DLM 0607 001 02 00aaa

SESAR Definition Phase - Deliverable 2
Air Transport Framework
The
Performance
Target
D2
DLM-0607-001-02-00a December 2006
December
2006
Issued by the SESAR Consortium for the SESAR Definition Phase Project co-funded by the European Commission and EUROCONTROL
SESAR Definition Phase - Milestone Deliverable 2
Preface.......................................................................................005
Short-Term Improvements Baseline.............................063
Table Of Contents
4.1 Short-term Context............................................................063

Executive Summary................................................................006
1
Introduction ........................................................................012
The 2020 Vision Of The Air Transport Industry .........014
4.2 Capacity ...........................................................................064

4.2.1 Airspace ..............................................................................064
4.2.2 Airport.................................................................................065
4.3 Efficiency & Predictability...................................................066
2.1 Introduction ......................................................................014
4.3.1 Airspace ..............................................................................066

4.3.2 Airport.................................................................................066
2.2 Societal Expectations & Needs ...........................................016
4.4 Cost Effectiveness.............................................................067
2.3 Vision of Air Transport in 2020...........................................017
4.5 Interoperability ..................................................................068
2.3.1 Market Development ............................................................017

2.3.2 The Air Space Users Value Chain ..........................................019
2.3.3 Airspace Users Requirements for Air Traffic Services
from the ATM System ..........................................................021
4.6 Safety...............................................................................068
4.7 Environment......................................................................069
4.8 Security ............................................................................070
2.4 Vision of the Future Management Framework

of the European ATM System for 2020...............................024
2.4.1 Overview .............................................................................024
2.4.2 Business Management Framework of Future ATM System......024
2.4.3 ATM Institutional & Regulatory Framework.............................032
2.4.4 Subjects of Common Interest................................................035
4.9 Expected Performance Improvements.................................071

4.10 Conclusion ......................................................................072
5
Principles for the Way Forward To 2020.....................073

5.1 Introduction ......................................................................073
Performance Framework And Targets.........................041
5.2 The Societal Expectations of ATM.......................................073

5.2.1 The Environmental Aspects of ATM .......................................073
5.2.2 The Security Aspects of ATM ................................................074
3.1 Introduction ......................................................................041

3.2 Application of a Performance-Based Approach ...................042
5.3 The Performance Framework .............................................074
3.2.1 Background on ICAO Approach.............................................042

3.2.2 European Context ................................................................044
3.2.3 SESAR Performance Framework ...........................................044
5.4 The ATM Business Management Framework .......................075

5.5 The ATM Institutional & Regulatory Framework ...................076
3.3 A Vision for Improved Performance Levels ..........................049
5.5.1 The ATM Institutional Framework - The Joint Undertaking ......076

5.5.2 The Regulatory Framework of ATM........................................077
5.5.3 The Safety Legislative/Regulatory Framework of ATM.............078
3.4 Initial Indicative Strategic Design Performance Objectives

and Targets.......................................................................049
3.4.1 Cost Effectiveness................................................................050
3.4.2 Capacity ..............................................................................051
3.4.3 Efficiency.............................................................................052
3.4.4 Flexibility .............................................................................053
3.4.5 Predictability........................................................................054
3.4.6 Safety .................................................................................055
3.4.7 Security...............................................................................056
3.4.8 Environmental Sustainability .................................................057
3.4.9 Access and Equity................................................................059
3.4.10 Participation ......................................................................060
3.4.11 Interoperability ...................................................................061
5.6 Subjects of Common Interest .............................................079

5.6.1 The ATM Standardisation Process .........................................079
5.6.2 The ATM Financing Aspects..................................................079
5.7 The Future Architecture of ATM..........................................081

5.7.1 Principles for the Future ATM Architecture.............................081
5.7.2 Safety Approach to the SESAR Architecture Activities .............081
5.7.3 Performance Requirements ..................................................081
5.8 The Role of the Human in ATM ..........................................082

5.8.1 Social Factors and Change Management ..............................083
5.8.2 Human Factors ....................................................................084
5.8.3 Recruitment, Training, Competence and Staffing ....................085
3.5 Conclusions ......................................................................062

6
List of References.............................................................086
List of Abbreviations and Terminology ........................087
List of Figures & Tables...................................................093
Annexes.....................................................................................094
ANNEX I - Solution Risks ..........................................................094
ANNEX II - Specific Process Assessment in D2..........................096
December
2006
003
The SESAR Consortium joins the forces and expertise of 29 companies

and organisations together with 20 associated partners: from Airspace Users,
Air Navigation Service Providers, Airports, Supply Industry and many others,
including Safety Regulators, Military, Pilots & Controllers Associations and
Research Centres as well as significant expertise
from EUROCONTROL.
December
2006
Preface
The SESAR programme is the European Air Traffic
Management (ATM) modernisation programme. It will
combine technological, economic and regulatory
aspects and will use the Single European Sky (SES)
legislation to synchronise the plans and actions of the
different stakeholders and federate resources for the
development and implementation of the required
improvements throughout Europe, in both airborne
and ground systems.
The first phase of SESAR, the Definition Phase, is cofunded by EUROCONTROL and the European
Commission under Trans European networks. The
products of this Definition Phase will be the result of a
2-year study awarded to an industry wide consortium
supplemented by EUROCONTROLs expertise. It will
ultimately deliver a European ATM Master Plan covering the period up to 2020 and the accompanying
Programme of Work for the first 6 years of the subsequent Development Phase.
The SESAR Definition Phase will produce 6 main
Deliverables over the 2 years covering all aspects of
the future European ATM System, including its supporting institutional framework. The scope of the 6
Deliverables (Dx) are:
D1: Air Transport Framework The Current
Situation
D2: Air Transport Framework The Performance
Target
D3: Definition of the future ATM Target Concept
D4: Selection of the Best Deployment Scenario
D5: Production of the ATM Master Plan
D6: Work Programme for 2008 -2013
The SESAR Consortium has been selected to carry
out the Definition Phase study, which for the first time
in European ATM history has brought together the
major stakeholders in European aviation to build the
ATM Master Plan. The SESAR Consortium draws
upon the expertise of the major organisations within
the aviation industry. This includes Airspace Users, Air
Navigation Service Providers (ANSPs), Airport
Operators and the Supply Industry (European and
non-European), plus a number of Associated Partners,
including safety regulators, military organisations, staff
associations (including pilots, controllers and engineers) and research centres which work together with
the significant expertise of EUROCONTROL. This is
considered to be a major achievement.
The second Deliverable, D2, has been produced in

accordance with its Milestone Objective Plan (MOP)
[Ref 1] and the inputs of the eighteen Task deliverables
which are providing the substantiating information and
which are identified within the SESAR Work
Breakdown Structure. It is subsequently approved and
accepted by all project Participants.
The SESAR Consortium members:
AEA (Association of European Airlines), ADP (Aroports de
Paris), AENA (Aeropuertos Espanoles y Navegacion
Area), AIRBUS, Air France, Air Traffic Alliance E.I.G /
G.I.E, Amsterdam Airport SCHIPHOL, Austro Control
GmbH, BAA (British Airports Authority, BAE Systems, DFS
Deutsche Flugsicherung GmbH, Deutsche Lufthansa AG,
DSNA (Direction des Services de la Navigation Arienne),
EADS (European Aeronautic and Space Company), ENAV
S.p.A. (Societ Italiana per l'Assistenza al Volo), ERA
(European Regions Airline Association), FRAPORT, IAOPA
(International Council of Aircraft Owner and Pilot
Associations), IATA (International Air Transport
Association), Iberia, INDRA Sistemas SA, KLM (KLM
Royal Dutch Airlines), LFV (Luftfartsverket), LVNL
(Luchtverkeer Nederland), Munich International Airport,
NATS (National Air Traffic Services), Navegaao Area de
Portugal (NAV), SELEX Sistemi Integrati, THALES ATM,
THALES AVIONICS.
The SESAR Associated Partners:
ATC EUC (Air Traffic Controllers European Unions
Coordination), Boeing, CAA UK (Civil Aviation Authority
UK), ECA (European Cockpit Association), ETF (European
Transport Workers Federation), EURAMID (European
ATM Military Directors), IFATCA (International Federation of
Air Traffic Controllers Associations), IFATSEA (International
Federation of Air Traffic Safety Electronics Association),
Honeywell, Rockwell-Collins, Dassault (representing
EBAA). Research Centres: AENA (Aeropuertos Espanoles
y Navegacion Area), DFS Deutsche Flugsicherung
GmbH, DLR (Deutsches Zentrum fr Luft und
Raumfahrt), DSNA (Direction des Services de la
Navigation Arienne), INECO (Ingenieria y Economia del
Transporte, S.A.), ISDEFE (Ingenieria de Sistemas para la
Defensa de Espana), NLR (Stichting Nationaal Lucht-en
Ruimtevaartlaboratorium), SICTA (Sistemi Innovativi per il
Controllo del Traffico Aereo), SOFREAVIA (Socit
Franaise dEtudes et de Ralisations dEquipments
Aronautiques).
December
2006
005
Executive Summary
I
Air Transport - a continuously growing

demand facing challenges
Air Transport is a vital element of peoples lives around the world.

It stimulates national economies, global trade and tourism. It
brings people together, face to face, as friends & families and facilitates business opportunities. It responds to these human needs
as no other manner of communication can. This is the main reason, together with the expected increase of the worldwide Gross
Domestic Product (GDP), for a sustainable growth demand in Air
Transport. Furthermore the military element of air transport
enables States to support their defence and security policies.
As a result of the growing GDP, the annual European traffic
demand - if unconstrained - is forecast to reach at least 18 Million
IFR (Instrument Flight Rules) flights by 2020. All existing civil airspace users segments are expected to grow in volume but the
composition of the market segments will change due to access to
air transport being affordable to all citizens. The military volume of
traffic will remain stable but new generation of aircraft with increased capabilities will need access to larger blocks of airspace. In
addition new types of air vehicles will emerge such as Very Light
Jets (VLJs) and Unmanned Aerial Vehicles (UAVs).
I
European Air Traffic Management System operating close to its limit
These market developments are challenged by two main factors:

The current Air Traffic Management (ATM) System was
designed decades ago and is based on an operational concept
and technologies which are reaching their limits.
The existing airport infrastructure cannot fully accommodate
the increasing demand. While this could be partially mitigated
by e.g. the use of secondary airports and an intermodal
transport system, additional airport infrastructure will still be
required.
December
2006
006
SESAR - Key for Success
In response to the ATM challenge, the European Commission (EC)

launched the SESAR programme, with the objectives, as expressed by Vice-President Jacques Barrot, to achieve a future
European ATM System for 2020 and beyond, which can, relative
to today's performance:
Enable a 3-fold increase in capacity which will also reduce
delays, both on the ground and in the air,
Improve the safety performance by a factor of 10,
Enable a 10% reduction in the effects flights have on the
environment and
Provide ATM services at a cost to the airspace users which is
at least 50% less.
I
ATM - SESAR Vision
The SESAR Milestone Deliverable D1 concluded that

Business as usual is not an option.
The proposed SESAR Vision is to achieve a performance
based European ATM System, built in partnership, to best
support the ever increasing societal and States, including
military, expectations for air transport with respect to the
growing mobility of both citizens and goods and all other
aviation activities, in a safe, secure, environmentally sustainable and cost-effective manner.
Central to achieving this Vision, is the concept of placing the best
overall outcome of individual flights at the heart of the ATM network. The SESAR Vision is dependent upon three distinct ATM frameworks, to which all stakeholders have to commit and operate :
The Performance Framework
The Business Management Framework
The Institutional and Regulatory Framework.
The Performance Target

The Performance Framework

An ATM performance based approach is considered essential to
drive management decisions towards achieving the Vision.
The present air traffic service performance assessment mainly
addresses the performance of ANSPs. As this structure has proven its value, it can form the basis for the evolutionary development of a Performance Framework extended to include all ATM
stakeholders.
Four KPAs, directly linked to EC objectives and the achievement of

the proposed SESAR Vision are described below.
The other seven KPAs (Efficiency, Flexibility, Predictability, Security,
Access and Equity, Participation, Interoperability) are addressed in
Chapter 3 of this document.
Security
Access/Equity
Safety
Capacity
Predictability
FUTURE
EUROPEAN
ATM SYSTEM
Cost Effectiveness
Participation
Efficiency
Interoperability
LEGEND
Environment
Flexibility
Baseline 2006
Observed Year x
Target 2020
I l l u s t r a t i o n o f K PA s P e r f o r m a n c e Ta r g e t s D e v e l o p m e n t
The SESAR Consortium has started to address the definition of the
2020 performance by setting initial targets. These will be continuously refined within the lifetime of the ATM Master Plan.
I
The ATM Performance Targets for 2020
The KPA targets represent initial indicative values (working

assumptions), subject to further analysis and validation. All KPAs
are interdependent and will be the basis for impact assessment
and consequent trade-off analysis for decision-making in the subsequent SESAR Milestone Deliverables.
ATM performance covers a very broad spectrum of aspects, which

are represented through eleven Key Performance Areas (KPAs).
The diagram below is illustrative of the KPAs and how they could
develop towards the 2020 targets.
December
2006
007
Capacity - Traffic will grow.

In accordance with the political vision and goal, the ATM target
concept should enable a 3-fold increase in capacity which will
also reduce delays, both on the ground and in the air (en-route
and airport network), so as to be able to handle traffic growth well
beyond 2020.
The deployment of the ATM target concept should be progressive,
so that only the required capacity is deployed at any time.
The target for Capacity deployment is that the ATM System can
accommodate by 2020 a 73% increase in traffic from the 2005
baseline, while meeting the targets for safety and quality of service KPAs (Efficiency, Flexibility, Predictability).
Safety - Proactively manage safety

with the goal of no ATM related accidents.
The SESAR safety performance objective builds on the
ATM2000+ Strategy objective: "To improve safety levels by ensuring that the numbers of ATM induced accidents and serious or
risk bearing incidents (includes those with direct and indirect ATM
contribution) do not increase and, where possible, decrease".
Considering the anticipated increase in the European annual traffic volume, the implication of the initial safety performance objective is that the overall safety level would gradually have to
improve, so as to reach an improvement factor of 3 in order to
meet the safety objective in 2020 (based on the assumption that
safety needs to improve with the square of traffic volume
increase).
In the longer term (design life of the concept) safety levels would
need to be able to increase by a factor 10 to meet a possible
threefold increase in traffic.
December
2006
008
Environment - ATM will deliver its

maximum contribution to the environment.
As a first step towards the political objective to enable a 10%
reduction in the effects flights have on the environment:
Achieve the implicit emission improvements through the
reduction of gate-to-gate excess fuel consumption addressed
in the KPA Efficiency. However no specific separate target
could be defined at this stage for the ATM contribution to
atmospheric emission reductions.
Minimise noise emissions and their impacts for each flight to
the greatest extent possible.
Minimise other adverse atmospheric effects to the greatest
extent possible. Suitable indicators are yet to be developed.
The aim is that all proposed environmentally related ATM
constraints would be subject to a transparent assessment with
an environment and socio-economic scope; and, following this
assessment the best alternative solutions from a European
Sustainability perspective are seen to be adopted.
Local environmental rules affecting ATM are to be 100%
respected (e.g. aircraft type restrictions, night movement
bans, noise routes and noise quotas, etc.). Exceptions are only
allowed for safety or security reasons.
Cost-Effectiveness Halve the total direct

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

This Performance Framework provides a common basis to

ensure the effectiveness of the ATM System and links the other
two ATM frameworks - the Business Management Framework
and the Institutional and Regulatory Framework together which
are balancing general public and industry interests in a dynamic

working relationship, that addresses how the safety, security,
environmental, design and financial aspects are managed and
regulated.
FUTURE
EUROPEAN
ATM SYSTEM
Governance
Structure
at Societal Level
Institutional
& Regulatory
Framework
Dynamic
Working
Relationship
Governance
Structure
of the Business
Business
Framework
Performance
Framework
F u t u r e E u r o p e a n AT M S y s t e m
The ATM Business Management Framework

Its objective is to ensure that new Operational Concept will be fully
implemented in a consistently organized manner throughout all
phases of the European ATM System lifecycle, including ATM strategic planning starting with the ATM Master Plan.
In order to achieve this objective the stakeholders, including airspace users, airport operators and air navigation service providers
(ANSPs) will have to establish an ATM Performance Partnership.
This will define roles and responsibilities based on a shared set of
values, priorities, and network interactions.
In particular joint decision-making and coordinated business planning must be the basis of the ATM Master Plan, the economic and
financial analysis of the ATM Master Plan. The introduction of this
framework represents a paradigm shift for each stakeholder from
the present fragmented decision making process to the execution
of a common ATM strategic planning.
In the ATM Performance Partnership, Functional Airspace Block

(FAB) initiatives are strongly supported and seen as one of the
main vehicles to improve ATM performance, reducing the impact
of fragmentation on the cost of air traffic service provision. These
will initially develop through regional arrangements between
States and ANSPs and lead to further ANSP cooperation, alliances
or mergers, including the appropriate regulatory structures.
The financing and funding of the future ATM System will depend
upon the options chosen for the business model of the ATM
Performance Partnership, while avoiding an increase in the unit
rate due to peak investment costs. Several options are to be studied to support the transition, from a fully capital market driven
pre-financing scheme to a reasonable mix between charging
scheme and financial market pre-financing, including possible
Public Private Partnership (PPP) models.
December
2006
009
The ATM Institutional and Regulatory Framework

Its objective is to ensure societal expectations are met and to
enable the development, operation and growth of a sustainable
European air transport system, through the Business Framework.
It needs to have a simple and well-structured set of regulations
and regulatory actions allocated at global, European or national
level, whilst continuing to rely on Member States for enforcement.
It will respond to States requirements and work closely with industry to ensure rules are fair, proportionate and to safeguard a level
playing field.
The SESAR Joint Undertaking (JU), as the first European ATM PPP,
is seen as an important move forward and an initial step to
manage the development of SESAR. It is considered as an initial
structure capable of maintaining the ATM Master Plan, managing
the R&D programme of technical activities, and monitoring its
deployment.
The ATM Institutional and Regulatory Framework has to be flexible
so it easily adapts to business and societal changes. Although outside the scope of the SESAR project, the modernisation of this framework is considered to be urgent by the industry.
Improved Operations to meet the Performance Targets

New Operational Concept - The Goal
It has been acknowledged that the primary objective of the
Concept is to get the best overall outcome for a flight this characteristic of the Concept is referred to as the Business
Trajectory.
The Business Trajectory is the representation of an airspace
users intention with respect to a given flight. It is aimed at guaranteeing the best outcome for the flight as seen from the airspace
users perspective. At the airspace users discretion this outcome
may be with respect to the minimum time for the flight, the minimum cost, or any other characteristic of the trajectory. Although
perhaps not as obvious as for commercial airlines, business aviation, general aviation and the military also have their own business intention. The emphasis is on intention and naturally, all
must be carried out in a manner which guarantees the safety of
life and takes into account the need to meet environmental and
security requirements.
It is the basis for all partners in the ATM System design, planning
and operation to enable the optimal performance of the flight,
resulting in optimization of the whole European network performance.
The notion of a business trajectory will be used, replacing the flight
plan in use today. The business trajectory is based on a 4-D flight
trajectory supplemented with additional information describing the
business attributes of the flight, under the overall coordination of
a network wide traffic management.
The performance of the future ATM System will then be built
around delivery of air traffic services which enable these trajectories, with all partners in ATM working to a common time reference
and a common set of values and goals. The functional design of
the System will have a coherent system-wide information management to facilitate the collaborative decision-making. The System
will deliver air traffic services, which allow seamless en-route-toDecember
2006
010
en-route operations, integrating gate-to-gate performance and the

airport turn-around process for best overall ATM System performance.
The future ATM System will be designed and operated to provide
a quality of service, which maximises predictability and minimises
the amount of variability within the constraints of the available
infrastructure.
Short term Improvements first step in the

right direction
The first SESAR Milestone Deliverable (D1) identified the most
relevant blocking points in the airspace and airport areas for which
promising and mature initiatives have been further analysed.
For Cost-effectiveness and Capacity these initiatives appear
to have the potential for operational savings of approximately
0.5-1 Billion/year by increasing capacity. At least one third is
derived from a more efficient use of existing airspace and airport
resources.
The recommended short term improvements will be significant for
the medium fast growing airports. The large European airports
have already implemented these solutions and should look at
more efficient use of Collaborative Decision Making (CDM) to
enhance capacity under all conditions. Some short term improvement at some locations might be difficult to achieve due to local
political considerations.
Safety Meeting the challenge of maintaining and where possible improving safety levels in the short term will require the
deployment of a consistent approach to improving safety management in Europe. The European Safety Programme is considered to
be the most suitable vehicle to generate the necessary changes.
This is to be complemented on the airport side with the
Implementation of Advanced Surface Movement Guidance and
Control Systems (A-SMGCS) coordinated with the European Action
Plan for the Prevention of Runway Incursions.

Environment abatement procedures and techniques, based

on existing technical enablers in current aircraft should be further
implemented to improve flight efficiency and help to minimise
aviations impact footprint. It is essential that stakeholders are
seen to adopt and deliver challenging and robust environmental
sustainability policy. At airports in particular, a more pro-active
approach is expected, including adoption of Collaborative
Environmental Management (CEM) process between ANSPs, users
and airport operators, and supported by effective engagement
with local communities.
Security Improvements will be achieved through the collaborative support of the ATM System with relevant civil and military
authorities, using agreed information and communication technology security components. The NATO/EUROCONTROL ATM
Security Coordination Group (NEASCOG) has set up a Programme
of Work to enhance ATM Security including several actions applicable for the short-term.
The Role of the Human in ATM

Irrespective of any future vision the human will remain the most
flexible and creative element to direct the performance of the overall ATM System including the management of threats, errors and
unpredictable events. In order to meet the challenge of the performance objectives of the future ATM System, the Concept of
Operations will evolve and will benefit from greater support from
automation and an increased integration of airborne and ground
capabilities.
It is identified that the changes in the operation of the future ATM
System will involve a change in the human roles which requires an
extensive change management process that integrates Human
Factors, Social Dialogue and all relevant aspects of recruitment,
training, competence verification and staffing proactively and
throughout the entire process of system development, design and
implementation.
The European Civil Aviation Sectorial Social Dialogue Committee is

considered as a first promising step to have a European social dialogue, which could be expanded to cover more social provisions by
way of collective agreements if social partners (at European level)
so desire.
Continuous social dialogue between management and operational
staff at a working level should be established as one important
means in an advanced change and transition management process to identify and address the social impacts of introduced
changes. A better awareness and understanding of the Social
Dialogue practices and processes can be created. Its effectiveness
and impacts on ATM performance should be further investigated
during the SESAR Development and Deployment Phase.
Conclusions
For the long-term economic development of Europe and its air
transport system, States and the European air transport industry
stakeholders must adopt the Vision and agree on the ATM System
performance targets to meet the expectations. This will require the
commitment and support of all stakeholders and a willingness to
participate in emerging new structures.
It is anticipated that growth at some high-density airports will be
limited, despite operational mitigations to improve their utilisation.
Therefore additional airport infrastructure will be required for
Europe to maintain its competitiveness.
The present European air traffic service provision must transition
towards a performance-based approach. A firm ATM Performance
Partnership is essential, in which all stakeholders have the shared
understanding of the need to optimise collectively the ATM System
performance and agree on targets and trade-offs. For example the
effectiveness of SESAR will be critically dependent on reinforcing
that air traffic management is an integral part of airspace users
and airport operators businesses.
The European air transport industry must act collectively, on environmental sustainability. Moreover the ATM Partners, must foster
their contribution to the protection of the environment by considering noise and atmospheric impacts. It is vital that sustainability is
woven into ATM decision making. Present efforts of the European
Air Transport Industry on improving environmental efficiency
should be accelerated by implementing all relevant measures
rapidly.
The Business Trajectory concept will ensure the best outcome for
all individual flights; all stakeholders have to acknowledge their
responsibility towards the enabling of an effective operation of the
ATM System, including the safety, environmental sustainability and
security aspects associated with the transportation of public and
goods and all aeronautical activities.
Performance Partnership is Key!
December
2006
011
1 Introduction
The SESAR Milestone deliverable D1 identified the Air Transport
Framework - The Current Situation and concluded that the
nature and scope of the European ATM System had to change. It
recommended that all ATM aspects throughout the wider air transport industry should be brought together to function as one system and be managed by one management framework as shown
AIRSPACE
USERS
ATM ASPECTS
OF AIRSPACE
USERS
Systems architecture and the information needed to flow between

them [Ref.21]. The management framework is defined to be the
outline structure needed to coherently and consistently manage all
of the aspects needed to make it perform as a single ATM System
in the widest sense.
It means bringing those aspects of ATM, which exist today in the
FUTURE
EUROPEAN
ATM SYSTEM
AIR NAVIGATION
SERVICE
PROVIDERS
AIRPORTS
ATM
ASPECTS OF
AIRPORTS
NON-EUROPEAN
ASPECTS OF
ANSPs
F i g u r e 1 - 1 O u t l i n e o f t h e f u t u r e f r a m e w o r k f o r t h e E u r o p e a n AT M S y s t e m
in Figure.1-1. This fundamental conclusion from D1 and the associated recommendations made within it form the basis from which
D2 has been developed.
Air Transport Framework The Performance Target (the
SESAR Milestone Deliverable D2) provides the economic outlook
for the air transport industry in 2020 with an associated vision
how this outlook will shape the future European ATM System to
meet the performance required for 2020 and beyond.
scope of the airspace users and airports industries into one system and one management framework. This management framework will require governance arrangements to achieve a balance
between the growing needs of the aviation industry and respecting
the needs of society as a whole. These governance arrangements
will consist of a representation from all major stakeholder groups,
including State/Governmental bodies as appropriate.
The ATM System covers specifically the operational and technical

aspects, including the principal functional elements making up the
December
2006
012

It is proposed that the management framework covering the future

European ATM System is explicitly partitioned into a business
management framework and an institutional/regulatory management framework, both of which operate according to the same
overall performance framework as shown in Figure 1-2. However,
a Dynamic Working Relationship should exist between the
management frameworks, not only to ensure the appropriate
transparency of their activities, but also to facilitate them underta-
Chapter 4 SHORT-TERM IMPROVEMENTS BASELINE identifies

and recommends short-term improvements (in the timescale between 2008 and 2013). These short-term improvements respond
to some of the weaknesses of the current ATM System, which
were identified in D1. They will be harnessed and used to inform
and scope the more rigorous assessment of on-going initiatives
which will be included in the SESAR milestone deliverable D4.
Chapter 5 PRINCIPLES FOR THE WAY FORWARD TO 2020 iden-
FUTURE
EUROPEAN
ATM SYSTEM
Governance
Structure
at Societal Level
Institutional
& Regulatory
Framework
Dynamic
Working
Relationship
Governance
Structure
of the Business
Business
Framework
Performance
Framework
F i g u r e 1 - 2 R e l a t i o n s h i p b e t w e e n I n s t i t u t i o n a l / R e g u l a t o r y, B u s i n e s s & P e r f o r m a n c e F r a m e w o r k s
king co-operative working practices that are driven by the common aim of realising benefits for the air transport industry and the
European society as a whole.
The structure of this document is as follows:

Chapter 2 THE 2020 VISION OF THE AIR TRANSPORT INDUSTRY identifies and characterises the vision of the Air Transport
Industry in 2020 and the framework for the future European ATM
System. This vision addresses the business management aspects,
the institutional/regulatory aspects and provides an outline of the
organisational arrangements, which link the principal management functions to be performed within and between these two
main areas.
Chapter 3 PERFORMANCE FRAMEWORK AND TARGETS characterises in detail the performance framework, which will be used
to define, measure and manage the performance of the future
ATM System. This includes the definition of the performance targets, which will be used to scope the design of the future ATM
System, especially the future Target Concept.
tifies a number of principles, guidelines and aspects of best practice which are associated with the major subject areas. These will
be used to steer, govern, enable and/or direct the design and
development of the future ATM System framework. They have
been derived from the strengths of the current situation as identified in D1 and are considered to be qualitative requirements which
shall be taken forward for consideration in the future.
Notwithstanding the snapshot of the current situation described in
D1 as well as the vision and, plus performance targets, outlined in
this D2 document, it is acknowledged that very few of the envisaged change proposals can take place, nor most of the major benefits can be realised without a significant, coherent change and
continuous political will to deliver it throughout Europe today. This
is needed to make some fundamental changes to the governance
structures and, the values, which steer the approach taken to
making decisions about air transport, and the way in which air
traffic is managed at present.
December
2006
013
2 The 2020 Vision of

the Air Transport Industry
2.1 Introduction
The air transport industry aims to meet the needs of other industries and society as a whole by offering products and services,
which facilitate achieving mobility by air. Figure 2-1 shows this
relationship in very simple terms, together with its ensuing relationship with the future European ATM System. Overall the ATM
System aims to meet the needs of all airspace users and airport
Societys
needs & expectations
of the AIR TRANSPORT
INDUSTRY
beyond, together with a vision for the future European ATM System
to accompany it. Throughout the description of these visions the
binding thread will be the:
1 - Notion of the demand for and supply of air traffic services
(as depicted in outline terms in Figure 2-2).
Products offered to
society by the
AIR TRANSPORT INDUSTRY
to meet needs &
expectations
SOCIETY
AIR TRANSPORT
INDUSTRY
FUTURE
EUROPEAN
ATM SYSTEM
Air Transport Industry s

needs & requirements
of the FUTURE EUROPEAN
ATM SYSTEM
ATM services delivered

by the FUTURE EUROPEAN
ATM SYSTEM to meet
needs & requirements
F i g u r e 2 - 1 P r i n c i p a l r e l a t i o n s h i p s b e t w e e n S o c i e t y, A i r Tr a n s p o r t I n d u s t r y a n d AT M S y s t e m
December
2006
014
operators by supplying services, which expedite the safe and efficient movement of aircraft throughout the airspace and airports
infrastructure.
2 - Conduct of ATM in accordance with the seven ATM

Operational Concept Components defined by ICAO
[Ref.21].
In this chapter a brief outline of societys future needs and expectations of the air transport industry is given. This is followed by the
outline of a vision for the air transport industry in 2020 and
3 - Whole being driven by an ATM performance framework

based upon the eleven key performance areas (KPAs) as
defined by ICAO [Ref.21].

DEMAND FOR CAPACITY

OF AIRPORT INFRASTRUCTURE
PROVISION
OF AIRPORT INFRASTRUCTURE
AIRSPACE
USERS
AIRPORTS
DEMAND FOR
CAPACITY OF AIRSPACE
& PROVISION OF AIR
TRAFFIC SERVICES
SUPPLY OF
AIRSPACE CAPACITY &
AIR TRAFFIC SERVICES
DEMAND FOR
PROVISION
OF AIR TRAFFIC
SERVICES
FUTURE EUROPEAN
ATM SYSTEM
AIR NAVIGATION
SERVICE
PROVIDERS
F i g u r e 2 - 2 O u t l i n e o f P r i n c i p a l R e l a t i o n s h i p s w i t h E u r o p e a n AT M S y s t e m
Figure 2-2 shows the principal relationships between the airspace
users, airport operators and the future provision of air traffic services from the ATM System. The relationship is dictated by an ATM
business model, which is derived from the models of the individual
stakeholders models and where joint decisions are required regarding the performance of the ATM System. Airspace users place
demand for capacity upon airports in terms of the infrastructure
(e.g. runways and terminal facilities). Airport operators provide the
airspace users with the amount of infrastructure they can supply.
Airspace users place the demand for the capacity of airspace
upon the ATM System and, together with the airport operators, the
demand for the provision of air traffic services as a whole. The
ATM System supplies the access to airspace in conjunction with
the provision of the appropriate air traffic services with the principal aim of maximising the use of the available infrastructure in the
most efficient and cost effective manner to the benefit of all the
stakeholders. In addition, common challenges such as safety,

environment, and security require an ATM partnership within a
supportive and harmonising framework in order to deliver the most
cost effective solutions and avoid unnecessary constraints. It is
this tripartite relationship, which will form the basis of the vision
for the future European ATM System.
The vision for the management framework of the future European
ATM System will develop the relationship shown in Figure 1-2,
addressing explicitly the business and institutional/regulatory
aspects. Whilst SESAR is addressing the institutional and regulatory aspects of ATM, it must be remembered that almost all
aspects of the air transport and wider aviation industry are subject
to regulation in a variety of forms. The overall aim is to maintain
coherence with these, where appropriate.
December
2006
015
2.2 Societal Expectations and Needs

Today, aviation is a fundamental pillar of global society. Societys
expectations from aviation are, therefore, not only to achieve greater mobility through the provision of safe and environmentally
acceptable air transport services, but to achieve greater global
stability in terms of peace and security, whilst allowing, in principle, access to all through the promotion of all forms of aviation to
achieve a higher quality of life. This encompasses not only those
who have a commercial interest in providing air transportation
means, but also military organisations who have an obligation to
provide defence and security services and those who wish to pursue aviation related activities for increasing knowledge, leisure
and enjoyment.
Global Trends
Trends in Europe
Growth in GDP
Average of ~3.5% per annum
Rate highest for developing economies un Asia
Mobility demand & modal spilt

Share of passenger air traffic expected to increase
from 8% in 2000 to 11% in 2020
Demographics of Population
Major proportion of people living in cities
Average age increasing
Revenue Passenger Kilometers (RPK)

Expected to increase by ~4.4% per annum
Evolution of Tourism
Traditional destinations not yet saturated
New destinations being opened
Greater disposable incomes across wider societal
groups will fuel demand
Growth rate expected to be between ~2% per
annum (Europe, N America, W Africa) & ~7.5% per
annum (Far East, Middle East, S Africa)
December
2006
016
The fastest growth is anticipated to be from the developing economies in Asia, especially those of China and India. This shift will
result in Asia taking a greater share of Global GDP, rising from
around 35% in 2005 to slightly over 43% by 2020. During the
same period Europes contribution is thought to fall slightly from
about 21% in 2005 to 19% by 2020.
Market segmentation & Fleet Development

More very small jets & more very large aircraft
Different growth rate across different segments
Overall demand for flight movements
Expected to increase by ~4.2% per annum
Network adjustment due to constraints
Lack of infrastructure at airports may constrain
growth to ~3.4% per annum
The global environment affecting the demand for air transport over
the next two decades is expected to continue to vary in line with
the fluctuations in Gross Domestic Product (GDP) growth.
However, short-term events can easily create competing pressures between the ease with which the means to supply air transport can be obtained and the ability to meet the changing nature
of the demand. Consequently, although the trend is expected to be
for steady growth as economic globalisation continues, the peaks
and troughs of the fluctuations, together with their timing will
always create uncertainty.
In addition, expectations are for:
The pace and extent of globalisation will continue to be the predominant driver for World economic growth. Between 2006 and
2020, the global GDP is forecast to grow at an average annual
rate of 3.5%, but this will not be uniformly distributed geographically. Of the major developed economies, the United States, at
almost 3%, is expected to outpace both the European Union, at
around 2%, with Japan struggling to reach 1%.
Cargo is a fundamental part of the air transport industry and about

half the intercontinental volume is carried in passenger aircraft.
Demand is concentrated between and/or within the 3 main pillars
of the Worlds economy, namely Asia-Pacific, North America and
Europe, with typically around 60% of the Worlds freight tonne kilometres (FTKs) moving within the United States. Naturally increasing commerce and further globalisation will create demand for
such air cargo services, these being aligned with the growth figures outlined above.
Populations to shift towards living in cities.

An increase in the average age of the Worlds population.
Increased tourism, with:
H Traditional destinations still able to accommodate
significant growth.
H Emerging markets opening up new destinations.
H A wider group from society as a whole having larger
disposable incomes.

Stimulated by this economic growth there will clearly be an increasing demand for air transport services overall, with continual pressure on air transport operators to offer these at competitively lower
prices. End customer value is reflected in the quality of the air
transport services offered and received. In general, the characteristics of mobility, frequency, punctuality, accessibility and connectivity, coupled with confidence in the degree of safety and security
underpinning the service, plus the approach being taken to meet
other societal aspirations in a responsible manner (e.g. the impact
providing the service has upon the environment) all determine the
quality. However, it is the value for money embodied within the
price of the product (and hence, the cost effectiveness of delivering the service) that will prevail.
In addition to being subjected to pressures from the end customers for more for less, air transport operators will also find it
more difficult to control variability in their direct operating costs, be
able to respond quickly to short-term fluctuations in demand and
create a sustainable business. The price of crude oil is forecast to
remain above US$50 per barrel for the next 25 years and beyond.
The overall demand for energy will increase, as a result of economic growth, and the fluctuations in the price of crude oil are ine-
vitable. This may slow economic growth, since a long-term

increase of US$5 per barrel can typically result in a 0.3% reduction in GDP growth. Furthermore, global risks, such as terrorist
attacks, will affect the air transport market at different levels. Last,
but by no means least, there will be an increasing pressure on all
air transport stakeholders to minimise the impact aviation has on
the environment. To create a long-term sustainable aviation industry the air transport operators need to have a more detailed
understanding of their respective business models to identify the
pressures, which can be applied throughout their various value
chains, including the ATM value chain.
While air transport makes a significant positive contribution to
societys quality of life, prosperity and culture, society presently
expects as well that the increasing socio-economic costs of aviations adverse environmental impacts are minimized. Advances in
technology and/or environmental performance are expected to be
significant, but policy response to those opposing interests may
include further constraints on the ATM system and ATM should
therefore pursue every opportunity to support aviation in becoming
more sustainable and achieving the optimum balance between
social, economic and environmental imperatives.
2.3 Vision of Air Transport in 2020

2.3.1 Market Development
The EUROCONTROL long term forecast 20041 has been selected
as the reference [Ref.25] for studying the future of air traffic in
Europe at the 2020 horizon. However, it must be remembered that
it forecasts only the number of IFR flights, not air traffic demand
as a whole, but due consideration will be given to all of the main
categories of flight, as appropriate.
The forecast considers four main scenarios, namely :
Scenario A : Greater globalisation and rapid economic growth,
with free trade and open skies agreements encouraging
growth in flights at the fastest rate.
Scenario B : Business as usual, with moderate economic
growth and no significant change from the status quo and
current trends (Note: EU expansion is at its fastest in this
scenario).
Scenario C : Strong economies and growth, but with strong
government regulation to address growing environmental
issues. As a result noise and emission costs are higher, which
encourages a move to larger aircraft and more hub-and-spoke
operations. Trade and air traffic liberalisation is more limited.
Scenario D : Greater regionalisation and weaker economies
leading to increased tensions between regions, with knock-on
effects limiting growth in trade and tourism. Consequently,
there would be a shift towards increased short haul traffic.

Security costs increase further beyond 2010, with the price of
fuel being at its highest in this scenario, it reaching close to
40% of the airline operating costs by 2020 and beyond.
In order to consider the most demanding criteria which could be
placed upon the future ATM System by the most optimistic of
expectations for global economic growth, Scenario A has been
taken as the basis for the development of the future air transport
vision and the setting of the performance targets for the System.
Based upon the economic forecasts outlined in section 2.2, the
total added value of air transport to the European GDP could be up
to 470Bn by 2020. Clearly this equates to the largest expected
increase in the amount of air traffic, with the overall European average annual growth in the number of IFR flights for the period
2006-2020 forecast to be around 4.2%2/year. However, without
major expansion plans, airports will constrain this growth to
around 3.4%/year.
In 2020, traffic demand is forecast to be around two times higher
than in 2005. With 9.1 Mn flights having taken place in Europe in
2005, this translates into approximately 18 Mn in 2020. Some
European airports will struggle to accommodate such growth and
in 2020 around 60 airports are expected to be congested while
the top 20 airports are saturated for 8-10 hours/day3.
1 - With updates from the 2006 version to be released in December 2006

2 - The forecast from D1 is a 4.4% average per annum over the period from 2005 to 2025, expressed in revenue passenger kilometres (RPK). This is consistent with the 4.2% figure for the unconstrained demand in the number of flights.
3 - ECAC/EUROCONTROL Challenges to Growth Study 2004.
December
2006
017
2.3 Vision of Air Transport in 2020 (continued)

The effect of the lack of airports infrastructure in constraining the
demand is shown in Figure 2-3. The expectation is that the growth
in air traffic will be constrained to be about 1.7 times higher than
in 2005, resulting in the ability to accommodate only about 16 Mn
flights. If airports capacity fails to meet demand, there could be a
to maximise the benefits, which can be realised from the

circumstances being presented at any one time (e.g. redistributing
the demand to airports which do have spare capacity).
Enhancing the All Weather capability of the system to maintain
the capacity of airports under all conditions.
IFR FLIGHTS PER YEAR IN ESRA (MILLION)
25
2.5
20
2.1
15
1.7
1.6
Effect of airport constraints

in the highest
growth scenario (A)
Effect in the lowest

growth scenario (D)
10
1.0
Actual
Scenario A
Scenario B
Scenario C
Scenario D
0
1970
1980
1990
2000
2010
2020
2030
Figure 2-3 Effects of Airport Constraints on Growth Scenarios

potential yearly loss to Europe of about 50Bn of added value in
2020 growing to 90Bn and up to 1.5 Mn jobs in 2025.
As 70% of the 50 largest European airports have reached their
saturation points today, a clear vision is needed of how to both
create more capacity to ensure the European economy overall
remains competitive and to ensure the best operations.
The obvious solution would be to simply build more runways and
this must certainly be strongly progressed. However ecological
and land management considerations within Europe prevent new
runway capacity to be added easily. Therefore complementary
measures must also be taken to mitigate against the potential impact
of a lack of airport capacity. These measures should include:
Developing new technologies and procedures that can optimize
the use of the available airport capacity commensurate with
meeting the environmental performance requirements, which
will surely accompany them.
Improve the coordination during the tactical flight planning
process of the departure and arrival times between airports to
minimise the potential loss of capacity due to real-time changes
in circumstances throughout the tactical flight planning process.
The airspace users decision to change their business model
December
2006
018
Other possibilities to provide and/or secure additional airport

capacity should include measures such as engagement with
local communities, improved and enforced land-use protection,
as well as an increased joint civil-military use of military airfields
and/or a transformation of airfields abandoned by the military.
Establishing an inter-modal transport structure within which
air transport and railway industries can compete on an equally
competitive basis, providing complementary services to their
customers through interconnecting international airports,
regional airports and highly populated cities.
Traffic growth is forecasted to be at its strongest outside of
Europe. This means inter-continental traffic flows will make up a
larger portion of the overall traffic.
Figure 2-4 summarises, for scenario A, this overall expected
growth in IFR flights, showing the geographical distribution of the
principal traffic flows.

Scenario A : Globalisation and Rapid Economic Growth

(Thicker arrows have more traffic)
Former CIS Region

North Atlantic
North West
Others
East
Far East
Mediterranean
Mid & South
Atlantic
AVERAGE ANNUAL
GROWTH IFR FLIGHTS
2003-2025
Middle East
North
Africa
Southern
Africa
More than 5%
4% to 5%
3% to 4%
ESRA
F i g u r e 2 - 4 G r o w t h b y Tr a f f i c F l o w s e x p e c t e d i n t h e E U R O C O N T R O L S t a t i s t i c a l R e f e r e n c e A r e a ( E S R A )
It is expected that some types of demand will, at times, grow faster than others. This is summarised as follows:
The market share of low-cost airlines could reach 25% within
the next 6 to 7 years, but the distinction between low-cost air
lines and other carriers is likely to diminish in the longer term.
Business aviation is forecast to grow substantially, with its fleet
expected to increase by 1000 aircraft in Europe within the next
15 years. EBAA reported a steady growth at around 5%/year.
According to IAOPA, GA (mostly VFR) traffic is expected to grow
steadily at an average of 2%/year up to 2020.
Global RPKs of those European carriers, which operate inter
continental services, can increase faster than their RPKs in
European airspace.
New types of demand may emerge, such as:
H Air taxis providing more personalised types of air
transport service using very light jets (VLJs).
H Unmanned aerial vehicles (UAVs) being used, for example,
more extensively by the military, police, and for the carriage
of freight.
H The range of aircraft sizes will expand, with micro-jets
appearing at one end of the scale and ultra-large jets at the
other.
H The number of military air movements is not expected to
increase greatly. However, the size of airspace required and
the need for flexible routing options will change due to the
need to operate new types of aircraft, evaluate increasingly
sophisticated weapon systems and exercise their associated
tactics.
As tourist destinations change, and as the service-based economy
of Europe increasingly shows its ability to shift geographically, it is
aviation, more than any other transport mode, which is recognised
as being able to service the changing demand. In the future aircraft operators must be able to reconfigure their network to meet
the demand wherever it may be.
2.3.2 The Airspace Users Value Chain

The airline industry is recovering from one of its worst crises.
Several airlines have gone out of business and in certain regions
some are still facing bankruptcy. This situation raises fundamental
questions about the financial sustainability of the so-called legacy
carriers and of their associated traditional business model.
Air transport creates value, both externally to its customers and internally to those stakeholders within the air transport value chain, but
investors in the industry need a satisfactory return to justify their investments. Some sectors within the chain are able to cover the cost of their
capital [Ref.2], but currently the airspace users are not. A number of
issues have been identified [Ref.2] that affect todays performance and,
potentially, constrain the ability of the air transport system to organise
and operate at maximum effectiveness in the future. These relate to:
Achieving financial sustainability.
Managing the expectations of the end customers when the
pressure from them is for more for less in a liberalised,
competitive market for the supply of air transport services.
Continually managing the price of the end product with respect
to their costs.
Maximising the use of some infrastructures, which are locally
saturated.
Having to interact with todays ATM System, which is very
fragmented [Ref.2].
Having to meet regulatory obligations, which often overlap and
also are unharmonised.
December
2006
019

D1 concluded that some changes are needed to strengthen the
value chain to the benefit of society as a whole, the end customers
and the air transport stakeholders. The specific time when air traffic will be double that of today might be uncertain, but the aim
must be to design the future ATM System to accommodate such
growth. Because the current System functions, within some corners there might be a resistance to change. However, to prepare
for the future it is in everyones interest to start initiating the needed changes.
It is unlikely, nor indeed necessary, to alter all parts of the air
transport value chain. Neither may it be possible to directly affect
some parts of it. It is considered that the best approach to strengthen it would be to alter the institutional environment (i.e., regulations, how it operates and the financial framework) in which the air
transport system responds with new models to deliver the needs
of the end customers.
The following summarises the main aspects that are considered to
be of importance to the principal airspace user groups when
considering how to shape the vision of the future ATM System.
business traveller, with last-minute bookings, open tickets

and catering for long-haul and short-haul journeys.
The hub and spoke style of operation is, and will remain,
a necessity for carriers with an air transport network. This is
particularly important for long-haul services when managing
the different types of customers whilst keeping fares
competitively low. However, if hub airports are unable to
accommodate the growth needed, the network will distort,
with a possible loss of less profitable (mainly short-haul)
markets.
Driven by competition and continuing liberalisation of the
market, the future consolidation of legacy carriers is a continuing
expectation through business failures, mergers and alliances.
Today 3 major Worldwide alliances exist which have a
strong European dimension British Airways/Oneworld,
Lufthansa/Star, Air France-KLM/Skyteam. The total worldwide
market share of alliances today is ~55% in terms of RPK
and ~50% in terms of revenue. With new members expected,
these figures will increase to ~61% and ~60% respectively.
On short haul, the flight itself is more of a commodity. The
main differentiation is made through the ground service,
with network services sold at a premium.
2.3.2.1 Commercial Airlines

The liberalisation of world markets and the rise of the Internet in
the last decade has had a fundamental impact on the global economy and the airline industry. The resulting increased competition
has created customer expectations for lower prices and consequently, reduced the pricing power of the industry. To survive this
change legacy carriers had to react by significantly reducing their
costs and customising their products to meet customer needs.
Between 1990 and 2000 average yields fell by about a third in
real terms and the airline industry responded by increasing its productivity by typically 45%. Despite this effort the operating profit
never exceeded 2.9%, and ranged as low as -3.9% in 2001.
Commercial airlines order aircraft according to the future market
forecasts for air transport services, but in many cases, operate
within the capacity constraints of the available infrastructure at
airports and the wider ATM System. This disconnect needs to be
addressed such that the planning and implementation of the
future infrastructure needed responds to the needs of the market.
To cater for the different needs of the market, and according to the
infrastructure capability available, different air transport business
models have evolved, resulting in different values. Further evolution of these will be inevitable, but the main characteristics and
future expectations for each are summarised as follows:
Legacy carriers:
H The products offered by the major airlines are adapted to
all types of passenger, but the core of their business is the
December
2006
020
Regional carriers:
H The product tailored to the small business, short-haul market,
or can be used by legacy airlines as a feeder to a hub.
H Although on a different scale to the legacy carriers, the same
pressures and values prevail regarding short-haul operations.
H In a competitive environment it is not possible to serve a
selected market without a minimal number of flights (and
this number decreases with distance). For example, on
short haul, it is not possible to compete against rail or road
without having a sufficient frequency in the number of
flights. This will become an increasing problem unless sufficient
airspace and airport infrastructure is available in the future.
Low-cost carriers:
H The product has been created to provide point-to-point,
short-haul services aimed at the individual traveller who is
able to define their journey very early before departure.
H Their business model is based on a high fleet utilisation
through short turn around time and strict passengers policies
as well as minimum overheads.
H Similar pressures and values prevail regarding short-haul
operations, but the point-to-point nature enables greater
flexibility to open and close routes to respond to rapid changes
in demand.
H Driven by competition and continuing liberalisation of the
market, the future consolidation of low-cost carriers is a
continuing expectation, primarily through business failures,
mergers and take-overs.

Charter and ondemand flights:

H Some traditional carriers have become squeezed between
changes to the products offered by legacy carriers and
those offered by the low-cost carriers, with some creating
low-cost carrier products in order to capture a share of the
market.
H A continuing significant demand for seasonally driven (e.g.
to established holiday destinations), very short-term driven
(e.g. to major sporting events) and new product driven
(e.g. day trips to popular historic cities and places) capacity
being sold to groups.
H Expectations are for a trend towards more longer distance
flights than has been generally the case in the past.
H Some aspects and behaviours are very similar to those of
General Aviation.
2.3.2.2 General Aviation and Business Aviation
General Aviation (GA), and Business Aviation (BA) (in this document
GA and BA should be understood to include rotorcraft, aerial work
and sports aviation) enable people and goods to move in an on
demand manner, which is quick, flexible and efficient over distances ranging from very local flight activities to intercontinental
flights. Since GA and BA have a low requirement on ground infrastructure, they can operate not only at the main international airports, but also the more remote regional aerodromes. People and
goods are transported for a wide variety of both commercial and
private purposes. Since GA and BA aircraft can be used in a very
flexible manner, in effect offering a more personalised form of air
transport, it is expected to become increasingly more valuable to
society, commerce and individuals.
In developing States such aviation is typically State-sponsored,
whilst in States with a more developed economy, greater reliance
is upon funding from private enterprise. For example, the business
model of a GA commercial enterprise is a small company, owned
by less than 4 or 5 persons, operating typically less than ten aircraft and delivering a wide range of services as outlined above.
This model is not expected to change in the next two decades. In
Europe, GA, whether commercial or non-commercial, is based
upon private investment and private funds for operation. However,
in some States the fuel is tax-free and some support aviation clubs
as they are considered of social and cultural value. While GA in
Europe has stagnated over some decades because of rising costs
of fuel, maintenance and regulation and because the fleet of GA
power driven aircraft is aging, new aircraft types are now in production. With the advent of highly fuel-efficient engine types and
advanced airframes it is expected that GA will develop at a rate of
~2 %/year up to 2020 and BA at a rate of ~5%/year. However,
this will to a large extent depend on a reduction of the cost of
regulation and taxation.
GA activities will continue to need large portions of the airspace in
which to operate, particularly in the low altitude structure, and to
be able to gain access to airports located in closely controlled airspace, either to operate into major airports, or to peripheral, so-called reliever airports. For BA in particular, having a future ATM
System, which allows access to airspace and airports without
delay, will be fundamental for the viability, health and growth of
this sector.
2.3.2.3 Military Aviation
The strategic objectives of military stakeholders are determined by
National security and defence policies, international security and
defence commitments and the resulting political decisions.
Consequently, the drivers and values are different from those of
the other air transport stakeholders.
Expectations are that EU Member States, whilst more closely coordinating their needs for air traffic services from a future European
ATM System, will continue to retain full responsibility for their
national infrastructure, plus base their requirements upon and
make decisions from a sovereign national perspective. However,
major enhancements in civil-military co-operation and co-ordination to facilitate meeting simultaneously military and civil needs
are expected to occur to the maximum extent possible in the
future. In particular, the future defence and security environment
will require a more standardised and flexible ATM System where
new mission profiles can be efficiently accommodated and where
military contributions to the air transport value chain are fully recognized. The enhanced civil-military co-operation and co-ordination
must develop new mechanisms, criteria and structures to improve
ATM efficiency and cost effectiveness through a more integrated
civil-military management of the European airspace, reducing
fragmentation and duplication of infrastructure.
2.3.3 Airspace Users Requirements for Air

Traffic Services from the ATM System
From the characteristics, values, drivers and expectations highlighted in section 2.3.2, it is clear that in order for airspace users
to capture the future market for air transport services in a sustainable manner and meet the needs of an increasingly sophisticated end customer who has greater choice, influence and purchasing power over these services, they will need to put greater pressure on their suppliers to provide value for money.
Despite the broadening of the customer base and the diverging
nature apparent in some of their needs, the need from the airport
operators and future ATM System are quite common more capacity in terms of access to airspace and airports infrastructure, and
a more capable ATM System than exists today.
In order to bring together, in a more detailed manner, the various
characteristics of the airspace users needs, the notion of a socalled business trajectory has emerged as being central to the
way in which they envisage the future ATM System performing.
December
2006
021

The business trajectory is the representation of the business
intention of an airspace user with respect of a given flight. It is
aimed at guaranteeing the best business outcome for the flight as
seen from the airspace users perspective. At the airspace users
discretion this outcome may be with respect to the minimum time
for the flight, the minimum cost, or any other characteristic of the
trajectory. Although perhaps not as obvious as for commercial airlines, business aviation, general aviation and the military also have
some kind of business intention, even if the detailed terminology
to define it, and the criteria upon which it is based, are different.
Notwithstanding such differences, the accent is on intention and
naturally, all must be carried out in a manner which guarantees
the safety of life and takes into account the need to meet environmental and security requirements. [Ref.3]
Being able to fly the flight profile, which is embodied within this
trajectory, is the ultimate goal and consequently, the airspace
users require the future ATM System to enable them to do so. The
initial trajectory intention should no longer be constrained by
legacy airspace divisions.
The business trajectory will, by guaranteeing the best business
outcome, maximise the value for the airspace users and thus,
strengthen the whole air transport value chain. It will also be sup-
ported by the business management and institutional and regulatory frameworks of the ATM System, which are structured, and
incentivised to achieve the same aim.
Although all airspace users have different business models, their
expectations on the provision of air traffic services and the (airside) performance of airport operators is principally focused
equally on access, cost effectiveness, efficiency, capacity and
safety. However, flexibility and predictability expectations can vary
depending upon the applicable business model. These differences
would be expressed in the business trajectories and, of course,
depend upon the capabilities of the aircraft being used.
The structure and scope the airspace users needs as well as the
characteristics embodied within the business trajectory are
translated into the performance requirements of the future ATM
System. These are expressed by the 11 KPAs as developed by
ICAO [Ref.21]. Table 2.1 lists the KPAs and gives an explanation of
how they will be considered and used to scope, define targets for
and manage the performance of the future ATM System. There are
interactions between KPAs that may result in new and revised
requirements than the consideration of a single KPA at a time.
Table 2.1 : Characterisation of Airspace Users Expectations

Key Performance Areas
Airspace Users Expectations of the Future ATM System
Access & Equity
The future ATM System should provide an operating environment to ensure

that all airspace users have the right of access to the necessary ATM resources
needed for them to fulfil their specific requirements in a safe manner.
Although not a direct characteristic of the operating performance of the future
ATM System, it is a principle, which enables the relevant performance to be
achieved in other areas.
Capacity
The future ATM System should provide the capacity to meet the demand
at the times when and where it is needed.
This is a key operational performance area which must be considered in
conjunction with the need for efficiency, flexibility, and predictability, whilst, in
particular, ensuring that there are no adverse impacts on performance in the areas
of safety and environmental sustainability.
Cost Effectiveness
The price of the air traffic services provided by the future ATM System should
be cost-effective with respect to meeting the individual needs of the relevant
airspace user.
Efficiency
Efficiency addresses the operational and economic cost-effectiveness of flight

operations from a single-flights perspective and will be central to achieving
the environmental performance targets, which will be placed upon the future
ATM System.
Clearly it is a key area for assessing operational performance and is at the heart
of being able to achieve success through flying the business trajectory.
In addition to single flight perspective, the overall network efficiency is
considered as well.
Environmental Sustainability
The lack of a high level of environmental sustainability performance could impact

stakeholders reputation.
The future environmental system performance will be a requirement and the future
ATM System must meet their obligations in this respect. Although not a direct
characteristic of the operating performance of the future ATM System,
performance criteria will be defined as part of the requirements placed upon
aviation as a whole and therefore, the contribution that the ATM System must
make, and should be seen to make, to minimise the impact.
December
2006
022

Key Performance Areas

Flexibility
Airspace Users Expectations of the Future ATM System

Flexibility addresses the ability of all airspace users to modify the requirements
they place on the future ATM System in a dynamic manner.
Clearly it is a key area for assessing operational performance and is also at the
heart of being able to achieve success. In this case it is having the
ability to make changes to the business trajectory, thereby permitting operational
opportunities to be exploited as they occur.
Interoperability
The functionality and design of the future European ATM System must be based
upon the use of global standards and uniform principles to ensure technical and
operational interoperability of ATM Systems can be achieved.
ATM System, it is a principle, which enables the relevant performance to be
achieved in other areas since, for example, failing to do this will clearly have
a financial impact on aircraft equipage and hence, investment costs.
Participation
As changes to factors which will affect the performance of the future ATM System,
either directly or indirectly, are identified, all stakeholders must maintain a
continuous involvement in the identification, scoping, planning and
implementation activities to ensure the air traffic services provided remain
fit for purpose.
ATM System, it is a principle which enables the relevant performance to be
achieved in other areas, especially with respect ensuring future changes to
the ATM System are identified, scoped, planned and implemented in a manner
which ensure its performance will be to the maximum benefit of all stakeholders.
Predictability
Predictability refers to the ability of the future ATM System to enable the airspace
users to deliver consistent and dependable air transport services. It is essential to
airspace users as they develop and operate their business trajectories.
Clearly it is a key area for assessing operational performance and is also at the
heart of being able to achieve success by offering a high quality of service
to the end customers.
Safety
Safety is afforded the highest priority in aviation and the provision of air traffic
services plays a key role in ensuring overall aviation safety.
Society will always expect zero accidents from the aviation industry as a whole
and performance from this perspective sets the end customers confidence in air
transport. The lack of a high level of safety performance would impact
stakeholders reputation and thus, influence customer choice. Improvements in
safety will also impact the cost of air transport.
The safety performance of the future ATM System must play a key part in enabling
aviation to meet societys expectation and therefore, it is a key area of overall
operational performance.
Uniform safety standards, risk assessments and safety management practices
must be applied rigorously and systematically to the design and performance of
the future ATM System to deliver high quality products.
Security
Security aspects can be considered in a very similar manner to the way in which
safety has been considered. Security refers to the protection against both direct
and indirect threats, attacks and acts of unlawful interference to the ATM System.
Unlawful interference can occur via direct interference with aircraft, or indirectly
through interference with ATM service provision (e.g. via attacks compromising
the integrity of ATM data or services) Society will always expect zero accidents
and incidents due to breaches of security from the aviation industry as a whole
and performance from this perspective will also set the end customers
confidence in air transport. The lack of a high level of security performance would
impact stakeholders reputation and thus, influence customer choice.
Improvements in security will also impact the cost of air transport.
The performance of the future ATM System must contribute to ensuring a high
level of security is achieved by the aviation industry as a whole. Expectations are
that this can be achieved not only by ensuring that the infrastructure which makes
up the ATM System is itself resilient to attack, but that the System will provide
information which can be used by other organisations who can also act to protect
air transport and aviation as a whole.
December
2006
023
2.4 Vision of the Future Management Framework of the European ATM System for 2020
2.4.1 Overview
2.4.2 Business Management Framework

of the Future ATM System
The overall vision for 2020 is of a European ATM System being

managed by a single management framework, which underpins a
common understanding of the System, how it must operate and a
performance framework, which determines what it must deliver.
Figure1-2 gave a high-level outline of this vision and Fig. 2-5
shows in more detail the principal functions, which need to be
undertaken within the management framework. The proposed fra-
2.4.2.1 Business Relationships

The overall SESAR vision for 2020 is of a coherent business management framework, which manages all aspects throughout the full system lifecycle of the future European ATM System. Relative to todays
situation, the major changes envisaged are as follows:
Policy and Legislation

Regulation
Implementation
Enforcement
Operations
Common
Pan-European services
Oversight
Support to rule making
System design, planning

& implementation
Core services FABs

Support services
CNS
AIS
MET
F i g u r e 2 - 5 P r i n c i p a l f u n c t i o n s o f t h e E u r o p e a n AT M S y s t e m m a n a g e m e n t f r a m e w o r k
mework is composed of two parts: one covering the business
aspects (shown as Operations and System design, planning and
implementation); and the other covering the institutional/regulatory aspects (shown as Policy and Legislation together with
Regulation). Each part will be described in more detail in sections 2.4.2 and 2.4.3 respectively. A single performance framework structured around the 11 KPAs described in section 2.3.3
will govern the performance of the System and the management
framework as a whole.
The ATM Master Plan will be the sole vehicle, which contains the
R&D activities and all other activities needed to implement all
changes in the European ATM to achieve the 2020 vision. It will
also be used to manage the evolution of the System beyond this
date. The principles upon which the ATM Master Plan will be
managed are as follows:
December
2006
024
A common reference against which the business framework

will deliver the air traffic services and the regulatory framework
will manage compliance.
Subjected to a process of regular review by the relevant stake
holders.
The sole reference against which all future European ATM
activities are assessed.
An ATM Performance Partnership will be created as a basis

to manage the performance-driven ATM System. This partnership
will be built upon a shared set of values, priorities, air transport
network interactions and an agreed set of common rules.
A major restructuring of air traffic service provision with the
development of FABs and a new, stronger co-operative
framework between ANSPs.
The progressive development of capacity to deliver air traffic
services to meet the demand placed upon the ATM System and
the performance enhancements required in all of the 11 KPAs.
Thus, the vision is of a significant enhancement in the degree
of co-operative working, bringing together airspace user operations (AUO) and aerodrome operations (AO). This to enable the
ATM System to achieve ATM service delivery (ASD) that meets the
performance targets set for it in each of the KPAs. As today, ATMs
primary purpose will be to ensure flight safety by contributing to
and enabling aircraft separation (i.e. through performing conflict
management (CM)) and the expeditious flow of traffic (i.e., manifest
today as sequencing, metering and managing queues) by performing
traffic synchronisation (TS) together with demand/capacity balancing (DCB) and airspace organisation and management (AOM).

ATM will continue to comprise:

Air traffic services (including ATC, traffic information, advisory
and alerting (such as support to search and rescue) for area,
approach and aerodrome).
Airspace management and air traffic flow and capacity
management (ATFCM).
Supporting services (CNS, MET and AIS services).
However, migration to the vision will require a significant change
to the way in which such services will be organised and managed.
is depicted in Figure 2-6, which shows an outline qualitative description of how it might operate under such constrained circumstances, albeit consistently across the six constituent aspects.
The circumstances that prevail for each aspect are as follows:
Airport Capacities
H A sizeable percentage of traffic (~50%) operating to and
from congested airports, affecting timekeeping and
consequently, a need for the ATM System to collaboratively
manage variability.
2.4.2.2 ATM System Operating Model for Air Transport Network

In an ideal world, one would wish to envisage air transport operating as a perfectly smooth network with sufficient capacity headroom both at airports and in the airspace, plus minimal differences between planned and actual operations. The future vision for
Schedule Visibility
H Network-wide traffic management, accommodating business
trajectories, geared to streaming of traffic flows around major
airports.
H A co-ordinated collective schedule / daily plan for the
Airport
Capacities
High % traffic
from congested
airports
Schedule
Visibility &
Integration
Airspace User
Operating
Variability
Network-wide traffic
management geared
to streaming for
major termini
Minimise variability
associated with flight
& passenger handling
to meet overall schedule
Traffic
Smoothness
& Prioritisation
ATS capacity
Limited headroom remains designed
around demand
Continued need
to manage
bunching
Civil-Military
Co-ordination
Dynamic
co-ordination
mechanism
F i g u r e 2 - 6 AT M S y s t e m O p e r a t i n g i n a c o n s t r a i n e d A i r Tr a n s p o r t N e t w o r k
2020 is to get as close to this ideal world as possible, driven by
the need to enable air transport to meet the unconstrained end
customer demand outlined in section 2.3. However, it is envisaged
that the network will also need to cope with continuing to operate
in a manner constrained by limitations relating to the amount of
airspace and airports available, plus having to deal with some
variability in timekeeping. This will require demand and capacity
balancing to be performed throughout the network. This situation
busiest areas where throughput, as defined by the

performance partnership agreement, predominates over
individual business trajectories.
Airports, both those which are constrained and those with
headroom, would be part of a co-operative network scheduling
activity to agree scheduling levels to underpin the schedule
integrity of the overall air transport network.
December
2006
025
Airspace user Operating Variability

H Limited possibility to reduce variability associated with
flight and passenger handling to ensure these are optimised
with respect to meeting the overall schedule.
transport network. A tri-partite performance agreement needs to

set performance objectives across the design, planning and operational aspects of the future ATM System. Currently there is no
explicit and broadly agreed expression of the rules by which the
ATM industry operates with respect to its customers. The future
vision is to address this shortcoming by establishing an ATM
Performance Partnership built upon fundamental principles,
which are universally understood and agreed between the various
parties. Embodied within this agreement should be a common
understanding of the demand-capacity relationship, of each parties levers of control and behaviours, and of a coherent set of
value trade-offs and performance expectations.
Civil-military Co-ordination
H Enhanced to more effectively deal with tactical allocation
around an optimised strategic allocation.
Traffic Smoothness and Prioritisation
H All participants in the operation of the ATM System will work
collaboratively to prioritise activities and resources with the aim
of smoothing traffic flows and repairing the network schedule
where airspace and airport capacity headroom permits.
The vision is for a partnership that enables the airspace users

to realise their business trajectory, recognising that different airspace users have different aims and planning horizons. In effect,
the proposal is for a super CDM process that meets the performance objectives required through a significant increase (relative
to that used today) in the amount and exchange of business and
flight information. However, it does not imply the need for onerous
commercial and/or legal arrangements to be put in place, but
builds a common understanding of a common set of rules.
ATS Capacity
H Airspace capacity essentially remains designed around
demand patterns, although the use of some new ATM
concepts and technological solutions reduces the need to
trade-off capacity with flight efficiency (i.e. more flights can
be executed at a higher level of efficiency, so increasing
overall network performance).
Building upon the high-level relationship outlined in Figure 2-2,

Figure 2-7 illustrates the key aspects pertinent to the 3 main stakeholder groups across the 3 main time horizons for designing, planning and operating the future ATM System. All of this then adds up to
deliver overall performance, which meets the expectations of all.
These are the aspects against which the performance objectives and
targets for the future ATM System need to be scoped.
The challenge to the design and development of the future ATM

System is to meet the needs of the future air transport network by
finding solutions that recognise the limitations and trade-offs
shown in Figure 2-6. These solutions then need to be evaluated
against stakeholder expectations for an optimised solution to be
agreed and form the basis of the ATM Master Plan.
A performance driven ATM System must be built on a performance
framework that reflects a shared view of the value priorities of the
respective stakeholders and their inter-relationships within the air
In summary, todays ATM System aims to deliver value to the air

transport value chain by maximising throughput throughout the air
Design
Airspace
User
Business Trajectory
to define Requirement
Planning
(Early) declaration of
Business Trajectories
Declare demand on
airport and ATM System
Operations
Business Trajectory
conformance
(at various stages)
Turn-around process
+
Airport
Operator
Capability of
infrastructure
Declare airport capacity
Management of:
Stands
Runways & Taxiways
Turn-around process
+
ATM
Providers
Capability of ATM System
Declare ATM System

Capacity
ATS delivery (airspace)

ATS delivery (airports)
=
Overall Performance
Capacity
Predictability
Efficiency
Flexibility
F i g u r e 2 - 7 B a s i s o f F u t u r e AT M O p e r a t i o n a l P e r f o r m a n c e P a r t n e r s h i p
December
2006
026

transport network. It also assumes that a significant enhancement

of value from major predictability improvements can only come
from a more deterministic and rigid approach by airspace users to
their operations. However, such rigidity would impose severe limitations to their commercial freedoms and significantly add to operating costs in order to strictly adhere to it. Clearly these are
conflicting needs.
For the future ATM System to deliver maximum value to the air
transport value chain it must perform to meet the requirements of
its users in as optimum a manner as possible, these being expressed through the 11 KPAs and described in more detail in chapter 3.
2.4.2.3 Some First Thoughts on Future ATM Target Concept
Following on from consideration of the vision outlined above, some
key consequences emerge which must be taken into consideration when designing the SESAR Future ATM Target Concept. These
are included here to ensure they form the basis of the detailed
performance requirements the future ATM System must meet.
Ways must be found to:
Enhance the flexibility and adaptability of the ATM Systems
capacity to meet demand such that a degree of headroom can
be provided in a cost-effective manner. This is of critical importance
to minimise the trade-offs between the operational KPAs.
Determine how to deal with business trajectories in the strategic,
(pre-) tactical and operational phases of preparing and executing
flights.
Be able to manage within the physical constraints of the infra
structure available at any time. That is, it must be able to
accommodate the:
H Anticipated lack of capacity headroom at congested airports.
H Inherent natural difficulties of the physical world
associated with maintaining schedules in daily operations.
H Current aircraft speed envelope, which is anticipated to
remain as is today through to 2020 and beyond.
Optimise operations overall to minimise the impact on the
environment.
Determine the desired level of operating robustness with respect
to coping with disruptive circumstances, such as the effects of
bad weather.
Determine the desired degree of resilience needed to the provision
of the air traffic services and the degree of contingency required,
so setting the Systems availability and leading to the architectural
design requirements and the cost of providing them.
Building upon these considerations, the following are a set of statements, which indicate some first thoughts as to what needs to
be the foundation for the future concept of operations within the
future ATM target Concept. It is considered that these are needed
to underpin the ATM Performance Partnership and the way the
future ATM System would operate, as outlined above:
The ATM System would be designed around the notion of a

business trajectory:
H Business trajectories reflect the business intention of the
airspace users. Business trajectories are specified and
agreed in a contract between the air and the ground. The
contract takes into account the constraints.
H The trajectory agreed as a basis for use by the ATM
System equals the users optimum business trajectory.
Changes are made to it only when it is necessary to comply
with unavoidable airspace/airport constraints or other external
constraints (e.g., weather), but the users preference
remains as the main driver.
H Aircraft fly the FMS trajectories (where relevant), negotiated
and updated in real-time.
Increase in traffic is managed safely using:
H Aircraft derived 4-D trajectories (which accurately reflect
the future aircraft positions and intentions)
H Delegated/distributed conflict management.
H Automated assistance to decision making.
The ATM System is flexible, continuously matching traffic
demand by:
H Optimising airspace usage.
H Minimising ATC, airport operator and airspace user related
restrictions.
H Maximising airport throughput (e.g. operating closer to the
maximum runway and gate capacity).
The ATM System operates in a collaborative manner:
H Airspace users, air traffic service providers and airport
operators are integrated into the ATM decision-making process
to ensure decisions best meet the requirements of all
stakeholders in the System.
H All actors have access to all relevant information necessary
for efficient decision-making.
The concept of operations around which the future ATM
System is designed shifts from a philosophy of management
by tactical intervention to a more strategic management by
planning and tactical intervention by exception
H However, to allow for some operational flexibility, and given
that only a proportion of actual operations are known at the
strategic phase of planning, an estimation of short
notice/last minute operations has to be recognised and
appropriate provisions made during strategic planning. This
will permit actual traffic flows to be optimised and in-flight
trajectory modifications to be made reflecting the user
needs in real-time.
The ATM System makes full use of the capabilities of modern
aircraft
H Integrating the airborne and ground capabilities for maximum
efficiency and safety of the total network.
H Considering the characteristics, capabilities and limitations of
its human operators, including their interaction with the systems
overall.
December
2006
027
The ATM System should be robust and resilient

H Negotiated 4-D trajectories should be flexible enough to
absorb slight perturbations due, for example, to weather
variations.
H Robust solutions should be provided for degraded modes
of operation as well as for prevention and mitigation of errors.
H The ATM System should be trusted by society and national
governments that it is secure, resilient and well protected
against any unlawful activities that could potentially cause
disruption to air transport.
Air traffic flying into capacity constrained airports is synchronised
well before the destination
H This to avoid holding, manage variability and smooth the
overall flow of traffic.
Global interoperability is ensured at the technical systems level
as well as the procedure level.
Improvements in ATM security will be achieved through the col
laborative support of the ATM System with the relevant civil and
military authorities, using agreed information and communications
technology security components in the design of the ATM System.
The management of conflicts is performed in accordance with
the ICAO Global ATM Operational Concept [Ref.21].
Airspace and airports are managed and operated as one
continuum.
The basis of the ATM Systems Operating Model will be to
maximise flexibility and minimise restrictions throughout the air
transport network, since these are paramount to meeting the
requirements.
All airspace users are afforded access to and use of airspace
H This will be facilitated by affordable and cost-beneficial
airborne equipage, in order to enable the safe and effective
performance of their particular type of operation.
Enlargement of controlled airspace
H When addressing this aspect, especially in the vicinity of
major airports, GAs need for access is fully taken into
account in the decisions.
Requirements for communications and surveillance equipment
to be carried on aircraft engaged in GA VFR and IFR operations.
2.4.2.4 Main Tasks of the Business Management Framework
Building upon the Operations and System design, planning and
implementation blocks identified in Figure 2-7, it is envisaged
that the business management framework and the management
activities within it will be structured to perform the following principal functions with respect to the future ATM System:
System Planning - the main objectives of this function are to:
H Specify and maintain the performance requirements of the
users of the System.
H Ensure the System meets the performance requirements.
December
2006
028
H
H
Build and maintain a common ATM Master Plan, which

can gain the commitment of all stakeholders at all levels of
the future governance regime.
Ensure the synchronisation of the deployment of component
parts within the System can be achieved to assure maximum
efficiency and benefits can be realised.
Address issues related to the fragmentation of the current
systems and ease future evolution.
Coordinate and plan research and validation activities.
Coherently align the changes needed to implement the
System with the approach needed to pre-finance them, and
vice versa.
In performing this function a number of constraints and assumptions are considered to apply and these are as follows:
Safety considerations must be fully incorporated within the
planning approach.
A co-operative approach must be taken which balances
the political needs, the social aspects and the business drivers
and constraints, through the setting of the performance targets
for each of the 11 KPAs.
Global interoperability must be maintained.
The wider aspects of aviation as a whole, and especially
those of the military and non-commercial aviation, will be
part of the System.
The principal roles and responsibilities associated with performing
this function are to meet the above objectives, whilst managing
within the constraints and continuously testing the assumptions to
ensure the planning remains appropriate to meeting the business
needs of the users of the future ATM System. This must be done
by ensuring stakeholder-wide consultation, buy-in and agreement
is achieved to the maximum extent possible with respect to the
ATM Performance Partnership agreement. All ATM stakeholders
are expected to participate in this function, with the resulting plan
being passed to the Regulator for agreement and approval as
appropriate.
System Design and Co-ordination - the objectives of this function
are to:
H Create conditions for the ATM System to evolve in an efficient
and effective way through the use of a single, open architecture
and a set of common standards to which all sub-systems
and equipment must comply.
H Address fragmentation and ease future evolution.
H Design sub-systems that meet the needs and constraints
of particular stakeholder groups within the overall ATM
Performance Partnership and through the ATM System as a
whole, proposing and coordinating ATM R&D accordingly.

In performing this function a number of constraints and

assumptions are considered to apply and these are as follows:
Safety remains the paramount consideration.
Environmental impact needs to be considered.
Interoperability must be fully incorporated.
A great deal of concept refinement and procedure
development is still taking place, which makes the system
design an iterative and continuously adaptive process.
A design must be used which enables the supply of technical
support services (e.g., such as CNS, AIS, MET) to be based
upon a competitive procurement approach wherever and
whenever possible.
The architectural design of the future ATM System will be
sufficiently detailed and robust since the integration of the
various sub-systems will be a key critical challenge.
The design of the future ATM system architecture shall be
managed centrally.
There will be a need for strong coordination of the design
and development of common products.
States will be flexible in resolving civil/military allocation
issues in the interests of maintaining maximum network
efficiency, provided their core mission requirements are
secured and their training conditions satisfactory.
High level airspace design rests at the policy/legislative levels.
Significant levels of resources and effort will be required
to validate and prove system design proposals are robust
before they are submitted to the Regulator.
Close coordination with international standards bodies will
be required.
Research activities need to be closely managed and coordinated,
making the most efficient use of industry and public funds.
The nature of the principal roles and responsibilities of this function are very similar to those for the planning function, especially
with regards to ensuring all stakeholders are involved.
Implementation of ATM System changes - the key challenge of
this function is to build and deploy changes in a consistent and
coherent manner, which is synchronised with delivering the
benefits required by its users. This will require significant coor
dination and an extremely high programme management
capability.
The system(s), which will make up the overall ATM System, will
need to be certified against the appropriate performance
requirements.
Putting the changes into operational service in a timely
manner will be a significant challenge and due consideration
of this extremely difficult aspect must be at the centre of the
programme management.
In conjunction with the above, the training of staff will also
be a critical issue.
Legacy systems can be an issue, particularly for the

Military and GA.
Integration will be a major challenge, especially when
interfacing to and/or incorporating legacy systems - particularly
those related to fulfilling the needs of the Military and GA.
Regulatory authorities (e.g., EASA, civil and military NSAs)
will be responsible for certification.
Regulation authorities are responsible for the licensing of
services.
Production and deployment are clearly the principal roles and responsibilities associated with this function. However, the costs and
risks are principally borne by the air transport industry as a whole.
The significant issue of coordinating deployments coupled with the
potential constraints imposed by individual State processes may
point towards the need to use an impartial, expert body to act as
a conductor in order to facilitate the timely integration of new
functionality and the roll-out of the detailed changes needed to
implement the future ATM System in a synchronised manner.
Operating Functions of the ATM System - the operations function
of the future ATM System covers all of the aspects associated with
providing the air traffic services and the necessary technical
support services from the infrastructure, which makes up the
System. These can be segmented into three main types of
operations, namely:
H Common air traffic services from the ATM System and
technical support services within it. These relate to, for
example, demand and capacity balancing (DCB), airspace
organisation and management (AOM) and system-wide
information management such that the objectives would
include operating:
* An optimum airspace structure throughout Europe.
* A pan-European process balancing of demand and
capacity.
H Core services optimised, for example, within specific
airspace blocks.
H The remaining technical support services needed to
underpin the provision of the common and core services
(such as those related to AIS, MET and CNS - for example using a pan-European satellite navigation information service).
All such services will be defined in more detail as part of the development of the overall SESAR Future ATM Concept, this being the
subject of the SESAR Milestone Deliverable D3.
Safety considerations will be paramount.
Consideration of the environmental implications will play
an increasingly important role.
All services are provided at fair4 market rates.
4 - Definition of the term fair will be part of the performance requirements.
December
2006
029
In line with the other aspects outlined above, it is reasonable to

assume that the air transport industry as a whole will fulfil the
roles and responsibilities commensurate with performing the operations function. However, in the case of certain common or panEuropean functions currently performed by public bodies5, further
analysis is required. Conflicts of interest clearly need to be avoided and there are issues concerning neutrality and the provision
of services for holistic benefits, rather than for individual benefit.
In addition there are issues of guarantee of service, liabilities and
underwriting in cases of corporate insolvency or crisis situations.
In cases where services are likely to be subject to competition for
the market, rather than competition in the market, options
should not preclude public bodies from operating such services if
they can offer levels of performance which are competitive with
those which can be provided by industry. Other management
structures could include the use of joint public/private management structures and/or concessions to industry. The creation of a
form of operating company as currently foreseen in article 2.5 of
the EUROCONTROL revised convention, or a JU like body should
also be considered.
2.4.2.5 A Possible Vision of Restructuring of ATS provision
Driven by the need to meet performance targets set for the 11
KPAs, the following outlines a vision for the possible restructuring
of air traffic service provision in the future.
FABs, established as part of the SES initiative, are seen as one of
the main vehicles to improve ATM System performance, so reducing the impact of fragmentation on the cost of air traffic service
provision. These will initially develop through regional arrangements between States and ANSPs, but leading to further ANSP
cooperation, alliances and/or mergers. Ultimately FABs are used
as the basis for establishing agreements as part of the ATM
Performance Partnership between the ANSPs, airspace users and
airport operators.
Consequently, a vision of air traffic service provision restructuring
could be as follows:
The 34 National ANSPs providing services in the FABs will have
been combined into a small number of ATS consortia.
From the existing en-route and approach ATC units of today, a
smaller number of units (for which the optimal size and number
will still be the subject of further studies) will deliver the economies
of scale and improved flight efficiency through the delivery of
air traffic services using (in terms of todays airspace structure)
flow-oriented sectors and routes which are optimal in their
design and thus, (potentially) independent of national boundaries.
From the plethora of the various technical systems which are
in-service today, the future ATM System will be based on the
use of a small number (typically 3 or 4) highly interoperable,
modularly expandable technical platforms.
Further economies of scale will be realised through moving away

from the nationally-oriented ANSP-based approach, to the provision
of demand driven (e.g., on a regional or pan-European basis)
communications, navigation and surveillance (CNS) infrastructure
enabled by the development of new technologies. These technical
support services could be provided by a limited number of regional
and pan-European CNS suppliers.
In order to overcome the defragmentation issue in Europe it is
essential that the coordination of ATM System design, planning
and coordination of implementation is achieved through a single
function ensuring full consideration of civil and military interest.
2.4.2.6 Some Aspects of Future Vision
The following addresses some aspects of subjects within the
future vision for ATM, which outline how they are likely to be scoped and managed in order to meet performance targets set in the
11 KPAs:
Safety
It is envisaged that the way in which the future ATM System performs will be regulated and managed as follows:
In terms of safety performance, clearly defined and validated
design targets will be established, together with performance
indicators for measuring this aspect of the ATM System.
A clear regulatory structure will exist which has an
organisational hierarchy with an associated set of clear objectives.
This will be accompanied by an appropriate, consistent and
integrated set of regulations, which have been formulated
incorporating stakeholder consultation on achievability and cost.
Global safety management capability indicators will be
established. A continuous process of improving the safety
management systems and safety culture of air traffic service
providers will be reflected in a continuous improvement in
their maturity levels, commensurate with meeting the targets
set for these indicators.
The proactive approach to managing safety requires that ATM stakeholders develop and share a deeper understanding of potential
process failures to allow vulnerabilities to be anticipated and designed out. This is of particular importance since the future ATM
Target Concept is likely to involve a greater degree of automated
system support to the tasks being performed by humans. The
vision is of a System that minimises the occurrence of errors
(through the use of appropriate HMIs, procedures, automation
tools support, etc.), but recognises the continued scope for
human-errors and ensures that they do not lead to accidents.
Thus, the future ATM Target Concept design must focus on solutions, which eliminate known sources of error and identify mitigation for potential sources of future errors. Comprehensive independent safety nets to help safeguard against potential losses in
aircraft separation are likely to play an increasingly important role.
5 - CRCO, CFMU
December
2006
030

Human aspects
Environment
In order to meet the performance targets set for the future ATM
System, it is envisaged that the future ATM Target Concept will
shift from an approach, which is based upon a management by
tactical intervention approach, to a more strategic one, which is
management by planning and tactical intervention by exception.
Making this shift will need a greater degree of automation and an
increased integration of airborne and ground roles, functions and
technologies. However, the human will remain the most flexible
and creative element to manage the overall System, including responding to threats, errors and unpredictable events.
ATM shall support society as a whole, delivering its maximum

contribution to European sustainability by achieving the optimum
balance between social, economic and environmental imperatives.
In order to deliver this vision up to 2020 and beyond, a number of
required changes have been identified.
The above mentioned changes will be accompanied by an extensive change management process that proactively integrates
human factors, social dialogue and all relevant aspects of recruitment, training, competence and staffing throughout the entire process of system developments and their implementation. All of this
will be reflected and firmly embedded in European social policy
and legal structures with the full involvement of social partners at
all levels.
Security
Society and especially National governments must have a high
degree of confidence that the future ATM System is secure, resilient and well protected against any unlawful activities that could
potentially cause disruption to air transport.
The vision for 2020 and beyond is that this will be explicitly achieved through the following goals:
The general goal of ATM security, being a part of aviation
security, is to determine effective mechanisms and procedures
to enhance the prevention and response of ATM to major
security threats that have been assessed as to how their
effect on flight operations.
Enhancing the security of the ATM System will have a
positive effect, both on the prevention of incidents and on
the ability to respond to acts of unlawful interference. It
includes security measures adopted by all parts of the ATM
System, both technical and operational. In particular, they
include fostering of security awareness, improving the
dissemination of security information, developing ATM
security standards and procedures and addressing all security
requirements in especially the Communication, Navigation
and Surveillance (CNS) domains and for the ATM infrastructure.
More effective co-operation between ATM and the relevant
civil and military authorities should be achieved. This to be
done by the enhancement of procedures and communication,
whilst complying with national security and defence
requirements.
There is an urgent need for the European aviation industry including ATM to speak with one co-ordinated voice on environmental
issues, inside the overall sustainability balance. This collaboration,
harmonisation and spreading of best practice is facilitated by a
pan European cross industry process for driving aviation
sustainability. This process consists in a consolidation of existing
aviation sustainability initiatives. This collaborative arrangement
provides agreed positions on key sustainability issues and forms
the vehicle for effective communication of these positions to regulators (e.g. EC, EASA) and international bodies (e.g. ICAO, other
non European States). The ICAO Balanced Approach6 will be fully
reflected in all measures taken.
In the context of increasing societal mobility demand for air transport services, societal sensitivity to impact of noise, local air quality and climate change issues will continue to grow. Airport operators, airspace users, manufacturers and ANSPs will have to work
collaboratively at the local level to build trust and support among
airport neighbouring communities. These communities should be
fully integrated in aviation decision making processes.
Environmental sustainability in aviation is to be defined through a
licence to operate agreement7 between the aviation industry
and society.
ACARE gives objectives for future aircraft delivered around
2020 and for which JTI "clean sky" initiative is proposed
within FP7. The scientific community must work to resolve the
remaining uncertainties about the industrys impact in terms of
noise, local air quality and climate change (e.g. contrails). There
will then be certainty in terms of measurement of ATM impacts,
which will ensure transparent decision making that accounts for
all likely sustainability outcomes.
Aviation is expected to become a carbon neutral industry, through
its inclusion in a global emissions trading scheme. The inclusion of
CO2 costs will increase the cost of air travel per passenger km;
ATM will have to deliver more efficient point to point routes and
vertical profiles to ensure that the industry as a whole can
reduce costs and make air transport affordable to the society that
demands its services. The harmonised implementation of flexible
use of airspace in the whole ECAC area will enable more direct
routes.
6 - Also captured in EU Directive 2002/30/EC

7 - The license is to be interpreted as Having reached the conditions to operate without restrictions, because all stakeholders (airports, airspace users, manufacturers and ANSPs) work collaboratively and communities are in
the decision making process, avoiding various oppositions and then constraints.
December
2006
031
ATM will provide harmonised implementation of advanced

low noise routings and techniques (with local flexibility in
implementation) as a method of reducing the impact of noise on
communities to the greatest extent possible. These low noise routings will have to be designed with the trade-offs between noise
and emissions and will have to be supported by an effective and
consistent land use planning system that is fully integrated with
airport development policies.
Despite growth in air traffic, the number of people exposed
to aircraft noise is expected to decrease. The aviation industry,
through active participation in ICAO CAEP, secures challenging
new noise stringencies reflecting aviation external environmental
regulation and noise/emission technology achievements, including
specific ATM aspects, bearing in mind that in addition focused
R&D will accelerate reduction of aircraft/engine noise and emission at source.
Assuming that the EU will not be a federal state by 2020,

defence will still mainly be a competence of Member States.
National States will probably further increase co-operation at
European level with a view to improve defence capacities and
synergies between national armies, in particular through common
development projects carried out by the European Defence
Agency (EDA). Additionally, a "gradual communitarisation" of
certain aspects of aviation security policy may be possible.
Nevertheless the responsibility for ATM for the air forces of
Member States will most probably remain an exclusive national
competence. Consequently, co-ordination at European level will
be dealt with only through purely intergovernmental mechanisms,
(i.e. based on unanimous voting and with a limited involvement
of the European Commission). Even though civil-military
coordination is essential regulation of civil and military ATM in
2020 might still be based on different legal instruments.
2.4.3.2 Regulatory and Oversight functions in 2020
All ATM stakeholders will implement an environmental

management system.
The market demand for air transport will grow and ATM, through
SESAR implementation (and globally), will deliver corresponding
service enhancement in response, and key ATM decisions will be
subject to transparent impact assessment to select the most suitable option.
2.4.3 ATM Institutional and Regulatory Framework

This section starts with a look ahead at possible evolutions of the
EU (regulatory) landscape followed by a description of the functions to be covered by the future regulatory framework. Finally the
requirements of the future safety and security regulatory functions
are described in more detail.
2.4.3.1 Future EU landscape
When developing a long-term vision of regulatory and oversight
synergies in Europe, it is useful to consider briefly possible milestones for the future landscape of the EU up to 20208. In summary, it can be said that the EU in 2020 will probably not be
very different from the EU of today:
An enlargement of the EU to 30 or more Member States is
possible, and it is expected that non-Member States will also
apply the SES regulations.
It is to be expected that gradual institutional changes will take
place, eventually on the basis of some revised EU Constitution.
If any such Constitution was implemented it is not expected to
have a severe impact on SESAR, but its terms should be borne
in mind when developing institutional scenarios for 2020.
Within the overall European Community context as outlined above,

it is now analysed how regulatory and oversight functions may
develop over the coming years at national and EU level.
Regulation
At national level, it should be recalled that in all Member States the
body of administrative law grew exponentially after the Second
World War, which led to overregulation in many cases. For this reason, de-regulation became an objective of national legislation in
order to ensure that regulation is only adopted where it is absolutely necessary. Additionally, self-regulation of certain sectors was
introduced in many Member States.
Recent trends
Another trend affecting regulation in certain sectors (such as
Telecom) that can be expected to continue up to 2020 is the
progressive liberalisation of activities, which historically
have been performed by state-owned monopolies. In order to
avoid the abuse of significant market power and to ensure societal expectations, it was necessary to introduce sector-specific
regulation, often of a very technical nature. Sometimes, this has
resulted in the need for additional technical regulation, supported
by the establishment of regulatory bodies.
The ATM context
The current trend in ATM is that public bodies are increasingly
concentrating on the role of regulator and relying on corporatised
entities to assume the responsibilities of investment, safety management development and service provision. While some States
considered the opportunity to privatize these corporatised service
providers, other States consider that these entities shall remain in
the public sector.
8 - It is realised that elements of EU law can be applied anywhere but unless a State is a member of the EU it is not subject to the whole EU legislation.
December
2006
032

The current status is that SES recognises a functional separation9

between regulation and service provision and enables trans-national service provision10. Whilst noting that further liberalisation of
ATS is anticipated by some stakeholders, it is recognised that the
provision of ATS is connected with the exercise of the powers of a
public authority, which are not of an economic nature justifying the
application of the Treaty rules of competition11.
Regulatory Oversight
It is to be examined how regulatory oversight will develop up to
2020. In this context, it should be reiterated that the Community
can impose sanctions if its rules are violated and that "enforcement shall be governed by the rules of civil procedure in force in
the State in the territory of which it is carried out12". The EC does
not have its own police force and no criminal court exists at EC
level.
Classic forms of regulatory oversight will therefore continue
to depend on the cooperation between the EU and its
Member States, even if the rule making itself will be increasingly shifted to the European level, with the Member States
being held responsible for the application of the EU law.
Finally, it is to be expected that alternative forms of regulatory
oversight will be further developed in the EU. In particular concession contracts, as used for the Galileo system, could be used to
ensure the fulfilment of public policy objectives. These concession
contracts could contain incentive and penalty schemes, which
would allow for a more efficient achievement of public goals.
ments for ANSPs are likely to evolve as the ANSP industry

evolves. The institutional framework will therefore need to
be adaptable.
EC Workshop on the future of Aviation Regulation
The most recent contributions to this debate are the EC orientations as expressed in the conclusions of the EC Workshop13 on the
future of Aviation Regulation.
As a conclusion I [Mr. Barrot] would advance the view that we

need to continue to work towards a comprehensive EU aviation
system, where the EU institutions including the Commission, working closely with the Member States, take overall responsibility for
the public interest. I see the EUs role resting on four pillars:
EASA in partnership with the Member States - is to
develop into the ultimate safety authority following a Total
system approach to aviation.
EUROCONTROL is to develop, under the EU umbrella, into
the overall centre of expertise for the aviation system,
supporting the Commission and States.
As has been the case in SESAR, cooperative industry
structures should be encouraged, wherever possible, to
take responsibility for the operation of parts of the aviation
system that require strong coordination, under clear man
dates to be given by the EU and under the watchful eye of
a design authority to ensure consistency.
Member States and associated European countries, working
individually or in groups, will continue not only to work within the
EU in developing the regulatory framework, but also to ensure
its effective application through their proximity to the operators.
Assignment of functions to the layers of regulatory organisation

As the future ATM System develops the requirement for national
regulation will also need to change. For instance, if ANSPs merge
into organisations providing services in the airspace over more
than one State, the national regulatory organisations of
those States would have to co-operate or merge in some
way to avoid duplication. This would be particularly important
if the ANSP providing a service had no physical base on the
ground within the State where the service is being provided (this
might be possible using space based CNS infrastructure).
Alternatively, if the ANSP activities are unbundled into service provision and equipment provision elements then the situation could
arise where one service provider could use the equipment of several infrastructure providers in several different States and one
equipment provider could provide CNS services to several service
providers. This situation would favour a European conformance assurance process for the service provision and elements of a national oversight function for the equipment providers.
The conclusion is that the ideal institutional arrangements
for ensuring conformance with ATM regulatory require-
While the SESAR Consortium views on regulatory aspects are

addressed in chapter 2, it is not the purpose of D2 to elaborate on
the above conclusions. The interpretation and further development
of these conclusions are being considered and followed-up by the
EC high-level group, composed of representatives from the aviation community.
2.4.3.3 Tasks of the ATM regulatory function
The objective of the Regulation function is to propose regulation that
balances society expectations with the need to develop, operate
and grow a sustainable European air transport system. The
expectation is that the Regulation function would set rules, as necessary, in order to achieve the key performance objectives.
An important aspect will be the interface and dialogue with the
Operations function and the System Planning and
Implementation function (refer to Figure 2-5). In such a technically complex area, this is challenging and is further complicated
by the large numbers of actors with competing and potentially
diverging views.
9 - See Regulation (EC) No 549/2004 {Framework Regulation} Article 4.

10 - See Regulation (EC) No 550/2004 {Service Provision Regulation} Article 7.6.
11 - See Regulation (EC) No 550/2004 {Service Provision Regulation} Recital 5.
12 - See European Economic Area Agreement Article 110
13 - See http://ec.europa.eu/transport/air_portal/2006_09_20_conference_en.htm
December
2006
033
In addition the Regulation function would, in coordination with

the Operational function and the System Planning and
Implementation function, propose the overall system framework14
of the future ATM System.
Additional areas for regulation over and above the safety and
security regulatory functions, which are detailed in sections
2.4.3.4 and 2.4.3.5 are:
Economics: To support the Economic regulation of ATM service
provision. The level of support will depend on the level of delegation from the Policy and Legislative function. As a minimum it
would be expected to:
Support and set measures to assist the implementation of the
ATM Master Plan by all stakeholders including the policy for
charging and incentives.
Propose structural changes to the ATM Performance
Partnership in order to increase system performance and
efficiencies including the advice to the EC.
Operational Performance15: To propose the development of ANS performance measures, including target setting, to the Policy and
Legislative function (see Figure 2-5) for evaluating performance. The
Performance Framework introduced in chapter 3 will provide an initial
assessment of the key performance areas and associated indicators.
Environment: To promote a level playing field with other transport
modes in order to avoid that aviation is under more stringent environmental requirements16. To harmonise local and currently divergent environmental regulations.
Airspace Policy: To support the Policy and Legislative functions to
assure the management of airspace (e.g., FAB and airspace design), taking into account all air activities and the regulations protecting certain volumes, such as those for military usage.
Framework Design: To act as the System Framework regulator
including the ownership and maintenance of the ATM Master
Plan once it is adopted by the Transport Council. To define the high
level design, including architecture and interoperability, in partnership with all stakeholders. To approve the detailed system design
provided by the System Design, Planning and Implementation
function. To manage the standardisation process and initiation, as
appropriate, of the development of new standards.
Spectrum Policy: To ensure that aviation makes best usage of its allocated spectrum as it is viewed as a valuable commodity in the 21st
Century. There is thus continued pressure from other industries for
aviation to release spectrum for other commercial applications.
R&D policy: To support the Community in the development of ATM
R&D policy and initiatives.
December
2006
034
Interfacing to ICAO: To closely coordinate with international and

regional regulation entities in order to ensure global interoperability.
Licensing: To issue licenses for operators for ATM service provision.
Enforcing: To enforce the implementation of decisions as set
out in the regulatory aspects of the ATM Master Plan and making
use of a process similar to the existing ECIP/LCIP and to monitor
progress17.
In seeking the above objectives the regulatory function, whilst
continuously responding to State requirements, works closely with
the Industry in order to assure that rules are fair, proportionate and
ensure a level playing field.
2.4.3.4 Safety Regulation
The topic of safety in SESAR comprises the three main aspects of
safety regulation, safety management and safety performance.
This section deals solely with ATM safety regulation.
ATM safety regulation is a specific form of regulation with safety
as its clear and only aim and is carried out in the public interest.
In safety regulation, safety is the end in itself, and should not have
any conflict of interest with other non-safety objectives.
ATM safety regulation in Europe will be based on invariant
basic regulatory principles, while having to address all structural and implementation issues necessary to support the future
ATM concept as developed by SESAR. The main responsibilities
and tasks in ATM safety are divided as follows:
The prime responsibility for the safety of a service or product
rests with the service provider or designer/producer.
All service providers and designers/producers have a duty of
care to take all reasonable precautions to ensure that their
services or products are safe. The duty of care involves to have
a sound, logically inferred, traceable approach to safety that
also takes into account transitional aspects.
The standards of safety to be achieved should be authorized
and monitored (i.e. oversight) by a competent body acting in
the public interest, which is independent of service providers
and designers/producers.
The standards of safety to be achieved should be defined at an
appropriate common level.
As part of the Single European Sky the EC has already begun the
process of restructuring the ATM safety regulatory framework in
Europe. It is envisaged that this process will be complete by 2020
and that the following key issues will have been met.
14 - Drawing an analogy with real estate development the concept of urbanisation is an example of how the regulator sets out the overall system framework, e.g. the urbanisation plan and a number of very specific
regulations for buildings. The builders, architects and homeowners are free to develop within these regulations.
15 - This area of regulation covers the more physical attributes of the system, such as capacity, flexibility, predictability etc.
16 - Even though the SES Regulations contain only two explicit references to the environment the consideration of the applicability of the general environmental regulations to the Air transport are an essential element of the
overall ATM performance.
17 - By making use of a process similar to the existing ECIP/LCIP.

Structural issues:
A clear regulatory organisational hierarchy including roles and
responsibilities.
Regulators should maintain the necessary expertise to dis
charge their legal duties efficiently and effectively.
Safety regulatory requirements and standards of enforcement
should be consistent across the whole European region and
approvals, licenses and certifications should be transportable.
Safety regulators should maintain a transparent decision
mechanism that fully involves all affected stakeholders.
Implementation issues:
Regulation must be appropriate (and periodically reviewed) to
the organisations being regulated and the targeted safety
objectives.
Safety requirements for different elements of the ATM System
should take full account of the safety requirements applied
across the whole system.
Safety regulation should always be clear about the safety
objective that needs to be achieved, and not unduly prescriptive.
New safety regulation compliance must be clear and the costs
and benefits of compliance must have been assessed.
These key issues should also be considered by the military and a
clear regulatory interface between civil and military authorities is
required to mitigate risks.
2.4.3.5 Security regulatory framework requirements
With the extension of the threat spectrum there is a requirement
to extend and integrate the respective regulation on ATM security.
This will build upon existing security initiatives including the establishment of baseline standards and a formal security framework
(including standards setting, common risk assessment, audit process and compliance) for ATM across Europe.
Harmonised regulations at ATM level should be established in
order to ensure the implementation and effective operations of
ATM security.
European mandatory regulation on measures shall only be used to
meet requirements for ATM security where the effect of voluntary
means by uncoordinated national action, industry standards or
guidance material is inadequate.
Public funding and governance should reflect the public interest
with respect to the protection of airspace and critical ATM infrastructure at national and European level.
2.4.4 Subjects of Common Interest

A number of important subjects, wider ranging by nature and
impacting both the institutional and regulatory and business
management frameworks, are described in further detail.
2.4.4.1 Decision Making requirements in the
future ATM System framework
A dynamic working relationship should exist between the business
management and institutional and regulatory frameworks, not only
to ensure the appropriate transparency of their activities, but also
which facilitates undertaking collaborative working practices that
are driven by the common aim of realising benefits for the air
transport industry as a whole. The key principles of the decision
making process are to:
Reduce complexity with clear identification and
separation of the respective roles of government,
institutions and industry for the development, deployment,
implementation and maintenance of the ATM Master Plan:
H The underlying principle would be that Contracting States
would continue to be responsible under the Chicago
Convention for the provision of ATM in their airspace by
whatever supplier they choose.
H All stakeholders have to be fully committed at the top level in
this process. A mechanism should be established to ensure
that these engagements are maintained. Coordination with the
military will have to be assured at this level.
H The stakeholders (ANSPs, Airport 0perators, Airspace users
(including GA), aviation and supply industry) making up the
aviation industry would assume greater responsibility for
managing the development, deployment and post-deployment
phase (dependent on their degree of direct involvement).
Co-ordination with the military will have to be assured at this
level.
H A transparent and impartial process would be required for
integrating and balancing the requirements of the different
sectors of industry. This would be necessary due to the
potential for conflict arising from, inter alia, different stakeholder
business cycles, investment profiles and ownership issues.
Some means of achieving balance between these would be
required to avoid continual recourse to the government level,
which would disrupt the decision-making processes.
H Defining and managing the interfaces and consultation
arrangements between the government and industry levels
would be as important as defining their relative roles and
responsibilities. The consultation processes should establish a
clear understanding of the implications of commitment and,
where appropriate a clearly defined identification of actions
and timescales resulting from any commitment to ensure an
in-time implementation. Incentives for early implementation
and/or penalties for late implementation can be investigated
for that purpose.
December
2006
035
Eradicate duplication and overlaps between the European

Institutions, European Standardisation bodies, and the
national aviation authorities:
H The national aviation authorities must be brought to the same
best in class level so that the European institutions can rely
upon their ability to carry out at national level, or at regional
level working together, the responsibilities necessary for the
safe and efficient implementation of the ATM Master Plan.
H There should be clear divisions established identifying who is
responsible for what and the necessary interfaces should be
developed, implemented and maintained.
H Communicate widely and continuously the ATM
Master Plan as a living document so that all can recognise
and understand it, ensuring the timely awareness of stakeholders
(e.g. airport operators, general aviation) who are not directly
involved in activities but whose business(es) will be impacted
by implementation.
appropriate competence in leadership and management, responsibility and commitment. Social Partners participation will be better orchestrated and will contribute to successful change and transition processes by making best use of available information and
best practices. At local level, Social Partners representing the
employees must receive the support and resources required to
effectively perform their work.
Social Partners, representing the employees, will be consulted
before decision-making and will work in partnership with the
employer from the design to the operational stage, ensuring that
social issues are adequately identified, addressed and resolved.
The scope of the social dialogue will embrace all relevant social
security and working conditions, work organisation, work and
safety culture, health and well-being, age and demographic factors. They are properly considered and managed and lead to a new
Social dialogue as a System

Outputs
Inputs
Environment
Political
Actors
Employers
Processes
Collective
bargaining
Outcomes
Collective
agreement
Legal
Participation
Economic
Trade unions
Societal
Governments
Industrial action
Settlement
of disputes
Labour legislation
Productivity, employment
job security, labour peace
commitment, motivation
Impacts
Figure 2-8 Social Dialogue as a System

2.4.4.2 Social Dialogue
The future SESAR Development and Deployment process will be
successful only if Social Partners are involved and participate in all
phases of the change. A well managed, elaborated, and smooth
Social Dialogue change process accepted by all parties is paramount to find balanced, sustainable and feasible solutions in times
of conflicting targets. It will prevent one-sided solutions and as
such avoids social conflicts and industrial actions.
The figure 2-8 Social Dialogue as a System describes the principle way in which Social Dialogue will be implemented and managed at European, national and local levels.
The Social Partners framework of bodies and organisations
will exist with clear, accepted mandates, mutual recognition,
December
2006
036
and efficient way of working and interacting between Social

Partners.
The social consequences of the required improvements and changes will be locally different and require specific actions. The principle that there is no one overall best solution applies in full as long as Social Dialogue at local level is established and works.
Working conditions at local level will be successfully balanced
against legislation and daily/seasonal requirements for safe, effective, flexible and efficient work procedures including social
aspects.
European legislation, adapted at national level, ensures that
minimum social and working conditions and standards are
fully respected for staff working shifts in the European ATM.

2.4.4.3 Financing aspects

It is expected that by 2020 economic and financial analysis of
the ATM Master Plan investments is fully integrated with
other activities related to ATM planning and operations. Cost
benefit modelling and analyses will become a full part of the decision criteria for investment decision ensuring:
Transparency and stakeholder involvement for all stakeholders
groups.
Project life-cycle uncertainty reduction.
Risk measurement.
Decision support.
Traceability through the decision making process.
Funding
The present system of funding ATM costs of the ANSPs through
user charges (with economic regulation, price settings of charges and
the use of incentives) will remain the principal18 system of funding
in Europe irrespective of the financing methods chosen. Although ICAO
Doc 9082/7 states that 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 this possibility is not (yet) foreseen in the EUROCONTROL charging principles.
Financing the ATM System
By 2020 the financing mechanisms for the implementation of the
future ATM Master Plan will, in general, be dependent on the
governance structure and model of the development and deployment phase organisation(s), the asset allocation principles
connected to it and associated financing mechanisms.
In focusing the proposed vision of financing of the SESAR
Deployment Phase, financial scenarios have been developed in
order to meet the following objectives:
1 To describe a possible financing mechanism that avoids an
increase in the unit-rate due to peak investment costs at the
beginning of ATM System implementations.
2 To indicate the dependency of assets / rights and guarantees /
funding back in a financing model especially if more
extensive usage of capital market is planned.
3 To indicate the dependency of the governance model / structure in
correlation of point 1+2 with any financial mechanism/scenario.
Assumptions
The proposed financing scenarios and financial Models are based
on a number of assumptions regarding the way the ATM Master
Plan implementation will be managed:
There will be an agreed ATM Master Plan that defines an

Implementation Programme aimed at achieving the maximum
benefits for all Stakeholders in the shortest possible time.
Until all aircraft using European airspace are equipped with
fully SESAR compatible equipment, the ANSPs may have to
operate and finance some older generation ATM/CNS systems
or subsystems.
ANSPs grouping for joint procurement may further evolve.
Airport Operators and other third party investors may be
stakeholders in providing future ATM equipment even where
they are not providing services.
The future investment volume needed for the implementation
of the ATM Master Plan in 2020 is not known right now. It is
assumed to be close to the current figure of 1Bn/year for the
ANSPs. The estimation of investment volume for SESAR
implementation is elaborated in chapter 5.
A significant part of the capital investment will consist of ATM
equipment that needs to be retrofitted to existing aircraft.
For the benefit of this section, the notion of a Financing
Structure is introduced which aims at organising the financing
aspects of managing the assets.
Overview of Financing Scenarios
In general there are two alternatives, which are mutually exclusive.
The (classical) institutional way:
The current national structures and influences remain (think
global, act local).
Any development of the governance structure in charge of the
ATM Master Plan implementation would include the function of
coordination of funds but it would not become an asset-holder.
If there is an agreement to provide a pre-financing schedule, a
revenue stream can be guaranteed. If guarantees (National
Governments, EC, Institutional) for borrowing or commercial
paper19 are provided, then strong commercial loans at attractive
rates can be arranged or even Commercial Paper floated. In
this case this can be handled as a non-profit activity.
The product/service way:
Technical developments create an asset value. Access to this
asset will be leased/rented/licensed/sold or provided through a
concession (similar to the Galileo model) to ANSPs/Airport
Operators/Airspace Users and the Supply Industry by an ATM
Master Plan Financing Structure.
The Financing Structure will be aiming to make profit and
Airspace Users would accept this due to the expected increase
in operational and commercial efficiency.
Airspace Users, ANSPs, Supply Industry (IND), Airport Operators
and Capital Market players could all become Shareholders of
the Financing Structure. Participation could be widened
through joint ventures or Venture Capital funds.
18 - Together with the existing principle, in certain States, to fund the GA and military contributions directly by States
19 - ANSPs can float commercial paper (bonds, loan stock) to raise funds from the commercial market. This is easier when the Government is partially or fully involved in the ownership structure for guarantee purposes.
For example both German DFS and UK NATS have used this method in the past.
December
2006
037
The following chart (Figure 2-9) shows the full set of scenarios
depending on:
The rights and powers of the Financing Structure (x-axis).
The business model used towards the ANSPs, Users and
Airport Operators (y-axis).
Not all of the theoretically 11 possibilities have been examined.
The analysis focused on six scenarios 0, 0.5, 1, 2, 3a/3b. The
sizes of the bullets represent the investment volume allocated to
the Financing Structure as a subset of the total amount of investments at the various stakeholder levels.
Scenario 0: Works with State guarantees for the pre-financing
scheme offered to ANSPs and Airport Operators. ATM System
assets remain the property of ANSPs, Airport Operators, and
Airspace Users. IPRs are controlled solely by their owners with a
possible central coordination function.
Scenario 0.5: Has some elements of the product/service way provided portion of exploitation rights can be utilised within ANSPs
and Airport Operators / Financing Structure. ATM System assets
remain the property of ANSPs, Airport Operators and Airspace
Users. The usage and exploitation rights of some IPRs are delega-
Scenario
ANSPs, Airports
and Users
lease
certified products
n/a
ANSPs and
Airports
lease
certified products
n/a
ANSPs, Airports
and Users
buy
certified products
n/a
ANSPs, Airports
and Users
use
certified products
The
Financing
Structure
n/a : not applicable
0.5
ted to the Financing Structure with a central coordination function,

which acts as a concessionaire.
Scenario 1: ATM System assets remain the property of ANSPs,
Airport Operators and Airspace Users. The Financing Structure has
the ATM IPR usage and exploitation rights. It acts as a concessionaire.
Scenario 2: The Financing Structure has the ATM IPR usage and
exploitation rights. It buys certified SESAR compliant systems from
the supply industry and sells it to ANSPs, Airport Operators and
Airspace Users with a regulated added margin. ATM System
assets belong temporarily to the Financing Structure.
Scenario 3a: Financing Structure has the ATM IPR usage and
exploitation rights. It buys certified SESAR compliant systems from
the supply industry and leases them to ANSPs and Airport
Operators (with direct sales to Airspace Users). ATM System
assets belong to the Financing Structure.
Scenario 3b: As 3a but includes the leasing of on-board avionics
to Airspace Users.
n/a
n/a
3
- 22 Bn+
n/a
S 3b
(3a + user's avionics)
- 11 Bn
n/a
n/a
n/a
S 3a
(ground ATM)
S 0 incentive
schemes
only
n/a
S 0.5 some
rights stay
with ANSPs
has state guarantees

Institutional way
n/a
S 1 pre-financing
is offered, incentive
schemes are in place
S 2 pre-financing
is offered, incentive
schemes are in place
n/a
n/a
n/a
owns usage &

exploitation rights
buys components
owns components
Product/service way
Figure 2-9 Financing scenarios
December
2006
038

The issue of IPRs/ Usage & Exploitation Rights

Intellectual Property Rights (IPR) and their usage and exploitation
are one of the main issues in the financing of the ATM Master Plan
implementation.
In general the question who owns the IPRs is of lower importance
than the question who controls/coordinates the usage and
exploitation rights. From a financing perspective a product/capital market driven financing model will request a higher extent of
controlling rights in order to give access to possible future profit
streams.
The scenario 0 indicates the possibility of IPRs and their usage /
exploitation for the ATM Master Plan implementation just to be
coordinated. This coordination could possibly be done through a
patent pool or a patent forum. Both structures aim at reducing
transaction costs and maximum cumulative royalty rates.
The scenarios 0.5 up to 3 indicate the need to have the exploitation rights under control in order to access capital market financing. The objective of the IPR management by the Financing
Structure would be to maximise royalty income. For this idea to
work the revenue streams based on royalties must exceed the
costs for centralised IPR management and ownership and the
possibility exists that the financial burden for the ATM Master Plan
Implementation is partly shifted from taxpayers to ANSPs, airlines
and ultimately air passengers.
Revenues
assured &
profit
possible
The definition of an IPR Strategy is seen as the pre-requisite for

the choice of a financing scenario for the ATM Master Plan implementation. The ATM Master Plan implementation will depend on
the financing model chosen, the number of involved patents and
market players and the willingness of owners of essential IPR to
accept the certain conditions laid down by the SESAR Joint
Undertaking Regulation. It is to be noted that the supply industry
does not want a central entity handling exclusive IPRs.
Decisions and recommendations for the financing of the
SESAR Deployment Phase
The following decision tree (Figure 2-10) shows the decisions to
be taken before a financing scheme for the SESAR Deployment
Phase can be finalized:
The advantage of scenarios 2 and 3 is that it offers possibilities in
speeding up the investment processes as it facilitates cash flow,
amortisation and depreciation cycles constraints (if any) of individual stakeholders. However, an analysis of the realistic capability
in the ATM industry to accept above scenarios lead to a vision
where only Scenario 0.5 (modified Scenario 1) or Scenario
1 Central Ownership/Certification of portion of usage and
exploitation rights are possible to implement. Both show a
significant change to the current situation and do not require central procurement as it is not proven that central procurement is
more cost effective and could give rise to competition issues. In
addition, main ATM industry participants, and in particular ATM
supply industry, are reluctant to consider a central procurement
scenario.
Product/service
way
New legal entity with equity capital
N
partly*
Institutional
way
Owns usage
& exploitation
rights
STOP
NO commercial
basis for new entity
All funding via
user charges
NO pre-financing
All funding
via user charges
N
STOP
State
guarantees
Central
purchasing
of SESAR
equipment
Scenario 0
Scenario 0.5
Scenario 1
Central
leasing
of SESAR
equipment
Scenario 3
N
Scenario 2
* Usage/exploitation rights for some developments would remain with ANSPs
Figure 2-10 Financing scenarios decision tree
December
2006
039
2.4.4.4 Standardisation Process Aspects

Following on the D1 findings on the current technical and operational standardisation process (complex, fragmented and unclear),
an improved ATM European Standardisation process is needed,
which should be built as far as appropriate on a global
Standardisation process in full support of worldwide interoperability objectives. D2 has identified a few essential functions, to be
performed by the same or different organisations with every
organisation responsible for a function being both empowered to
make decisions appropriate to that function, and accountable to
the aviation community.
The essential functions are:
The above functions shall be coordinated through a single process, including:

Liaison with ICAO and other international organisations for
global harmonisation, including civil/military interoperability.
Maintenance of the standardisation elements throughout the
life of the ATM Master Plan and beyond
Consolidation of ATM stakeholder views
Necessary liaison with regulators responsible for the reference
to standards as means of compliance to their regulation. The
Standardisation and Certification processes are however to be
carried out by different bodies.
To follow the ATM Master Plan development in order to properly

plan for timely delivery of the required standards. The output of
this function shall be a list of proposed standards, including
analysis of the needs and selection of the different standard
initiatives that shall be further developed.
To develop required standards (to be established on a
performance based basis when ever possible), activity to be
allocated to appropriate organisations, each responsible for a
given standard, including the preparation of mature drafts and
their consultation process securing the participation of all
relevant stakeholders; work shall be done in cooperation with
ICAO and other international organisations developing
Standards.
To validate standards through coordination activities of e.g.
trials, experiments, testing, to assess the suitability of, and
refine as necessary, the standard being developed. Validation
activities shall be somehow independent of the development of
the standard to avoid possible bias.
To launch approval process with publication and appropriate
consultation across the aviation community on the suitability of
the standards.
To have the approved publication being accepted as an
acceptable standard by appropriate regulation, or kept other
wise as a specification.
December
2006
040

3 Performance Framework
and Targets
3.1 Introduction
Work in D1 has clearly identified a need for a single, simplified
European ATM System coupled with a performance-based
approach that will satisfy all stakeholders requirements. Both
States and Industry together have a primary role to play in ensuring that Europes ATM System is progressively modernised to
cope with expected traffic growth, in a safe and environment
friendly operation. It is patently evident that Business as usual is
not an option.
A comprehensive ATM performance framework must be
developed and applied throughout Europe as a whole as the
basis for future management decisions in ATM.
This chapter provides a bridge between:
The Air Transport Value Chain and the vision on the future role
of ATM in that value chain on one hand (how to translate the
general expectations into more precise performance terms).
The definition of the future ATM concept of operations to be
further developed in SESAR D3, including airspace design
aspects (providing a set of initial strategic performance criteria
against which to assess the future concept).
It contains a set of initial strategic performance targets for the
future European ATM System, plus a performance framework
and proposed performance objectives and indicators intended
to guide further work during the SESAR project. However, it is
important to recognize that at this stage, the targets represent
the Airspace Users aspirations for the ATM System.
The time horizon for the objectives and design targets is
2020+ but performance checkpoints for earlier (intermediate)
dates are proposed, as they are needed for the development of
the ATM Master Plan.
While it is necessary for SESAR to work in the context of the Air
Transport System as a whole, the scope is clearly focused on providing an initial strategic performance specification for the ATM
part of the Air Transport System.
The visions in preceding chapters covering ATM business management and institutional and regulatory aspects are now drawn
together into initial strategic performance targets for the individual Key Performance Areas. These will serve as overall guidance to Concept Design and Validation and the definition of more
specific Performance Objectives for the ATM Service.
Overall, the ATM Value proposition recognises that throughput and
Cost Effectiveness is a major value driver.
The future European ATM System will contribute to the future Air
Transport Value by:
Continuing to supply safety and traffic management services.
Expanding ATM Capacity to handle the projected growth in traffic
by 2020 and beyond.
Supporting the robustness of air transport services and
schedules through no delays being attributable to the ATM process.
Developing flexible ATS airspace Capacity to maximise the
Efficiency and minimise the Environmental impact of flight profiles.
Finding the best trade-offs between the different Performance
Areas.
Reducing the direct unit cost of the ATM System by 50% by
2020.
A performance-based ATM System relies on an ATM
Performance Partnership built on a shared view of the Value
priorities of the respective players (i.e. Airspace Users, Airport
Operators and ATM Service Providers), Network interactions, and
agreed rules of the game. This shared view of ATM is fundamental to further develop the target into a coherent Performance
Framework to properly guide the development of future Concepts
solutions.
December
2006
041
3.2 Application of a Performance-Based Approach

Considering that aviation activity continues its rapid expansion in
most regions of the world, ICAO has come to the conclusion that
traditional oversight functions based on intensive interaction and
intervention as well as compliance with technical standards and
regulations will strain resources and become impracticable. ICAO
is therefore promoting implementation of integrated safety programmes among States and safety management systems at the
organizational level. A similar approach should be followed in other
performance areas such as security, environment, cost effectiveness, capacity etc. This involves a performance-based
approach to all performance-related work that focuses on "what"
an ATM stakeholder must do rather than "how" it will be accomplished. It will allow regulatory authorities, planners, airspace
users, Airport Operators and service providers to effectively meet
their responsibilities, using performance-based approaches
having already been proven effective in other industries.
The shift from monitoring compliance with technical standards to
a performance-based approach will also support integration of the
air navigation system. It will allow regulatory authorities, political
bodies, ANSPs and airspace users to be involved in establishing
performance measures acceptable to them. The means of measuring and monitoring air navigation performance - and in particular
ATM performance - are critical to the future success of the evergrowing air navigation system.
ICAO is working on guidance material for adopting a globally harmonised, performance-based approach to the implementation
of the Global ATM Operational Concept (OCD Doc 9854). Some
of this material is already available, and SESAR is committed to
applying this guidance in the European context.
In this section, background information on ICAO progress is provided to give the context for the work developed in SESAR. Some
relevant on going European performance initiatives are discussed
before the SESAR Performance Framework is introduced.
3.2.1 Background on ICAO Approach

The ICAO ATM Requirements and Performance Panel (ATMRPP) is
currently engaged in developing material to foster a common performance oriented approach to the implementation of the OCD.
Some guidance material has already been completed (the
Performance Based Transition Guidelines or PBTG document);
other material is at the moment still in draft (the Global ATM
Performance Manual) but envisaged to be completed in 2007.
The PBTG while providing the high-level guidance for adopting a
globally harmonised, performance-based approach to the implementation of the OCD, is dealing with a process and techniques
for strategic (time horizon until twenty years ahead) performance
management and transition roadmap development, in the
context of regional ATM planning such as performed during the
SESAR Definition Phase.
Transition planning is a cyclic process executed at global, regional
and local level. It is typically repeated at five year intervals to take
into account changing forecasts, up-to-date information on implementation progress, new performance assessments, changed
performance expectations and policies (resulting in revised performance targets), and any other relevant change (exceptional changes may lead the ATM community to decide to start a new transition planning cycle before the regular five-year interval has elapsed).
Each iteration results in updated versions of transition roadmaps,
research plans and implementation plans (the latter two may be
updated on an annual basis). Considering that transition roadmaps
typically cover a time horizon of twenty years, a given five year
period will be updated several times in the transition roadmap
before it is incorporated into implementation plans and finally
materializes as a set of real changes to the ATM System.
The sequence of steps outlined in the next section takes the
results (transition roadmap, plans, and performance assessments)
of the previous iteration into account, and applies all the latest
changes to see whether the transition roadmaps and plans are still
valid from a performance perspective. If this is not the case, transition roadmaps and plans are modified to mitigate all identified
performance issues (performance gaps) and ensure alignment at
global, regional and local level, and the process is ready to start
again five years later.
December
2006
042

Overview of the Performance-Based Transition Approach

Figure 3-1 provides an overview of the performance-based transition approach. It contains three steps with questions, which must
be answered as part of applying the approach:
What are the ATM

community
expectations ?
What are
the performance
objectives ?
Step 1 (questions 1 - 5): translate ATM community

expectations into quantified performance targets.
Step 2 (questions 6 - 8): conduct performance assessment and
use performance targets to identify current and anticipated
performance gaps.
Step 3 (questions 9 - 12): update transition roadmaps and
plans to mitigate identified performance gaps.
What are the

performance
targets ?
How to measure
performance ?
Step 1
What is the
current and
expected traffic
evolution ?
What are the

current roadmaps
and plans ?
What is the current

and planned ATM
performance ?
10
What is the
global ATM
Operational
Concept and
associated system
requirements?
What are the

available options
for operational
improvement ?
11
What selection
and sequence of
operational
improvements
addresses current
and anticipated
performance gaps ?
What are the

current and
anticipated
performance gaps
and their reasons ?
Step 2
12
What are the

resulting updates
to current
roadmaps
and plans ?
Step 3
F i g u r e 3 - 1 P e r f o r m a n c e - b a s e d Tr a n s i t i o n A p p r o a c h
December
2006
043
3.2.2 European Context

3.2.2.1 Existing Performance Planning and Review
activities
The focus on performance, objectives and indicative targets within
this chapter is to provide guidance in support of ATM Master Plan.
As such, SESAR is in no way attempting to duplicate or replace the
work that is currently ongoing in well-established performance
review processes (PRC/PRU work) or the short- and medium-term
performance planning processes (e.g. the ECIP/LCIP capacity
enhancement planning process).
in this area is to start this process by giving general guidance

in the form of a performance framework, and an initial list of
proposed objectives, indicators, and possibly targets.
The SESAR performance framework (see figure 3-2) defines
the overall playing field in which to define performance measurements, monitor performance evolution, set objectives to guide
performance improvement initiatives, and targets that represent
required or desired performance levels. It is actually an enhanced
version of the ICAO Performance Framework described in the
PBTG.
The enhancement is based upon a two dimensional approach:
3.2.2.2 SES Performance Review Mandate

The European Commission issued a mandate to EUROCONTROL in
order to assist the European Commission in the development of
implementing rules on the examination and evaluation of air navigation performance.
The purpose of the mandate is to develop draft-implementing
rules in order to:
Define a set of information that will be collected on a regular
basis.
Develop measures for the dissemination of this information to
interested parties.
There is a clear relationship between this work and SESAR, but no
overlap. The mandate is primarily concerned with ensuring and
enhancing a steady flow of performance data from Stakeholders
to the body responsible for the review of todays ATM performance, whereas the role of SESAR is to outline strategic design
targets and a performance framework in support of the ATM
Master Plan.
A vertical dimension addressing the maturity of performance

processes: how (well) is performance regulated, planned,
delivered, measured, reviewed and improved in each of the
performance areas.
A horizontal dimension based upon the PBTG (dealing with
performance scope covering the 11 KPAs- safety, environment,
security, cost effectiveness, capacity, flexibility, predictability,
efficiency, access and equity, interoperability and participation).
The vertical dimension of the Performance Framework is based on
an overall performance management process, in which different
sub-processes called Performance Management Stages (PMS)
can be distinguished (See Table 3-1). All stages need to exist and
work sufficiently well, in order for the overall system to meet performance expectations and achieve continuous improvement. The
PMS framework can be used for the analysis of the performance
objective portfolio within individual KPAs (e.g. in which stage(s) of
the performance management process are the deficiencies?
where do we need to define objectives in order to improve
things?).
Horizontal Dimension (KPA)
Policy & Objectives

Indicators & Targets
Rules & Processes
Planning
Execution
Detection
Mitigation
Outcome
Impact
Recovery
Evaluation
Improvement
System development level: the aim is to develop the future

ATM System in a performance driven manner. To make this
possible, this chapter delivers a number of high level (strategic)
objectives and targets to other tasks, to be used during the
remainder of the SESAR Definition Phase as overall design
constraints driving concept, architecture and master planning
work.
System operations level: the aim is to operate the future ATM
System in a performance driven manner. The role of this chapter
December
2006
044
Safety
Security
Environment
Cost Effectiveness
Capacity
Efficiency
Flexibility
Predictability
Access & Equity
Participation
Interoperability
One of the roles of SESAR is to strengthen, and where necessary

introduce a performance driven approach in the future European
ATM System. This will need to happen both at the system development level, as well as at the system operations level:
Vertical Dimension (PMS)
3.2.3 SESAR Performance Framework
Focus
Areas with :
Objectives,
indicators,
targets
F i g u r e 3 - 2 S E S A R Tw o - D i m e n s i o n a l
Performance Framework

Post-Operation
System Operation
System Characteristics
Table 3-1: Performance Management Process

PMS
Performance Management Process Vision for 2020+
1
Policy & Objectives
A well-defined, mature, politically accepted policy for each KPA exists, and
it is adequately translated into (strategic) performance objectives.
Indicators & Targets
Well-defined, mature, politically accepted indicators and targets have been

agreed. These make performance measurable, and result in clear and suitable
criteria to determine when and where the (strategic) performance objectives
have been achieved.
Rules & Processes
A vertically and horizontally coordinated performance management process is

implemented throughout Europe. It is supported by an appropriate set of rules,
regulations, laws, processes, procedures and practices. This includes a
pan-European performance data reporting process in which all relevant
Stakeholders participate.
The performance management process guides the making of impact
assessments and trade-off decisions, the planning of desired performance, and
provides a general framework that prevents or at least minimises deviation from
top level policy and the performance targets.
Planning
All strategic, pre-tactical and tactical operational plans are developed and
optimised in function of needs (the targets to be achieved), while respecting
the needs of other KPAs.
Execution
Execution of all strategic, pre-tactical and tactical operational plans is done

in such a way that the actual performance is closely following the plan.
Detection
During execution of all strategic, pre-tactical and tactical operational plans,

mechanisms are used to predict and detect deviation from planned performance
as early as possible. Information regarding such developing deviations is
immediately made available for mitigation purposes.
Mitigation
The performance management process is highly successful in mitigating the

effects of developing deviations from planned performance.
Outcome
The performance management process is able to measure the actually achieved

performance at the required level of granularity, with a high degree of accuracy
and completeness. Sufficient supporting data is available to develop a thorough
understanding of causes and effects.
Impact
The performance management process is able to measure and assess the impact
of performance on the value chain of the Air Transport System, and on a wider
scale determine its impact on society, environment and the economy at large.
10
Recovery
When unexpected events disrupt the operation of the Air Transport System, with
an impact on performance, the performance management process is able to
re-establish norm0al performance levels with a minimum of delay.
11
Evaluation
ATM Performance Review addresses performance in an adequate manner,

and is able to develop lessons learned.
12
Improvement
The performance management process is able respond to the lessons learned

which are the result of ATM Performance Review, and use these to achieve
continuous improvement.
December
2006
045
The horizontal dimension of the performance framework is based

on 8 layers, as illustrated in figure 3-3. The approach is based on
ICAO material [the PBTG] that was further enhanced and refined.
Step 2 Integration of the performance problem: once the

scope of performance had been divided into specific, precisely
scoped, manageable chunks, an understanding of their inter
Horizontal dimension of the Performance Framework

1
Expectations
Global expectations (ICAO OCD)

Region-specific interpretation (Vision, Value Chain)
KPA Groups
What
(very general)
What
(less general)
High level
statements
Top level
categorisation
framework
3 KPA Groups
Used to place individual KPAs in a broader
perspective (role/scope/impact)
KPAs
ICAO global
categorisation
framework
11 standard KPAs
What
performance policy
will focus on
Focus Areas
Definition of
5 Performance
Policy
Generic
Objectives
Application
6 of Performance
policy
What (specific definition of what will be improved)
Performance
Targets
Instantiated
Objectives
Quantification of current/expected
7 performance (data aggregation
+ indicator value calculation)
Data
8 collection and
forecasting
Performance
Indicators
Indicator
Values
Supporting
Metrics
Gap prediction
and analysis
Data
Definitions and qualitative statements

Numbers with a context (time, location, etc.)
Time, location and stakeholder specific
Figure 3-3 Horizontal dimension of the performance framework

3.2.3.1 Target Driven Development
Overall initial design targets have been developed in SESAR D2
(including for example a cost effectiveness target which translates
into an overall cost envelope), and it is the responsibility of subsequent SESAR project milestones to cascade these down to targets
that will be defined in their own area, in such a way that the overall target is met. This way, every Task of each milestone is forced
to apply a local/internal performance driven approach, while
coordinating and negotiating this with other competing/contributing Tasks.
3.2.3.2 Adoption of an Analytical Approach
Performance can be made manageable and understandable by
approaching it in an analytical way:
dependencies (cause-effect relationships, impacts and benefit

mechanisms) needs to be developed.
Step 3 Validation: as part of validating the concept,
architecture etc., it has to be verified that the interdependencies
really have the effect that was predicted or assumed during the
previous step. This includes assessing the degree of
uncertainty in the relationships.
Step 4 Impact Assessment: the 4th step consists of assessing
the impact of the validated focus areas, including interdependencies
on the initial pre-trade-off targets. In some cases this may
reveal that the initial targets are incompatible and that priorities
need to be redefined and/or a trade-off choice needs to be made.
While the focus has been mainly on Step 1 during the development of D2, some initial analysis has been made of Step 2.
Step 1 Division of the performance problem: by focussing

on a KPA at a time, and within each area focussing on well
defined understandable subjects called Focus Areas. This has
been the focus during the SESAR Definition Phase thus far. As
such, the targets defined here represent initial (pre-trade-off)
targets of indicative nature.
December
2006
046

3.2.3.3 Overview of Key Performance Areas

It has been found useful to cluster KPAs into the three major
groups Societal Outcome, Operational Performance and
Performance Enablers.
The decision criteria for grouping are based on the highest
degree of visibility of the KPA outcome and impact, rather than on
how the performance is achieved.
Basically, the three levels of visibility are:
Societal Outcome High Visibility: effects are of a political
nature and are even visible to those who are not users of the
Air Transport System.
Operational Performance Medium Visibility: visibility of the
effects stops generally at the level of ANSPs, Airport Operators,
airspace users and airspace user customers (e.g. passengers).
Adding to the net positive value is:

The benefits resulting from the Air Transport Value Chain.
Economic value.
Social value.
Reduction of the net positive value occurs to the extent that aviation does not meet expected levels of:
Safety.
Security.
Environmental management and control.
The various segments of aviation will only be acceptable and promotable in the eyes of the general public, if there is a general perception that for each of them the positive aspects outweigh
the negative ones.
Please note that only part of Aviation Safety, Security and
Environmental Sustainability is within the scope of ATM (hence
High Visibility
Medium Visibility
Low Visibility
Effects are societal

and of a political nature
Effects are business-level,

on users and operators
Not a direct interest to

airspace user customers
Societal
Outcome
Operational
Performance
Performance
Enablers
Safety
+
Security
+
Environmental
Sustainability
Cost Effectiveness
+
Capacity
+
Efficiency
+
Flexibility
+
Predictability
Access and Equity

+
Participation
+
Interoperability
F i g u r e 3 - 4 G r o u p i n g o f K PA s
Performance Enablers Low Visibility: these are not of direct
interest to airspace user customers and the KPAs play their role
mostly at the business trajectory planning stage.
Figure 3-4 illustrates the grouping of KPAs into three KPA Groups:
Societal Outcome, Operational Performance and Performance
Enablers.
ATM shall contribute, but is not fully responsible for performance

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

The desired societal outcome of the activities carried out by the
airspace users and the rest of the air transport industry is:
Creation of net positive value for the societies served
December
2006
047
Operational Performance KPAs
Examples of these interdependencies are:
The KPA Group Operational Performance comprises the areas

that directly describe the operational performance and associated
costs of airspace users, Airport Operators and ANSPs.
a) Financial Cost-effectiveness versus Efficiency, Flexibility

and Predictability (also called quality of service): the need to
reduce the cost of providing ATM capacity may have to be
balanced against the need to limit the cost of delay due to
capacity shortages.
These are areas that are concerned with the internal details of
how the ATM Community Members run their activities.
The main areas in this group are:
Cost Effectiveness (the financial outcome of operational
performance).
Capacity (the basic enabler for other operational performance
aspects).
The Quality of Service dimensions within the Operational
Performance group are covered by the following areas:
H (Flight) Efficiency.
H Flexibility.
H Predictability.
b) Efficiency versus Environment: lateral efficiency affects fuel

efficiency, which in turn affects indirect costs as well as
gaseous emissions.
c) Capacity versus Efficiency: the objective of providing flight
trajectories closer to user Business Trajectories may have to be
balanced against the objective of increasing capacity.
d) Short-term Cost-effectiveness versus investment: reducing
the cost of providing ATM services can have an impact on capital
investment to deliver long-term performance.
e) Access versus Capacity: the access of all aircraft, irrespective
of their equipage or size, to a certain airspace or airport can
have an impact on the capacity provided.
Performance Enabler KPAs

The KPA Group Performance Enablers comprises the performance of enabling activities and processes rather than that of
operational outcomes.
This group comprises the following areas:
Access and Equity.
Participation by the ATM Community.
Interoperability.
The magnitude of the trade-offs differs at regional and local levels.

For example, the size of the trade-off between cost of increasing
capacity and the cost of delay will differ between a region where
capacity can be increased with existing resources and a region
where increases in capacity will require considerable investment.
"Enabling" implies: While things go well Enablers tend to go unnoticed. However, if performance in these areas is unsatisfactory,
performance in other KPA Groups will suffer. Unsatisfactory performance here may even act as a major inhibitor.
Trade-offs between performance areas in the short and medium

terms can also be removed or attenuated with technological and
operational improvements (through target concept development)
in the long run.
The KPAs in this group tend towards not having a mature performance measurement culture.
After the initial target setting in D2, the target setting process must
take account of these interdependencies and trade-off aspects.
The interdependencies between KPAs, leading to trade-offs, need
to be analysed and discussed within the ATM community. Where
the simultaneous meeting of different targets is not possible, the
balance between targets must be adjusted so that they reflect an
acceptable and feasible compromise. The aim is to ensure that the
total set of agreed targets reflects societys priorities in the highlevel expectations.
3.2.3.4 KPA Interdependencies

Interdependencies between performance objectives within a KPA,
as well as between KPAs, need to be identified as they address the
issue of trade-offs between the various performance objectives
and targets. Preferably the target concept is to overcome the need
for (some of the) trade-offs; alternatively if trade-offs are unavoidable, it points toward the need to take decisions on priorities between the KPA and Targets.
December
2006
048
f) Flexibility versus Capacity: airspace users ability to modify

flight trajectories or arrival and departure times may come at
the expense of the capacity of the ATM System.

3.3 A Vision for Improved Performance Levels

A vision description typically consists of two different types of statements:
A solution oriented vision (e.g. high level statements about
what the concept should look like).
A set of general performance expectations or political
performance vision (e.g. statements about improved safety,
capacity etc.).
In November 2005, during the public announcement of the SESAR
Definition Phase contract, EC Vice-President Jacques Barrot
expressed the EC objectives of the SESAR programme, which are
to achieve a future European Air Traffic Management (ATM)
System for 2020 and beyond which can, relative to today's performance:
Enable a 3-fold increase in capacity which will also reduce

delays, both on the ground and in the air,
Improve the safety performance by a factor of 10,
Enable a 10% reduction in the effects flights have on the
environment and
Provide ATM services at a cost to the airspace users which
is at least 50% less.
These statements constitute the political vision and goals for the
design of the future ATM System. These vision and goals have
been analysed by reference to the 2020 demand and has resulted
into specific initial indicative targets for that particular year, notwithstanding the subsequent evolutions necessary to meet the
evolution of the demand.
In this chapter, the vision and goals haves been broadened by
considering the whole set of eleven KPAs defined in ICAO OCD.
3.4 Initial Indicative Strategic Design Performance Objectives and Targets

This section provides more information on each individual KPA
[Ref. 15 for more details].
The structure is as follows:
Definition and Scope of the KPA and its Focus Areas.
Initial Indicative Strategic Design Target(s); notwithstanding that
targets, which have been set at this stage, must be considered
as strategic ones (working assumptions). Therefore, these are
initial indicative targets for the global European ATM, for which
trade-off analysis will be done in D3 and D4. Targets are annual
European averages20, therefore include the cumulative effect of
all operating conditions (e.g. weather) over a whole year.
Likewise, because they address total European performance
(not local or individual performance), the network effect is
included. The allocation of responsibility for achieving the
targets involves all stakeholders.
Clarifying Notes if required, brief notes to clarify the Initial

Indicative Target, e.g. further discussion on Trade-offs,
accountabilities, and implications for future European ATM
Concept where applicable.
Please note that in this section the focus is on the definition of
Initial Indicative Targets for the outcome, and that targets and
objectives for the performance management process will have to
be defined by the D3 Tasks.
20 - The word average is used in the sense of the mathematical mean value; it corresponds typically to the sum of performance over a certain time period, geographical area and number of flights, divided by the total
number of flights
December
2006
049
3.4.1 Cost Effectiveness

3.4.1.1 Definition and Scope of the KPA and its Focus Areas
Key Performance Area
Cost Effectiveness
This KPA addresses the cost of gate-to-gate ATM in relation to the volume of
air traffic that is managed.
Focus Areas
Direct cost of gate-to-gate ATM
This Focus Area covers the total direct gate-to-gate ATM costs incurred by ATM
stakeholders (regulatory and governmental authorities, intergovernmental
organisations, service providers, airspace users, Airport Operators etc.).
It includes:
Geographically: en-route and terminal costs
Service-wise: ATM/CNS costs, MET costs, payments made to regulatory and
governmental authorities, European ATM design function costs
(e.g. EUROCONTROL today)
From an organisational perspective: staff costs, infrastructure, equipment
(ground, air and space based), software, maintenance, training etc.
Please note that this Focus Area addresses costs, not revenue and it is therefore
not affected by charging policy.
Direct cost of ATM providers
The part of the direct cost of gate-to-gate ATM which is borne by the service
providers.
Indirect costs
Indirect costs are attributable to non-optimal gate-to-gate ATM performance.

The scope covers the extra costs incurred by airspace users through
non-optimum performance in the Efficiency, Flexibility and Predictability KPAs.
The monetised environmental cost is not included at this stage.
3.4.1.2 Initial Indicative Strategic Design Target
In line with the political vision and goal, the working assumption for Cost Effectiveness design target is to halve the total direct
European gate-to-gate ATM costs from ?800/flight (see note below) in 2004 to ?400/flight in 2020 (in 2005 euros) through progressive reduction. This could be achieved via a cumulated ~3%/year reduction until 2010 (as indicated in PRR 8 Report 2004), followed by a cumulated ~5%/year reduction until 2020. Notwithstanding this 2020 target, continuing cost improvement should be
sought after 2020.
Note:
This gate-to-gate ATM cost figure does not include airspace user costs in the baseline (2004), but it does cover future
airspace user investments to the extent of any increased role and/or associated cost in ATM.
The PRC has estimated [PRR2005] that in 2004, total en-route and terminal ANS costs in Europe amounted to approximately
7,000M. This cost comprises ATM/CNS cost, MET cost, payment to regulatory and governmental authorities and
EUROCONTROL costs. This cost was to be amortised over 8.745 million flights (2004 official traffic statistics STATFOR),
which results in an average cost per flight of 800.
December
2006
050

3.4.2 Capacity
Capacity
This KPA addresses the ability of the ATM system to cope with air traffic demand
(in number and distribution through time and space). It relates to the throughput
of that volume per unit of time, for a given safety level.
Focus Areas
Airspace capacity
This Focus Area covers the capacity of any individual or aggregated airspace
volume within the European airspace.
Airport capacity
Focus is on the throughput of individual airports in terms of aircraft movements,

taking into account the composite effect of air- and landside constraints. So this
Focus Area covers much more than just runway capacity. Focus is also on the
throughput of individual congested airports in low visibility (i.e. IMC) conditions.
Network capacity
Is concerned with overall network throughput, taking into account the network
effect of the airspace and airport capacity in function of traffic demand patterns.
3.4.2.2 Initial Indicative Strategic Design Targets
In accordance with the political vision and goal, the ATM target concept should enable a 3-fold increase in capacity which will also
reduce delays, both on the ground and in the air (en-route and airport network), so as to be able to handle traffic growth well beyond
2020. The deployment of the ATM target concept should be progressive, so that only the required capacity is deployed at any time.
The initial indicative design target for Capacity deployment is that the ATM System can accommodate by 2020 a 73% increase in
traffic (annual IFR traffic growth in the European network from 2005 baseline) while meeting the targets for quality of service KPAs
(Efficiency, Flexibility, Predictability): 5% in the period 2005-2010, 3.5-4% during 2010-2015, 2-3% during 2015-2020, and 2% p.a.
beyond 2020. This corresponds to an optimistic demand forecast combined with an optimistic airport capacity growth scenario,
which however assumes that there will be very few Greenfield airport development projects in Europe in the next 20 years. This
deployment requirement means that the annual number of flights to be handled by the ATM System will increase from 9.1 to
approximately 16 Mn21 flights p.a. within the 2005-2020 period. During the busiest months of the year, the system should be able
to handle 50,000 flights/day around the year 2022.
These are the average European design targets (at network level). When transposing this to local targets, regional differences will
exist. The ATM target concept should be able to support a tripling or more of traffic where required.
ATM operational improvements should allow airports without special physical constraints (including environmental considerations)
in the airside-landside value chain to reach the following low visibility (i.e. IMC) throughput during a 15-hour day (from 0700 till
2200 hrs local time): 750 movements/day with a single runway, 1150 movements/day for airports with crossing runways, and 1350
movements/day for airports with parallel runways. For complex airports (with 3 or more runways), no generic targets are defined.
These airports should be looked at individually. Congested airports will need a capability for sustained operations at maximum capacity during most hours of the day. Avoiding disruptions is top priority for those airports.
Note:
A distinction has to be made between the capacity that is expected to be needed for deployment in 2020, and the capacity potential that needs to be built into the 2020 concept. The deployment capacity targets are based on the traffic forecast [LTF2004]. It is wise to
assume the most challenging forecasting scenario for target setting. This is Scenario A: Globalisation and Rapid Economic Growth, i.e. 73%
higher traffic levels in 2020 than in 2005. For the concept capacity targets one must take into account the need that the concept should
have a useable lifetime of 15 to 20 years beyond the year 2020 period during which there is likely to be more traffic growth
and that there is also a possibility that in future years the forecast for 2020 may need to be revised upwards. One possible scenario
for example could be that the growth of VLJ traffic may exceed all present expectations. The vision statement Capacity times 3
has been interpreted as being an indication of the expected concept capacity target and not the deployment capacity target for 2020.
Whereas deployment capacity targets are based on forecasting methods (underpinned by numerical modelling), choosing concept
capacity targets is much more a matter of adding a sufficient margin to the 2020 deployment target.
21 - The annual European traffic demand - if unconstrained - is forecast to reach at least 18 Million IFR flights by 2020.
December
2006
051
3.4.3 Efficiency
Efficiency
This KPA addresses the actually flown 4D trajectories of aircraft in relationship

to their Shared22 Business Trajectory.
Focus Areas
Temporal efficiency
This Focus Area covers the magnitude and causes of deviations from planned
(on-time) departure time and deviations from Shared Business Trajectory
durations (taxi time, airborne time).
Fuel efficiency
This Focus Area covers the magnitude and causes of deviations from optimum
fuel consumption.
Mission Effectiveness
Following military trajectory models focus is to reflect the economic impact

of transit times associated with military training activities.
The initial indicative Efficiency design target23 is an improvement in ATM efficiency such that:
On-time departure performance (on-time departure is defined as actual off-block departure less than 3 minutes before or after
the departure time of the Shared Business Trajectory; delayed departure is defined as actual departure more than 3 minutes after
the departure time of the Shared Business Trajectory):
H Occurrence (Punctuality): at least 98% of flights departing on time.
H Severity (Delays): the average departure delay of delayed flights will not exceed 10 minutes.
Flight duration efficiency (normal flight duration is defined as actual block-to-block time less than 3 minutes longer
than the block-to-block time of the Shared Business Trajectory; extended flight duration is defined as actual block-to-block time
more than 3 minutes longer than the block-to-block time of the Shared Business Trajectory):
H Occurrence: more than 95% of flights with normal flight duration.
H Severity: the average flight duration extension of flights will not exceed 10 minutes.
Gate to gate fuel efficiency (Actual compared to Shared Business Trajectory):
H Occurrence: less than 5% of flights suffering additional fuel consumption of more than 2.5%.
H Severity: for flights suffering additional fuel consumption of more than 2.5%, the average additional fuel consumption
will not exceed 5%.
Note:
1) The efficiency performance of any flight is, at the highest level, a measure of the difference between the Shared Business
Trajectory and the actual 4D-Trajectory flown by the aircraft in terms of Time and fuel deviation.
2) Because these targets are either based on new indicators or indicators which are calculated in a way different from todays
Performance Review practices, no baseline performance levels are yet available.
In Europe, historically only departure delays and lateral efficiency have been the subject of performance assessment. However, historically Airspace Users have individually assessed their own flight efficiency performance in terms of fuel burn and timeliness.
22 - Shared Business Trajectory (SBT) corresponds to the published business trajectory that is available for collaborative ATM planning purposes. The Shared Business Trajectory may or may not already contain constraints that
the user has already taken into account in his business calculations. It represents the plan for optimum flight performance, assuming no other traffic is present.
23 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be done
in D3.
December
2006
052

3.4.4 Flexibility
Flexibility
This KPA addresses the ability of the ATM system and airports to respond to
sudden changes in demand and capacity: rapid changes in traffic patterns,
last minute notifications or cancellations of flights, changes to the Reference
Business Trajectory24 (pre-departure changes as well as in-flight changes, with or
without diversion), late aircraft substitutions, sudden airport capacity changes,
late airspace segregation requests, weather, crisis situations, etc.
Focus Areas
Business Trajectory update
flexibility for scheduled and non
scheduled flights
This Focus Area covers the ability of the ATM system and airports
accommodate airspace user requests for Reference Business Trajectory (BT)
updates of scheduled25 and non-scheduled26 flights, ranging from simple time
translation (depart/arrive earlier/later) to full BT redefinition (changes to aircraft,
route, vertical profile, destination, etc.)
Flexible access-on-demand for

non-scheduled flights
This Focus Area covers the ability of the ATM system and airports to
accommodate non-scheduled flights.
Service location flexibility
Focus is on the ability of the ATM system to make services available at (relatively)
short notice in airspace and at airports where previously no service was available.
Suitability for military requirements
Focus is to reflect the suitability of the ATM System for military requirements
related to the flexibility in the use of airspace and reaction to short-notice
changes.
The initial indicative Flexibility design targets27 are:

Of the scheduled flights requesting a change in departure time, no more than 2% (European-wide annual average) will suffer a
delay penalty of more than 3 minutes (with respect to their requested time) as a consequence of the request.
The average delay (European-wide annual average) of such scheduled flights (with a delay penalty of more than 3 minutes) will
be less than 5 minutes.
At least 95% (European-wide annual average) of the (valid) requests for full Reference Business Trajectory (BT) redefinition of
scheduled and non-scheduled flights will be accommodated, albeit possibly with a time penalty (i.e., departure and/or arrival delay).
Of the scheduled and non-scheduled flights with a successfully accommodated request for full Reference BT redefinition, no
more than 10% (European-wide annual average) will suffer a delay penalty (i.e., departure and/or arrival delay) of more than 3
minutes (with respect to their requested time) as a consequence of the request.
The average delay of such scheduled and non-scheduled flights with a successfully accommodated request for full Reference
BT redefinition (with a delay penalty of more than 3 minutes) will be less than 5 minutes.
At least 98% (European-wide annual average) of the non-scheduled flight departures will be accommodated with a delay penalty
less than 3 minutes.
The average delay (European-wide annual average) of such non-scheduled flight departures (with a delay penalty of more than
3 minutes) will be less than 5 minutes.
At least 98% (European-wide annual average) of the VFR-IFR change requests will be accommodated without penalties.
Note:
1) Reference Business Trajectory update includes milestones and profile. Swapping of 2 flights is a case of coupled trajectory update
under Users control. At each flight phase a deviation could happen (Departure delay, Take-Off Time and Fuel Deviation, En-route Time
and Fuel Deviation, Landing Time and Fuel Deviation, Taxi-in Time and Fuel Deviation) and necessitate a change request to translate in
time the Business Trajectory. Some deviations however might necessitate a re-optimisation of the Business Trajectory based on a
business decision. This could happen after a Departure delay, Take-Off Time and Fuel Deviation and En-route Time and Fuel Deviation.
2) Because these targets are based on either new indicators or indicators which are calculated in a way different from todays
Performance Review practices, no baseline performance levels are yet available.
24 - Reference Business Trajectory (RBT) corresponds to the trajectory, which the airspace user agrees to fly and the ANSP agrees to facilitate (subject to separation provision). The Reference Business Trajectory contains all
the applicable constraints and will be used as a reference by all relevant ATM partners during flight execution.
25 - A flight that is part of a flight schedule. Typically the Business Trajectory is planned first, so that a schedule is created which is offered as a product to the individual users of the flight (e.g. passengers, cargo).
26 - A flight that is not part of a flight schedule. Typically the Business Trajectory is planned after the aircraft operator or individual users of the flight have identified a specific need.
27 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be done in D3.
December
2006
053
3.4.5 Predictability
Predictability
This KPA addresses the ability of the ATM system to ensure a reliable and
consistent level of 4D trajectory performance. In other words: across many flights,
the ability to control the variability of the deviation between the actually flown
4D trajectories of aircraft in relationship to the Reference Business Trajectory.
Focus Areas
On-Time operation
This Focus Area covers the variability of the flight operation: departure (off-block)
and arrival (on-block) punctuality, and the variability of flight phase durations
(turnaround time, taxi time, airborne time).
Service Disruption Effect
Focus is on the prevention and mitigation of the Business Trajectory effects of

ATM service disruption. Such effects can take the form of departure/arrival delays,
flight cancellations and diversions.
Knock-on effect
Focus is on the impact of (a lack of) On-Time operation and schedule buffers on
subsequent flights. Such impact takes the form of reactionary delays, and in more
extreme cases may lead to flight cancellations.
Note: Predictability underpins both the strategic and tactical assumptions in the continuous development of the Business Trajectory. Any horizontal, vertical or speed variability, or any combinations of these which lead to low predictability will have a negative impact on either or both on-time performance
and fuel predictability. Low system predictability generally results in a fuel penalty. Fuel predictability is a consequence of the overall flight predictability
and as such it has not been defined as a leading focus areas.
The initial indicative Predictability design target28 is an improvement in ATM predictability focused on On-time operation (on-time
means within 3 minutes before or after the time reference), Service disruption effect and knock-on effects:
Arrival punctuality: less than 5% (European-wide annual average) of flights suffering arrival delay of more than 3 minutes.
Arrival delay: the average delay (European-wide annual average) of delayed flights (with a delay penalty of more than 3 minutes)
will be less than 10 minutes.
Variability of flight duration (off-block to on-block): coefficient of variation29 is 0.015 (meaning for a 100-minute flight duration30
more than 95% flights arrives on-time, according to arrival punctuality target).
Service Disruption31: reduce cancellation rates by 50% by 2020 compared to 2010 baseline, reduce diversion rates by 50% by
2020 compared to 2010 baseline and reduce total disruption delay by 50% (European-wide annual average) by 2020 compared
to 2010 baseline.
Knock-on effect: reduce reactionary delay32 by 50% by 2020 compared to 2010 baseline and reduce cancellation rate by 50%
(European-wide annual average) by 2020 compared to 2010 baseline.
Note:
Because these targets (e.g. service disruption and knock-on effect) are based on either new indicators or indicators which are calculated in a way different from todays Performance Review practices, no baseline performance levels are yet available.
28 - This indicative target has been proposed by Airspace Users to assess its feasibility during the SESAR Definition Phase. Agreement with other ATM partners (Airports and ANSPs), consolidation and trade-off will be done
in D3.
29 - A coefficient of variation is equal to the standard deviation divided by the mean value.
30 - Average flight duration of European flights.
31 - Service disruption could be for example due to weather, a/c maintenance issues
32 - Reactionary delays are the delays caused by primary delays (ATFM and local turnaround), i.e. delays caused by the late arrival of the aircraft or the crew from previous journeys.
December
2006
054

3.4.6 Safety
Safety
This KPA addresses the risk, the prevention and the occurrence and mitigation of
air traffic accidents.
Focus Areas
ATM-related safety outcome
This Focus Area covers the occurrence and prevention of accidents involving air
craft with a MTOW > 2.25 tonnes, operating under IFR, with a direct and/or
indirect ATM contribution. This includes collisions on the ground and in the air,
CFIT etc.
The SESAR initial indicative safety performance objective builds on the ATM2000+ Strategy objective: "To improve safety levels by
ensuring that the numbers of ATM induced accidents and serious or risk bearing incidents (includes those with direct and indirect
ATM contribution) do not increase and, where possible, decrease".
Considering the anticipated increase in the European annual traffic volume, the implication of the initial safety performance objective is that the overall safety level would gradually have to improve, so as to reach an improvement factor 3 in order to meet the
safety objective in 2020. This is based on the assumption that safety needs to improve with the square of traffic volume increase,
in order to maintain a constant accident rate.
In the longer term (design life of the concept) safety levels would need to be able to increase by a factor 10 to meet a possible threefold increase in traffic, in accordance with the political vision and goal.
Note:
The SESAR safety performance policy objective builds on the ATM2000+ Strategy objective: "To improve safety levels by ensuring that
the numbers of ATM induced accidents and serious or risk bearing incidents (includes those with direct and indirect ATM contribution)
do not increase and, where possible, decrease." The Strategy continues to explain, "The formulation of the objective implies a reduction of the accident rate per operation or flight hour substantially greater than the rate of increase in traffic."
The scope of the performance objective is limited to accidents involving aircraft with a MTOW > 2.25 tonnes, operating under IFR.
Reference needs to be made to the definition of accident in ESARR4 Appendix B (consistent with ICAO Annex 13), narrowed down
to ATM induced accidents as specified in ESARR4 Appendix A. This covers accidents with direct and indirect ATM contribution.
Important note: while an initial strategic design objective and target is needed and has been established to guide further work in the
context of SESAR, EUROCONTROL has a mandate for the development of a Risk Classification Scheme for the Design of ATM. This
work, which will conclude in April 2008, will inter alia, establish whether quantified design targets for the ATM System are feasible,
and if so, what those targets should be. This will be for all classes of risk, ranging from accidents to minor incidents. An expert group
has been convened to progress this subject. The ultimate result will be taken into EC law.
December
2006
055
3.4.7 Security
Security
This KPA covers a subset of aviation security. It addresses the risk, the
prevention, the occurrence and mitigation of unlawful interference with flight
operations of civil aircraft and other critical performance aspects of the ATM
system. This includes attempts to use aircraft as weapons and to degrade air
transport services. Unlawful interference can occur via direct interference with
aircraft, or indirectly through interference with ATM service provision (e.g. via
attacks compromising the integrity of ATM data or services). ATM security also
includes the prevention of unauthorised access to and disclosure of ATM
information.
Focus Areas
Interference with aircraft trajectories This Focus Area covers aircraft trajectory changes which pose a security risk.
Direct interference with aircraft
trajectories
This Focus Area covers aircraft trajectory changes initiated from within aircraft
which pose a security risk. Causes include hijack, terrorist action etc. The ATM
responsibility in this area is limited to providing support in the detection and
mitigation of occurrences.
Indirect interference with aircraft

trajectories
This Focus Area covers the risk of aircraft trajectory changes due to interference
with ATM service provision, e.g. via attacks compromising the integrity of ATM
data or services. Such ATM attacks can be classified as physical attacks, cyber
attacks and radio spectrum attacks.
ATM information security
Focus is on unauthorised access to and disclosure of ATM information. This area

covers operational data related to current flight operations and ATM service pro
vision, as well as historical and forward looking ATM data not anymore (or not yet)
relevant for operations (hence useless for attempts to degrade air transport
services directly), but which may still be sensitive for a variety of reasons.
Note: Additional Focus Areas will need to be defined in D3 to address the performance of the ATM target system with regard to the provision of information to other organisations dealing with security and take into account the threat levels. Such focus Areas deal with the design of solutions supporting the achievement of the above mentioned strategic security outcome.
No quantified targets can be specified at this moment, but the general objective for all Security Focus Areas is to provide a degree
of resilience that is state of the art and commensurate with the security risk scenarios as agreed between the public and private
stakeholders of the value chain.
Note:
1) It is apparent when considering the definition of ATM security that one of the objectives of security is to preserve the business
continuity of the air transport industry. This aspect is not brought out in the explanations of the air transport value chain and the
value to the public. This is particularly necessary when considering the ATM service to aviation as part of the national (or European)
critical infrastructure. From that point of view, one of the goals of the terrorist may be to disrupt and disable the industry itself
through loss of public confidence or by increasing the perceived threat to life and so cause damage national life or airlines or
airport operators.
2) This KPA has not yet made a start with developing a Performance Measurement culture.
December
2006
056
3.4.8 Environmental Sustainability

Environmental sustainability
Aviation has a diverse impact on the environment, but not all aspects can be
influenced by the ATM system. This KPA addresses the role of ATM in the
management and control of environmental impacts. The aims are to reduce
adverse environmental impacts (average per flight); to ensure that air traffic
related environmental considerations are respected; and, that as far as possible
new environmentally driven non-optimal operations and constraints are avoided
or optimised as far as possible. This focus on environment must take place within
a wider sustainability33 scope that takes account of socio-economic effects34
and the synergies and trade-offs between different sustainability impacts.
Focus Areas
Environmental constraint
management
This focus area covers the broad responsibility of the ATM decision makers
(e.g. environmental lawmakers, environmental regulators, local planning
authorities and local rule makers) to avoid imposing any unnecessary
environmentally driven constraint or non-optimal operational practice
or constraints without incentives.
Best ATM Practice in Environmental This Focus Area covers ATMs ability to optimise the environmental performance
Management
of aircraft operations, ensuring that the environmental benefits arising from such
improvements are assessed and recognised by the Sustainability Framework
for ATM.
Compliance with environmental rules
This Focus Area covers the degree to which environmentally driven traffic rules
and constraints imposed on airports and airspace are respected.
Atmospheric Impacts
This Focus Area covers gaseous emissions (CO2, NOx, H2O, etc.), particulates
and secondary effects (such as contrail triggered cirrus) generated in all flight
phases (taxi, departure/arrival, en-route), and their impacts on both local air
quality and the global climate.
Noise Impacts
This Focus Area covers noise generated during all flight phases (en-route =
sonic boom) and its impact on affected population.
As a first step towards the political objective to enable a 10% reduction in the effects flights have on the environment the initial indicative Environmental design targets are:
The aim is that all proposed environmentally related ATM constraints would be subject to a transparent assessment with an
environment and socio-economic scope; and, following this assessment the best alternative solutions from a European
Sustainability perspective are seen to be adopted.
Local environmental rules affecting ATM are to be 100% respected (e.g. aircraft type restrictions, night movement bans, noise
routes and noise quotas, etc.). Exceptions are only allowed for safety or security reasons.
Noise emissions and their impacts are minimised for each flight to the greatest extent possible.
Achieve the implicit emission improvements through the reduction of gate-to-gate excess fuel consumption addressed in the
KPA Efficiency. However no specific separate target could be defined at this stage for the ATM contribution to atmospheric
emission reductions.
Minimise other adverse atmospheric effects to the greatest extent possible. Suitable indicators are yet to be developed.
Note:
1) The first two focus areas (i.e. Environmental constraint management and Best ATM Practice in Environmental Management) are more
process related than outcome related, and therefore represent subjects internal to Task 1.1.4.
2) On the basis of the above qualitative approach, mature quantitative approach will have to be developed in D3.
3) ATMs contribution to the reduction of aviations overall environmental impacts is limited to facilitating and managing aircraft flight
and ground operations. Other parts of aviation34 must therefore continue to address this common challenge (e.g. through
technology, airframe and engine improvements).
33 - For SESAR, sustainability is taken to mean achieving a balance between environmental, social and economic impacts and imperatives whilst serving demand. Management of any single impact should be decided in the
light of associated impacts in other sustainability areas (e.g. noise constraints which may give rise to significantly increased atmospheric emissions and/or unacceptably high job loss or economic impact.
34 - E.g. Economic development, jobs, leisure, reduced mobility costs, safe and secure mobility, trans-European networks, global market connectivity etc.
December
2006
057
Note: (continued)
ATM must demonstrate its effective management of those adverse impacts within its scope and must deliver continuous, cost effective and
worthwhile improvements in the environmental performance of aircraft operations. At the same time ATM must be seen to be contributing
to aviations positive socio-economic contributions to European Sustainable Development.
Success in this key performance area requires the achievement of a delicate and politically high profile balance between societys demand
for mobility and its demand for a good quality of life and environmental protection. Socio-political decision-making should support ATM
development within this balance and should not impose counter productive, unnecessary or non-optimal rules and restrictions. Such ATM
constraints may include delay in approval for new infrastructure, failure to protect airports from residential encroachment (land-use planning
is integral with airspace design and operation) and the approval of conflicting environment and transport regulations. ATM also has therefore
a responsibility to fully engage with these decision makers (including local communities), alongside other parts of aviation, to ensure ongoing
support.
ATM will not be able to achieve its maximum contribution to European sustainability if decision makers adopt a sole focus on
environmental issues without accounting for other sustainability impacts. Any environmentally inspired rule or constraint should be fully
justifiable from an overall European sustainability perspective.
This focus on environmental performance within the wider scope of sustainability, together with achieving recognition and support from
ATMs external decision making is essential if ATM is to continually secure its licence to operate and grow.
The Performance Impact Model for Environmental Sustainability is shown below.
Materials
Engine, airframe
and avionics
technology
Noise from
non aviation sources
Environmental
Rulemaking
l
nta s
me tion
iron regula
v
n
E nd
a
ules
Aircraft
Manufacturing
Other
Influencing
Factors
Performance
characteristics
of assigned
aircraft
Aircraft
Characteristics
Aircraft
Sales
& Storage
Aircraft
Characteristics
Aircraft
Destruction
Fleet
Management
Aircraft
Dispatch
Fleet
Characteristics
Scheduling
Actual fuel
consumption
Flight
Planning
Air transport
demand
Noise impact
on people
Local
Atmospheric
Effects
Local
air quality
Aircraft
noise
Flight
Operations
Trajectory
influence
Gas.
emiss.
Gaseous
emissions
from aircraft
Global
Climate
Effects
ATM
Operations
Other
influencing
factors
Materials
Noise
Effects
Weather
Planned
Trajectory
Route
networks
& schedules
Population
distribution
Actual
trajectories
Emissions from
non aviation
sources
Global
warning
Other
influencing
factors
Air transport
value
Figure 3-5 Performance impact model for environmental sustainability

December
2006
058

3.4.9 Access and Equity

Access and Equity
This KPA splits the management of airspace usage (and usage of other ATM
resources such as airports and ATM services) into two distinct issues:
access/segregation and equity/prioritization.
Focus Areas
Access
This Focus Area covers the segregation issue: whether or not access rights to
airspace and airports are solely based on the class of airspace user. In other
words, is shared use by classes of airspace user allowed, and how much advance
notice of this accessibility is provided.
Equity
The scope covers the subject of equitable access, i.e. the prioritisation issue:
under shared use conditions (i.e. access is possible), to what extent is access
priority based on the equipage of airspace user.
Dissatisfaction of airspace users regarding equitable treatment arises when there
are no prioritisation rules, or the rules are not applied correctly.
No quantified design targets for access and equity have been defined yet; however qualitative objectives can be formulated as:
For access:
1. Shared use of airspace and airports by different classes of airspace users will be significantly improved (classes
defined by type of user, type of aircraft, type of flight rule).
2. Where shared use is conflicting with other performance expectations (safety, security, capacity, etc.), viable
airspace/airport alternatives will be provided to satisfy the airspace users needs, in consultation with all affected
stakeholder (see Participation KPA).
For equity:
1. For priority management, more options will be available than just the first come first serve rule.
2. Priority rules will always be applied in a transparent, correct manner.
December
2006
059
3.4.10 Participation
Participation
At the level of overall ATM performance, the KPA Participation by the ATM
Community covers quite a diversity of objectives and involvement levels.
Participation by the ATM community can be considered in the following
dimensions:
a) Separate involvement issues and approaches apply for each of the ATM
lifecycle phases: planning, development, deployment, operation
and evaluation/improvement of the system.
b) Meeting the (sometimes conflicting) expectations of the community implies
that participation and involvement should be explicitly pursued for each of the
other Key Performance Areas.
c) Involvement should be monitored and managed per segment of the ATM
community.
The three dimensions serve as a framework for focused tracking of the various
participation and involvement initiatives, assessment of the actual level of
involvement against the desired level, and identification of weaknesses and
improvement opportunities. The aim is to achieve a balanced approach to ATM
community involvement.
Different methods and levels of involvement are possible: informing the
community, obtaining feedback and advice from the community, collaborative
decision making and consensus building.
No quantified design targets have been defined for Participation by the ATM Community. However the qualitative aim (general performance objective) is to improve participation:
During all ATM lifecycle phases: planning, development, deployment, operation and evaluation/improvement of the system
For all performance areas: access and equity, capacity, cost effectiveness, efficiency, environment, flexibility, global
interoperability, predictability, safety, security
By involvement of all ATM community segments
The following participation techniques will be used as appropriate:
- Informing the community,
- Obtaining feedback and advice from the community,
- Collaborative decision-making and consensus building.
December
2006
060

3.4.11 Interoperability
Interoperability
At the level of overall ATM performance, the main purpose of interoperability KPA
is to facilitate homogeneous and non-discriminatory global and regional traffic
flows.
Applying global standards and uniform principles, and ensuring the technical and
operational interoperability of aircraft and ATM systems are to be seen as
supporting (enabling) objectives for the above main objective.
Focus Areas
Homogeneous traffic flows
This Focus Area addresses the extent to which the Focus Areas Application of
standards and uniform principles and Technical and operational interoperability
of aircraft and ATM systems have an impact on the efficiency of business
trajectories for intra-European and intercontinental flights.
Non-discriminatory traffic flows
This Focus Area addresses the extent to which the Focus Areas Application of
global standards and uniform principles and Technical and operational
interoperability of aircraft and ATM systems have an impact on access for
intra-European and intercontinental flights.
Application of global standards

and uniform principles
Self-explanatory.
Technical and operational

interoperability of aircraft and ATM
systems
Self-explanatory.
No quantified design target has been defined in the area of interoperability. However, qualitative objectives can be formulated which
describe the required impact of interoperability improvements.
The application of standards and uniform principles, together with improved technical and operational interoperability of aircraft and
ATM Systems will enable a measurable improvement of:
- The efficiency of business trajectories for intra-European and intercontinental flights.
- Airspace and airport related access for intra-European and intercontinental flights.
- Airspace and airport related equity for intra-European and intercontinental flights.
December
2006
061
3.5 Conclusions
This document lays the foundation for a performance-based
approach to the development and operation of the future European
ATM System:
Based on a high level (political) performance vision, a number
of top level initial indicative strategic performance targets have
been defined in order to guide the design works; They have to
be recognised as working assumptions and will then have to be
cascaded down to lower level targets by subsequent Tasks in
the SESAR Definition Phase. In any case it should be recognized
that the long-term (2020) initial indicative design targets are
going to be achieved in a progressive manner, starting from
todays actual performance levels (baseline performance) via
short and medium term intermediate targets (no intention to
rely on big-bang improvement to reach the 2020 targets in one
giant step).
In order to operate the future ATM System in a performancebased manner, a performance framework has been defined
which includes a vertical dimension (decomposition of the
performance processes: how (well) is performance regulated,
planned, delivered, measured, reviewed and improved) and a
horizontal dimension (dealing with performance scope:
definition of Key Performance Areas, Focus Areas, initial
objectives etc.).
The reader should keep in mind that the present material represents no more than working assumptions for a coordinated, consistent performance based approach in the remaining SESAR Tasks, rather than the complete and all-encompassing treatment of the
performance subject. This implies amongst other things that the design targets contained in this document represent initial indicative targets (working assumptions), subject to further analysis and validation. It should be noted that the allocation of responsibility for achieving these targets involves all stakeholders and that many details of the performance based approach will have to be
worked out by subsequent SESAR milestones, based on guidance and principles contained in this chapter.
December
2006
062

4 Short-Term
Improvements Baseline
4.1 Short-term Context
D1 identified the most relevant blocking points in the airspace and
airport domain areas. An objective of the ATM Master Plan will be
a planning of activities for short-term improvements to be implemented between 2008 and 2013, which will deliver benefits while
ensuring continued return on investment. Leading to this objective,
this chapter gives an outline of solutions, which have the
potential to resolve these blocking points of current operations
in the short timeframe. The list of solutions is not intended to be
exhaustive, and many local initiatives also contribute to resolving
blocking points, although these are not all explicitly identified here.
The subsequent SESAR Milestones will take over these results to
perform a trade-off of the various alternatives, assess the costs
associated with the implementation and identify and stimulate the
required validation and standardisation activities, taking into
account the need to align the short-term actions with the 2020
selected concept. The recommendations described in the present chapter will then be further consolidated.
The initiatives and best practices have been selected taking into
account the driving blockers identified during Milestone 1. Priority
is given to the ones which:
1 Reduce fragmentation, at all levels of the European ATM
System.
2 Address the lack of flexibility of the ATM network and, at
local level, find ways of providing varying levels of operational
ATM capacity in real-time.
3 Emphasise the need to implement a really integrated ATM
network that includes airport operators, airspace users,
TMAs and en-route airspace instead of a collection of more or
less isolated solutions.
4 Promote a simplified European framework together with a
performance-based approach satisfying all categories of
airspace users requirements.
For each solution, expert judgement has been used, based on individuals expertise and taking into account several factors. Among
others are the number and severity of the impacted blocking
points, time and ease of implementation, cost of implementation
(CBA results have been used where available), environmental
impact, contribution to the transition to future concepts and safety
impact. As the objective is to select the solutions that have the
potential to realise real benefits in the European network in the
short-term, the current maturity of the solutions is of particular
importance.
The following definitions are used throughout this chapter:
A solution is Promising when a positive proof-of-concept
exists and trials have been initiated or carried out for operational
implementation.
A solution is Mature when it relies on proven technologies or
concepts, i.e. already implemented or being implemented35.
Whereas it is clearly recognised that almost all potential solutions
address several KPAs, in the following description, they have been
grouped by themes under the most directly addressed KPA36. A
description of the KPAs impacted by each solution is available in
Table 4.3.
35 - Description and assessment of all initiatives considered is available in DLT-0607-321 and DLT-0607-322 in their applicable issues
36 - The order of the sections in chapter 4 is not linked to any ranking of the KPAs
December
2006
063
4.2 Capacity
4.2.1 Airspace
The challenge in terms of capacity in the airspace environment in
the short-term is to meet the traffic growth demand and to limit
en-route delay. European ATM network capacity will require an
increase of 27% between 2005 and 201137.
Among the current initiatives aiming at improving and making the
best use of the available airspace capacity, two in particular stand
out: namely DMEAN and the ATFCM Strategy and Evolution
Plan, because of their big potential to address the key issues of
planning, designing and managing the European ATM network
in an integrated approach and to deliver immediate benefits in
the SESAR short-term period38.
The analysis of the DMEAN case study at Maastricht UAC in 2005 indicates that average delivered capacity increased by 26%. This provides a useful indicator of the latent capacity that can be released by
wide-ranging and co-ordination actions and its beneficial impact.
Nonetheless, it is necessary for DMEAN to adequately consider General
Aviation VFR needs for access to lower airspace. It is also important for
GA IFR to focus on optimal routings and flexibility in lower airspace (outside terminal areas).
The ATFCM Strategy aims at widening the notion of Traffic Flow and
Capacity Management from the mere allocation of slots to the optimisation of traffic patterns and capacity management with the emphasis
on optimising the network capacity through collaborative decisionmaking processes. This short-term improvement is seen as an important building block for the future ATM operational environment.
In a context of an increasing proportion of ATFM delays due to sector
staffing issues39, airspace capacity improvements in the short-term will
also depend on the appropriate recruitment and training of ATCOs.
The 8.33 KHz Programme is the only technical solution available
in the short-term to address the key issue of ensuring additional
VHF frequencies. It was already implemented above FL245 and its
implementation will continue between FL195-245 in 2007. The
implementation below FL195 raises strong issues for General
Aviation, small regional operators and the military community (for
the latter also above FL195), which will require retrofit. The development of a business case for below FL195, shortly to be disclosed by EUROCONTROL, is planned to address the impacts on
General Aviation and small regional operators.
It is stressed that all initiatives to improve the efficiency of the usage of

the aeronautical VHF communication spectrum are essential and
should be further promoted. A re-enforced approach to spectrum
management is necessary to free up frequencies in core congested
regions of Europe and a closer planning with military authorities will be
beneficial. Currently, a frequency management service established at
EUROCONTROL provides States with a centralised, reliable and updated information system on actual frequency allocation as well as with
the necessary tools and know-how to support their frequency management and planning activities.
On a more general note the initiatives related to aeronautical
Spectrum Protection must be fully supported at all levels as they
defend a scarce resource for aviation that is currently under
serious threat. The development of an Aeronautical European
Common Position (AECP) on CNS spectrum issues is important
and its adoption in the ITU WRC 0740 decision should be accelerated by a strong support at political level.
Technical enablers
Whereas the long-term concept for the European ATM System will be
defined at a later stage of SESAR, it is foreseen that it will encompass:
Better and safer use of Airspace which captures the best use
of advanced aircraft capabilities (tailored 4D RNAV with reliable
navigation and surveillance means, including RNP as recommended
by the Performance Based Navigation Manual by ICAO)
Increased use of digital data communication as an enabler of air
craft/ground and ground/ground ATCOs communication improvement
(especially for strategic and high density messages, 4D trajectories)
Short-term improvements should enable the transition toward
these concept elements, while ensuring global interoperability.
In the technical development area, different important initiatives
have been identified, which cover all technical domains. They are
oriented to a better use or a more widespread implementation of
existing technology or equipment, which is seen as the most
effective and cost-beneficial method to achieve improvements on
a short-term basis. Of significance, in terms of opportunity, is that
there is no duplication between initiatives with the focus of each
initiative addressing a particular domain.
37 - Source EUROCONTROL Capacity webpage: In order to meet [the medium growth scenario] and to achieve and maintain the en-route delay target, the Summer season European ATM network capacity will require a
increase of 27%.
38 - It is recognised that several other solutions, like P-RNAV, FASTI or Data link will also have significant impact on capacity in the short-term (refer to 4.5 Interoperability and Table 4.3).
39 - Source EUROCONTROL document PC/06/26/8: DEBRIEFING ON THE SUMMER 2006 TRAFFIC SITUATION. Reported incidents of Staff Shortage have increased considerably during the summer of 2006, and the
corresponding delay has risen by 124% in comparison with summer 2005
40 - International Telecommunication Union, World Trade Organisation 2007.
December
2006
064

P-RNAV is strongly recommended for full and swift implementation. Additionally the initiatives of LINK 2000+ in the short term
and CASCADE in the short/medium term are critical steps toward
wide implementation of data-link technologies and applications.
Data-link solutions are expected to bring significant improvement
in capacity (E.g. 11% increase in sector capacity is expected if
75% of aircraft are equipped in CPDLC).
According to AEA and IATA41, ADS-B based on Mode S 1090
extended squitter is recognized as a prime enabler of critical ATM
applications42, bringing potentially substantial safety and capacity
benefits. Moreover, ADS-B is also supported by GA and guarantees
the required interoperability with the USA.
site and infrastructure limits (two thirds of airports with constraints), followed by environmental issues (half of the airports), and physical
constraints related to surrounding airspace and geography (one third).
Nevertheless, the analysis shows that there is latent peak hour capacity45 within the majority of European airports that could be unlocked
through a Europe-wide dissemination of best practices. One methodology for addressing these issues is already available in Europe, offered by EUROCONTROL in the frame of the ACE project.
ACE has already brought about measurable benefits at a number
of airports in Europe, with up to 20% expected runway capacity
increase in average. A typical example is the Prague airport, where
after implementing phase I of the ACE method declared capacity
increased from 34 to 38 movements an hour46.
Recommendations for the short term
1. Support the implementation of DMEAN and ATFCM

Strategy and Evolution Plan - Mature
2. States/ANSPs with experience of local implementation
best practices, which are aligned with the DMEAN
principles, should share their knowledge across the
European net work Mature
3. Support 8.33 programme, while tackling GA and military
retrofit issues Mature
4. Support frequency assignment and promote frequency
management improvement Mature
5. Support implementation of P-RNAV, Link2000+,
CASCADE - Mature to promising
4.2.2 Airport
D1 states that under optimal conditions (which also means considering
regional airports working at full capacity), Existing airport capacity in
Europe is capable of absorbing a maximum of twice the traffic demand
of 2003. [At the current demand growth pace] Consequently, it is reasonable to assume a practical capacity barrier will be reached between
2013 and 2015. Consequently, in order to meet the SESAR challenge
and break though this (capacity) barrier, sufficient capacity in the basic
ATM infrastructure (...) including airports must be created. In the long
term, additional airport infrastructure will have to be developed43 ; in the
short term capacity gains at airports are only possible by improving
operational procedures.
New operational products derived from European R&D have

recently been introduced and start delivering promising capacity benefits. These are based on a proactive planning of operations, an integrated arrival, surface and departure management,
and extended automation. These products implement the first
applications of the integrated AMAN / DMAN / SMAN concept.
Several European airports (e.g., Frankfurt, Munich, Zurich, Paris
Charles de Gaulle and Madrid) have already implemented
AMAN/DMAN systems. The technology itself is mature and readily
available off the shelf. While different providers exist, and capabilities differ in detail, they have a largely common functionality. For
instance, the DMAN implementation at Munich Airport, in combination with Airport CDM has already achieved a reduction in process time between off-blocks (ATD) and airborne (ATOT) of 10 to
15%. The benefit not only translates in less delay and less fuel
consumption (less air pollution) but also in a more efficient use of
resources (stands, ground equipment, etc)47.
To optimize the overall performance of the airport, sequencing tools
such as AMAN and DMAN, currently implemented independently,
should be coupled and integrated with the surface management
tools (SMAN, A-SMGCS, etc). Current development of these tools
points towards this direction. In Frankfurt a first stage of SMAN is currently under development, and it has been implemented at several
Asian airports already. The tool makes use of Mode-S and ground
radar surveillance data to plan the outbound traffic and to update and
optimise the departure sequence of DMAN.
Almost 80% of the airport operators reported in the CTG0444 study indicate that they will be unable to achieve the capacity of the best performing airports. The most frequently cited reasons for this were physical
41 - European ADS-B Link Strategy Letter from IATA.AEA dated March 10th, 2003
42 - Examples of such applications are: Surveillance in a non Radar environment and enhanced situational awareness for the pilot with Cockpit Display of Traffic Information (CDTI)
43 - Building of new runways and taxiways will have to take into account compatibility with the local constraints (environment, land use, etc)
44 - Challenge to growth, 2004, ECAC / EUROCONTROL
45 - Challenge to growth, 2004, page 10, ECAC / EUROCONTROL
46 - Other examples can be found in SESAR Task 3.2.2 D2 deliverable (DLT-0607-322-00-01 or later version)
47 - It must be noted that full benefits of the AMAN and DMAN systems will be delivered only if the trajectory used by those tools is both accurate and consistent with the information in the rest of the ATM system, which is
currently not always the case.
December
2006
065
4.2 Capacity (continued)

The lack of accuracy of weather forecast is also an existing
blocker to the full use of existing capacity. For instance, current
operational practice at Amsterdam Airport shows that the forecast
on extreme weather conditions is accurate in about 30% of times,
resulting in 10 to 15 situations a year where flow restrictions are
not adapted to the actual weather conditions48. Whereas initiatives
to improve this situation in the medium to long timeframe49 exist,
no potential solution has been found in the short term. The initiation of research and development on improved accuracy of aviation weather forecast must be strongly promoted and supported.
1. Implement EUROCONTROL ACE recommended best

practices Mature
2. Implement or complement / support airport management
airside, AMAN / DMAN / SMAN Arrival, Departure and
Surface Manager (including apron management and stand
/gate management) AMAN and DMAN are mature,
SMAN Promising
3. Promote R&D on improved accuracy of weather forecast
for ATM purposes
4.3 Efficiency and Predictability

4.3.1 Airspace
4.3.2 Airport
Important improvements can be achieved for what concerns flight

efficiency in Airspace. The full implementation of the existing plans
for an improved ATS route network in Europe (ATS Route Network
ARN V5) has the potential to save airlines approximately
130000 km of flying distance per day. This means a reduction
of approximately 2% of the average distance flown in the
European airspace, and would lead to savings of approximately
200Mn/year50.
Operational efficiency improvements rely on seamless operations

within the entire network. This requires extensive cooperation /
collaboration between all stakeholders and integration of airports
within the network. In the absence of complete and timely information, operational decisions of individual actors at airports may
often not be the optimal ones. The result is a degradation of the
efficiency of the airports operation, with a direct impact on predictability. This is particularly true in case of bad weather or other
unforeseen events at congested airports, with negative effects
spreading across the ATM network. Until now, despite individual
actors efforts, efficiency has been based on improving individual
operations rather than considering airport stakeholders as a team.
Further reductions of 1.5% will be possible through the deployment of the ATS Route Network ARN V6 that is expected to fully
apply the principles of the DMEAN Operational Concept. The
implementation of enhanced ground and airborne systems will
increase the potential for offering direct routes in real time that
could save an additional 200Mn/year51.
Best practices like UK JFADT and German MVPA trials involving
FUA and increased civil/military coordination should also be promoted. Such initiatives are extremely important for the military
community, as they enable continued performance of OAT basic
missions and training, with a minimum effect on congested
European airspace. More flexibility and ability by air operators to
use airspace released or unutilised by the military is a means to
improve route efficiency, as well as more generally the harmonisation of OAT rules.
1. Implement ARN V5 and V6 - Mature

2. Promote FUA and civil/military coordination best practices
implementation and OAT harmonisation Mature
4.3.2.1 Airport CDM

Airport CDM (A-CDM) is an operational management practice
based on objectives and processes, commonly agreed between
Airport Operator, ANSP and Airspace Users. By enabling decisionmaking based on accurate information, shared in a timely
manner, A-CDM increases the overall efficiency of the airport
operations and improves predictability, notably in case of bad weather or other unforeseen events.
Tools like software for developing a good human interface and
supporting IT infrastructures are mature and available, supporting
the A-CDM processes. For instance, ADP has demonstrated that a
web-based approach can exist in parallel with the current IT infrastructure of airports and that AMAN/DMAN/SMAN and A-CDM are
complementary.
48 - In addition, PRR 2005 indicates that around 40% of airport ATFM delays and 10% of en-route delays are initially due to weather,
49 - Long term (2015 2020) MET strategy, developed by ICAO Europe, in cooperation with EUROCONTROL
50 - Source EUROCONTROL ARN V5 Report
51 - Source EUROCONTROL PRR 2005 differences between filed routes and actual routes
December
2006
066

The EEC Report No 371 states: Experience gathered so far

through airport CDM show that an important source of benefits for
reducing delays as a whole in Europe and achieving the best
use of scarce resources relies on improving the reliability and predictability of a very reduced set of data in the airport52. In Europe,
A-CDM has already brought measurable benefits at a number of
airports. Airport CDM is a cost effective solution to improve efficiency and predictability in airport operations. The magnitude of
expected benefits is of the order of 90Mn (over 10 years, all
stakeholders included). The business case for Airport CDM is
extremely positive, showing a benefit to cost ratio of 9 to 1. The
costs incurred for a typical Airport CDM project (over 10 years, all
stakeholders included) are in the order of 11Mn, from which the
initial implementation investment is only in the order of 3Mn and
the related recurrent operational costs are of the order of 8Mn.
The full return of investment or payback period for all stakeholders is within 2 years and the risk of financial loss is practically
non-existent53.
European Airports currently implementing A-CDM processes are
London Heathrow; Milan Malpensa; Stockholm Arlanda; Brussels
Zaventem; Barcelona; Zurich; Budapest; Munich; Lisbon; Paris
CDG; Helsinki; Amsterdam Schiphol; Athens (a total of 13 airports). Other European airports are also planning to implement
CDM processes.
In the USA, the economic benefits estimated by the FAA from the
reduction of delays through implementation of CDM is above
$200Mn/year on average, since 199854.
Experience of the successful implementation of the infrastructure
for A-CDM has identified key risks, which need to be addressed
for a successful implementation:
Lack of commitment or resources of the different stakeholders
The unwillingness of airport partners to share data because of
their (perceived) commercial value.
4.3.2.2 Regional CDM
Regional CDM consists of linking into a network A-CDM airports
and the Central Flow Management Unit (CFMU). This collaborative
airport management in a network wide context requires interfaces
of a common standard to be built between the actors - the airport
operators and the CFMU. This can best be done by building on
existing initiatives, like DMEAN for instance.
1. Implement Airport CDM Mature

2. Support the DMEAN programme and implement
recommended best practices as a way of building further
bridges between the airport and the network operations
Mature
4.4 Cost Effectiveness

Current information concerning the evolution of ATM cost-effectiveness in Europe shows that the measures taken at local and network level will reduce the direct unit cost per km flown (users
costs) by approximately 15% by 2010. Other initiatives at local
and network level will have the potential to further increase productivity and reduce fragmentation thus bringing additional cost
savings to the airspace users. It has been evaluated55 that the lack
of common systems and coordination at the ATS Units' interfaces
accounts for approximately 23% (190-325Mn) of the entire cost
resulting from fragmentation.
Many of the solutions described under other Key Performance

Areas have also the potential to bring significant improvement in
cost-effectiveness. Examples are:
DMEAN (section 4.2.1) will improve network efficiency. At full
implementation airlines are expected to save between 2-2.7
Bn/year56. The CBA also shows a benefits/costs ratio of
approximately 9.
FASTI (section 4.5) will improve sector productivity.
FABs are seen as the first step to reorganise the European ANSP
environment, and are expected to bring operational benefits before
2012 in terms of Cost-Effectiveness. Table 4.3 identifies other initiatives and solutions, which contribute to cost-effectiveness.
52 - EEC Report No 371

53 - Those figures are given as orders of magnitude only, actual figures are expected to be published in December 2006 by EURC in an update of A-CDM CBA.
54 - Source: US CDM web site: http://cdm.fly.faa.gov/index.html
55 - Source: "The impact of fragmentation in European ATM/CNS", study commissioned by the PRC, Iss. April 2006
56 - Source Cost Benefit Analysis for DMEAN March 2006
December
2006
067
4.5 Interoperability
Several initiatives address the key issues of planning, designing
and implementing enhanced flight data processing systems capable of supporting advanced operational concepts through state-ofart technologies. The implementation of these new FDP57 systems and their improved interoperability, planned by most of
the European ANSPs over the next 5-7 years and done through
a close co-operation between ANSPs and system manufacturers,
is critical to enable the transition towards new operational
concepts. Other initiatives like FASTI, introduce improvements on
controller tools, data interchange and integrity. FASTI has the
potential to bring the required system support to ATC and to
ensure additional sector capacities of up to 15% by reducing
controller workload58. Initiatives like AIM/CHAIN enable the move
towards the concept of System Wide Information Management
(SWIM).
Finally, it must be noted that improvements in interoperability are

also expected to come in the short-term from the interoperability
Implementing Rules in the frame of the SES regulation.
1. Support implementation of initiatives addressing

interoperability of ATCO support tools and system wide
information management like for instance FDPS, FASTI,
AIM, CHAIN, which enable the move toward advanced
operational concepts Mature to promising
4.6 Safety
On the airspace side, there are a number of explicit safety initiatives that address safety improvements for the European ATM.
These are mostly related to improvements in safety regulation and
management, level busts and data integrity. Other initiatives like
ATFCM and DMEAN for instance are not directly related to safety,
but the improvements proposed contribute to a better airspace
design and decrease of controller workload, which have an important impact on the development of a safe ATM network in Europe.
The initiatives covering technical enablers have also a direct
contribution to safety by offering an improved ATC infrastructure59.
Meeting the challenge of maintaining and where possible improving safety levels in the short term will require the deployment of
a consistent approach to improving safety management in
Europe. The European Safety Programme is considered to be
the most suitable vehicle to generate the necessary changes.
The specific objective of the European Safety Programme is to
ensure that all ECAC States take all necessary actions to ensure
that enhancements to ATM safety are maximised in the most cost
efficient manner and shortest possible time. Its main tasks will
cover implementation and support of European safety legislation/
regulation, incident reporting and data sharing, risk assessment
and mitigation in day-to-day operations, system safety defences
and safety management enhancement.
Airport operators face a challenge in maintaining or improving current safety levels. Increasing movements and traffic complexity on
runways, taxiways and apron lead to an increasing risk especially

during low surface visibility conditions. Runway incursions are the
most critical airfield safety issue with currently more than one runway incursion per day within the ECAC region60 (albeit the recent
increase may reflect improved reporting and the risks associated
are not necessarily severe).
Most of the larger airports (Amsterdam, Frankfurt, London, Paris,
Vienna, Zurich, etc.) have recently invested in enhanced surveillance, A-SMGCS and other measures to prevent runway incursion.
They are reviewing their procedures according to the European
Action Plan for the Prevention of Runway Incursions (EAPPRI).
EAPPRI includes recommendations, which will enhance safety and
involve actors from Airport Operators, ANSP and Airspace users.
While many of the medium size and smaller airports are still struggling with the high costs of such surface management systems,
there are alternatives. Depending on the traffic volume of the respective airport, SMR (Surface Movement Radar) in combination
with other sensors may be a cheaper alternative. There are also
other technical solutions available such as ADS-B and even multilateration when combined with surveillance in the TMA (e.g.
Innsbruck airport).
The harmonisation of the procedures associated to A-SMGCS (for
example the use of Mode-S transponder for ground/apron control)
as well as systems and personnel certification are the most important issues to be addressed.
57 - A not exhaustive alphabetical list of the most relevant new FDPS: CoFlight, COOPANS, CroATMS, FATMI, LISATM, MATIAS, N-FDPS, One ATM System, P1-iTEC, P1-VAFORIT, SACTA-iTEC
58 - Source EUROCONTROL FASTI Programme Management Plan
59 - See Table 4.3 for the list of promoted solutions that have impact on the Safety KPA
60 - Study by EUROCONTROL Airport Operations Unit
December
2006
068

Table 4.1: Scenarios for cost & benefits derived from the implementation of A-SMGCS
Scenario
Total one-time
costs
Operating costs
(p.a.)
Overall
Benefits (p.a)
Benefit / Cost
Ratio
3.47 - 3.87 Mn
0.30 - 0.68 Mn
0.64 - 0.90 Mn
1.3 - 1.5
4.54 - 6.64 Mn
0.05 - 0.12 Mn
0.13 - 0.65 Mn
2.4 - 3.0
A-SMGCS has a direct positive impact on safety, by providing

complete situational awareness to the controller under all weather
conditions, and in addition delivers operational gains. In the draft
version of EUROCONTROLs Generic Cost Benefit Assessment of
A-SMGCS61 two scenarios are evaluated:
Scenario A medium-sized airports with expected levels of
weather related delay of 50k minutes annually.
Scenario B large airports with expected levels of weather
related delay of 100k minutes annually.
70-100% of the recommended actions of EAPPRI are fully or
partly implemented at more than 100 ECAC airports. This has led
to a decreasing number of class A and B incidents62, but a proof
of evidence is nevertheless difficult unless a just-culture for incident reporting is introduced and legally supported on a global
scale. The PRC recommendation (PRR 2005): supports the EUROCONTROL SAFREP reports recommendations, which should be
implemented as soon as possible. Specific actions should be
urgently undertaken to assist individual States/ANSPs in meeting
their safety reporting obligations.
1. Deployment of the European Safety Programme for an

early implementation of a common safety management
system Mature.
2. Implement A-SMGCS Levels I and II coordinated with
EAPPRI (European Action Plan for the Prevention of
Runway Incursions) Mature.
4.7 Environment
According to the CTG04 study, in the near term (20052010),
improving fuel efficiency (on the basis of the flight efficiency initiatives as described in section 4.3) is the most potentially rewarding
approach to directly reduce air transports climatic impacts.
Moreover environmental issues (noise, air quality, climate change
and pollution by run-off liquids) are complex challenges for most
of the European airports, which need to be managed proactively to
improve the acceptance of the local community for airport expansion and local airspace changes63.
Environmental issues should be tackled in an open culture
through a Collaborative Environmental Management
Programme with:
The local communities fully integrated in the decision-making

processes. The airport operator, ANSP and Users should regularly
report and ensure community recognition of good practice.
Implementing improved operational procedures with support by
readily available technical enablers64 in accordance with the
ICAO balanced approach. (E.g. CDA, P-RNAV, GPU instead of
APU delivering conditioned air and electricity, etc.).
A number of European airports have started to introduce the
Continuous Descent Approach (CDA) technique, which minimises
fuel use, gaseous emissions and noise impact, by the arriving aircraft descending with idle thrust and avoiding level flight.
All ATM operational stakeholders adopting a robust

sustainability policy.
A management system to facilitate standard setting, monitoring
and continuous improvement including sharing best practices
and assessments of trade offs (E.g. noise, NOx, CO2).
61 - A-SMGCS brings Efficiency & Throughput benefits (for instance, the ASMGCS CBA shows: 5% increase in throughput in all weather conditions, 10% reduction in weather delays, 5% reduction in taxi time)
62 - Category A: Very serious risk incidents; Category B: Significant risk incidents; source EAPPRI, EUROCONTROL
63 - CTG, 2004, Page 51, ECAC / EUROCONTROL
64 - CTG, 2004, page 54, ECAC / EUROCONTROL
December
2006
069
Table 4.2: Environmental benefits of Local Flight Operational Performance Committee

at Gatwick Airport
Criteria
2001/02
2005/06
Percentage Reduction
Noise infringements Day
42 infringements of limit
Noise infringements Night
55%
Track deviations
5.06% off track (1998)
0.55% off track (2003)
89%
Continuous descent approach

(core night)
74% CDA
84% CDA
13.5% Improvement
38%
Continuous descent approach
68% CDA
78% CDA
14.7% Improvement
1000ft requirement
253 aircraft below 1000ft
23 aircraft below 1000ft
91%
Above and beyond the safety advantages that P-RNAV provides,

the enhanced accuracy capability of P-RNAV approved aircraft
means that less airspace is required to accommodate P-RNAV terminal area procedures. As such capacity and environmental benefits can be obtained e.g., specific SIDs and STARs can be designed
to accommodate different environmental requirements for night
and day operations.
A positive example for collaborative environmental management is
the Local Flight Operational Performance Committee (FLOPC) hosted by BAA. In this committee, compliance to operational procedures and their environmental performance are discussed and
results show clearly the benefits of involving the appropriate
actors. The table below tracks the improving environmental performance for BAA Gatwick. The Flight Evaluation Unit that supports
the monthly Flight Operations Performance Committee has produced these figures. Airline members of the Flight Operations
Performance Committee support the airport operator at regular
consultations with the local community.
There are operational benefits to environmentally aware procedures. As an example British Airways reported that a (CDA) from
6000ft to touchdown at Heathrow reduces fuel consumption 200400kg per approach compared to previous practice. Further CDA
trials demonstrated that noise reduction of up to 6dB could be
achieved at track distances more than 5 NM to touch down (the

noise reduction potential varies between different aircraft types).
The greatest risk in building a culture of environmental collaboration decision-making is the local communitys perception of the
operations at the airport and their confidence in the airport authorities.
1. Implement harmonized procedures and techniques, based

on existing technical enablers in current aircraft, which
improve flight efficiency, navigational accuracy and
flexibility (CDA, P-RNAV/RNP, GBAS, leading to 4D
approaches65) Mature to promising
2. Stakeholders should adopt a challenging and robust
sustainability policy, achieving the optimum possible
balance between social, environmental and economic
impeditives Mature
3. Implement Collaborative Environmental Management
(including tools) between ATC, users, airport operators
surrounding communities Concept is mature, the
processes are less mature
4.8 Security
In the overall framework of Aviation Security, ATM Security is a
major component. The NATO/EUROCONTROL ATM Security
Coordination Group (NEASCOG) has set up a Programme of Work
to enhance ATM Security. This Programme of Work includes several actions applicable for the short-term, for instance:
Facilitate and support the development and implementation of

standards, guidelines procedures, methods and tools for ATM
Security including support to the ATM Master Plan.
Develop and implement an ATM Security Management System.
Facilitate the development and agreement on ATM Security
performance targets66.
65 - Examples of such applications are the green flight initiatives on 4-D time controlled arrivals which have been tested in some European airports (for more information see T321/D2 section 4.2.3.13)
66 - Source: NEASCOG POW Management Plan Draft Version 0.2
December
2006
070

4.9 Expected Performance Improvements

Each proposed solution, be it a specific project or a generic technical or operational area, has been associated with one or several
KPAs in order to describe, in a qualitative way, the performance
benefits expected from their individual implementation67. Table 4.3

shows the expected impact per KPA. Only the most promising
ones have been retained.
Table 4.3: Assessment of the level of contribution of selected solutions to KPAs

and their maturity
Sustainability
Security
Efficiency
Predictability
Flexibility
Capacity
CostEffectiveness
Access & equity
Participation
Interoperability
Performance
Enablers
Environmental
Sustainability
Operational
Performance
Safety
Societal
Outcome
Maturity
ATFCM
++
++
++
++
Mature
DMEAN
++
++
++
++
++
++
Mature
New FDPS
AIM Activities
++
++
++
Mature
CASCADE
++
++
Promising
CHAIN
++
++
++
Mature
Selected solution
+
+
+
+
++ Mature/Promising
FASTI
++
++
Promising
LINK 2000+
++
++
Mature
P-RNAV
++
++
++
++
Mature
European Safety Programme
++
++
A-SMGCS level I and II
++
EAPPRI
++
AMAN/DMAN
ACE
Collaborative environmental
management systems
Mature
Mature
++
Mature
++
++
Mature
++
Mature/Promising
++
CDA
RNAV / RNP
Mature
SMAN
8.33
CDM
++
++
++
++
++
++
Mature
Promising
+
Mature
Mature
Legend
blank = neutral; + = positive impact; ++ = substantially positive impact
67 - Notwithstanding the fact that some quantitative data exists and have been used for some solutions/KPAs, the bulk of the assessment is of qualitative nature, based on expert judgment. It will be further consolidated in
subsequent activities of SESAR on the short-term improvements, including the interactions between several initiatives.
December
2006
071
4.10 Conclusion
The design and operation of a fully integrated European ATM network, that includes the airports and is not artificially limited by
political boundaries or constraints has the potential to bring significant savings. The full commitment of the States and
Stakeholders to implement the solutions identified in SESAR will
be essential. While it is recognised that a number of very valuable
local initiatives could improve local situations, the emphasis has
voluntarily been given to more collective solutions that have the
potential to bring benefits across the whole network.
The initiatives recommended above could bring savings to the
European ATM sector in the range of 0.5-1Bn/year. Of which at
least one third comes from a more efficient use of existing airspace and airport resources.
A considerable help to the transition to a performance based ATM

System can come from the EUROCONTROL Performance Review
Commission (PRC). This body advises on the development of the
performance review and target setting system. It proposes overall
objectives for improvement of ATM System performance, develops
performance indicators for monitoring and analysis of ATM System
performance, identifies targets to be set for ATM System improvements, produces guidelines for economic regulation of ATM service providers and a number of complementary functions.
The distribution of the annual Performance Review Report, the
PRCs main output, should be further increased to ensure that all
stakeholders are included and are able to compare and challenge
their own performance with the performance of their peers.
On the airport side, it can be noted that for the large European airports, which are capacity constrained, the value of the evaluated
short term improvements is not as significant as for the medium,
fast growing airports.
Despite significant improvements over the past two decades, a

number of factors prevented initiatives like PHARE in the 80s,
EATCHIP in the early 90s and EATMP later on, all of which were
designed to improve European ATM, to provide their full benefits.
These factors include: lack of political commitment; lack of persistence and consistency in the validation efforts resulting in insufficiently conclusive results; complex individual transition paths; and
possibly diverging commercial interests. A political commitment at
European as well as at national level is required to support the
necessary changes for the short time frame.
In the airspace domain, if ARN V5/V6 are fully implemented, together with the DMEAN operational concept, more significant saving
will be achieved, possibly tripling the above-mentioned benefits by
the end of the short-term period68.
68 - EUROCONTROL ARN V5 Report, DMEAN CBA and EUROCONTROL PRR2005
December
2006
072

5 Principles For The Way

Forward to 2020
5.1 Introduction
This chapter describes the way forward to the vision described in
chapter 2. It identifies sets of principles are identified, which determine how changes to the conduct of ATM will be undertaken.
Following the structure defined in chapter 2, it addresses the way
forward for the following items:
The ATM business management framework

The ATM institutional and regulatory framework
Subjects of common interest (incl. standardisation process and
financial aspects)
The future architecture of the ATM System
The role of human in the future ATM
The societal expectation to ATM (environment and security)

The performance framework
5.2 The Societal Expectations of ATM

This section describes the way forward to the vision of the environmental and the security aspects of the ATM. The way forward
to the safety vision is addressed by the institutional and regulatory
framework and by the performance framework.
5.2.1 The Environmental Aspects of ATM

A wide collection of environmental initiatives, best practice and
R&D activities have been identified69. Their effectiveness is to be
demonstrated but most of the short-term improvements have
identified promising benefits through local best practices.
The following principles should drive the way forward:
Foster a common culture amongst society and the aviation
sector, including emerging perceptions, needs and expectations,
for a sustainable aviation system.
Ensure that the decision-making process for any sustainable
airport development is based on trust and mutual understanding
between the aviation industry and the community, leading to a
license to operate agreement between parties involved.
The Air Transport Industry acknowledges the need to address
the environmental responsibilities of the aviation sector via a
bundle of measures ranging from further technological
developments of engines and aircraft to infrastructural

improvements such as the implementation of the SES, which
could cut aircraft emissions over Europe.
Continue dissemination of best practices (chapter 4) in a harmonised
progressive way, following the ICAO Balanced Approach.
Foster the dialog in the form of a pan-European cross industry
platform for aviation sustainability (including ATM) for ongoing
and future research efforts. Political commitment will be required
to facilitate this, in particular in terms of consolidating all ATM
stakeholders involved in environmental sustainability issues.
Continuous improvement with different levels of implementation
will be the way for the Air Transport Industry to show its commitment to the long-term solution of environmental issues. In this
context, a concerted effort in collaborative management amongst
all stakeholders is needed. A key aspect of the agreement will be
the establishment of the definition of sustainability.
The success of applying the above-mentioned principles depends
on the adherence of each ATM stakeholder to the collaborative
commitments on sustainability. Otherwise additional regulation
and constraints to growth or even reduction in capacity may be the
consequence.
69 - Please refer to the environment task (Task 1.1.4) and the short-term improvement (Task 3.2) task deliverables
December
2006
073
5.2.2 The Security Aspects of ATM

The harmonisation of a pan-European security framework based
on the EC Regulation 2096/2005 (the Common Requirements
represent the first piece of European Regulation that places formal
security requirements on the ATM System), as well as ICAO and
other international standards will set up the regulatory framework
of the ATM security.
Improvement of the ATM Security in the future European ATM
System will be achieved through:
Systematic consideration of the collaborative support of the
ATM System to other stakeholders and relevant civil and military
authorities.
Generalisation of the use of agreed Information and
Communication Technology (ICT) security components in the
ATM System design
Recognition of internationally elaborated standards (e.g. ISO
17799 or COBIT) for Security Management and Audit activities
Development and use of agreed best practices for software
development/maintenance /support (e.g. EUROCAE WG 72)
Physical protection of the infrastructure
The future European ATM System shall provide an essential role in

the support to National Governmental Authorities (NGA) in the
areas of aviation security in general, airspace as well as onboard
and ground security.
The security status of the "Self Protection of the ATM System"
within each member state shall be evaluated and an accreditation
of ICT security facilities must be established. As a consequence
the following general principles have to be considered:
"Balance openness and suspicion" and "Consider the
threat spectrum" require a continuous assessment process of
the ATM System with respect to the continuous evolution of
threats.
"Consider Interdependency in Security", "Security
responsibility is universal" and "Build on international
standardizations" require the ATM System to have an integrated,
interconnected, joint and harmonized security treatment by
means, processes, regulations, etc.
"Security regulation is subject to subsidiarity" requires refined
and strengthened regulations based on common objectives.
"Maintain Security throughout the ATM System lifecycle"
as well as the "Consider Security as a part of good
management" require an appropriate priority as well as effective
incorporation of ATM security within the overall ATM System
management process (performance, quality assurance, etc).
5.3 The Performance Framework

The way forward for achieving the ATM performance framework
vision described in chapter 2 can be summarised as follows:
The SESAR Definition Phase will continue the different steps of
the analytical approach to the ATM performance framework
(section 3.2.3).
The long-term (2020) design targets are going to be achieved
in a progressive manner, starting from todays actual performance
levels (taking into account baseline performance from the PRU
as appropriate) via short and medium term intermediate targets.
The ATM Master Plan will identify all necessary actors, processes,
tools and mechanisms into the future European ATM System,
so that it is actually able to operate in a performance based
fashion at strategic, pre-tactical and tactical planning horizons.
This includes the capabilities to properly regulate, plan, deliver,
measure, review and improve performance.
December
2006
074
The next step will be to further develop the current collection of

performance data to meet the SESAR performance framework
expectations. All ATM Stakeholders must be involved in this
development. In that respect, the current initiative supporting
military performance data collection should be expanded to
support the stakeholders currently less involved in this process.
The future Performance Review Mandate (section 3.2.2.2) will
give a regulatory framework to this activity.
Some performance areas are less mature in applying a performance based approach and performance measurement culture
than others (in particular the non operational KPAs). The performance objectives, indicators and targets should then be further
developed.

5.4 The ATM Business Management Framework

This section describes some initial thoughts, to be further developed, for the establishment of the ATM Business Management
Framework described in chapter 2.
The way ahead for the Business Management Framework is supported by a re-structuring of ATM service provision by the ANSP
industry, together with:
Empowerment to change and adopt new cross-border approaches
can build on current FAB initiatives. Neighbouring ANSPs are in
the process of establishing the feasibility and benefits of
enhanced co-operation in a number of cross-border areas. It is
likely that FABs will initially take the form of operational
arrangements, but this could lead to a deeper integration of
ANSPs and ultimately to the formation of service mergers
where effectively one organisational entity delivers ATS across
more than one country.
Industry re-structuring of CNS operations is likely to evolve
from emerging initiatives. Current, mainly technology-driven,
initiatives like satellite navigation services via Galileo and panEuropean ground-ground network services will provide an initial
experience of cross-border regional service delivery to the
European ATM System.
ANSPs are intending to improve cost-effectiveness by collaborating
on ATM System development (See examples in section 4.5).
ATM Performance Partnership

It is evident from the early SESAR work-packages that there is a
significant diversity of opinion on most matters among the ATM
community both within and between the different stakeholder
groups. This is a significant risk to the achievement of an ATM
System that delivers performance according to expectations. This
risk needs to be mitigated. The first mitigation step is to agree on
a common understanding of the network operating vision and the
choices that the ATM community needs to make. This applies certainly to the medium term, but possibly even to the longer term.
The SESAR initiative and the proposed performance framework is
an initial step to this partnership. Other initiatives of this kind
include the NATS Operational Performance Agreement, which provides a forum for establishing and agreeing seasonal performance
expectations based on a shared analysis of airspace demand and
capacity information, which often initiate operational changes to
better accommodate Airspace User requirements. It also acts as a
general forum for discussion of general performance aspects.
Because it is based on extensive local operational knowledge, the
model may not be applicable on a region-wide basis, e.g. presided
over by a central network manager. However, it may be possible
to extend the scope to cover FABs or a number of FABs.
All these initiatives have the potential to forge closer relationships

between ANSPs, leading to further developments on a commercial
and opportunity basis.
December
2006
075
5.5 The ATM Institutional and Regulatory Framework

This section provides guidelines for the transition to the institutional and regulatory framework presented in chapter 2.
The results of the EC high-level group, expected by summer 2007,
will be used to further detail proposals for the simplification of the
organisation and management framework.
5.5.1 The ATM Institutional Framework The Joint Undertaking

The first step towards the management of the SESAR implementation will be the SESAR JU. Based on the SESAR Consortium analysis of the EC regulation, the JU is considered a suitable initial
structure capable of maintaining the ATM Master Plan, managing
the R&D programme of technical activities as defined in the ATM
Master Plan70 and monitoring its deployment for the period until
the creation of the new overarching governance structure.
A pre-requisite for successful implementation of the ATM Master Plan
is a real and enduring commitment from Member States at the highest
political level71 throughout the full period until 2020.The adoption of the
ATM Master Plan by the Transport Council72 is expected to play a major
role in securing the necessary commitment.
Recommendations are proposed in order to:
Optimise the performance and effectiveness of the JU when
carrying out its duties.
Ensure that membership, and participation of the Air Transport
Industry in the JU is genuine and meaningful.
Until implementation of an overarching structure which manages
all elements of the ATM Master Plan, including deployment, activities that do not fall within the scope of the JU73 will continue to be
managed by existing mechanisms74 but carefully followed by the
JU. In coherence with the draft regulation the JU would be responsible for the following processes:
December
2006
076
Supervise/steer the Implementation Phase75.

Update ATM Master Plan.
Manage/initiate the ATM Master Plan execution.
Direct and manage the execution and maintenance of the R&D
aspects of the ATM Master Plan, including validation, demonstration
and trials. The JU delivers research results, specifications,
algorithms and guidance that can be exploited by the global
community. The JU may coordinate the development and
deployment of Common Components. The details of these
deliverables will be detailed and refined during D3 to D6. This
is undertaken by JU members as in-kind contribution or

contracted to organisations in/outside the JU. Within the JU, it
is proposed that the EUROCONTROL Organisation mandated to
represent its Member States who are not within the EU and is
held responsible for addressing civil-military coordination.
The JU will interface with and provide inputs to the following external processes:
Regulatory/legislative activities, undertaken by Community/
States supported by EUROCONTROL and EASA. Within the scope
of the ATM Master Plan, any recommendations regarding
rulemaking will be provided to the appropriate external bodies.
Deployment is monitored by the JU, but carried out by individual
stakeholders (e.g. ANSPs, airspace users and airport operators,
supported by the Supply Industry and EUROCONTROL). For
example it is possible that the schedule and/or content of a
short-term project could have an impact on the longer-term
evolution of the system.
Key findings and recommendations in respect of the JU are:
There should be clear lines of separation between management
and supervision. The role of the Administrative Board is to oversee
and the role of the Executive Director to manage. The Executive
Director should meet industry expectations in terms of proven
leadership and management experience.
Part of the R&D management activity should be devoted to the
evaluation and possible integration of non-JU R&D in such a way
that research external to European-ATM76 can be exploited and be
part of the normal process of ATM Master Plan maintenance.
In order to assure global commonality and interoperability, the JU
should establish a close liaison with the (JPDO) Joint Planning and
Development Office and other relevant worldwide programmes.
IPR developed and fully funded within the JU should be generally
freely available for exploitation within the context of the SESAR
implementation .
Contractors bringing background IPR to the JU must accept that
once validated these IPRs may form part of a deliverable. It is thus
essential that future access rights to these background IPRs, are
negotiated prior to bringing them to the JU.
It is recommended that In Kind Delivery (IKD) donated by
Members of the JU will be in the form of management and
execution of WPs (work packages). IKD in the form of granted
access rights to IPRs should be fully aligned with the ATM Master
Plan, and should brings significant advantages as identified using
a common business methodology.
70 - R&D and validation including simulations, live trials/demonstration.

71 - Ideally, this should include the transport ministers and respective finance ministers where necessary.
72 - European Union Council of Transport Ministers
73 - E.g. deployment of short-term projects.
74 - E.g. EUROCONTROL
75 - The JU is responsible for the SESAR Development Phase and monitoring of the SESAR Deployment Phase
76 - As some simple examples, generic network modelling techniques, congestion /flow theories, human factors/psychology, non-European ATM research.

5.5.2 The Regulatory Framework of ATM

Developments
This section gives some general trends and options for the development of the future regulatory ATM framework.
There is a trend to outsource technical tasks of the
Commission through Joint Undertakings, Community Agencies
and/or regulatory entities or organisations. Despite the principle of subsidiarity77, purely national legislation in matters
that are technically complex might lead to an unnecessary
fragmentation of the internal market. At Community level, it
might be decided to establish regulatory or executive agencies to support a given policy.
For the ATM framework the above might mean that other
relevant entities or organisations outside the EU framework
would come "under the EU umbrella" or be otherwise associated with the EU. In the next years, it has to be discussed how
this can be done in detail, recalling that several options exist:
Full integration into the Commission, which could mean the
creation of a new directorate-general comparable to the joint
Research Centre.
Establishment of an executive Commission agency.
Participation by the Community in organisations with regulatory
or related functions.
Further reflection of the respective liabilities of States and

corporatised / privatised ANSPs.
Drafting of proposals on the allocation of liabilities in cross-border
provision of ANS (particularly in an environment where ANSPs
are separated from the State); possible proposal for harmonized
legislation/regulation in this domain at European level.
Assess the feasibility of the creation of regional oversight and
implementation functions to address and monitor responsibilities
in multi-State FABs and to respond to the shortcomings presently
found in many States related to the adequate provision of oversight
functions at the national level.
Proposals for actions to be taken at European level for
implementation of just culture; examination of the feasibility of
the creation of a European independent body to collect reports
and hold a repository of European national criminal legislation
and proceedings, in relation to aviation.
Examination of the feasibility of a joint action at European level
in the ATM insurance domain.
Competition
Whilst it is noted that the JU is being established and will respect
competition rules, an examination of the existing laws on EU competition and the rules regarding State Aid has been carried out.
This provides indications that whenever it is contemplated to setup other undertakings (particularly those which compete) working
together to conduct research or to design or to produce systems
or equipment, the implications for competition and the relevant
competition law principles should be carefully considered.
The choice of the option depends on political considerations together with the legal framework, e.g. it might be difficult to create a
Commission agency in a matter where the competence of the
Commission is limited, at this stage, but also on programmatic
considerations. It is obvious that the options would correspond to
different degrees of independence regarding the fulfilment of the
missions of the intergovernmental organisations.
Responsibility and Liability
As already stated in D1 there is increasing awareness across
Europe that there are some major responsibility and liability issues
on the future development of ATM and, in particular, for the creation and management of FABs in cross-border situations, and
there are vast differences between national approaches (in both
civil and criminal law). The recent (14-15 November 2006) legal
workshop on the subject of responsibilities and liabilities in the
ATM domain The workshop concluded with the following key areas
for attention and development:
77 - This principle is enshrined in Article 5 (2) of the EC Treaty, which states that the Community shall take action "only if and in so far as the objectives of the proposed action cannot be sufficiently achieved by the Member
States and can therefore, by reason of the scale or effects of the proposed action, be better achieved by the Community".
December
2006
077
5.5 The ATM Institutional and Regulatory Framework (continued)

5.5.3 The Safety Legislative/Regulatory
Framework of ATM
The basic principles of safety regulation are outlined in chapter 2.
The first step to achieve the 2020 vision should be to expedite the
establishment of the framework for the future for ATM safety regulation accompanied by a transition strategy. The responsibilities of
each organisation must be clear and there should be no overlap or
duplication of roles. Each of the organisations should co-ordinate
its activities with all of the others in order to ensure an efficient,
global safety regulatory framework. In particular relationship between National regulatory bodies and European regulatory bodies
need to be worked out in practice and the process of separating
regulation from service delivery should be completed. The relationship between the ATM safety regulatory arrangements in the
EC, EUROCONTROL, ECAC and adjoining States should be clarified.
The objective should be a safety regulatory framework that can
provide the required level of assurance for the safety of ATM while
ensuring effective coordination with the safety regulatory arrangements for other parts of the air transport industry. This does not
necessarily mean a single air transport safety regulator for Europe
as the differing requirements of different segments of the industry
(including the Military) may be better served by individual arrangements.
The details of the SESAR implementation programme and the
future operational concept will need to be taken into account
before finalising the future institutional framework for ATM safety
regulation. Based upon the future ATM operational concept and
architecture (e.g., level of air and ground integration), there will be
a need to address ATM certification evolution.
December
2006
078
However, in order to ensure a harmonised set of safety regulatory

rules, it is likely that the majority of the rule making function will
be transferred from national institutions to European/Global institutions. The institutional arrangements for the oversight function of
safety regulation will need to change as the ATM function changes
(e.g. development of FABs) in order to avoid unnecessary duplication or overlap in safety regulation. As long as significant elements
of the ATM operation are based on ground-based infrastructure,
there will remain a need for some national regulatory oversight.
However, these national arrangements will have to be subject to
co-ordination at the European level to ensure consistent enforcement of European ATM safety rules.
The process of review and alignment of National ATM Safety
Regulatory requirements should also be started. It would require a
thorough assessment of the feasibility of the creation of regional
oversight and implementation functions to address and monitor
responsibilities in multi-State FABs This process should furthermore be aligned with the ICAO requirements that are most relevant to ATM safety. The mechanisms for agreeing a common
European position on future ICAO requirements should be set up
with high priority.
The (EC, EUROCONTROL) Member States should establish an
enhanced cooperation between their armed forces in regulatory
and safety-regulatory matters, leading to harmonisation/standardisation of military rules/regulations relevant to SES, to ensure
appropriate civil-military co-ordination and interoperability between OAT and GAT.

5.6 Subjects of Common Interest

5.6.1 The ATM Standardisation Process
5.6.2 The ATM Financing Aspects
The transition toward the vision of the standardisation process

described in chapter 2 is building upon the current standardisation
activities. In line with the SES legislation, the standardisation programme to support the future SES Implementing Rules has been
established with European Standards Organisations (CEN/CENELEC/ETSI) in co-operation with EUROCAE for technical standards
and with EUROCONTROL for operational standards.
This section describes principles to be applied to the transition

toward the future economic environment of the ATM System in
2020.
The standardisation needs for the ATM Master Plan will be identified and a baseline of standardisation activities will be consolidated taking into account the catalogue of the existing standardisation activities within Europe and worldwide.
The JU is expected to fulfil the Standardisation Process
Management function and through this overview, plan and support
the standardisation functions. A close coordination with the Air
Traffic Management Standardisation Coordination Group should
be established.
The way forward to the vision of the financing and funding of the
future ATM System will depend upon the financing alliances of
Industry participants. A PPP-model, which may influence the later
implementation environments for financing, is preferred to create
industry venture structures.
Assumed Investment Volume
The exact future investment volume (Table 5.1) is not yet available
but reference is made to estimates, which are considered to be
reasonable at this moment in time. According to different sources78
the investment volume is estimated to be up to 22Bn with a
share of 60% on board (avionics) and 40% on ground (ATM equipment mainly at ANSPs). The sum of 22Bn fits the estimates of
the so-called base case (without SESAR cost and benefits) developed in the Steer Davies Gleave study. According to this study the
investment volume could be up to 6Bn higher (Steer Davies
Gleave, scenario 1) or up to 3Bn lower (Steer Davies Gleave,
scenario 2).
Table 5.1 Additional costs per segment and overall costs for strategic Performance
Periods
Grouping of operational improvements
(as defined in ROAD, September 2001)
Period 1
Period 2
2001-2004 2005-2007
Period 3
Period 4
2008-2011 2012-2020
Additional costs in M Euro per segment
TOTAL
1 - Airspace Organisation and Management
570
3,194
2,988
401
7,152
2 - Flow and Capacity Management
35
15
35
50
135
3 - En-route and TMA ATC
1,713
1,409
1,173
8,613
12,908
4 - Airport ATC
34
52
48
27
160
5 - Human Resources
16
12
16
28
72
6 - Flow and Capacity Management
151
1,502
1,653
7 - Aeronautical Information Management

Total over every period
Average additional costs per year & per period
29
33
56
56
174
2,396
4,865
4,316
10,677
22,254
599
1,622
1,079
1,186
1,113
78 - Eurocontrol Strategic Performance Framework, Version 2, 30 November 2002. Steer Davies Gleave study, 24 June 2005.
December
2006
079
5.6 Subjects of Common Interest (continued)

General assumptions on the way forward:
Revenues from Users Charges (incl. terminal charges)
Aircraft, fitted with new ATM Master Plan equipment will be

(remain) compliant with existing ATM Systems (allowing aircraft
to fly to areas not equipped with ATM Master Plan equipment)
and also comply with any new safety standards.
A growing trend in other sectors (e.g. in the US ATM79 System)
is the notion of supply and operate, where equipment suppliers
offset the provision of equipment at marginal prices through
the receipt of operating revenues. This so-called outsourcing
of services, which is mostly applicable to the provision of the
technical support services, but can bring additional complexity
to issues of regulation, service guarantees, liabilities and
operating relationships. Such arrangements are likely to be part
of future considerations as to how some services will be provided
in the future.
A major part of the capital investment (around 9.5Bn80) will
consist of ATM equipment fitted to new aircraft; our base
assumption is that the cost of avionics fitted to new aircraft will
not deter airspace users from investment.
A significant part of the capital investment (around 3.5Bn81)
will consist of ATM equipment that needs to be retrofitted to
existing aircraft; incentives may be needed for timely equipage.
A major part of the capital investment (around 9Bn82) will
consist of ATM equipment required by ANSPs (including a small
portion of airport operators providing ANSP services).
The current investment volume of ANSPs of about 1Bn/year

(source: PRU) will be allocated to a large extent to the ATM
Master Plan implementation.
ATM Master Plan ATM equipment fitted to new aircraft will be
probably funded in the same way as the aircraft themselves
(e.g. outright purchase or leasing by the airspace users).
EUROCONTROL is not able to give any financial guarantee; it
might however work on a contractual base to support the
financing schemes.
To support the transition, a pre-financing scheme fully capital market driven has been identified and needs further analysis. It does
not increase user charges (en-route or terminal navigation charges) as it postpones a portion of repayments into later phases
once the cost reduction effects have become effective in the unit
rate funding mechanism. This principle may apply to all scenarios
defined in chapter 2, while scenarios will differ in the structure and
asset situation. This mechanism is shown in figure 5.1 where the
difference between the political target (50% cost with regards to
today = blue line) and a newly proposed cost (same end-target but
intermediate slightly higher cost = green line) is used for SESAR
implementation.
It is recommended to introduce the pre-financing scheme through
a programme-to-programme approach, which targets at an accelerated implementation rate, avoiding burdening current unit rates
before cost reduction effects become effective.
16,5bn
To be used for ATM service provision

and interest/capital payments for SESAR
10bn
+
8bn
SESAR
R&D Period
Total Cost Reductions Effects

As detailed in EC communications
Proposed cost to users
Cost of users if SESAR is not pursued
Traffic increase 5%/year
2006
2013
YEARS
2020-2030
Figure 5.1 Expected effects by pre-financing peak investments and levelling of burden
to user charge (built with fictitious figures)
79 - FAA ADS-B programme
80 - See other footnotes: 22 Bn x 60% x (100% minus 25-30%)
81 - IATA estimation of 25-30% of total replacement costs of 60% of 22 Bn
82 - According to Steer Davis Gleave estimated proportion of ground based / airside investment 40 / 60% = 22 Bn x 40%
December
2006
080

5.7 The Future Architecture of ATM

This section describes high-level principles to be applied to the
architecture of the future ATM System. These principles will be
developed with the architecture supporting the SESAR operational
concept in Milestone Deliverable 3. Although the emphasis is
solely on the technical aspects of the architecture in this section,
it is recognised that there cannot be a successful ATM design
without considering all the aspects of ATM (i.e. human, procedures and equipment).
5.7.1 Principles for the Future ATM

Architecture
There is a consensus among stakeholders that the SESAR vision
can only be achieved by a more integrated ATM architecture,
considering the integration of all segments of ATM: aircraft, ATC,
AOC, etc.
The architecture integration requires more collaborative work in
the upfront System Engineering phase. In this phase, the interfaces are defined with respect to the required and adapted interoperability concept83 including the cases of exceptional events,
which constitute the major cause of loss of capacity. The latest
System Engineering tools, methodologies, and approaches currently promoted will be investigated and the ones identified as the
most appropriate to the ATM architecture context will be selected.
R&D activities to apply these tools / methodologies in the ATM
context will be identified where appropriate.
The results of this work shall then be standardized and the
associated means of compliance for the various CNS/ATM stakeholders shall be defined and monitored in the future.
More scalable architectures allow smooth transitions when integrating evolutions or increasing the capacity and avoid big bang
approaches which represent a much higher cost and risk. Also
these architectures shall be adaptable architectures i.e. able to
deliver variable levels of services taking into account the different
sizes of systems with various service needs. Gradual transitions
require that the new architectures have the capability to modify,
add or remove functions at lowest cost (fulfilling also the objective
of an improved maintainability).
The design quality of the ATM System architecture is recognized

today as the most important factor to protect stakeholders investments in time, capital, and expertise. The Model Driven
Architecture (MDA) is an approach that separates business and
application logic from the underlying platform technology. It thus
enables existing standards to be realized quickly and cheaply on
new technologies instead of being reinvented from scratch. It is
anticipated that this approach fits well into a future common architecture for ATM. OATA and EUROCAE Working Groups (WG61,
WG69) have applied this approach, which proved to be successful
and its use should be considered in the future.
5.7.2 Safety Approach to the SESAR

Architecture Activities
A screening technique will be applied to the SESAR Definition
Phase architecture activities making use of a list of established
basic principles and key requirements for Safety Regulation,
Safety Management and Safety Performance. It is expected that
the Safety Screening reveals safety related requirements that
shall be considered when defining/modifying the ATM/CNS architecture. The appropriate safety assessment and mitigation
methods will then be applied during the SESAR Development
Phase.
5.7.3 Performance Requirements

Some key quality of service (QoS) characteristics were selected to
support the definition of concrete ATM/CNS architecture performance measurement criteria: Safety, Reliability, Integrity,
Latency, Capacity and Accuracy. The performance requirements
fixed in D2 shall be derived and traced to make sure the targeted
CNS/ATM architecture can meet the targeted performance. Due to
the need to cater for threats, Security characteristics as they are
described in the current standards (ISO 13236, OMG):
Confidentiality, Authenticity, Protection and Access control
will have to be considered for the building of the new architectures.
It is expected that some current ATM System functions will remain

in the future ATM System, with possible slight evolutions, to harmonize these functions throughout Europe84.
83 - High level of interoperability with airspace users having divergent capabilities (e.g. military) should be accommodated less with exemption policies and more with interoperable solutions.
84 - For more information, please refer to the task 2.4.3/D2 deliverable.
December
2006
081
5.8 The Role of the Human in ATM

The future European ATM will only be able to achieve its long-term
operational targets and strengthen its economic value chain
through the capabilities and performance of its people. The human
contributes to the ATM System performances at the individual,
team and organisational level, as well as in the interaction with
automated support systems.
Human
& System
Teams &
Communication
Procedures,
Roles and
Responsibilities
The changes to the ATM System described in section 2.4.2 will

affect the future working environment of more than 70.000 operational staff in total, (amongst them about 17.000 Air Traffic
Controllers, 35.000 cockpit crew members and flight engineers
and 15000 CNS/ATM engineers and technical personnel).
Working
environment
Organisation
Staffing
Training
and
Development
F i g u r e 5 - 2 T h e E U R O C O N T R O L / C A AT S - H F - c a s e p i e
The human contribution to the 11 KPA of ATM has been analysed
through the six different Human Performance Areas identified in
the EUROCONTROL/CAATS-HF case pie (as shown in figure 5-2)85.
it is considered that it will be increasingly difficult to employ highly

qualified staff suitable for operational roles. Further, it is vital to
keep the jobs in ATM sufficiently attractive.
Figure 5.3 identifies the influence of the different Human

Performance Areas on the ICAO KPAs. Particularly KPAs such as
safety, capacity, efficiency, flexibility, interoperability and participation are highly dependant on an advanced management of the
Human in ATM.
The way forward for the role of the human in ATM in 2020 is described in the following sections:
a Social Factors and Change Management
b Human Factors
c Recruitment, Training, Competence and Staffing
85 - In the current analysis the interactions of KPAs and HF categories were addressed separately without considering trade-offs between them, for example between safety and efficiency. The following table provides a first
overview of how the six HF categories contribute to the 11 KPAs.
December
2006
082

Human roles
KPA
Human &
System
Procedures,
Working
Organisation
Training &
Teams &
Roles &
Communication
environment
a Staffing
Development Responsibilities
Safety
Capacity
Efficiency
Flexibility
Interoperability
Security
Cost Effectiveness
indirect
indirect
indirect
indirect
Environmental
Sustainability
Access/Equity
Participation
Predictability
Level of contribution
High
Moderate
Low
F i g u r e 5 . 3 T h e H u m a n P e r f o r m a n c e c o n t r i b u t i o n t o t h e 1 1 I C A O K PA s
5.8.1 Social Factors and Change Management

This section describes the way forward to the Social Dialogue as
a system introduced in section 2.4.2.6.
The European Sectorial Social Dialogue Committee for Civil
Aviation is a first promising step to have a European social dialogue. All Social Partners wishing to participate are present on an
equal basis. They could expand the social dialogue to cover more
social provisions by way of collective agreements if social partners
(at European level) so desire (cf. Art 139 of the EC Treaty) on social
provisions covered by Article 137 of the EC Treaty.
Social Partners in the Social Dialogue ATM Working Group of this
committee developed jointly a report concentrating on Social
aspects in the establishment of FABs. The subjects discussed in
this Working Group could be expanded in the SES or in the SESAR

context.
As this Sub-Working Group is focussed on ATM employees, adhoc coordination with the other social partners of Civil
Aviation in the Committee for Civil Aviation must be organised on
dedicated subjects (e.g. Just Culture, ATM air-ground integration
issues).
Processes, principles and structures for Social Dialogue exist but
are not implemented at all levels (European, national and local)
and for all affected employees. Social Partners at all levels should
reach a better understanding, co-operation, co-ordination and
awareness of the Social Dialogue structure and process and its
positive impacts on performance.
December
2006
083
A legislated Social Dialogue structure exists in some Member

States (i.e. Sweden, Denmark, France), which can provide examples of best practices. Social Partners should establish national
Social Dialogue agreements and consultation arrangements for
the Social Dialogue process at national and local levels in case
it does not exist - in line with the existing European Civil Aviation
Sectorial Social Dialogue Committee activities. This should be
considered in addition to existing legislation on informing and
consulting employees. In other States (e.g. Sweden) it is even
compulsory to analyse related physical, psychological and social
risks when a change is introduced in a working environment.
These risks could be identified and addressed in the local Social
Dialogue as one way of addressing social and other impacts of
change that affect employees and help to find solutions and mitigating actions for them.
Transferability and mobility of European civil aviation staff exists in
theory but is limited due to non-harmonisation of national social
security, income tax and pension systems and issues on the portability of pension rights and / or local rules. These are blocking
factors to mobility in addition to individual willingness and capability of staff to move. An effective framework for transferability and
mobility of staff at all levels is required. The respective parties,
Social Partners included, should agree on effective means to alleviate existing barriers for transferability and mobility of staff.
An appropriate change and transition leadership and management
approach is required to identify and manage change issues and
risks at an early stage and with the participations and involvement
of social partners and affected employees.
5.8.2 Human Factors

The objective of Human Factors is to find an optimal trade-off and
interaction between automation and human tasks whilst respecting human limitations and exploiting the unique human capabilities and skills in the best possible way in order to ensure safe and
efficient ATM operations at all times.
By 2020 the full integration of Human Factors in ATM needs to be
established as follows:
Human Factors best practices (HF processes, methods and
tools) are translated into regulation (e.g. EU Directives,
ESARRs) and/or international standards (e.g. ISO 13407
Human Centred Design Processes for Interactive Systems)
whenever necessary and appropriate.
Existing ICAO, EUROCONTROL and national human factors
processes, methods and tools are fully mandated and
deployed.
The human factors practices in the air and on the ground are
better aligned and whenever necessary integrated in the
frame of increasing air-ground integration.
December
2006
084
These human factors practices must also be extended in a

balanced way to other safety critical jobs and workforces such
as CNS/ATM technical staff, flight dispatchers, cabin crew,
airport staff, airport vehicle drivers, maintenance staff, security
staff and aeronautical weather services, etc. All these people
make a major contribution to the safety chain.
A framework for human performance improvements within
accepted organisational structures will be put in place. This
includes the individual, group and organisational levels, as
well as metrics and measurements, of the relevant human
contributions and interactions with automated systems both in
the air and on the ground.
Evolving human factors requirements are identified as
necessary prerequisites to launch relevant R&D activities
(e.g. development of human performance metrics to determine
the boundaries of human performance).
Way forward
The implementation of HF processes, methods and tools in
European ATM has started successfully in some ANSPs but is far
from being complete. The 2005 figures for the European
Convergence and Implementation Programme (ECIP) reveal that
the current average rate of local implementation of ATM Human
Factors tools and interventions has only reached 30-50% throughout the ECAC area within a five year time period (2000-2005).
The full implementation of the existing ICAO, EUROCONTROL and
local human factors best practices (e.g. HF methods and tools)
would significantly increase the human performance related benefits throughout European ATM.
The following guidelines must be applied in each implementation
step of the integration of human factors into all levels of ATM:
The entire Human Factors approach needs to become much
more business and cost-benefit oriented to prove its role as
one of the key business success factors in ATM. All this needs
to be an essential element of the corporate culture in ATM and
requires full support from senior management throughout the
organisation down to the operational level.
The enhanced safety culture - Just Culture that regards
failures and incidents must be considered as learning and
improvement opportunities for Human Factors.
HF practitioners must be allocated early and continuously to
any ATM project to determine human factors issues and to
proactively manage their resolution and related change
processes (e.g. application of Human Factors Cases) through
the lifecycle of the project.

5.8.3 Recruitment, Training, Competence

and Staffing
Recruitment, Training, Competence Verification and Staffing aims
at identifying, developing and maintaining the appropriate human
operational competence for the provision of safe ATM services. It
will directly support the future ATM System by:
1) Enhanced staffing and rostering processes allowing for an
effective and reliable prediction of required manpower as well as
for the flexible adaptation of staffing to traffic demand and change
processes. The first steps will be the sharing and application of
available guidance material and methods for manpower planning
in air and ground (e.g. from EUROCONTROL and ANSP best practice). However, strict regulations for staffing or fixed staffing numbers are not considered feasible, as aviation will continue to be
influenced by rapid market changes, national law and individual
decisions.
2) Harmonization of the operational competence through
comparable minimum competence standards enhancing
safety and efficiency of European ATM. It enables the mobility
of workforce supporting free movement of labour and compensation of temporary local staff shortage and reduces the amount
of conversion training. The harmonisation of the operational
concepts and the ATM Systems will ease the harmonisation of
operational competence and shared training developments.
The operational competence harmonization is mainly lacking for
the ground ATM staff due to differences in individual interpretation
and implementation of the regulations in place (ESARR 5, EC
Directive on a common ATCO License with EATM support material). 36% of the ECAC states reported full implementation of the
European ATCO Licensing scheme (ECIP 2005).
especially in degraded mode operations. Enhanced interdisciplinary training (in air and ground) to support mutual understanding
shall be included to improve safety.
4) Training will support the development and implementation of
new systems and procedures as an integral part of the change
management process. The impacts on operational competence
are systematically analysed at an early stage through exchanges
between Human Factors, concept/system and training experts.
Inappropriate system upgrade training is a transition risk. The design of the training (as well as the transition activities) must consider individual specifics (e.g. related to age, culture, education, and
experience; necessity to de-learn well established related working
habits). New roles and responsibilities must be trainable in a reasonable range of effort.
Sufficient staffing must be continuously allocated to system development and upgrade/ continuation training, ensuring a successful transition.
5) Improved efficiency of the management of operational
competence: The different steps of the recruitment, training, verification of competence and manpower planning of the operational
ATM staff lack effectiveness as they are too fragmented. A systematic linking of all elements in the process in form of a closed loop
will be put in place (see Figure 5.4). Management and investment
decisions shall be based on operational needs and on systematic
cost benefit analyses. This will result in an optimal balancing of
investment in the various steps of recruitment and training.
Recruiting
Selection
Job
marketing
Therefore the first steps to this harmonisation are:

Europe-wide consistent implementation of the existing
regulations and standards.
Establishment and application of rules concerning comparable
training (objectives, contents, methods, strategies and training
infrastructure) and comparable verification of operational
competence of all ATM staff (including language proficiency
and civil/military integration where applicable).
Implementation and upgrade of existing guideline and support
material on ATCO selection. They shall be adapted as
appropriate for other categories of ATM staff.
The time span to implement changes in required competence
regulations (min. 2-3 years) as well as for training development
and provision (months or even years) must be addressed in the
transition planning.
3) Regular and intense continuation training (with effective use of
simulation) for operational and maintenance staff will be needed
to maintain the operational competence in automated systems,
Institutional
training
Operational
training
Manpower
planning
Verification
of
competence
Operational
work
Conversion
training
Refresher/
continuation
training
Figure 5.4 Closed loop process of generating

and maintaining the appropriate quantitative
and qualitative amount of operational
c o m p e t e n c e i n AT M .
All the above-mentioned measures are part of the Change
Management Process.
December
2006
085
6 List of references
1 Milestone Objective Plan D2: ATM Performance Targets MGT-0506-002-03-00
14 Task Deliverable: 1.7.3/D2 - Social factors
2 Milestone Deliverable D1: Air Transport Framework

The Current Situation - DLM-0602-001-03-00
15 Task Deliverable: 2.1.2/D2 - Define Strategic Objectives

(Safety, Security, Capacity, Environment, Cost, World-wide
Interoperability, etc.)
3 Task Deliverable: 1.1.1/D2 - Analysis of the Air Transport Value

Chain
16 Task Deliverable: 2.4.3/D2 - Analysis of the various technical

sub-systems/functions supporting the architecture
4 Task Deliverable: 1.1.2/D2 - Evaluation of ATM System within

the Air Transport Value Chain
17 Task Deliverable: 2.6.1/D2 - Assess and propose

improvement to standardisation process
5 Task Deliverable: 1.1.3/D2 - Security
18 Task Deliverable: 3.2.1/D2 - Identification of limits/Blocking

points. For airspace environment
6 Task Deliverable: 1.1.4/D2 - Environment

7 Task Deliverable: 1.2.1/D2 - Identification of existing
mechanisms and triggers for decision making
8 Task Deliverable: 1.3.1/D2 - Review existing financial
mechanisms and identify investment needs for the whole
programme
19 Task Deliverable: 3.2.2/D2 - Identification of limits/Blocking

points. For airport environment
20 Task Deliverable: 4.1.1/D2 - Programme and Governance
Rules
21 ICAO OCD Doc 9854
9 Task Deliverable: 1.4.1/D2 - Review of existing tools and

preparation of the CBA model
22 EUROCONTROL Strategic Performance Framework, Version 2,

30 November 2002
10 Task Deliverable: 1.5.1/D2 - Benchmarking of European and

other relevant legislation and regulation
23 Performance Review Report 8 - 2004: PRR 8

24 Performance Review Report 2005: PRR 2005
11 Task Deliverable: 1.6.1/D2 - Study of safety regulatory

framework
25 STATFOR 2004 Traffic Statistics
12 Task Deliverable: 1.7.1/D2 - Human factors impacts

13 Task Deliverable: 1.7.2/D2 - Recruitment, training and
licensing
December
2006
086

7 List of abbreviations and

terminology
Abbreviations
Abbreviation
Explanation
1090 ES
1090 Mode S Extended Squitter
4D
Four Dimensional
AMAN
Arrival Manager
A-CDM
Airport CDM
ACE
ATC Communications Environment
ADS-B
Automatic Dependent Surveillance-Broadcast
AEA
Association of European Airlines
AECP
Aeronautical European Common Position
AIM
Aeronautical Information Management
AIS
Aeronautical Information Services
ANSP
Air Navigation Service Provider
AO
Aerodrome Operations
AOC
Airline Operational Communications
AOM
Airspace Organisation & Management
ARN V5,6
ATS Route Network Version 5,6 (ECAC, EATMP)
ASD
ATM Service Delivery
A-SMGCS
Advanced Surface Movement Guidance and Control Systems
AT
Air Transport
ATC
Air Traffic Control
ATD
Actual Time of Departure
ATFM
Air Traffic Flow Management
ATFCM
Air Traffic Flow and Capacity Management
ATM
Air Traffic Management
ATMRPP
ICAO ATM Requirements and Performance Panel
ATMSCG
Air Traffic Management Standards Co-ordination Group
ATOT
Actual Take Off Time (CFMU)
AUO
Airspace User Operations
BA
Business Aviation
BAA
British Airport Authority
Bn
Billion
BT
Business Trajectory
CAATS
Cooperative Approach to Air Traffic Services
CAEP
ICAO Council's Committee on Aviation Environmental Protection
December
2006
087
Abbreviation
December
2006
088
Explanation
CASCADE
Co-operative ATS through Surveillance and Communication Applications

Deployed in ECAC
CBA
Cost Benefit Analysis
CDA
continuous descent approach
CDM
Collaborative Decision Making
CEM
Collaborative Environmental Management
CEN
Committee for European Normalisation
CENELEC
Committee for European Normalisation in the Electrotechnical Field
CFIT
Controlled Flight Into Terrain
CFMU
Central Flow Management Unit
CHAIN
Controlled & Harmonised Aeronautical Information Network
CHAMP
Collaborative and Harmonised ATCO Manpower Training
CM
Conflict Management
CNS
Communications, Navigation & Surveillance
COBIT
Control Objectives for Information and related Technology
COFLIGHT
French/Italian/Swiss cooperative development of a new Flight Data

Processing System
COOPANS
Purchasing Agreement between LFV (Sweden), Naviair (Denmark) and

the Irish CAA
CroATMS
Croatian Air Traffic Management System
CTGO4
Challenge to growth, 2004
D1, D2, D3, D4, D5, D6
SESARs 6 Milestone Deliverables
DCB
Demand/Capacity Balancing
DMAN
Departure Manager
DMEAN
Dynamic Management of the European ATM Network
EAPPRI
European Action Plan for the Prevention of Runway Incursions
EASA
European Aviation Safety Authority
EATCHIP
European Air Traffic Control Harmonisation and Integration Programme
EATM
European Air Traffic Management
EATMP
European Air Traffic Management Programme
EBAA
European Business Aviation Association
EC
European Commission / European Community
ECAC
European Civil Aviation Conference
ECIP
European Convergence and Implementation Plan
ESARR
EUROCONTROL Safety Regulatory Requirement
ESP
European Safety Programme
ESRA
EUROCONTROL Statistical Reference Area
ETS
Emissions Trading Scheme
EU
European Union
EUROCAE
European Organisation for Civil Aviation Equipment
EUROCAE WG 72
European Organisation for Civil Aviation Equipment manufacturers

Working Group 72
FAA
Federal Aviation Administration
FAB
Functional Airspace Block
FASTI
First ATC Support Tools Implementation Programme
FATMI
Finnish Air Traffic Management Integration

Abbreviation
Explanation
FDP
Flight Data Processing
FDPS
Flight Data Processing System
FL
Flight Level
FLOPC
Local Flight Operational Performance Committee
FMS
Flight Management System
FUA
Flexible Use of Airspace
GA
General Aviation
GAT
General Air Traffic
GBAS
Ground Based Augmentation System
GDP
Gross Domestic Product
GPU
Ground Power Unit
HF
Human Factors, High Frequency
IATA
International Air Transport Association
ICAO
International Civil Aviation Organisation
ICT
Information and Communication Technology
IFR
Instrument Flights Rules
IKD
In Kind Delivery
IMC
Instrument Meteorological Conditions
IOPA
International Council of Aircraft owners and Pilot Association
IPR
Intellectual Property Rights
ISO
International Standards Organisation
ISO 13407
Human Centred Design Processes for Interactive Systems
IT
Information Technology
ITU
International Telecommunications Union
JFADT
Joint Future Airspace Design Team
JPDO
Joint Planning and Development Office
JU
Joint Undertaking
KPA
LAMPS
Long Term ATCO Manpower Planning Simulation
LCIP
Local Convergence and Implementation Plan
Link2000+
(EUROCONTROL) LINK 2000+ Programme
LISATM
Lisbon Air Traffic Management
LTF
Long Term Traffic Forecast
Million
MATIAS
Magyar (Hungarian) Automated and Integrated Air Traffic Control System
MDA
Minimum Descent Altitude/ Model Driven Architecture
MET
Meteorological (Information Services)
Mode-S
Mode Select
MTOW
Maximum Take-Off Weight
MVPA
Mobile Virtual Path network Architecture
NATS
National Air Traffic Services (UK)
NEASCOG
NATO/EUROCONTROL ATM Security Coordination Group
N-FDPS
Maastricht UAC new Flight Data Processing System
NGA
Non Governmental Authorities
OAT
Operational Air Traffic
December
2006
089
Abbreviation
December
2006
090
Explanation
OCD
Operational Concept Document
P1-iTEC
German next generation FDP system
P1-VAFORIT
German new FDP system
PBTG
Performance Based Transition Guidelines
PHARE
Programme for Harmonised Air Traffic Management and Research in Europe
PMS
Performance Management Stages
PPP
Public Private Partnership
P-RNAV
Precision Area Navigation
PRU
Performance Review Unit
PRU
Performance Review Unit
QoS
Quality of Service
R&D
Research & Development
RNAV
Area Navigation
RNP
Required Navigation Performance
ROAD
Representation of Overall ATM Development
RPK
Revenue Passenger Kilometre
SACTA-iTEC
Sistema Automatizado de Control del Trfico Areo (ES) (Spanish ATC system)
SES
Single European Sky
SESAR
Single European Sky ATM Research
SMAN
Surface Management
SMR
Surface Movement Radar
SWIM
System Wide Information Management
TMA
Terminal Manoeuvring Area
TS
Traffic Synchronisation
UAC
Upper Airspace Control Centre
UAV
Unmanned Aerial Vehicle
UML
Unified Modelling Language
US
United States (of America)
VFR
Visual Flight Rules
VLJ
Very Light Jet
WP
Work Package
WRC
World Radio-Communications Conferences
XML
Extensible Markup Language

Terminology
This section provides definitions which explain how certain terminology is used (and intended to be understood) further in this
document. Only those terms are included here which are not defined in the body of the document where they are used for the first
time.
Business trajectory
A flight which is not part of a flight schedule. Typically the Business

Trajectory is planned after the aircraft operator or individual users
of the flight have identified a specific need.
A 4D trajectory which expresses the business intention of the user

with or without constraints. It includes both ground and airborne
segments of the aircraft operation (gate-to-gate) and is built from,
and updated with, the most timely and accurate data available
(AOC, FMS, etc.)
A business trajectory can exist in several states, being:
Business Development Trajectory (BDT) used for airspace user
business planning and not shared outside the user organisation.
Shared Business Trajectory (SBT) published business trajectory
that is available for collaborative ATM planning purposes. The
Shared Business Trajectory may or may not already contain
constraints that the user has already taken into account in his
business calculations. It represents the plan for optimum flight
performance, assuming no other traffic is present.
Reference Business Trajectory (RBT) which the airspace user
agrees to fly and the ANSP agrees to facilitate (subject to separation provision). The Reference Business Trajectory contains all the
applicable constraints and will be used as a reference by all relevant ATM partners during flight execution. The RBT can be considered as having 4 parts:
The executed part (RBTX): represents the already flown part of the
trajectory.
Current position (CP): the 3D position of the aircraft at a given
time.
Authorised part (RBTA): represents those segments of the trajectory (including ground segments) that have been cleared by the
ANSP or validated by the aircraft within a defined horizon.
Planned part (RBTP): segments from the limit of authorisation to
trajectory end.
Trajectory
Flight progress event
The trajectory is the description of movement of an aircraft both in

the air and on the ground including position, time, and at least via
calculation, speed and acceleration. (ICAO)
A 4D trajectory milestone (such as off-blocks, take-off, landing,

on-blocks) which is part of a business trajectory and which is relevant for performance measurement and management.
4D Trajectory
On-time
A set of consecutive segments linking waypoints and/or points

computed by FMS (airborne) or by TP (ground) to build the vertical
profile and the lateral transitions; each point defined by a longitude, a latitude, a level and a time.
lights whose actual time maximum 3 minutes early or late in relation to the Shared Business Trajectory (SBT) (=the airspace users
business optimum). Such on-time flights are not included in the
calculation of delay statistics.
Air transport system

The global air transport system consists of a global airspace user
segment (consisting of airspace user groups and their aircraft) and
a global airspace system segment consisting of regional (like the
European) airspace systems and ATM service provider groups.
Air Traffic Management System
The ATM system is a part of the air transport system. It includes
parts of the airspace user segment, and parts of the airspace system segment.
Scheduled flight
A flight which is part of a flight schedule. Typically the Business
Trajectory is planned first, so that a schedule is created which is
offered as a product to the individual users of the flight (e.g. passengers, cargo).
Unscheduled flight
Normal fuel consumption

Actual block-to-block fuel consumption maximum 2.5% more
than foreseen in the Shared Business Trajectory (SBT) (=the airspace users business optimum).
December
2006
091
Normal flight duration

Actual block-to-block duration maximum 3 minutes longer than
foreseen in the Shared Business Trajectory (SBT) (=the airspace
users business optimum).
Airport A
Airport B
Airport C
The scope of Gate-to-Gate

Gate-to-Gate (GtG)
GtG applies to an operational concept where the air traffic operations of the main ATM partners, Air Navigation Service providers,
aircraft and airport operators are such that the successive planning and operational phases of their processes are managed and
can be achieved in a seamless and coherent way.
Note:
For ATM, or from a flight planning point of view, its scope extends
from the first interaction of the flight with ATM (which for commercial flights may be up to 6 months ahead of the date of the
flight), through the execution of the flight on its appointed day, to
performance registration and the calculation of charges for the
services received after it has taken place. For an airport or aircraft operator, it encompasses the management of turn around
between flights. From a network point of view, it relates to the
efficient and seamless handling of the interdependencies between the operations of the different partners involved in the use
of an aircraft for air transportation services.
December
2006
092

8 List of figures and tables

Fig.1-1
Outline of the future framework for the European ATM

System
Fig.1-2
Relationship between Institutional/Regulatory,

Business & Performance Frameworks
Principal Relationships between Society, Air Transport
Industry & ATM System
Fig.2-1
Fig.2-2
Outline of Principal Relationships with European ATM

System
Fig.2-3
Effects of Airport Constraints on Growth Scenarios
Fig.2-4
Growth by Traffic Flows expected in the

EUROCONTROL Statistical Reference Area (ESRA)
Fig.2-5
Principal functions of the European ATM System

management framework
Fig.2-6
ATM System Operating in a constrained Air Transport

Network
Fig.2-7
Basis of Future ATM Operational Performance

Partnership
Fig.2-8
Social Dialogue as a System
Fig.2-9
Financing scenarios
Fig.3-3
Horizontal dimension of the performance framework
Fig.3-4
Grouping of KPAs
Fig.3-5
Performance impact model for environmental

sustainability
Fig.5-1
Expected effects by pre-financing peak investments

and levelling of burden to user charge (built with
fictitious figures)
Fig.5-2
The EUROCONTROL/ CAATS-HF-case pie
Fig.5-3
The Human Performance contribution to the

11 ICAO KPAs
Fig.5-4
Closed loop process of generating and maintaining

the appropriate quantitative and qualitative amount of
operational competence in ATM
Table 2-1 Characterisation of Airspace Users Expectations

Table 3-1 Performance Management Process
Table 4-1 Scenarios for costs anns benefits derived from the
implementation of A-SMGCS
Table 4-2 Environmental benefits of Local Flights Operational
Performance Committee at Gatwick Airport
Fig.2-10 Financing scenarios decision tree

Fig.3-1
Performance-based Transition Approach
Fig.3-2
SESAR Two-Dimensional Performance Framework
Table 4-3 Assessment of the level of contribution of selected

solutions to KPAs and their maturity
Table 5-1 Additional costs per segment and overall costs for
strategic Performance Periods
December
2006
093
Annexes
ANNEX I - Solution Risks
SESAR solution risks are defined as those risks which, if not
appropriately mitigated, could prevent the SESAR ATM Master
Plan from achieving its objectives. These risks are integrated into
the project risk management process. This annex presents the
Risk & Assessment

D1/R1 - Lack of a solution
to break the capacity barrier
synthesis of the identified SESAR solution risks at Milestone 2. It

includes updates in terms of risk assessment and mitigation
actions with respect to those risks identified at Milestone 1 (prefixed D1).
Impact Probability
High
Medium
Mitigation Action
1. Enhancing stakeholder involvement in
the business decision processes through the
applicable governance structure. ONGOING ATM Performance Partnership model.
2. Better direction and management of activities
related to R&D, validation and operational trials.
ONGOING
3. Securing involvement of operational staff in
the design and validation processes. OPEN
4. More efficient use of airspace in Europe by
enhancing civil-military and military-military
coordination and cooperation. MONITOR MIL
INVOLVEMENT IN D2/D3 (ensuring MIL in Master
Plan)
5. Review current funding models to give the right
incentives to ANSPs, airport operators and airspace
users. CLOSED by 1.3 outputs at vision level.
D1/R2 - Not possible to address

the fragmentation issue with
High
Medium
respect to the cost effectiveness

objectives
1. Enhance flight efficiency. ONGOING - T1.1.2 /D2

ATM vision and D3 SESAR Operational Concept
2. Establish a network plan.
MITIGATED by T1.1.2 /D2 ATM vision
3. Enhance real-time operational flexibility.
ONGOING - T1.1.2 /D2 ATM vision
4. Develop a framework for services and obligations
to be agreed between ANSPs, airport operators and
airspace users. ONGOING - T1.1.1/1.1.2 /D2
5. Identify specific short-term initiatives aiming at
de-fragmentation. CLOSED by 3.2/D2 output
D1/R3 - Lack of an assessment

of the scope and content of
the Master Plan due to business
planning & CBA modelling
limitations
Medium
Low
1. Adapt the approach to business planning & the

CBA model to the business structure and the
stakeholder expectations. OPEN agreed process
WP3.3 will collect cost data; WP1.4 will analyse
benefits; and WP2.3 will assess results.
2. Ensure business and stakeholder data quality pro
vision. OPEN WP3.3
D1/R4 - Failure to address

the enforcement of a common
regulatory framework
December
2006
094
High
Medium
1. ONGOING - WP4.1/D2 output/d3 tasks

Risk & Assessment

D1/R5 - Lack of a clear
governance structure (including
leadership, political & decision
making arrangements)
Impact Probability
High
Medium
Mitigation Action
1. Establish clear governance structure with clear
roles and responsibilities. ONGOING - WP4.1/D2
output/d3 tasks Eliminate fragmented decision
making across national, European and organisational
boundaries. WP1.2 D2 output
2. 2. Eliminate fragmented decision making across
national, European and organisational boundaries.
WP1.2 D2 output
D1/R6 - Lack of credible ATM

performance assessment and
monitoring
Medium
Low
1. Implement a cultural paradigm change to

the reporting of performance. CLOSED by 2.1.2
output
2. Establish an ATM performance framework and
monitor it. CLOSED for ATM performance framework
by D2/2.1.2. ONGOING for monitoring.
D1/R7 - Lack of interoperability

in a global context
Medium
Medium
1. Ensure that the future standardisation structure

addresses the global interoperability aspects.
ONGOING via D2/WP2.6 output
2. Incorporate the global interoperability concerns in
the interoperability KPA of the ATM performance
framework. CLOSED by 2.1.2 output
3. Enhanced and interdependent approach with
ICAO and USA authorities. ON GOING via SESAR
communication plan.
D1/R8 - Lack of acceptance

of the ATM Master Plan by all
actors
High
High
1. Proactively manage the buy-in of the ATM Master

Plan by all Stakeholders (at all levels) at each
milestone. ONGOING continuous activity
2. Use it as the basis for the social dialogue, taking
into account in the future institutional framework.
ONGOING specific actions depending on
Stakeholder or Project Associate.
D1/R9 - Lack of standardised

and modular systems to
facilitate the transition
Medium
Low
1. Put in place a European ATM System design

authority. CLOSED T1.1.2/WP2.4/WP4.1 output.
Further scope of WP1.2/D3
2. Proactively manage the scope and content of the
standardisation process, ensuring the products will fit
the architecture of the future ATM System.
CLOSED - close coordination established with
EC implementation rule and community specification
teams
D2/R1 Rejection of initial high

design targets stated in D2
High
Medium
1. Develop performance tutorial

2. Refinement of targets and objectives in D3 and D4.
D2/R2 - Vision and associated

Performance Objectives and
targets not fully understood by
subsequent WPs.
High
Medium
1. Develop performance tutorial.

2. Strengthen D3&D4 performance assessment
method.
3. Regular check of vision understanding by CIT
December
2006
095
ANNEX II - Specific process assessment in D2

Introduction
Consideration of Safety Management in D2
This annex collects the assessment of three specific process execution in D2 :
Assessment of activities
The application of the SESAR Definition Phase safety

management policy, referring to WP statements of work
The application of the SESAR Definition Phase environment
management policy, referring to WP statements of work
The incremental production of a Sustainability Impact
Assessment, referring to the Initial Sustainability Impact
Assessment Screening template.
WP
December
2006
096
SoW reference section
In the following table, the safety management activities are assessed against the Statement of Work of the Work package.
In accordance to the D2 Milestone Objective Plan, safety is considered with respect to:
Vision of the Air Transport Industry in 2020,
Performance Targets for the ATM Concept
Best practice, ongoing activities and principles for the way
forward
Assessment
1.1
From the safety management standpoint,

this work package will provide inputs
regarding the role of safety in the Air Transport
value chain, including the effect of accidents
on the air transport industry and on the
environment (3rd party risk).
T1.1.1 has characterised Safety from the viewpoint of

societal expectations and economical sustainability
T1.1.2 has developed further the ATM safety vision.
T1.1.3 has outlined commonalities and differences
between safety and security issues.
T1.1.4 has indicated that environmental considerations
shall never impair safety of Air Transport operations
1.2
This WP will provide input on how safety and

the environmental aspect of sustainability
are currently applied as decision-making
drivers in ATM system deployment and how
it should be used in the context of the
SESAR programme
Safety aspects are considered in the analysis of past,

current and possible decision-making processes.
In general, a Safety case is required at the same
level as a security case, a Human factor case or an
Environmental Impact Assessment
1.3
This Work Package will investigate if the

safety and environmental viewpoints can be
directly related to the financial scenarios for
deploying the ATM system or if it subsumed
by the general approach to ATM financing.
Safety is not identified as a separate topic
1.4
This Work Package will investigate how to

integrate safety and environment into CBA
if required for further decision making
Safety is addressed both in the cost model and the

benefit model for CBA, with some further clarification
needed
1.5
This work package will check if the proposed

adjustments to the SES legislative and
regulatory framework due to third countries
benchmarking have an impact:
On the safety regulation framework addressed
by WP1.6
On the environmental regulation framework
addressed by Task 1.1.4
Safety regulation is fully covered by 1.6.
1.6
As explained in the [previous] sections of

the WP1.6 SoW, this Work Package will
address the regulatory aspects of safety
throughout the whole PD phase of SESAR.
It will clarify the link between safety and
environment, especially regarding the
third-party risk issue.
T1.6.1 has extensively covered the subject and fully

satisfies the D2 MOP objectives
Moreover, the co-ordination between WP1.6 and
other WP dealing with regulatory aspects (such as
WP1.2, 1.5, 2.6) has been carried out.
Third-party risk is to be further investigated.

WP
Assessment
1.7
This work package will provide inputs

regarding human factors related safety and
environmental issues.
T1.7.1 has shown the high effect of human factors on

safety
T1.7.2 has explained the effect of recruitment, training,
competence and manpower planning on the safety of
ATM operation
T1.7.3 has documented how safety is incorporated into
the social dialogue and change management required by
ATM evolution
2.1
This work package will integrate the safety

and environment KPAs, performance
objectives, KPIs and targets when applicable
into the performance framework.
It will be responsible for eliciting the balance
between the KPAs that contribute to
sustainability and for ensuring that
dependencies between these KPAs are
considered when assigning performance
objectives and targets.
T2.1.2 has established the performance framework on

the basis of KPAs, including how to represent the Safety
KPAs, which has been documented and analysed by
EUROCONTROL. Objectives and Targets having an
impact on the concept development in D3 have been
discussed. Most of the objectives are related to proper
management of safety issues, building on T1.6.1
activities.
One global target is agreed, while additional targets
related to significant incidents are expected to become
available from ongoing EUROCONTROL activities and
will be used in D3.
2.4
This work package will take safety objectives

into account for defining the architecture of
the ATM system, leading to adequate
component redundancy and mitigation means
in the architecture design, notwithstanding
the procedural and human-factors aspects.
This WP will populate the Safety Register
[initiated by T2.2.2/D3].
T2.4.3 has considered the safety approach from 1.6 and

the potential impact on the process of architecture
design, mainly through use of screening techniques.
The need to incorporate Safety Nets in the architecture
design has been recognised. The real impact will be
in D3.
2.6

aspects of interoperability. Some
interoperability requirements are likely to
derive from safety objectives. Conversely,
making systems interoperate is itself a cause
of potential failures or hazards.
This WP will populate the Safety Register
[initiated by T2.2.2/D3].
Safety has been considered in the standardisation

process from the certification point of view.
The vision of the certification process involving European
regulatory functions is described by T1.6.1
3.2
This work package will integrate safety and

environmental objectives into the short term
improvements
Specific short-term improvements have been identified

to address Safety and Environmental aspects.
All initiatives have been evaluated against the associated
KPA. Programmes identified in the short term
improvements include producing a safety case.
4.1
This work package will provide the roles and

responsibilities elements of the SESAR
Implementation Phase for:
The Safety Management Plan
The environment-related activities
T4.1.1 has addressed the allocation of safety

responsibilities into the future governance
structure for both the JU period and beyond
Recommendation for subsequent SESAR Milestones

In order to ensure that ATM system changes are as safe as possible, WP1.6 recommends applying a screening technique, starting
from D3, which makes use of a list of established basic principles
and key requirements for Safety Regulation, Safety Management

and Safety Performance. It is expected that the Safety Screening
reveals safety related aspects that shall be considered when designing the ATM system in order to identify the safety actions to be
populated in the SESAR ATM Master Plan.
December
2006
097
Consideration of Environment Management in D2
In accordance to the D2 Milestone Objective Plan, environment is

considered with respect to:
Assessment of activities
In the following table, the environment management activities are
assessed against the Statement of Work of the Work package.
December
2006
098
Vision of the Air Transport Industry in 2020;

Performance Targets for the ATM Concept;
Best practice, ongoing activities and principles for the way forward.
WP
Assessment
1.1
From the environment management standpoint,

this work package will provide significant inputs
regarding the environmental aspects of the
Air Transport value chain, through the specialist
task 1.1.4.
T1.1.1 has characterised Environment from the viewpoint

of societal expectations and economical sustainability
T1.1.2 has outlined the impact of the environmental
constraints on the future ATM System and the ATM
role to mitigate the environmental impact of Air Transport
T1.1.3 has not addressed the environmental aspects.
T1.1.4 has delivered a vision of how environmental
sustainability can be facilitated by ATM, refining the
environmental mitigation solutions ATM can provide
including institutional aspects.
1.2
This WP will provide input on how safety and

the environmental aspect of sustainability are
currently applied as decision-making drivers
in ATM system deployment and how it should
be used in the context of the SESAR programme
Environmental aspects are considered in the analysis of

past, current and possible decision-making processes.
Environmental Impact Assessment is required at the
same level as safety case or security case.
1.3
This Work Package will investigate if the safety

and environmental viewpoints can be directly
related to the financial scenarios for deploying
the ATM system or if it subsumed by the general
approach to ATM financing.
No specific relationship is identified.
1.4
This Work Package will investigate how to

integrate safety and environment into CBA if
required for further decision making
Environment is considered in the CBA models, bearing in

mind that cost models and benefit models are not
mature at this stage
1.5
This work package will check if the proposed

adjustments to the SES legislative and
regulatory framework due to third countries
benchmarking have an impact:
On the safety regulation framework addressed
by WP1.6
On the environmental regulation framework
addressed by Task 1.1.4
The subject of a legislative and regulatory framework for

environment has been covered by T1.1.4.
WP1.5 and 4.1 have considered the proposed functions
in the regulatory and governance structures
1.6
As explained in the [previous sections of the]

WP1.6 SoW, this Work Package will address
the regulatory aspects of safety throughout
the whole PD phase of SESAR. It will clarify
the link between safety and environment,
especially regarding the third-party risk issue.
Basic principles for safety regulation have been written,

which describe the relationship of other KPAs to safety,
including environment
1.7
This work package will provide inputs regarding

human factors related safety and environmental
issues.
T1.7.1 recognizes that human factors in ATM have a

limited effect on environmental sustainability
2.1

T2.1.2 has established the performance framework on
and environment KPAs, performance objectives,
the basis of KPAs, including Environmental Sustainability
KPIs and targets when applicable into the
KPA which has been documented and analysed by
performance framework. It will be responsible
SESAR Task 114 specialists. Objectives and Targets
for eliciting the balance between the KPAs that
having an impact on the concept development in D3
contribute to sustainability and for ensuring that
have been discussed. Most of the objectives are related
dependencies between these KPAs are considered to proper management of environmental issues.
when assigning performance objectives and targets.
2.4
When applicable, this work package will take

environment objectives into account for
defining the architecture of the ATM system
No direct link between environmental constraints and the

architecture have been identified. However,
environment-related requirements could need specific
components in the architecture to be designed in D3
2.6
No environmental requirements were identified

in the SoW
N/A

WP
Assessment
3.2
This work package will integrate safety and

environmental objectives into the short term
improvements
Specific short-term improvements have been identified

to address Safety and Environmental aspects.
All initiatives have been evaluated against the associated
KPA.
There is no evidence that all the identified programmes
include producing an environment impact assessment.
4.1
This work package will provide the roles and

responsibilities elements of the SESAR
Implementation Phase for:
The Safety Management Plan.
The environment-related activities
T4.1.1 has addressed environmental aspects of

regulation as a subject in a general performance based
management of ATM.
Recommendation for subsequent SESAR milestones

Task 1.1.4 is continuing its activities during D3 and D4 and will check
how the operational and institutional aspects of the proposed SESAR
solution match the vision developed in D2, in order to identify the environmental actions to be populated in the SESAR ATM Master Plan.
Adopting a screening approach for environmental sustainability
aspects as recommended for safety could ensure that environmental
aspects are correctly covered and provide the input material for the following steps of the SESAR solution sustainability impact assessment
during D3 and D4.
Sustainability Impact Assessment

This section conforms to PART I /Section A/ of the Initial Impact
Assessment Screening. It is an augmented version of Annex I of
D1, enriched with strategic objectives produced during M2.
As agreed with the Purchaser, the template is filled progressively
at each milestone, so as to produce a completed Impact
Assessment by the end of the PD phase.
Problem analysis: What are the main problems identified?
Air Transport is recognised for its direct (e.g. 1.5 million jobs in
Europe in 2004), indirect (1.8 million jobs), and induced (0.8 million jobs), social benefits. Moreover, catalytic benefits of Air
Transport (effect on incomes, government finances, etc.) are estimated to amount to 6 times the direct benefits.
However, Air Transport is not sustainable under the current operating and societal conditions, according to the observed economic
performance of European airlines. Moreover, the traffic growth
forecast shows that the airport infrastructure in Europe will
become a major bottleneck if no additional runways are made
available. On the other hand there is a growing pressure put on Air
Transport to reduce its environmental impact, especially in the
vicinity of airports.
ATM is an actor of the value chain of Air Transport and as such,
can improve its own processes to contribute to the sustainability
of Air Transport by:
Acting on the efficiency of flights and optimizing the usage of

the bounded capacity of airspace and airport surface.
While mitigating the environmental impact of operations.
This ATM improvement will address all sectors of ATM, including
institutional, operational and technical aspects. A performancebased approach will be followed, starting from performance gap
identification and appropriate analysis of solutions. The ICAO performance framework will be used to ensure balancing performance areas, including capacity, cost efficiency and environment.
Objectives: What are the main objectives of the proposal?
According to the ICAO performance framework, the objectives are
specified for the 11 Key Performance Areas, grouped into:
Societal outcome: Safety, Security and Environmental
sustainability
Operational performance: Cost effectiveness, efficiency,
flexibility, predictability and capacity
Performance enablers: Access & equity, participation,
interoperability
The objectives are characterised by indicators that themselves
have targets assigned when possible. The targets are set from
various sources and refine the European Commission's (EC)
expectation for SESAR, expressed by EC Vice-President Jacques
Barrot: SESAR will deliver a future European Air Traffic
Management (ATM) System for 2020 and beyond which can, relative to today's performance, enable up to a 3-fold increase in air
traffic movements whilst reducing delays, improve the safety performance by a factor of 10, enable a 10% reduction in the effects
aircraft have on the environment and provide ATM services at a
cost to the airspace users which is at least 50% less.
Implementing an effective performance management process
based on the performance framework is an objective by itself. This
will lead to performance-based transition planning for the ATM
network, considering all areas of performance.
Objectives dealing with institutional aspects aim at drastically
reducing the complexity of the current institutional framework and
enabling efficient governance and decisionmaking mechanism
for the SESAR solution development and deployment.
December
2006
099
For any enquiries, please feel free to contact:

info@sesar-consortium.aero
and learn more by visiting our website at
www.sesar-consortium.aero.
www.sesar-consortium.aero
info@sesar-consortium.aero
The SESAR Definition Phase is funded

by the European Commissions TEN-T
Programme and EUROCONTROL.

DLM 0607 001 02 00aaa

Transféré par

Informations du document

Titre original

Copyright

Formats disponibles

Partager ce document

Partager ou intégrer le document

Options de partage

Avez-vous trouvé ce document utile ?

Ce contenu est-il inapproprié ?

Droits d'auteur :

Formats disponibles

DLM 0607 001 02 00aaa

Transféré par

Droits d'auteur :

Formats disponibles

SESAR Definition Phase - Deliverable 2

Air Transport Framework

DLM-0607-001-02-00a December 2006

Air Transport Framework

SESAR Definition Phase - Milestone Deliverable 2

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

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

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

4.2 Capacity ...........................................................................064

4.3 Efficiency & Predictability...................................................066

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

4.3.1 Airspace ..............................................................................066

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

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

2.3 Vision of Air Transport in 2020...........................................017

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

2.3.1 Market Development ............................................................017

2.4 Vision of the Future Management Framework

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

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

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

5.2 The Societal Expectations of ATM.......................................073

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

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

3.2.1 Background on ICAO Approach.............................................042

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

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

5.5.1 The ATM Institutional Framework - The Joint Undertaking ......076

3.4 Initial Indicative Strategic Design Performance Objectives

5.6 Subjects of Common Interest .............................................079

5.7 The Future Architecture of ATM..........................................081

5.8 The Role of the Human in ATM ..........................................082

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

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

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

Air Transport Framework

The SESAR Consortium joins the forces and expertise of 29 companies

SESAR Definition Phase - Milestone Deliverable 2

The second Deliverable, D2, has been produced in

Air Transport Framework

Air Transport - a continuously growing

Air Transport is a vital element of peoples lives around the world.

European Air Traffic Management System operating close to its limit

These market developments are challenged by two main factors:

SESAR - Key for Success

In response to the ATM challenge, the European Commission (EC)

ATM - SESAR Vision

The SESAR Milestone Deliverable D1 concluded that

The Performance Target

The Performance Framework

Four KPAs, directly linked to EC objectives and the achievement of

The ATM Performance Targets for 2020

The KPA targets represent initial indicative values (working

ATM performance covers a very broad spectrum of aspects, which

Air Transport Framework

Capacity - Traffic will grow.

Safety - Proactively manage safety

Environment - ATM will deliver its

Cost-Effectiveness Halve the total direct

The Performance Target

This Performance Framework provides a common basis to

are balancing general public and industry interests in a dynamic

The ATM Business Management Framework