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ASM/ATFM Oversight Process PROGRAMME REFERENCE INDEX: EDITION: EDITION DATE: Abstract The objective of this Process is to guide HANSA staff during the ASM/ATFM Functions Oversight The Process describes the prescribed -required -followed relevant to ASM/ATFM Working Arrangements within Entities assigned with ASM/ATFM tasks within ANSPs,, arrangements and requirements which must be examined by HANSA Auditors during the ASM/ATFM Audit. Besides it make reference of the applicable Legal Framework Keywords ASM , ATFM,CFMU, Local ATFM, FMPs, ATS Units, AROs, AOs, Slot Coordinator, Airport Managing Body AUP,UUP,CRAM,ADP,ANM CONTACT PERSON: N Ilias TEL: 210 8984 132 210 8984 135 UNIT:HANSA
HUMAN RESOURCES & ECONOMICS DEPT.
DOCUMENT STATUS AND TYPE STATUS Working Draft Draft Proposed Issue Released Issue CLASSIFICATION General Public EATMP Restricted
ELECTRONIC BACKUP INTERNAL REFERENCE NAME: HOST SYSTEM Type: Media Identification: MEDIA SOFTWARE MS WORD 2007
GLOSSARY
ASM/ATFM TERMINOLOGY
ASM ATFM ADJACENT AREA AMON ARCID AOLO CAPACITY, AIM ARO AMC ATOT AUP UUP ATOT CADF CDR CRAM EAUP CIAM CFMU CHMI CFMU AREA CTOT ETOT EOBD EOBT IOBT MONITORING VALUES ATFM MEASURES AOs AIRPORT SLOT ANM ATCFM MESSAGES REGULATION, REGULATED DECLARED, COORDINA LOCAL ATFM REROUTING FSA LEVEL CAPPING RAD REA MESSAGE MILO FLS FUA CBA NOP IFPS CAPACITY LINE CONFIGURATION TIS TRA , TSA RVR SLOT SLOT COORDINATOR TIS TRS CDM TRAFFIC LOAD( TL) TRAFFIC DEMAND (TD) MONITORING VALUES TRAFFIC VOLUME( TVF) TRAFFIC VOLUME MONITORING TACT TRAFFIC FORECAST OUT OF AREA REFERRENCE LOCATION SAM MESSAGE SRM MESSAGE
Contents
GLOSSARY................................................................................................................................................ 3 HANSA PROCESS ON ASM/ATFM OVERSIGHT ........................................................................................ 5 1. General Description of the HANSA ASM/ATFM Functions Oversight Process and Rationale for the HANSA Oversight .............................................................................................................................. 5 2. 3. 4. 5. 6. 7. 8. Brief description of ASM/ATFM functions ...................................................................................... 5 HANSAs competence and authorization in the ASM/ATFM domain .............................................. 5 Relevant Legal Framework and Audit Base.................................................................................... 6 Relevant to ASM/ATFM Documents .............................................................................................. 6 ASM Function .................................................................................................................................. 6 ATFM Function ................................................................................................................................ 7 General description of the ASM function ....................................................................................... 7
Publication of ASM Information ............................................................................................................. 9 Airspace Use Plan (AUP) ......................................................................................................................... 9 Updated Airspace Use Plan (UUP) ....................................................................................................... 10 Electronic Airspace Management Information (eAMI) ......................................................................... 11 9. General description of the ATFM Function................................................................................... 11
Responsibilities of Air Traffic services................................................................................................... 12 Responsibilities of FMPs ....................................................................................................................... 12 Responsibilities of AROs........................................................................................................................ 12 Responsibilities of AOs .......................................................................................................................... 12 ATFCM Messages exchange .................................................................................................................. 13 10. 11. 12. 13. Interoperability Requirements.................................................................................................. 15 HANSA Tools ............................................................................................................................. 16 ATTACHEMENTS ........................................................................................................................ 16 HANSA CHECK-LISTS not attached to this Document ............................................................. 16
HANSA ASM OVERSIGHT PROCESS FLOW CHART ................................................................................. 17 HANSA ATFM OVERSIGHT PROCESS FLOW CHART ............................................................................... 18
In the following texts is described in detail the process that HANSA follows when is going to conduct oversight on ASM/ATFM functions, how HANSA discharges its obligation according to international legislation, as ICAO Annex 11, SES Regulations and specifically EC 1034/2011 , EC1035/2011 551/2004,EU 552/2004 EU 2150/2005 , EC 255/2010 respectively to oversee ASM/ATFM functions( HANSA is only obliged to Oversee the Functions ,according to EC 1034/2011and because they are Functions they are not subject to certification), a brief description of the functions, the relevant legal framework which constitutes the Audit base for those two, the parties which are involved and are subject to HANSA examination, the formal Agreements between the involved parties, the Tools which are used . At the end of the document are attached 2 Flow Charts where the 2 Processes are depicted graphically in steps
2.
ASM and ATFM are two ATS enablers, the functions support and complement the ATS provision and constitute as a whole the ATM function. ASM deals with the airspace structure, the organization and management of the airspace ,the best possible design of the airspace as well as the dynamic use of it through the introduction of FUA concept which enables the optimum utilization and use of it by all airspace users. The ASM also function as a safety barrier and efficiency enabler mainly at organizational ,strategic level, by deconfliction and expedition of the air traffic through optimally designed airspace structures, while at level 2(pre tactical) and level 3(tactical )increases capacity levels. ATFM function was at first introduced by ICAO and today it is enhanced and it became ATFCM. ATFCM function is required to intervene and to balance the existing traffic demand with the existing offered capacity. When traffic demand is higher than the declared capacity or coordinated capacity ATFCM function intervenes and takes measures to restore the imbalance. These measures are taken at 3 levels a)strategic b)pre-tactical c)tactical. ATFCM function also as a safety barrier and efficiency enabler because ATFCM function by taking the proper measures, takes care so that the declared capacity not to be violated and the sector work load not to exceed a certain level and a safety margin.
3.
HANSAs competence and authorization in the ASM/ATFM domain derives directly from EU 1034/2011 as HANSA is nominated by the Greek state as the only oversight Authority in the ATM/ANS domain in Greece.
PD 103/2010 defines that HANSA exercises, beyond any competence referred in this PD 103/2010, any other competence that is delegated to National Supervisory Authorities by the relevant EC legislation. Competent HANSA section for Oversight of ASM/ATFM There is no any particular HANSA section Accountable for the Oversight of ASM/ATFM functions. The duty is shared among HANSA sections and when an Audit is to be conducted is the HANSA Director who takes the decision and authorizes a HANSA employee or a team of employees to Audit the functions, provided they have got the required expertise on ASM/ATFM Domain
4.
For ASM : EU 1034/2011 EC Reg 551/2004,552/2004.,1070/2009, EC Reg 2150/2005 Contractual Requirements(MOU, Civil-Military Agreements), LOAs between ASM and CFMU, Agreements between ASM and Local ATFM-FMP, All Relevant National arrangements and internal procedures AMC(Acceptable Means of Compliance): FUA Community Specification (2009/C 196/05) For ATFM: ICAO Annex 11, Annex 15(AIS), EU1034/2011 EC Reg 255/2010 IR 1033/2006 initial flight plan ,Contractual Requirements,(MOU, Civil-Military Agreements), LOAs between Local ATFM- FMP and CFMU Agreements between ASM and Local ATFM, All Relevant National arrangements and internal procedures
5.
Doc 4444: PANS/ATM Doc 7754: EUR ANP/FASID (Facilities and Services Implementation Document Doc 7030 : EUR SUPPs CFMU Handbook ASM Handbook Eurocontrol FUA Specification AIP Greece
6.
ASM Function
Subject matter and Scope: Entities accountable for ASM/FUA at strategic level Entities accountable for ASM/FUA at pre tactical level Entities accountable for ASM/FUA at tactical level Airspace designers
7.
ATFM Function
Subject matter and Scope: According to EC Reg 255/2010 The regulation shall apply within the airspace referred to in Article1(3) of Regulation (EC) No 551/2004 to: a) all flights intended to operate or operating as GAT and in accordance with the IFR in whole or in part b) all phases of flights referred to in point(a) and ATM
a) Aircraft operators b) ATS units including AROs and aerodrome control services c) AIS services d) Entities involved in ASM e) Airport managing bodies f) The central unit for ATFM (for Safety Oversight is subject to EASA remit) g) Local ATFM units h) Slot coordinators of coordinated airports Entities under the HANSA Remit are: i) j) k) g) ATS units including AROs and aerodrome control services AIS services Entities involved in ASM Local ATFM units
IMPORTANT NOTE: Entities out of the HANSA Scope and Remit are: The AOs, Airport managing bodies, Slot coordinators of coordinated airports, the CFMU, are entities that are out of the HANSA remit and scope, HANSA examines only whether there are formal interfaces, formal agreements, between the aforementioned entities and the entities which are under the HANSA remit
8.
Strategic ASM - Level 1 - National and International Airspace Policy Level 1 Strategic Civil/Military Coordination (Level 1) (ASM Level 1) (Strategic ASM) is the act of defining and reviewing, as required, the national airspace policy taking into account national and international airspace Level 1 consists of a joint civil and military process within a high level civil/military national body (National High-Level Airspace Policy Body - HLAPB), which formulates the national ASM policy and carries out the necessary strategic organisation and planning work, taking into account national and international airspace users requirements. HLAPB can be established at sub-regional level as appropriate (e.g. FAB). HANSA PROCESS ON ASM/ATFM OVERSIGHT
Strategic objectives of the HLAPB are defined in the EUROCONTROL Specification for the application of the FUA Concept (acknowledged by the EC as the Means of Compliance to the FUA Regulation 2150/2005) In addition to the objectives listed above, the ASM Handbook offers more information.. States continually assess their national airspace and route structures. At ASM Level 1, the States determine the working structures for ASM Level 2 and 3, and give them the authority required to carry out their tasks. They lay down procedures to be followed at these pre-tactical and tactical levels and agree on priority rules and negotiation procedures for airspace allocation at ASM Levels 2 and 3. Level 2 Pre-Tactical Civil/Military Coordination (Level 2) (ASM Level 2) (Pre-Tactical ASM) is the act of conducting operational management within the framework of pre-determined existing ATM structure and procedures defined in ASM Level 1 and of reaching specific agreement between civil and military authorities involved. Pre-Tactical ASM - Level 2 - Day-to-Day Allocation of Airspace How to plan the FUA operations? Once the ASM Level 1 has been established and is regularly performing its functions, operational airspace management should be conducted within the framework of the structures and processes defined by a national High-Level Airspace Policy Body. Pre-Tactical ASM Level 2 consists of the day-to-day management and temporary allocation of airspace through national or sub-regional AMCs and in coordination with CFMU. The AMC is a joint civil/military ASM focal point which has the authority to conduct ASM within the framework of the States airspace structures, priority rules and negotiation procedures as laid down by the national HLAPB. AMCs collect and analyz e all airspace requests. After coordination AMCs promulgate the airspace allocation as an Airspace Use Plan (AUP) and changes thereto in an Updated Airspace Use. Plan (UUP). CFMU collects AUPs/UUPs and compiles them into a consolidated list of Conditional Routes availability used by Aircraft Operators (AOs) for flight planning purposes. Level 3 Real-Time Civil/Military Coordination (Tactical Civil/Military Coordination) (Level 3) (ASM Level 3) (Tactical ASM) is the act, on the day of operation, of activating, deactivating or real time reallocating of airspace allocated in ASM Level 2, and of solving specific airspace problems and/or of individual OAT/GAT traffic situations in real time between civil and military ATS units and/or controlling military units and/or controllers, as appropriate. This coordination can take place either in active or passive mode with or without action by the controller. Tactical ASM - Level 3 - Real Time Use of Airspace How to manage FUA in real time?
Now, when the airspace has been temporary allocated at pre-tactical ASM - Level 2, the tactical ASM - Level 3 consists of activation, de-activation or real time reallocation of the airspace allocated at ASM - Level 2 and the resolution of specific airspace problems and/or traffic situations between civil and military ATS units and/or controlling units and/or controllers, as appropriate. Real time access to all necessary flight data, including controller's intentions, preferably with appropriate system support, permits the optimised use of airspace and reduces the need for its segregation
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However, so as to permit manual processing, the CRAM is disseminated in a human-readable format (see Figure 1). As for AUPs and UUPs, different ways of transmitting the CRAM can be used including AFTN and SITA. The NOP portal also displays CRAM information, including a MAP viewer of CDRs available (CDR2) and CDRs closed (CDR1) and/or any other ATS routes closed. In addition, CFMU terminal users are able to directly display and print the CRAM messages. The CRAM is also used by the IFPS for the checking and correction process of Flight Plan Messages (FPMs: RPL, FPL etc.) according to the daily available CDRs. On very rare occasions, a released CRAM message may require updating due to errors or omissions. In such circumstances, the CRAM is amended by issuing a "CRAM Correction" message in the form of an AIM. An example of a fictitious CRAM Correction Message can be seen to the right. In order to respond to the dynamic nature of the CRAM information and to allow an easy access to the daily CRAM for all airspace users and ATS providers concerned, a CRAM Viewer has been developed as an interactive secured world wide web tool. The CRAM Viewer, available via the CFMU web page, is a complementary tool to the other existing means of distribution of CRAM information and adds to this information some user aiding data access functionality including dynamic mapping of the airspace environment.
9.
ATFM function has 3 phases a) The strategic ATFM phase which takes place seven (7) days or more before the day of operation, it contains research, planning ,coordination activities, the outputs of this phase are the capacity plan for the following year, the route allocation plans and set of other plans(scenarios) that can be activated during the next phases b) The pre-tactical ATFM phase which takes place six(6) days before the day of operation, it contains planning and coordination activities, the output of this phase is the ADP(ATFCM Daily Plan) published via ANM (ATFCM Notification Message) and Network News. c) The tactical ATFCM phase which takes place the day of operation, this phase updates the ADP according to the actual traffic and capacity. HANSA PROCESS ON ASM/ATFM OVERSIGHT
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Responsibilities of FMPs
First of all It must be examined by HANSA and ensured that Two H24 FMP positions have been established at ACCs to liaise between ATC,AOs and the FMD It must also be examined if the FMP posts follow the required processes and procedures ,work instructions , which are relevant to their duties as they are described in the relevant Local Manuals and CFMU Manuals, relevant Agreements etc
Responsibilities of AROs
AROs may need to send REA messages on behalf of AOs through ATFN network
Responsibilities of AOs
AOs must comply with the CTOT, in order to do that they must plan the departure of a flight so that the aircraft will be ready for start up to comply with the CTOT taking into account the taxitime shown in the SAM(slot allocation message) HANSA PROCESS ON ASM/ATFM OVERSIGHT
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AOs must use the ATFCM message exchange procedures in order to handle and coordinate revisions to CTOTs with the CFMU. However last minute revisions to CTOTs and slot extensions are more easily and efficiently coordinated when the pilot is in direct communication with the FMP/FMD. AOs must adhere to general ATFCM procedures including flight plan filling and message exchange requirements AOs must adhere to Strategic ATFCM measures including RAD Route Availability Document. AOs must adhere to Current ATFCM measures(specific measures applicable on the day of operation, as promulgated by ANM(ATFCM Notification Message) or by FLS(Flight Suspension Message) AOs must adhere to the CFMU requirement for the modification or delay of EOBT. AOs must follow the correct procedure to obtain approval for the use of STS/ATFMEXEMPTAPPROVED
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When improvement is found is sent a SIP Can be accepted (SPA) or rejected(SRJ) SIP(Slot improvement proposal) Proposal of a better CTOT 2 CTOTS for 1 flight during 15 minutes SPA(Slot Improvement Proposal Acceptance Message) Can be sent by FMP Accept proposed NEW CTOT in SIP SRJ( Slot Improvement Proposal Rejection) Can be sent by FMP Reject proposed NEW CTOT in SIP Original CTOT will be kept REA(Ready to depart Message) Can be sent by FMP Only by ATC At earliest 30 minutes before EOBT MIN LIN EUP Check if R in 5 column RRP(Rerouting proposal) Proposal for a better CTOT via new route 2 CTOTS for 1 flight during 30 minutes Can be accepted(CHG to IFPS) or rejected(RJT) RJT(Rerouting Reject) Can be sent by FMP Reject proposed NEW CTOT in RRP Original CTOT will be kept RRN(Rerouting Notification) Sent to AO during AOWIR SMM(Slot Missed Message)
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It can be sent from an FMP post, it means that the Flight cannot comply with the CTOT and it does not know its new EOBT Note: The CTOT of this flight is given to another flight The Flight which missed the SLOT/CTOT becomes Suspended until the time the AO has sent a new EOBT through DLAor CHG message to IFPS FLS(Flight Suspension Message) The reasons tha a flight is suspended are: SMM not received/DLA FAM not reported as airborne, It is expected a DLA or FCM message FCM RVR unknown FLP Invalid route by IFPS , is required revalidation through CHG message DES(De-Suspension Message The flight is not suspended any more, no regulation for the previously suspended flight ERR(Error Message) Error in message previously sent to ETFMS Not in Message column ANM (ATFCM Notification Message) FCM(Flight confirmation message) It can be sent by FMP It confirms original EOBT It confirms a Regulation Send RVR AIM( ATFCM Information Message)
10.
Interoperability Requirements
The frame-work Regulation EC 549/2004 makes the distinction between services and functions. Under art. 2 of this Regulation the air-traffic flow management (ATFM) and air-space management(ASM) are explicitly defined as functions. Following the same article of frame-work Regulation a pan European provider of the ATFM and ASM functions is not an air navigation service provider. Therefore its EATMN systems are exempted from conformity assessment tasks as foreseen by article 6 of Interoperability Regulation EC 552/2004. HANSA PROCESS ON ASM/ATFM OVERSIGHT
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From the other hand the functions of ASM and ATFM in ANNEX I of the EC 552/2004 on Interoperability defined as systems for which should be applied the essential and specific requirements as described in ANNEX II of those Regulation. Therefore given that there is no legally established or captured international practice (4th meeting NCP-IOP-WG) regarding the issue of the related certificates DoC/DoS and DoV , we consider that we must take into account the CATF GUI-137 of Eurocontrol. \ According to the above guidance material systems (1) & (2) of the EC 552/2004 are pan-European systems, and for that reason exempt from compliance Notwithstanding the foregoing, HANSA oversight the local compliance with the essential and specific requirements according to EC 552/2004 For the examination of the interoperability requirements on ASM/ATFM HANSAs Interoperability section has developed and uses specific for IOP- ASM compliance checks lists
11.
HANSA Tools
HANSA ASM /ATFM Oversight Process HANSA check lists HANSA has developed check lists for ASM/ATFM functions which derive from the relevant examined Audit base( specifically EU Reg 255/2010,2150/2005,the existing contractual requirements, relevant national legislation and national internal procedures and arrangements etc) Manuals and Guidance Material relevant to ASM/ATFM functions Eurocontrol Manuals on ASM Eurocontrol Manuals on ATFM AMC-Acceptable Means of Compliance Eurocontrol Specification on the FUA
12.
ATTACHEMENTS
HANSA ASM OVERSIGHT PROCESS FLOW CHART HANSA ATFM OVERSIGHT PROCESS FLOW CHART
13.
HANSA ASM check list HANSA ATFM check list HANSA ASM check list relevant to IOP
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TRIGGERS :
FUNCTIONAL AREAS
ENTITIES INVOLVED IN ASM LEVEL 1 (Strategic) (NATIONAL HLARB, every entity involved in strategic activities)
ISSUES EXAMINED (ASM Policy, Airspace Design, Procedures set up and review for Levels 2 and 3, Priority Rules& Negotiation Procedures for Airspace Allocation, consultation Meetings with the Airspace users, Agreements between Civil and Military Authorities)) ENTITIES INVOLVED IN ASM LEVEL 2 : AMC-Airspace Management Cell ISSUES EXAMINED ( If the prescribed from EC Regulations, National Law, Internal Procedures, Contractual Requirements are Followed & the expected outputs and outcomes are produced(AUP,UUP,CRAM in a timely manner, LOAs) ENTITIES INVOLVED IN ASM LEVEL 3 : Operational Units ISSUES EXAMINED If and How the Airspace is allocated to interested Airspace Users in every day Operations
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TRIGGERS :
FUNCTIONAL AREAS : ENTITIES INVOLVED IN ATFM WHITHIN THE SCOPE OF HANSA ARE: Local ATFM units, FMP posts, AIS, ATS units including AROs ISSUES EXAMINED : If they are followed the relevant to ATFM requirements and if they are produced the required objectives ,outputs and outcomes CONTEXTUAL FUNCTIONAL AREAS : ENTITIES INVOLVED IN ATFM OUT OF HANSA SCOPE They are not examined by HANSA, is only examined if there are the required formal interfacesagreements between those entities and the entities under HANSA scope
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