

2.97 Based on the regional ATM evolution, the

CAR/SAM Regions have a plan for the evolutionary intro-

duction of the global navigation satellite system (GNSS),

which includes the satellite-based augmentation system

(SBAS) and ground-based augmentation system (GBAS). It

was particularly noted that, according to the above-

mentioned plan, with the gradual introduction of the GNSS,

ground-based navigation aids are expected to be gradually

withdrawn. The CAR/SAM Regions have made progress on

GNSS implementation namely in the introduction of the

use of GPS as a supplementary navigation means, antici-

pating in the near future its extension as a primary

navigation system in oceanic and remote continental areas.

A SBAS test based on the United States’ wide area aug-

mentation system (WAAS) is currently being carried out.

Surveillance — current status

and regional strategy

2.98 Surveillance is normally conducted by voice

pilot reports and SSR/PSR facilities. These radar facilities

provide services in most of the areas with dense air traffic.

The CAR/SAM/3 RAN Meeting developed the first plan

for surveillance facilities and services. SSR Modes A and C

are being used, and plans for SSR Mode S are being

considered for the long term. It is envisaged that the use of

PSR will diminish. ADS is foreseen for oceanic and remote

areas, especially in airspace with higher traffic flows.

North American Planning Group (NAMPG)

Air traffic management — current status

and regional strategy

2.99 The main limitations in Canada, Mexico and the

United States are related to deficiencies in the infrastructure

supporting the ATM parts of the subsystems. The most

salient aspects of ATM limitations in the region are as

follows:

a) obsolete ATS infrastructure in some cases;

b) deficiencies in the professional updating process of

ATC personnel;

c) limited implementation of RNAV routes in the ATS

route network;

d) communications systems shortcomings in some

areas; and

e) limited or non-existent radar surveillance in some

areas.

2.100 The evolution of ATM in Canada, Mexico and

the United States has been planned on the basis of an

integrated regional ATM system, considering that the most

advantageous approach would be the implementation of

CNS/ATM systems in defined homogeneous areas. The

homogeneous areas within Canada, Mexico and the United

States were defined considering the various degrees of

complexity and diversity of the air navigation infra-

structure, as well as the type of airspace in question.

Consequently, the domestic airspace in Canada, Mexico

and the United States has been defined as one homo-

geneous area, while the Gulf of Mexico airspace, because

of its special characteristics, is defined as a separate

homogeneous area. The implementation of air traffic flow

management units in Canada and the United States has

proven to be successful.

2.101 The Gulf of Mexico Work Group is investigating

the possible near-term implementation of RNP 4 and RVSM

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 2. Regional Planning and Implementation II-2-17

in the Gulf of Mexico airspace. Three phases of a four-phase

restructuring of the ATS route network in the Gulf of

Mexico were completed in 1997, and the implementation of

10-minutes longitudinal separation minimum using the

Mach number technique was implemented in 1996.

2.102 The CNS/ATM Plan being developed by the

CAN/MEX/USA Working Group follows the guidance

contained in the ICAO Global Plan, and implementation

dates of the new CNS/ATM systems still require further

coordination between the States involved.

Communications — current status

and regional strategy

2.103 VHF adequately covers air-ground communi-

cations over continental areas with the heaviest traffic

density in Canada, Mexico and the United States. However,

there is only partial VHF coverage, for the most part, in

oceanic and remote continental areas, where air-ground

communications tend to be based on HF systems.

2.104 There are new plans for the AMS for voice and

data communications regarding ATN-compatible subnet-

works such as VDL, HFDL and AMSS. Work is being

carried out to implement air-ground data links such as VDL

Mode 2 and ACARS over Mode 2 (AOA) implemented to

support controller-pilot data link communications (CPDLC)

applications. CPDLC will provide a second communications

channel for use by pilots and controllers. It will augment the

current voice communications capability, not replace it.

Procedures on the flight deck and in the ATC unit will be

developed to meet the demands of the new environment

being created by implementation of HFDL.

2.105 Switched network systems and point-to-point

links cover voice ground-to-ground communications (ATS

speech circuits) for ATS coordination between ACC pairs.

The ATN ground-ground subnetworks using the existing

NADIN PSN and international network and its related

applications have made progress from the test and

development/validation phases to the current operational

implementation. This testing will validate the AMHS sys-

tem, the AFTN/AMHS Gateway, as well the ground-ground

routers. Applications such as the AMHS have been

identified as ATN applications that will offer significant

operational benefits.

Navigation — current status

and regional strategy

2.106 En-route navigation rests basically on conven-

tional radio aid systems. The regional ATS route network is,

consequently, a system of fixed tracks whose very structure

keeps it from adjusting to user needs. The present navigation

system is a limiting factor for ATM and requires improve-

ment both in terms of eliminating inadequate paths on some

of its routes and implementing a larger number of fixed and

random RNAV routes to link pairs of airports or TMAs with

heavy traffic densities. This would make it possible to take

advantage of both the RNAV capacity of the most modern

aircraft and the new GNSS navigation methods connected

with the RNP concept to achieve optimum traffic circulation

with the consequent benefit to users.

2.107 Much progress has been made in GNSS

planning and implementation, including the satellite-based

augmentation system (SBAS) and ground-based augmen-

tation system (GBAS); namely, in the introduction of the

use of GPS as a supplementary navigation means, antici-

pating, in the near future, its extension as a primary

navigation system in oceanic and remote continental areas.

A massive GNSS approach implementation programme has

been initiated by all three States and GNSS augmentation

system agreements have been completed for the future

expansion of the GNSS concept.

Surveillance — current status

and regional strategy

2.108 Recent years have seen substantial improve-

ments in en-route surveillance, with the implementation

and modernization of radar systems in a large part of the

airspace of Canada, Mexico and the United States. Never-

theless, in several areas of the Gulf of Mexico and northern

Canada, surveillance has been restricted to position reports

sent by pilots via air-ground communications. These limi-

tations have given rise to the less than optimum separation

minima that are applied in these parts of the airspace,

thereby limiting capacity and affecting efficiency.

2.109 With the introduction of air-ground data links,

together with the availability of more accurate airborne

navigation systems, all States agreed to move towards the

implementation of automatic dependent surveillance (ADS)

for oceanic or remote areas; however, further review is

needed for continental domestic airspace areas.

North Atlantic Systems Planning Group

(NAT SPG)

Air traffic management — current status

and regional strategy

2.110 The major shortcomings affecting the vast

majority of the region are the lack of real-time surveillance

II-2-18 Global Air Navigation Plan for CNS/ATM Systems

and direct controller-pilot communications, which severely

limits airspace capacity and imposes significant constraints

on aircraft flight profiles; meanwhile, aircraft movements

are expected to at least double by the year 2010, as

compared to 1988.

2.111 Two major axes dominate NAT traffic. First,

there is the axis linking Europe (and the Middle East) to

North America (excluding Alaska). Second, there is the

axis linking the Eastern seaboard of North America with

the Caribbean, South America and Bermuda. The major

traffic flow between Europe and North America takes place

in two distinct surges during each 24-hour period due to

passenger preference, time zone differences and the

imposition of night-time noise curfews at major airports.

2.112 Although a number of fixed tracks exist in the

West Atlantic Route System (WATRS), the bulk of traffic

operates on tracks that vary from day to day depending on

meteorological conditions. The variability of the wind pat-

terns would make a fixed-track system unnecessarily

penalizing in terms of flight time and consequent fuel usage.

Nevertheless, the volume of traffic along the core routes is

such that a complete absence of any designated tracks (i.e.

a free flow system) would be unworkable given the need to

maintain procedural separation minima in airspace largely

without radar surveillance.

General remarks

2.113 An initial concept was developed in 1992 and

incorporated into the NAT Air Navigation Plan and

Facilities and Services Implementation Document, by the

Limited NAT Regional Air Navigation Meeting (Cascais,

3–18 November 1992). This concept has been refined

taking into account the latest changes. These changes,

however, have not affected the contents of the ANP. In

general, the concept is benefit-driven and consists of logical

and pragmatic sequences of phased changes from reduced

vertical separation minimum, improved ATC flexibility to

free flight. Technological and other requirements, such as

safety analysis and cost-benefit studies, are mapped onto

each change.

Communications — current status

and regional strategy

2.114 Current communications are via HF voice

although VHF data links are being used for some appli-

cations, such as oceanic clearance delivery. The current HF

network is saturated and it is difficult to obtain additional

families. Because of this saturation, it is not always

possible to provide the level of service requested by the

users. The NAT concept uses controller-pilot data link

communications (CPDLC) as the primary means of com-

munications for routine communications. The concept is

independent of the medium.

General remarks

2.115 Although the concept requires the aeronautical

telecommunications network (ATN) as an end-state, pro-

visions have been made to accommodate FANS 1/A.

However, no decisions have been made regarding the level

of service that will be provided to FANS 1/A-equipped

aircraft.

Navigation — current status

and regional strategy

2.116 Aircraft operating in the minimum navigation

performance specifications (MNPS) airspace must meet

certain equipment requirements and must achieve a navi-

gation performance of RNP 12.6 to sustain the current

lateral separation minimum of 60 NM. Longitudinal

separation is normally achieved by using the Mach number

technique. Navigation performance in MNPS airspace is

monitored to ensure that the risk in the system does not

exceed the target level of safety (TLS). The concept requires

improved navigation accuracy in order to maintain current

separation minima let alone implementing reductions in

horizontal separation.

Surveillance — current status

and regional strategy

2.117 Surveillance in most of the NAT Region,

especially MNPS airspace, is via position reports delivered

using HF voice through a third party at approximately every

10° of latitude. This does not permit ATC to detect gross

navigation errors (GNE), the major contributing factor to

the erosion of the TLS. Improved surveillance is a pre-

requisite to ensure the current safety levels are met, despite

the expected doubling of traffic, as well as to sustain future

reductions in horizontal separation. To achieve this, the

concept specifies automatic dependent surveillance (ADS)

over the ATN. Nevertheless, provisions are being made to

accommodate FANS 1/A-equipped aircraft.

II-3-1

Chapter 3

STATISTICS

FORECASTS OF AIRCRAFT MOVEMENTS

UP TO THE YEAR 2005

Factors affecting aircraft movements

3.1 The planning of aviation facilities and the

development of aviation policies require assessment of

future trends in aircraft movements as well as of passenger

and freight traffic flows. This is becoming increasingly

important because of concerns over airport and airspace

congestion in some regions. Aircraft movements have

grown quite rapidly for most of the past decade, increasing

the pressure on airport and air traffic control facilities.

3.2 The primary factor affecting the number of aircraft

movements is the demand for passenger travel. Passenger

traffic forecasts are therefore key inputs to the aircraft

movement forecasts.

3.3 When passenger demand increases, air carriers

can respond by scheduling extra flights, by using larger

aircraft, or by managing higher load factors. During the

1970s, air carriers accommodated most of the growth in

demand by introducing larger aircraft. As a result of both

increasing aircraft size and improving load factors, the

growth in aircraft movements was quite small in the 1970s

despite rapid growth in passenger traffic. From the early

1980s, the trend in average aircraft size has levelled out,

and the growth rate in aircraft movements has approached

the growth rate for passenger traffic. Past trends in average

aircraft size and average load factor for total world

scheduled services (excluding the Commonwealth of

Independent States) are illustrated in Figure II-3-1.

3.4 Gradual improvements in average load factors

have resulted from marketing initiatives and yield manage-

ment programmes, but there is evidence that the rate of

improvement in load factors is slowing down. This is

expected as the industry gradually approaches upper limits

for load factors, which are partially determined by periodic

and random variations in demand. Nevertheless, it is

expected that the world average scheduled passenger load

factor, which increased from 63 per cent in 1985 to 67 per

cent in 1995, will rise to about 70 per cent by 2005.

3.5 The services provided by carriers to meet demand

result from a large number of decisions concerning network

structure, aircraft type and service frequency. These

decisions depend on factors such as the availability of

traffic rights, the characteristics of alternative aircraft, and

consumer preferences and trade-offs between price and

service quality. Despite the complexity of this process, it is

possible to discern several key factors which are, in part,

responsible for the observed change in the trend in average

aircraft size and hence the relationship between traffic

demand and aircraft movements.

3.6 The first of these factors is the trend towards

liberalization or deregulation in some important markets.

Deregulation in the United States domestic airline markets

began in 1978, and the evolution of competitive strategies

and market structures has continued since then. Adequate

frequency and convenient interline and on-line connections,

as well as low price, became important competitive tools. A

more liberal regulatory environment also began to gradually

emerge in other domestic markets and in international

markets. The consequent increased priority given to

frequency and direct service has tended to increase the

number of aircraft movements required to satisfy a given

level of demand.

3.7 The second factor is the arrival of new, mid-sized,

high-technology aircraft. The 1970s saw B-747, DC-10 and

L-1011 aircraft absorbed into airline fleets. These aircraft

had favourable range and unit cost characteristics and were

at the top end of the size spectrum. In contrast, the new

aircraft of the 1980s, such as the B-757, B-767, MD-80 and

A-310, were in the mid-size bracket. The economics of

fleet replacement and expansion, therefore, encouraged a

much smaller change in the average aircraft size during the

1980s than during the 1970s.

3.8 The North Atlantic is an example of a route group

where, in recent years, regulatory developments and the

characteristics of new aircraft types have encouraged the

deployment of smaller aircraft. For example, extended

range B-767 aircraft were able to service some secondary

markets with direct transatlantic service after 1984. This

resulted in a proliferation of direct transatlantic services

between North America and Europe. The transpacific

market also experienced an increase in the number of

II-3-2 Global Air Navigation Plan for CNS/ATM Systems

city-pairs with direct services, but the penetration of B-767

services was more limited than on the North Atlantic, with

a correspondingly reduced impact on the trend.

3.9 The regulatory and technological factors described

above are likely to continue. However, more liberal regulat-

ory environment and competitive forces are encouraging

consolidation and alliances among airlines that might

eventually reduce or reverse the pressures to increase flight

frequency at the expense of aircraft size. The build-up of

airport and airspace congestion over the next decade is

another factor that would favour larger aircraft. Further-

more, the new technology aircraft penetrating the fleets in

the next decade include the B-777, A-330 and A-340, which

are larger than the new aircraft of the 1980s. For these

reasons, it is assumed that the world average aircraft size

will begin to increase again and could reach almost

200 seats by 2005 compared with 184 seats in 1995.

Measures of aircraft movements

3.10 Aircraft movements can be measured in terms of

the number of aircraft-kilometres (or aircraft hours) flown

in the airspace or the number of aircraft departures from

airports. While each measure is relevant for determining the

demand for air traffic control facilities, aircraft departures

are the key parameter for airport planning.

3.11 The link between the two measures is the

average aircraft stage length. The trend in the average stage

length is illustrated in Figure II-3-2. In the 1960s, average

stage length for scheduled services increased by more than

4 per cent per annum, thus aircraft kilometres grew 4 to

5 per cent per annum faster than aircraft departures. In the

past 20 years, the growth in average stage length has been

around 1 or 2 per cent per annum. The increase in stage

length reflects the changing pattern of demand, with growth

Source.— ICAO Reporting Form A-1.

Note 1.— Excluding all-freight operations.

Note 2.— Excluding the Commonwealth of Independent States (CIS).

Figure II-3-1. Average aircraft size and load factor

(passenger aircraft on scheduled services)

Aircraft size

Load factor

200

160

120

1960 65 70 75 80 85 90 95

100

Aircraft size (seats)

Load factor (%)

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 3. Statistics II-3-3

in passenger and freight traffic being greater for long-haul

routes than for short-haul routes. Another factor has been

increases in the length-of-haul capabilities of new aircraft

types progressively introduced into fleets. This was

especially important in the 1960s with the introduction of

jet aircraft. Over the forecast period (1995 to 2005), the

average stage length is assumed to grow at about 2 per cent

per annum.

Forecasting methodology

3.12 The forecasting process began with the forecasts

of passenger traffic and incorporated assumptions for future

load factors and aircraft size, which were together

translated into forecasts of aircraft movements. The

specification of the model used in this process is given in

Appendix 2 of Circular 270.

3.13 The forecast in terms of global aircraft-

kilometres was based on passenger-kilometre forecasts and

assumptions from average passenger load factors and

aircraft size (measured by number of seats). Since

all-freight aircraft services account for less than 4 per cent

of total services, their impact on the overall trend is very

small. The forecast of global aircraft departures is derived

from the forecast of aircraft-kilometres and expectations for

the future trend in average aircraft stage length. The main

assumptions for growth in world scheduled passenger

traffic and trends in load factors, aircraft size and aircraft

stage length over the period 1995 to 2005 are given below:

a) a growth in passenger-kilometres of 5.5 per cent per

annum;

b) an increase in average load factor from 67 to 70 per

cent;

c) a growth in average passenger aircraft size (in terms

of seats) of 0.8 per cent per annum;

d) a growth in average aircraft stage length of 2.0 per

cent per annum.

Source.— ICAO Reporting Form A-1.

Note.— Excluding the Commonwealth of Independent States (CIS).

Figure II-3-2. Average aircraft stage length (scheduled services)

1960 65 70 75 80 85 90 95

International services

All services

Kilometres

2 000

1 500

500

1 000

II-3-4 Global Air Navigation Plan for CNS/ATM Systems

(Because of data constraints, all assumptions and forecasts

exclude the Commonwealth of Independent States.)

Forecasts of world scheduled

aircraft movements

3.14 The above analyses led to the forecast of average

world annual growth rates of nearly 4.5 per cent for

aircraft-kilometres and 2.5 per cent for aircraft departures

over the period 1995 to 2005.

3.15 The growth rate for aircraft-kilometres is below

the growth rate for passenger-kilometres by one percentage

point per annum because of the increases in load factor and

aircraft size. Growth in aircraft departures is below the

growth in aircraft-kilometres by 2 per cent per annum,

which is equal to the growth in stage length.

3.16 In Table II-3-1, the forecasts for aircraft move-

ments are compared with actual past movements. The rates

of growth reported in the table are average measures over

the relevant 10-year periods; the rates over shorter periods

may vary. Despite lower traffic growth, the growth in

aircraft movements between 1985 and 1995 was relatively

buoyant when compared with the growth between 1975 and

1985. This was a consequence of slower growth in average

aircraft size and load factor.

3.17 Traffic growth in the 1980s placed increasing

demands on the aviation infrastructure. Although there was

an easing of demand pressures in the early 1990s, the

forecasts imply an increase of about 55 per cent in aircraft-

kilometres and 28 per cent in aircraft departures between

1995 and 2005. In absolute terms, the increase in aircraft-

kilometres between 1995 and 2005 is expected to be only a

little smaller than the increase that occurred between 1985

and 1995. The absolute increase in aircraft departures is

forecast to be about 4.6 million between 1995 and 2005

compared with 4.8 million between 1985 and 1995. Overall

increases of this magnitude could result in serious conges-

tion of certain already hard-pressed airport and airspace

facilities. It is important to recognize that in arriving at these

forecasts, no allowance has been made for the effect that

potential supply constraints might have on traffic volumes.

In other words, if the supply of air traffic control and airport

services does not keep pace with demand in the same way

that it has in the past, then actual traffic flows may be sup-

pressed below the levels of demand that are forecasted here.

SUMMARY OF ICAO AIR TRAFFIC

FORECASTS FOR THE YEAR 2005

3.18 Tables II-3-2, II-3-3 and II-3-4 provide sum-

maries of worldwide, regional and route-group forecasts,

respectively.

Table II-3-1. ICAO scheduled aircraft movements* forecast for the year 2005

Actual

1975

Actual

1985

Actual

1995

Forecast

2005

Average annual growth rate

(per cent)

1975–1985 1985–1995 1995–2005

Aircraft-kilometres

(millions)

7 516 10 598 18 279 28 400 3.5 5.6 4.5

Aircraft departures

(thousands)

9 683 11 953 16 754 21 400 2.1 3.4 2.5

* Includes all-freight movements; excludes operations of aircraft registered in the Commonwealth of Independent States (CIS).

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 3. Statistics II-3-5

Table II-3-2. Summary of ICAO air traffic forecasts for the year 2005 (worldwide)

Actual

1985

Actual

1995

Forecast

2005

Average annual growth

rate (per cent)

1985–1995 1995–2005*

TOTAL SCHEDULED SERVICES

Passenger-kilometres (billions) 1 367 2 228 3 807 5.0 5.5

Freight tonne-kilometres (millions) 39 797 83 082 163 950 7.6 7.0

Passengers carried (millions) 899 1 285 2 010 3.6 4.5

Freight tonnes carried (thousands) 13 742 21 488 34 600 4.6 5.0

Aircraft-kilometres (millions)** 10 598 18 279 28 400 5.6 4.5

Aircraft departures (thousands)** 11 953 16 754 21 400 3.4 2.5

INTERNATIONAL SCHEDULED SERVICES

Passenger-kilometres (billions) 590 1 241 2 395 7.7 7.0

Freight tonne-kilometres (millions) 29 384 70 273 145 720 9.1 7.5

Passengers carried (millions) 194 373 680 6.8 6.0

Freight tonnes carried (thousands) 5 884 12 982 24 400 8.2 6.5

* Rounded to the nearest 0.5 percentage point.

** Excludes the Commonwealth of Independent States (CIS).

II-3-6 Global Air Navigation Plan for CNS/ATM Systems

Table II-3-3. Summary of ICAO air traffic forecasts for the year 2005

(by region of airline registration)

Actual

1985

Actual

1995

Forecast

2005

Average annual growth

rate (per cent)

1985–1995 1995–2005*

TOTAL SCHEDULED SERVICES

Passenger-kilometres (billions)

Africa 36.7 51.0 77 3.3 4.0

Asia/Pacific 222.3 549.7 1 260 9.5 8.5

Europe 428.2 549.3 870 2.5 4.5

Middle East 42.7 67.0 115 4.6 5.5

North America 569.2 902.7 1 310 4.7 4.0

Latin America and the Caribbean 68.3 107.9 175 4.7 5.0

Freight tonne-kilometres (millions)

Africa 1 163 1 418 2 050 2.0 4.0

Asia/Pacific 9 605 28 346 71 000 11.4 9.5

Europe 14 422 24 607 40 900 5.5 5.0

Middle East 1 880 3 775 6 800 7.2 6.0

North America 10 622 21 253 36 200 7.2 5.5

Latin America and the Caribbean 2 105 3 683 7 000 5.8 6.5

INTERNATIONAL SCHEDULED SERVICES

Passenger-kilometres (billions)

Africa 28.6 42.1 65 3.9 4.5

Asia/Pacific 150.2 372.9 870 9.5 9.0

Europe 202.7 426.8 735 7.7 5.5

Middle East 35.2 57.1 100 5.0 6.0

North America 125.3 271.7 495 8.0 6.0

Latin America and the Caribbean 36.5 70.3 130 6.8 6.5

Freight tonne-kilometres (millions)

Africa 1 070 1 320 1 920 2.1 4.0

Asia/Pacific 8 589 26 243 66 900 11.8 10.0

Europe 11 589 23 815 40 000 7.5 5.5

Middle East 1 807 3 694 6 700 7.4 6.0

North America 4 842 12 162 24 000 9.6 7.0

Latin America and the Caribbean 1 487 3 039 6 200 7.4 7.5

*Rounded to the nearest 0.5 percentage point.

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 3. Statistics II-3-7

Table II-3-4. Summary of ICAO air traffic forecasts for the year 2005

(by international route group)

Passengers carried (thousands)

Average annual growth

rate (per cent)

Actual

1985

Actual

1995

Forecast

2005 1985–1995 1995–2005*

North Atlantic 20 964 38 100 59 168 6.2 4.5

Mid-Atlantic 1 471 2 570 4 186 5.7 5.0

South Atlantic 1 244 3 260 5 838 10.1 6.0

Transpacific 8 028 19 213 37 795 9.1 7.0

Between Europe and Asia/Pacific 5 870 20 400 42 045 13.3 7.5

Between Europe and Africa 9 280 11 000 14 783 1.7 3.0

Between Europe and Middle East 3 920 7 080 9 987 6.1 3.5

Between North America and South America 2 622 7 445 14 100 11.0 6.5

Between North America and Central

America/Caribbean

15 562 24 684 38 333 4.7 4.5

Total above routes 68 961 133 752 226 237 6.8 5.5

Other routes 124 974 239 007 453 763 6.7 6.5

Total world 193 935 372 759 680 000 6.8 6.0

*Rounded to the nearest 0.5 percentage point.

II-4-1

Chapter 4

HOMOGENEOUS ATM AREAS AND

MAJOR INTERNATIONAL TRAFFIC FLOWS

PLANNING PARAMETERS

4.1 The basis for development of a global, integrated

ATM system is an agreed-to structure of homogeneous

ATM areas and/or major international traffic flows. These

areas and/or flows link together the various elements of the

worldwide aviation infrastructure into a global system. The

Global Plan lists several of these areas and/or traffic flows.

Further updating and identification of these areas and/or

traffic flows should be carried out by PIRGs in collabor-

ation with the aircraft operators, reflecting the latter’s

requirements. “Feeder” routes may also have to be

determined as part of the work effort toward identification

of ATM requirements.

HOMOGENEOUS ATM AREA

4.2 In order to be consistent with worldwide growth

and to support the economy of operations globally,

requirements must be adapted to distinct areas with specific

traffic flows. For this reason, the planning process for any

particular region must begin with the identification of

specific homogeneous ATM areas and/or major inter-

national traffic flows, based on user needs, followed by the

development of an ATM plan for the region. See definition

in 3.4 of Part I.

MAJOR TRAFFIC FLOWS

4.3 A major traffic flow is a concentration of

significant volumes of air traffic on the same or proximate

flight trajectories (see definition in 3.6 of Part I).

4.4 The basic planning parameter is the number of

aircraft movements that must be provided with ATM

services. Estimates and forecasts of annual aircraft move-

ments over the planning period are required for high-level

planning (Part II, Chapter 1 refers).

FORECASTS

4.5 Forecasts of aircraft movements in peak periods,

such as during a particularly busy hour, are needed for

detailed planning. Additionally, the establishment of major

international traffic flows will require appropriate civil/

military coordination and consideration of special use

airspace (SUA) requirements. The coordination should take

place during the planning stage so that major traffic flows

will have a realistic chance of implementation. The princi-

pal data sources for current or historic aircraft movements

are the official airline guides, i.e. World Airways Guide,

ICAO’s Traffic by Flight Stage Statistics and En-route

Facility Statistics, and specific statistical information for

flight information regions (FIRs), which can be obtained

from relevant area control centres (ACCs).

4.6 The ICAO Secretariat, in cooperation with IATA,

is progressively developing estimates of current traffic

volumes for specific areas, which consist of major inter-

national route groups. This information is being designed to

assist with planning at the global level. Additionally, traffic

forecasting groups are being established by ICAO in order

to provide the PIRGs with comprehensive databases and

forecasts of traffic flows for groups of routes for the

detailed planning process.

IDENTIFYING HOMOGENEOUS ATM AREAS

AND MAJOR TRAFFIC FLOWS

4.7 Each regional planning group will develop its own

work structure for accomplishing the work associated with

the step-by-step approach identified in Chapter 3 of Part I.

In some cases, an already established working group or

CNS/ATM Subgroup may be in a suitable position to

accomplish the work; in other cases, specific task forces or

subgroups will need to be established.

4.8 To complete the work associated with the tables in

this chapter, the following steps from the step-by-step

approach will need to be considered:

II-4-2 Global Air Navigation Plan for CNS/ATM Systems

Step 1. Identify homogeneous ATM areas and/or

major traffic flows.

Step 2. List the ICAO region(s), flight information

region(s) and State(s) involved in the homogeneous

ATM areas and/or major international traffic flows.

Step 3. Carry out air traffic forecasts and ascertain

airspace user needs.

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 4. Homogeneous ATM Areas and Major International Traffic Flows II-4-3

Table II-4-1. Homogeneous ATM areas and major traffic flows/routing areas

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

Africa-Indian Ocean (AFI) Region

AR1 Europe — South America

(EUR/SAM) (oceanic)

Canarias

Casablanca

Dakar Oceanic

Recife

Sal Oceanic

Oceanic low density Major traffic flow

EUR/SAM

AR2 Atlantic Ocean interface

between the AFI, NAT and

SAM Regions

Accra

Dakar

Johannesburg Oceanic

Luanda

Sal

Oceanic low density Homogeneous ATM area

AFI/NAT/SAM

AR3 Europe — Eastern Africa

routes including the area of

the Indian Ocean

Addis Ababa

Antananarivo

Asmara

Cairo

Dar es-Salaam

Entebbe

Khartoum

Mauritius

Mogadishu

Nairobi

Seychelles

Tripoli

Continental/oceanic

low density

Major traffic flow

AFI/EUR

AR4 Europe to Southern Africa Alger

Brazzaville

Gaborone

Johannesburg

Kano

Kinshasa

Luanda

Lusaka

N’Djamena

Niamey

Tunis

Continental low

density

Major traffic flow

AFI/EUR

AR5 Coastal routes over the

Gulf of Guinea

Accra

Brazzaville

Dakar

Kano

Roberts

Continental low

density

Homogeneous ATM area

AFI

AR6 Iberian Peninsula to

Canaries

Canarias

Casablanca

Lisbon

Oceanic high density Major traffic flow

AFI/EUR

AR7 North Africa coastal area Alger

Cairo

Casablanca

Tripoli

Tunis

Continental/oceanic

low density

Homogeneous ATM area

AFI/EUR

II-4-4 Global Air Navigation Plan for CNS/ATM Systems

AR8 Continental Southern Africa Beira

Bloemfontein

Cape Town

Dar es-Salaam

Durban

Gaborone

Harare

Johannesburg

Lilongwe

Luanda

Lusaka

Port Elizabeth

Windhoek

Continental low

density

Homogeneous ATM area

AFI

AR9 Trans-Sahelian Asmara

Dakar

Kano

Khartoum

N’Djamena

Niamey

Continental low

density

Homogeneous ATM area

AFI

AR10 Trans-Indian Ocean area

interfacing with the ASIA/

PAC Regions

Antananarivo

Johannesburg Oceanic

Mauritius

Perth

Seychelles

Oceanic high

density

Homogeneous ATM area

AFI/ASIA

Asia/Pacific (ASIA/PAC) Regions

AR1 Asia/Australia and Africa Bangkok, Bombay, Colombo,

Jakarta, Kuala Lumpur,

Madras, Malé, Melbourne,

Singapore, Yangon, [and

African FIR/UIRs]

Oceanic low

density

Major traffic flow

AFI/ASIA/MID

AR2 Asia (Indonesia north to

China, Japan and the

Republic of Korea),

Australia/New Zealand

Auckland, Bali, Bangkok,

Beijing, Biak, Brisbane,

Guangzhou, Hanoi, Ho-Chi-

Minh, Hong Kong, Honiara,

Jakarta, Kota Kinabalu,

Kuala Lumpur, Manila,

Melbourne, Nadi, Naha,

Nauru, Oakland, Phnom-

Penh, Port Moresby,

Shanghai, Singapore, Taegu,

Taipe i, Tokyo , Ujung

Pandang, Vientiane, Wuhan,

Yangon

Oceanic high

density

Major traffic flow

ASIA/PAC

AR3 Asia and Europe via north

of the Himalayas

Almaty, Bangkok, Beijing,

Guangzhou, Hanoi, Ho-Chi-

Minh, Hong Kong,

Kathmandu, Kunming,

Lanzhou, Naha, Phnom-

Penh, Pyongyang, Shanghai,

Shenyang, Taegu, Taipei,

Tokyo, Ulaanbaatar, Urumqi,

Vientiane, Wuhan, Yangon,

[and Russian Federation

FIRs, and European FIRs]

Continental high

density/continental low

density

Major traffic flow

ASIA/EUR/MID

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 4. Homogeneous ATM Areas and Major International Traffic Flows II-4-5

AR4 Asia and Europe via south of

the Himalayas

Bali, Bangkok, Bombay,

Calcutta, Colombo, Delhi,

Dhaka, Hanoi, Ho-Chi-Minh,

Hong Kong, Jakarta, Karachi,

Kathmandu, Kota Kinabalu,

Kuala Lumpur, Kunming,

Lahore, Madras, Manila,

Phnom-Penh, Singapore,

Ujung Pandang, Vientiane,

Yangon, [and Middle

East/European FIR/UIRs]

Continental low

density

Major traffic flow

ASIA/EUR/MID

AR5 Asia and North America via

the Russian Far East and the

Polar Tracks via the Arctic

Ocean and Siberia

Anchorage, Beijing,

Canadian FIRs, Guangzhou,

Hong Kong, Pyongyang,

Russian Far East of 80E,

Shanghai, Shenyang, Taegu,

Tokyo, Wuhan and

Ulaanbaatar

Continental low

density/continental

high density

Major traffic flow

ASIA/EUR/NAM/NAT

AR6 Asia and North America

(including Hawaii) via the

Central and North Pacific

Anchorage, Hong Kong and

Naha, Manila, Oakland (at

and north of a line drawn by

LAX-HNL-Guam-MNL),

Taipe i, Tokyo , Vancouver

Oceanic low

density

Major traffic flow

ASIA/NAM/PAC

AR7 New Zealand/Australia and

South America

Auckland, Brisbane, Nadi,

Tahiti, [and South America

FIR/UIRs]

Oceanic low

density

Major traffic flow

ASIA/PAC/SAM

AR8 Australia/New Zealand, the

South Pacific Islands and

North America

Auckland, Brisbane and Port

Moresby, Honiara, Nadi,

Nauru, Oakland (southern

region), Tahiti

Oceanic low

density

Major traffic flow

ASIA/NAM/PAC

AR9 South-East Asia and China,

Republic of Korea, and Japan

Bali, Bangkok, Beijing,

Guangzhou, Hanoi, Ho-Chi-

Minh, Hong Kong, Jakarta,

Kota Kinabalu, Kuala

Lumpur, Kunming, Manila,

Naha, Phnom-Penh,

Pyongyang, Shanghai,

Shenyang, Singapore, Taegu,

Taipe i, Tokyo , Ujung

Pandang, Vientiane, Wuhan,

Yangon

Oceanic high

density

Major traffic flow

ASIA

Caribbean/South American (CAR/SAM) Regions

AR1 Buenos Aires — Santiago

de Chile

Ezeiza, Mendoza, Santiago Continental low density SAM intra-regional

major traffic flow

Buenos Aires — São

Paulo/Rio de Janeiro

Ezeiza, Montevideo,

Curitiba, Brasilia

Continental low density SAM intra-regional

major traffic flow

Santiago de Chile — São

Paulo/Rio de Janeiro

Santiago, Mendoza,

Cordoba, Resistencia,

Asunción, Curitiba, Brasilia

Continental low density SAM intra-regional

major traffic flow

São Paulo/Rio de Janeiro —

Europe

Brasilia, Recife Continental/oceanic low

density

SAM/AFI/EUR inter-regional

major traffic flow

AR2 São Paulo/Rio de Janeiro —

Miami

Brasilia, Manaus, Maiquetía,

Curaçao, Kingston, Santo

Domingo, Port-au-Prince,

Habana, Miami

Continental/oceanic low

density

CAR/SAM/NAM inter- and

intra-regional major traffic flow

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

II-4-6 Global Air Navigation Plan for CNS/ATM Systems

São Paulo/Rio de Janeiro —

New York

Brasilia, Belem, Paramaribo,

Georgetown, Piarco,

Rochambeau, San Juan

(New York)

Continental/oceanic low

density

CAR/SAM/NAM/NAT

inter- and intra-regional major

traffic flow

AR3 São Paulo/Rio de Janeiro —

Lima

Brasilia, Curitiba, La Paz,

Lima

Continental low density SAM intra-regional major

traffic flow

São Paulo/Rio de Janeiro —

Los Angeles

Brasilia, Porto Velho,

Bogotá, Barranquilla,

Panama, Central America,

Mérida, México, Mazatlan

(Los Angeles)

Continental low density CAR/SAM/NAM

inter- and intra-regional major

traffic flow

Mexico — North America Mexico, Monterrey,

Houston, Miami

Continental/oceanic

low density

CAR/NAM inter-regional

major traffic flow

AR4 Santiago — Lima — Miami Santiago, Antofagasta,

Lima, Guayaquil, Bogotá,

Barranquilla, Panama,

Kingston, Habana, Miami

Continental/oceanic

low density

CAR/SAM/NAM

inter- and intra-regional major

traffic flow

Buenos Aires — New York Ezeiza, Resistencia,

Asunción, La Paz, Porto

Velho, Manaus, Maiquetía,

Curaçao, Santo Domingo,

Miami (New York)

Continental/oceanic

low density

CAR/SAM/NAM/NAT

inter- and intra-regional major

traffic flow

Buenos Aires — Miami Ezeza, Resistencia, Cordoba,

La Paz, Porto Velho, Bogotá,

Barranquilla, Kingston,

Habana, Miami

Continental/oceanic

low density

CAR/SAM/NAM

intra- and inter-regional major

traffic flow

AR5 North of South America —

Europe

Guayaquil, Bogotá,

Maiquetía, Piarco

(NAT-EUR)

Continental/oceanic

low density

SAM/NAT/EUR inter-regional

major traffic flow

AR6 Mexico — Europe México, Mérida, Habana,

Miami (NAT-EUR)

Continental/oceanic

low density

CAR/NAM/NAT/EUR

inter-regional major

traffic flow

Central America — Europe Central America, Panama,

Kingston, Port-au-Prince,

Curaçao, Santo Domingo,

San Juan (EUR)

Oceanic low density CAR/NAT/EUR

intra- and inter-regional major

traffic flow

AR7 Santiago — Lima — Los

Angeles

Santiago, Antofagasta,

Lima, Guayaquil, Central

America, Mérida, México,

Mazatlan

Oceanic low density CAR/SAM/NAM

intra- and inter-regional major

traffic flow

AR8 South America — South

Africa

Ezeiza, Montevideo,

Brasilia, Johannesburg (AFI)

Oceanic low density SAM/AFI inter-regional

major traffic flow

Santiago de Chile — Easter

Island — Papeete (PAC)

Santiago, Easter, Tahiti Oceanic low density SAM/PAC inter-regional

major traffic flow

European (EUR) Region

AR1 Within Western Europe Wien, Bruxelles, Paris,

Marseille, Reims, Bremen,

Dusseldorf, Frankfurt,

München, Milano, Genève,

Zurich, London, Amsterdam

Continental very high

density

Core area, homogeneous ATM

area

EUR

AR2 Western and Central Europe ECAC States Continental high density Homogeneous ATM area

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 4. Homogeneous ATM Areas and Major International Traffic Flows II-4-7

AR2 Europe to North America Europe (TBD), UK

(London, Scottish), Ireland

(Shannon), France (Paris,

Reims, Brest)

Continental high density Major traffic flow linking

Europe to North America via

North Atlantic

AR3 Western Europe to Far East

Asia via trans-polar transit

routes

Core Area, Norway (Bodø,

Oslo, Stavenger,

Trondheim), Finland

(Tampere, Rovaniemi),

Russian Federation (TBD),

Japan

Continental high

density/continental

low density

Major traffic flow via ATS route

A333 and all routes north of it

AR4 Western Europe to Far East

Asia via trans-Siberian transit

routes

Core Area, Poland

(Warszawa), Baltic States

(Tallinn, Riga, Vilnius),

Finland (Tampere,

Rovaniemi), Russian

Federation (TBD), Japan

Continental high

density/continental

low density

Major traffic flow via ATS

routes south of A333

(excluding), up to and including

the ATS route R211

AR5 North America to Eastern

Europe and Asia via

cross-polar transit routes

Denmark (Søndrestrøm),

Russian Federation (TBD),

USA, Canada, Mongolia,

China

Continental low

density/oceanic low

density

Major traffic flow via ATS

routes linking North America

with Eastern Europe and Asia

through the airspace of the

Russian Federation east of the

ATS routes G476 and A74 up to

the ATS route A218 (excluding)

AR6 North America to Southeast

Asia via trans-eastern transit

routes

Russian Federation (TBD),

USA, Canada, China

Continental low

density/oceanic low

density

Major traffic flow via ATS

routes linking North America

with Southeast Asia through the

airspace of the Russian

Federation including ATS route

A218 and all routes east of it

AR7 Europe to Central and

Southeast Asia via trans-Asian

transit routes

Baltic States (Tallinn, Riga,

Vilnius), Finland (Tampere,

Rovaniemi), Kazakhstan

(TBD), Russian Federation

(TBD), Mongolia, China

Continental low density Major traffic flow via ATS

routes linking European States

with Central and Southeast

Asia, aligned south of ATS

routes B159, A222, B200 and

A310, including ATS route G3

AR8 Europe to Middle Asia via

Asian transit routes

Ukraine (TBD),

Turkmenistan (TBD),

Kazakhstan (TBD), Turkey,

Armenia (Yerevan), Georgia

(Tbilisi, Sukhumi),

Azerbaijan (Baku),

Uzbekistan (Samarkand,

Tashkent, Nukus), Russian

Federation (TBD), Iran,

Afghanistan

Continental low density Major traffic flow via ATS

routes linking European States

with Middle Asia, south of ATS

route G3

ARx Western/Central Europe —

Asia (trans-Siberia)

(to be developed) Continental low

density/continental

high density

Major traffic flow

ASIA/EUR/MID

ARx Eastern Europe — Middle

Asia

(to be developed) Continental low

density

Major traffic flow

ASIA/EUR/MID

ARx Europe — Central Asia/Pacific (to be developed) Continental low

density

Major traffic flow

ASIA/EUR/MID/PAC

ARx Western Europe — Eastern

Europe

(to be developed) Continental low

density/continental

high density

Homogeneous ATM area EUR

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

II-4-8 Global Air Navigation Plan for CNS/ATM Systems

North Atlantic (NAT) Region

ARx North America —

Western/Central Europe

Bodø, Gander, New York,

Reykjavik, Santa Maria,

Shanwick, Søndrestrøm

Oceanic high

density/continental

high density

Major traffic flow

EUR/NAM/NAT

MNPS airspace

ARx North America — Caribbean New York Oceanic high density Major traffic flow

West Atlantic route system

Middle East (MID) Region

AR1 Asia and Europe, Asia and the

Middle East, Europe and the

Middle East, via the northern

Arabian Peninsula and Eastern

Mediterranean

Amman, Baghdad, Bahrain,

Beirut, Cairo, Damascus,

Emirates, Jeddah, Kuwait,

Muscat, Tel Aviv

Continental high density Mainly intra-regional and MID

to/from ASIA and EUR. Some

overflying EUR/ASIA traffic

AR2 Egypt and the southern

Arabian Peninsula to/from

Europe, Africa and Asia

Cairo, Bahrain, Emirates,

Jeddah, Muscat, Sana’a

Remote continental and

oceanic low density (but

seasonally high density)

Major traffic flow

Mainly landing and departing

the MID region. Some

EUR/AFI traffic.

Seasonal pilgrim flights to and

from Africa, Central, South and

South-East Asia

AR3 Asia and Europe, Asia and

the Middle East, Europe

and the Middle East, north

of the Gulf

Teheran, Kabul Continental high density Major traffic flow

ASIA/EUR

North America (NAM) Region

NA-14 North America/

polar tracks

Domestic US FIRs

(Chicago, Seattle, Cleveland,

New York, Boston,

Minneapolis, Salt Lake),

Canadian FIRs (Montreal,

Toronto, Winnipeg,

Edmonton, Vancouver),

Anchorage, Beijing,

Guangzhou, Hong Kong,

Pyongyang, Russian Far

East FIRs, Shanghai,

Shenyang, Taegu, Tokyo,

Wuhan, and Ulaanbaatar

Continental/oceanic low

density

Major traffic flow

One-directional flow

ASIA/EUR/NAM/NAT

NA-15 Toronto — Cleveland,

Chicago

Toronto, Cleveland, Chicago Continental high density

Major traffic flow

CAN-US

East-west route

Toronto — New York,

Philadelphia, Washington

Toronto, Cleveland, New

Yo r k , Wa s h i ng t o n

Continental high density

Major traffic flow

CAN-US

North-south route

Montreal — New York Montreal, Boston,

New York

Continental high density

Major traffic flow

CAN-US

North-south route

Anchorage, Vancouver —

Seattle — San Francisco —

Los Angeles

Anchorage, Vancouver,

Seattle, Oakland, Los

Angeles

Continental high density

Major traffic flow

CAN-US

North-south route

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 4. Homogeneous ATM Areas and Major International Traffic Flows II-4-9

NA-16

Canada

East-

west

flows

Toronto — Winnipeg —

Calgary — Regina —

Va n c o u v e r

Winnipeg, Edmonton,

Vancouver

Continental high density

Major traffic flow

Major traffic flows in Canadian

southern domestic airspace

Toronto — Ottawa —

Montreal — Halifax

Toronto, Montreal, Moncton

Vancouver — Edmonton Vancouver, Edmonton

Edmonton — Calgary Edmonton

Winnipeg — Regina Winnipeg

NA-17

East-

west

flows

Boston/New York/Chicago —

Seattle

Boston, New York,

Cleveland, Indianapolis,

Chicago, Minneapolis, Salt

Lake, Seattle

Continental high density

Major traffic flow

Major traffic flows in domestic

US airspace

Boston/New York/Washington

DC/Denver — San Francisco

Boston, New York,

Cleveland, Indianapolis,

Chicago, Kansas City, Salt

Lake, Oakland

Boston/New York/Washington

DC/Denver — Los Angeles

Boston, New York,

Cleveland, Indianapolis,

Chicago, Kansas City,

Albuquerque, Los Angeles

Atlanta/Dallas/

Phoenix — Los Angeles

Atlanta, Memphis, Fort

Worth, Albuquerque, Los

Angeles

NA-17

East-

west

flows

Atlanta/Dallas/

Phoenix — San Diego

Atlanta, Memphis, Fort

Worth, Albuquerque, Los

Angeles

Miami/Houston/

Dallas/Phoenix — San Diego

Miami, Houston, Fort

Worth, Albuquerque, Los

Angeles

Miami/Houston/

Dallas/Phoenix — Los

Angeles

Miami, Houston, Dallas,

Albuquerque, Los Angeles

GM-1 Mexico — North America Mexico, Houston, Miami;

Mexico, Albuquerque;

Mexico, Los Angeles

Continental/oceanic low

density

Major traffic flow

CAR/NAM inter-regional

traffic flow

GM-2 Mexico — Europe Mexico, Havana, Miami

(NAT-EUR)

Continental/oceanic low

density

Major traffic flow

CAR/NAM/NAT/EUR

inter-regional traffic flow

Areas

(AR)

Homogeneous ATM areas

and major traffic

flows/routing areas FIRs involved Type of area covered Remarks

II-5-1

Chapter 5

AIR TRAFFIC MANAGEMENT

INTRODUCTION

5.1 The material contained in this chapter complements

that contained in Chapter 4 of Part I and in the ATM sections

of the FASIDs of the regional ANPs. This chapter is kept

under review by the PIRGs and should be periodically

updated to reflect the information contained in the ATM

sections of the regional FASIDs.

ATM OBJECTIVES

5.2 Each regional planning group will develop its own

work structure for accomplishing the work associated with

the step-by-step approach identified in Chapter 3 of Part I. In

some cases, an already established working group or CNS/

ATM Subgroup may be in a suitable position to accomplish

the work; in other cases, specific task forces or subgroups

will need to be established.

5.3 To complete the tables in this chapter, the following

steps from the global planning methodology outlined in

Chapter 3 of Part I will need to be considered:

Step 4. Perform an operational analysis of the current

infrastructure for the areas identified in terms of:

a) ATM limitations and shortcomings;

b) separation standards; and

c) CNS availability.

Step 5. Determine the ATM objectives for the areas

identified in Step 2 using as the basis the guidance material

contained in the operational concept document (operational

analysis) (Appendices A and B to Chapter 4 of Part I refer).

II-5-2 Global Air Navigation Plan for CNS/ATM Systems

1. To be developed

GLOBAL AIR TRAFFIC MANAGEMENT

SYSTEM IMPLEMENTATION OBJECTIVES BY REGION

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Development

of SARPs

Global ATM

Functional integration of flight OPS/ATM

ATM requirements for CNS

Separation between aircraft

AIDC

ATFM procedures and systems

Aircraft

equipage/

flight operations

RNP certification/approval

Functional integration of airborne systems with

ground systems

Implementation and operational use

REGIONAL ATM OPERATIONAL CONCEPT

Global Determination of major traffic flows

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM1

NAT

Identification of ATM objectives based on these

traffic flows

Global

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM1

NAT

Global Development of regional strategic airspace CNS

infrastructure plan based on ATM requirements

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM1

NAT

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 5. Air Traffic Management II-5-3

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed

AIRSPACE MANAGEMENT

Global Optimized sectorization

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT1

Global Fixed RNAV ATS routes

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global Contingency RNAV routes

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM1

NAT1

Global Random RNAV routes

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID1

NAM1

NAT1

II-5-4 Global Air Navigation Plan for CNS/ATM Systems

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed.

2. Emerging concept or technology — consensus still to be reached.

Global Airspace desegregation/flexible use of airspace2

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM

NAT1

Global Application of RNP

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global Application of RCP2

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR1

MID1

NAM1

NAT1

Global Application of RSP2

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR1

MID1

NAM1

NAT1

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 5. Air Traffic Management II-5-5

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed.

2. Emerging concept or technology — consensus still to be reached.

AIR TRAFFIC SERVICES

Global Trajectory conformance monitoring

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM1

NAT

Global Minimum safe altitude warning

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT1

Global Conflict prediction

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM

NAT

Global Conflict alert

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM

NAT

Global Conflict resolution advice2

Regions AFI

ASIA/PAC

CAR/SAM1

EUR1

MID

NAM1

NAT

II-5-6 Global Air Navigation Plan for CNS/ATM Systems

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed.

2. Emerging concept or technology — consensus still to be reached.

Global Functional integration of ground systems with

airborne systems

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR1

MID1

NAM1

NAT1

Global Dynamic accommodation of user-preferred flight

profiles2

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID1

NAM

NAT1

Global Reduced vertical separation

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global Reduced longitudinal separation

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT1

Global Reduced lateral separation

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT1

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 5. Air Traffic Management II-5-7

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed.

2. Emerging concept or technology — consensus still to be reached.

Global Independent IFR approaches to closely spaced

runways

Regions AFI1

ASIA/PAC

CAR/SAM1

EUR

MID1

NAM1

NAT1

Global RNAV SIDs and STARs

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM1

NAT1

Global Curved and segmented approaches

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR1

MID1

NAM1

NAT1

Global Arrival metering, sequencing and spacing2

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM1

NAT1

Global A-SMGCS2

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM1

NAT1

II-5-8 Global Air Navigation Plan for CNS/ATM Systems

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed

Global ATS inter-facility data (AIDC) communications

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global Application of data link

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

AIR TRAFFIC FLOW MANAGEMENT

Global Centralized ATFM

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM1

NAT1

Global Inter-regional cooperative ATFM

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR1

MID1

NAM1

NAT1

Global Establishment of ATFM databases

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM

NAT

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 5. Air Traffic Management II-5-9

GLOBAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed.

Global Application of strategic ATFM planning

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM

NAT1

Global Application of pre-tactical ATFM planning

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM

NAT1

Global Application of tactical ATFM planning

Regions AFI1

ASIA/PAC1

CAR/SAM1

EUR

MID1

NAM

NAT1

II-5-10 Global Air Navigation Plan for CNS/ATM Systems

REGIONAL AIR TRAFFIC MANAGEMENT

SYSTEM IMPLEMENTATION OBJECTIVES BY STATE

REGIONAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY STATE

Area of

routing Regions/States ATM objective 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

ARx

. . . Region

Objective (e.g. reduced

vertical separation

minimum)

State . . .

State . . . TO BE DEVELOPED

State . . .

. . . Region

Objective (e.g. reduced

lateral separation

minimum)

ARx

State . . .

State . . . TO BE DEVELOPED

State . . .

ARx

. . . Region Objective (e.g.

application of RNP)

State . . .

State . . . TO BE DEVELOPED

State . . .

II-6-1

Chapter 6

COMMUNICATIONS

INTRODUCTION

6.1 The material contained in this chapter complements

that contained in Chapter 5 of Part I and in the communi-

cations sections of the FASIDs of the regional ANPs. This

chapter is kept under review by the PIRGs and should be

periodically updated to reflect the information contained in

the communications sections of the regional FASIDs.

6.2 Considering the communications elements of the

CNS/ATM systems infrastructure that support air traffic

management, it is necessary to consider the ATM objectives

for a given homogeneous ATM area and/or major inter-

national traffic flow as identified in Chapter 3 of Part I,

followed by an assessment of the technical elements and

implementation options that would most appropriately and

cost-effectively meet the ATM objectives for that area and/or

traffic flow.

SYSTEMS IMPLEMENTATION

6.3 Each regional planning group will develop its own

work structure for accomplishing the work associated with

the step-by-step approach identified in Chapter 3 of Part I. In

some cases, an already established working group or CNS/

ATM Subgroup may be in a suitable position to accomplish

the work; in other cases, specific task forces or subgroups

will need to be established.

6.4 To complete the tables in this chapter, the follow-

ing steps from the global planning methodology outlined in

Chapter 3 of Part I will need to be considered:

Step 6. Establish CNS and other technical and auto-

mation requirements necessary to support the desired ATM

objectives identified in Step 5 (operational analysis).

Step 7. Analyse the benefits/improvements resulting

from Steps 5 and 6 in order to establish (operational

analysis):

a) costs-benefits;

b) relative priority;

c) expected performance improvements; and

d) implementation dates of the various ATM objectives

and CNS facilities for each of the homogeneous ATM

areas and/or major traffic flows/routing areas (Chap-

ters 5, 6, 7 and 8 of Part I, and Figures I-3-2 to I-3-5 of

Chapter 3 of Part I refer).

Step 8. Considering the many technical solutions and

implementation options available, repeat as necessary

Steps 5, 6 and 7 to determine the most appropriate solution

(operational analysis).

Proceed to Steps 9 through 12.

II-6-2 Global Air Navigation Plan for CNS/ATM Systems

GLOBAL COMMUNICATIONS

SYSTEM IMPLEMENTATION OBJECTIVES BY REGION

GLOBAL COMMUNICATIONS SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Development

of SARPs

AMSS

HF data

VHF data

SSR Mode S

ATN

Aircraft

equipage

AMSS

HF data

VHF data

SSR Mode S

ATN

FANS 1 or equivalent

IMPLEMENTATION AND OPERATIONAL USE

Global AMSS

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global HF data

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 6. Communications II-6-3

GLOBAL COMMUNICATIONS SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed

Global VHF data

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global SSR Mode S

Regions AFI

ASIA/PAC

CAR/SAM1

EUR

MID

NAM

NAT1

Global ATN

Regions AFI1

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT1

II-6-4 Global Air Navigation Plan for CNS/ATM Systems

REGIONAL COMMUNICATIONS

SYSTEM IMPLEMENTATION OBJECTIVES BY STATE

REGIONAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY STATE — COMMUNICATIONS COMPONENTS

Area of

routing

Regions/States

affected System components 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

ARx

. . . Region Component

(e.g. ATN)

State . . .

State . . . TO BE DEVELOPED

State . . .

. . . Region Component

(e.g. VHF data)

ARx

State . . .

State . . . TO BE DEVELOPED

State . . .

ARx

. . . Region Component

(e.g. AMSS)

State . . .

State . . . TO BE DEVELOPED

State . . .

II-7-1

Chapter 7

NAVIGATION

INTRODUCTION

7.1 The material contained in this chapter complements

that contained in Chapter 6 of Part I and in the navigation

sections of the FASIDs of the regional ANPs. This chapter is

kept under review by the PIRGs and should be periodically

updated to reflect the information contained in the navigation

sections of the regional FASIDs.

7.2 Considering the navigation elements of the

CNS/ATM systems infrastructure that support air traffic

management, it is necessary to consider the ATM objectives

for a given homogeneous ATM area and/or major inter-

national traffic flow as identified in Chapter 3 of Part I,

followed by an assessment of the technical elements and

implementation options that would most appropriately and

cost-effectively meet the ATM objectives for that area and/or

traffic flow.

SYSTEMS IMPLEMENTATION

7.3 Each regional planning group will develop its own

work structure for accomplishing the work associated with

the step-by-step approach identified in Chapter 3 of Part I. In

some cases, an already established working group or CNS/

ATM Subgroup may be in a suitable position to accomplish

the work; in other cases, specific task forces or subgroups

will need to be established.

7.4 To complete the tables in this chapter, the follow-

ing steps from the global planning methodology outlined in

Chapter 3 of Part I will need to be considered:

Step 6. Establish CNS and other technical and auto-

mation requirements necessary to support the desired ATM

objectives identified in Step 5 (operational analysis).

Step 7. Analyse the benefits/improvements resulting

from Steps 5 and 6 in order to establish (operational

analysis):

a) costs-benefits;

b) relative priority;

c) expected performance improvements; and

d) implementation dates of the various ATM objectives

and CNS facilities for each of the homogeneous ATM

areas and major traffic flows/routing areas (Chapters 5,

6, 7 and 8 of Part I; and Figures I-3-2 to I-3-5 of

Chapter 3 of Part I refer).

Step 8. Considering the many technical solutions and

implementation options available, repeat as necessary

Steps 5, 6 and 7 to determine the most appropriate solution

(operational analysis).

Proceed to Steps 9 through 12.

II-7-2 Global Air Navigation Plan for CNS/ATM Systems

1. To be developed

2. GPS has been approved as a long-range navigation aid to meet MNPS requirements.

3. Emerging concept or technology — consensus still to be reached.

GLOBAL NAVIGATION

SYSTEM IMPLEMENTATION OBJECTIVES BY REGION

GLOBAL NAVIGATION SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Development

of SARPs

En-route

Terminal/NPA

Precision approach

GNSS performance criteria to support

operational requirements

Development of GNSS procedures

Use of GNSS with augmentations systems

Long GNSS

Availability

GPS

GLONASS

Inmarsat overlay

SBAS

GBAS

Aircraft

equipage

GNSS + ABAS

GNSS + ABAS/SBAS/GBAS

IMPLEMENTATION AND OPERATIONAL USE

Global (all regions) WGS-84

Global En-route

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT2

Global Terminal/NPA

Regions AFI

ASIA/PAC

CAR/SAM

EUR1

MID

NAM

NAT1,3

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 7. Navigation II-7-3

GLOBAL NAVIGATION SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

1. To be developed

Global Precision approach

Regions AFI1

ASIA/PAC

CAR/SAM1

EUR1

MID1

NAM1

NAT1

II-7-4 Global Air Navigation Plan for CNS/ATM Systems

REGIONAL NAVIGATION SYSTEM IMPLEMENTATION OBJECTIVES BY STATE

REGIONAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY STATE — NAVIGATION COMPONENTS

Area of

routing Regions/States System 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

ARx

. . . Region Component

(e.g. GNSS)

State . . .

State . . . TO BE DEVELOPED

State . . .

. . . Region Component

(e.g. WGS-84)

ARx

State . . .

State . . . TO BE DEVELOPED

State . . .

ARx

. . . Region Component (e.g.

Precision approach)

State . . .

State . . . TO BE DEVELOPED

State . . .

II-8-1

Chapter 8

SURVEILLANCE

INTRODUCTION

8.1 The material contained in this chapter complements

that contained in Chapter 7 of Part I and in the surveillance

sections of the FASIDs of the regional ANPs. This chapter is

kept under review by the PIRGs and should be periodically

updated to reflect the information contained in the

surveillance sections of the regional FASIDs.

8.2 Considering the surveillance elements of the

CNS/ATM systems infrastructure that support air traffic

management, it is necessary to consider the ATM objectives

for a given homogeneous ATM area and/or major inter-

national traffic flow as identified in Chapter 3 of Part I,

followed by an assessment of the technical elements and

implementation options that would most appropriately and

cost-effectively meet the ATM objectives for that area or

traffic flow.

SYSTEMS IMPLEMENTATION

8.3 Each regional planning group will develop its own

work structure for accomplishing the work associated with

the step-by-step approach identified in Chapter 3 of Part I. In

some cases, an already established working group or CNS/

ATM Subgroup may be in a suitable position to accomplish

the work; in other cases, specific task forces or subgroups

will need to be established.

8.4 To complete the tables in this chapter, the fol-

lowing steps from the global planning methodology outlined

in Chapter 3 of Part I will need to be considered:

Step 6. Establish CNS and other technical and

automation requirements necessary to support the desired

ATM objectives identified in Step 5 (operational analysis).

Step 7. Analyse the benefits/improvements resulting

from Steps 5 and 6 in order to establish (operational

analysis):

a) costs-benefits;

b) relative priority;

c) expected performance improvements; and

d) implementation dates of the various ATM objectives

and CNS facilities for each of the homogeneous ATM

areas and major traffic flows/routing areas (Chapters 5,

6, 7 and 8 of Part I; and Figures I-3-2 to I-3-5 of

Chapter 3 of Part I refer).

Step 8. Considering the many technical solutions and

implementation options available, repeat as necessary

Steps 5, 6 and 7 to determine the most appropriate solution

(operational analysis).

Proceed to Steps 9 through 12.

II-8-2 Global Air Navigation Plan for CNS/ATM Systems

1. Emerging concept or technology — consensus still to be reached.

2. To be developed.

GLOBAL SURVEILLANCE

SYSTEM IMPLEMENTATION OBJECTIVES BY REGION

GLOBAL SURVEILLANCE SYSTEM IMPLEMENTATION BY REGION

1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

Development

of SARPs

ADS

ADS-B1

SSR Mode S

Aircraft

equipage

ADS

ADS-B1

SSR Mode S

IMPLEMENTATION AND OPERATIONAL USE

Global ADS

Regions AFI

ASIA/PAC

CAR/SAM

EUR

MID

NAM

NAT

Global ADS-B1

Regions AFI2

ASIA/PAC2

CAR/SAM2

EUR2

MID2

NAM2

NAT2

Global SSR (Mode S)

Regions AFI

ASIA/PAC

CAR/SAM2

EUR

MID

NAM

NAT2

Part II. Facilities and Services for the Implementation of the Global Plan

Chapter 8. Surveillance II-8-3

REGIONAL SURVEILLANCE SYSTEM IMPLEMENTATION

OBJECTIVES BY STATE

REGIONAL AIR TRAFFIC MANAGEMENT SYSTEM IMPLEMENTATION BY STATE — SURVEILLANCE COMPONENTS

Area of

routing

Regions/States

affected System components 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010

ARx

. . . Region Component

(e.g. ADS)

State . . .

State . . . TO BE DEVELOPED

State . . .

. . . Region Component

(e.g. SSR Mode S)

ARx

State . . .

State . . . TO BE DEVELOPED

State . . .

ARx

. . . Region Component

(ADS-B)

State . . .

State . . . TO BE DEVELOPED

State . . .

— END —

Doc 9750 Global Air Navigation Plan For CNS/ATM Sytems PDF 2ed En

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