Joint Planning and Development Office

Concept of Operations for the Next Generation Air Transportation System

DRAFT 5 Version 1.2

February 28, 2007

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Preface
The Joint Planning and Development Office (JPDO) is developing a Concept of Operations (CONOPS) for the Next Generation Air Transportation System (NextGen). The final version of the CONOPS will provide an overall, integrated view of NextGen operations in the 2025 timeframe, including key transformations from todays operations. The development of the CONOPS is an iterative and evolutionary process that will encompass the input and feedback of the aviation community. This is Version 1.2 of the document, which includes accepted comments resulting from an internal review and an expanded breadth of the NextGen concepts. The purpose of this document is to provide the aviation community with a view of the NextGen CONOPS and receive their comments for improvements. Details of the JPDO comment and review process can be found at the Tech Hanger at www.jpdo.aero. This document identifies key research and policy issues that need resolution to achieve national goals for air transportation. In many cases, this document presents aggressive concepts that have not been validated, but are envisioned to maximize benefits and flexibility for NextGen users. Many potential futures are possible, and much will depend on the insights gained by the evolution of the CONOPS. The research and policy issues referenced throughout the text appear in detail in Appendices D and E, respectively. They are referenced within each chapter as [R-#] or [P-#]. Comments directed at refining these research and policy issues are requested. The following page outlines the expected development chronology of the CONOPS.

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Document Revision Register

Version 0.1 Document Content Added Initial document that includes the major day-offlight air navigation elements that support operational activities of a flight moving from block to block Major comments from Version 0.1 review Major comments from Version 0.2 review Initial addition of remaining key NextGen concepts that support operations from curb to curb as well as planning and strategic support functions Revised Version 1.1, including air navigation and flight operation concepts as well as revised Executive Summary Major comments from Version 1.1/1.1a review Major comments from Version 1.1/1.1a/1.1b review Major comments from Version 1.2 review Operational scenarios, additional definitions, and previous comments not included in prior versions Major comments from Version 2.1 review Major comments from Version 2.2 review Additional versions developed as needed Reviewer JPDO Staff and Integrated Product Teams Aviation Stakeholder Community Submitted to JPDO Board for Approval JPDO Staff and Integrated Product Teams JPDO Staff and Integrated Product Teams Integrated Product Team Leads Aviation Stakeholder Community Submitted to JPDO Board for Approval JPDO Staff and Integrated Product Teams Aviation Stakeholder Community Submitted to JPDO Board for Approval TBD Release Date May 9, 2006

0.2 1.0 1.1

July 24, 2006 Unreleased November 14, 2006 December 6, 2006

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1.1b 1.2 2.0 2.1

January 29, 2007 February 28, 2007

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PREFACE.......................................................................................................................................I TABLE OF CONTENTS ...........................................................................................................III EXECUTIVE SUMMARY .......................................................................................................... 1 1 INTRODUCTION................................................................................................................ 1-1 1.1 BACKGROUND ................................................................................................................ 1-2 1.2 OVERVIEW OF THE NEXTGEN ........................................................................................ 1-4 1.2.1 NextGen Environment ...................................................................................... 1-5 1.2.2 Key Characteristics of the NextGen ................................................................. 1-7 1.3 AUDIENCE AND INTENDED USE .................................................................................... 1-10 1.4 DOCUMENT SCOPE AND ORGANIZATION ...................................................................... 1-12 2 AIR TRAFFIC MANAGEMENT OPERATIONS........................................................... 2-1 2.1 INTRODUCTION .............................................................................................................. 2-1 2.1.1 ATM Goals and Overall Framework ................................................................ 2-1 2.1.2 ATM Key Principles and Assumptions ............................................................ 2-7 2.1.3 Overall Organization of Chapter 2.................................................................... 2-8 2.2 CHANGES IN ROLES AND RESPONSIBILITIES ................................................................... 2-9 2.2.1 Benefits and Rationale .................................................................................... 2-10 2.2.2 Functional Task Allocation............................................................................. 2-11 2.2.3 Human-System Interactions............................................................................ 2-11 2.3 COLLABORATION FOR AIR TRAFFIC MANAGEMENT, AIRPORT, AND AIRSPACE OPERATIONS ......................................................................................................................... 2-12 2.3.1 Benefits and Rationale .................................................................................... 2-12 2.3.2 Collaborative Air Traffic Management .......................................................... 2-13 2.3.3 Collaboration on Airport Operations and Planning ........................................ 2-17 2.3.4 Collaboration on Airspace Operations for Security and Defense Needs........ 2-17 2.4 TRAJECTORY-BASED AIRSPACE AND OPERATIONS ...................................................... 2-17 2.4.1 Benefits and Rationale .................................................................................... 2-18 2.4.2 Definition and Attributes of 4DTs .................................................................. 2-19 2.4.3 Use of 4DTs for Integrated Trajectory-Based Operations.............................. 2-20 2.4.4 Trajectory Management Process..................................................................... 2-21 2.4.5 Separation Management Process .................................................................... 2-21 2.4.6 Trajectory-Based Procedures .......................................................................... 2-23 2.4.7 En Route and Cruise Trajectory-Based Operations ........................................ 2-24 2.4.8 Trajectory-Based Arrival and Departure Operations...................................... 2-25 2.5 CLASSIC AIRSPACE AND OPERATIONS ......................................................................... 2-27 2.5.1 Nonmanaged Airspace Operations ................................................................. 2-28 2.6 SURFACE AND TOWER OPERATIONS ............................................................................ 2-28

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TRANSFORMED FLIGHT OPERATIONS ........................................................................... 2-29 2.7.1 Benefits and Rationale .................................................................................... 2-31 2.7.2 Special Vehicle Operations............................................................................. 2-32 2.8 TRANSFORMATIONS IN AIR NAVIGATION SERVICE PROVIDER PROCESSES .................. 2-33 2.8.1 International Harmonization ........................................................................... 2-34 2.8.2 ANSP Personnel Management to Support NextGen ...................................... 2-35 2.8.3 Safety .............................................................................................................. 2-38 2.8.4 Security ........................................................................................................... 2-38 AIRPORT OPERATIONS AND INFRASTRUCTURE SERVICES............................. 3-1 3.1 INTRODUCTION .............................................................................................................. 3-1 3.1.1 Airports are a Diversified System..................................................................... 3-2 3.1.2 Catalysts for Airport Development Actions ..................................................... 3-4 3.2 KEY TRANSFORMATIONS ............................................................................................... 3-4 3.3 AIRPORT ENTERPRISE OPERATIONS ............................................................................... 3-8 3.3.1 Airside Operations ............................................................................................ 3-9 3.3.2 Passenger Terminal Operations ...................................................................... 3-12 3.4 AIRPORT ENTERPRISE SERVICES AND CAPABILITIES .................................................... 3-14 3.4.1 Passenger Flow Management ......................................................................... 3-14 3.4.2 Off-Site Passenger and Baggage Processing Enabled through Integrated Trip Tracking .......................................................................................................... 3-14 3.4.3 Airport System Planning Information Services .............................................. 3-15 3.5 AIRPORT MISSION SUPPORT ......................................................................................... 3-15 3.5.1 Airport Preservation........................................................................................ 3-15 3.5.2 Airport Mission, Management, and Finance................................................... 3-18 3.5.3 Airport Planning Processes are Efficient, Flexible, and Responsive.............. 3-20 3.5.4 Regional System Planning .............................................................................. 3-22 3.5.5 Optimize Airfield Design................................................................................ 3-24 3.5.6 Flexible Terminal Design ............................................................................... 3-26 NET-CENTRIC INFRASTRUCTURE SERVICES ........................................................ 4-1 4.1 INTRODUCTION .............................................................................................................. 4-1 4.1.1 Net-Centric Infrastructure Services for the Air Transportation System in the Year 2025.......................................................................................................... 4-1 4.2 KEY TRANSFORMATIONS ............................................................................................... 4-3 4.3 NETWORK-ENABLED INFORMATION SHARING SERVICES ............................................... 4-4 4.3.1 Ground Network Services................................................................................. 4-5 4.3.2 Air-Ground Network Services .......................................................................... 4-6 4.3.3 ANSP Facilities and Infrastructure Services..................................................... 4-6 4.3.4 Aircraft Data Communications Link ................................................................ 4-7
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4.3.5 Infrastructure Management Services/QoS ........................................................ 4-8 4.4 MISSION SUPPORT SERVICES ......................................................................................... 4-9 SHARED SITUATIONAL AWARENESS SERVICES .................................................. 5-1 5.1 INTRODUCTION .............................................................................................................. 5-1 5.2 KEY TRANSFORMATIONS OF SSA SERVICES .................................................................. 5-1 5.3 WEATHER INFORMATION SERVICES ............................................................................... 5-4 5.3.1 Introduction....................................................................................................... 5-4 5.3.2 Weather Information Operations ...................................................................... 5-5 5.3.3 Weather Information Enterprise Services......................................................... 5-7 5.4 ROBUST PNT SERVICES ................................................................................................. 5-9 5.4.1 Introduction....................................................................................................... 5-9 5.4.2 Positioning Services.......................................................................................... 5-9 5.4.3 Navigation Services .......................................................................................... 5-9 5.4.4 Timing Services ................................................................................................ 5-9 5.4.5 PNT Components.............................................................................................. 5-9 5.4.6 PNT Summary ................................................................................................ 5-10 5.5 SURVEILLANCE SERVICES ............................................................................................ 5-10 5.5.1 Introduction..................................................................................................... 5-10 5.5.2 Core Surveillance Services ............................................................................. 5-11 5.5.3 Surveillance Services Components................................................................. 5-11 5.6 FLIGHT PLAN FILING AND FLIGHT DATA MANAGEMENT SERVICES ............................. 5-13 5.7 FLOW STRATEGY AND TRAJECTORY IMPACT ANALYSIS SERVICES .............................. 5-14 5.8 AERONAUTICAL INFORMATION SERVICES .................................................................... 5-15 5.9 GEOSPATIAL INFORMATION SERVICES ......................................................................... 5-16 LAYERED, ADAPTIVE SECURITY SERVICES (ENTERPRISE OPERATIONS).. 6-1 6.1 INTRODUCTION .............................................................................................................. 6-1 6.1.1 NextGen Security Management and Collaborative Framework....................... 6-2 6.2 KEY TRANSFORMATIONS ............................................................................................... 6-3 6.3 IRM ENTERPRISE OPERATIONS ...................................................................................... 6-5 6.4 SECURITY ENTERPRISE SERVICES AND CAPABILITIES .................................................... 6-6 6.4.1 Service: Secure People...................................................................................... 6-6 6.4.2 Service: Secure Airports ................................................................................... 6-7 6.4.3 Service: Secure Checked Baggage.................................................................... 6-8 6.4.4 Service: Secure Cargo/Mail .............................................................................. 6-8 6.4.5 Service: Secure Airspace .................................................................................. 6-9 6.4.6 Service: Secure Aircraft.................................................................................. 6-10 ENVIRONMENTAL MANAGEMENT FRAMEWORK ............................................... 7-1 7.1 INTRODUCTION .............................................................................................................. 7-1

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KEY TRANSFORMATIONS ............................................................................................... 7-2 TRANSFORMED ENVIRONMENTAL OPERATIONS............................................................. 7-4 7.3.1 Transformed Aviation System EMSs ............................................................... 7-4 7.3.2 Transformed Airspace Environmental Operations ........................................... 7-5 7.3.3 Transformed Airport Planning and Operations................................................. 7-6 7.3.4 Transformed Aircraft Design and Technology ................................................. 7-7 7.4 ENVIRONMENTAL MANAGEMENT FRAMEWORK POLICIES AND CAPABILITIES ............... 7-7 7.4.1 Policy ................................................................................................................ 7-8 7.4.2 Operations Initiative.......................................................................................... 7-9 7.4.3 Analytical Tools.............................................................................................. 7-10 7.4.4 Technology ..................................................................................................... 7-11 7.4.5 Science/Metrics............................................................................................... 7-12 7.5 ENVIRONMENTAL MANAGEMENT FRAMEWORK SUPPORT ........................................... 7-12 SAFETY MANAGEMENT SERVICES ........................................................................... 8-1 8.1 INTRODUCTION .............................................................................................................. 8-1 8.2 KEY TRANSFORMATIONS ............................................................................................... 8-3 8.3 SAFETY MANAGEMENT ENTERPRISE OPERATIONS ........................................................ 8-4 8.3.1 National Aviation Safety Strategic Plan ........................................................... 8-5 8.3.2 Safety Improvement Culture............................................................................. 8-5 8.3.3 Safety Risk Management .................................................................................. 8-5 8.3.4 Safety Information Integration.......................................................................... 8-6 8.3.5 Enhanced Safety Assurance.............................................................................. 8-6 8.4 SAFETY MANAGEMENT ENTERPRISE SERVICES AND CAPABILITIES ............................... 8-7 8.4.1 Aviation Safety Strategic Plan Service ............................................................. 8-7 8.4.2 Safety Promotion Service ................................................................................. 8-7 8.4.3 Safety Risk Management Service ..................................................................... 8-7 8.4.4 Safety Information Integration Service............................................................. 8-8 8.4.5 Safety Assurance Service.................................................................................. 8-8 8.5 INTEGRATION OF SMS INTO NEXTGEN SERVICES .......................................................... 8-9 PERFORMANCE MANAGEMENT SERVICES............................................................ 9-1 9.1 INTRODUCTION .............................................................................................................. 9-1 9.2 KEY TRANSFORMATIONS ............................................................................................... 9-1 9.3 PERFORMANCE MANAGEMENT ENTERPRISE SERVICES .................................................. 9-2 9.3.1 Service 1: Operational Metric Monitoring........................................................ 9-3 9.3.2 Service 2: Aircraft On-Board Data Collection and Management..................... 9-3 9.3.3 Service 3: Aircraft-to-Aircraft Data Standards and Exchange; Operational Metric (e.g., Risk) Model.................................................................................. 9-3 9.3.4 Service 4: Aircraft-to-Ground Data Standards and Exchange.......................... 9-3
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9.3.5 Service 5: ANSP Management SoftwareIntegrated System Performance Models .............................................................................................................. 9-3 9.4 PERFORMANCE MANAGEMENT MISSION SUPPORT......................................................... 9-4 APPENDIX A: ACRONYMS .................................................................................................. A-1 APPENDIX B: GLOSSARY.................................................................................................... B-1 APPENDIX C: RESEARCH ISSUES..................................................................................... C-1 APPENDIX D: POLICY ISSUES ........................................................................................... D-1 APPENDIX E: REFERENCES ............................................................................................... E-1

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LIST OF FIGURES
Figure 1-1. The NextGen Operational View................................................................................ 1-1 Figure 1-2. Planning for a Range of Futures................................................................................ 1-6 Figure 2-1. Air Traffic Management Transformation.................................................................. 2-2 Figure 2-2. ATM DecisionsInteractive and Integrated Across Time Horizons....................... 2-4 Figure 2-3. Airspace Hierarchy.................................................................................................... 2-5 Figure 2-4. Relative Influence of ANSP and Aircraft/Pilot in ATM Decisions........................ 2-10 Figure 2-5. Collaborative ATM Among the ANSP and Operators ........................................... 2-13 Figure 2-6. Elements of a Four-Dimensional Trajectory........................................................... 2-19 Figure 2-7. Flow Corridors ........................................................................................................ 2-24 Figure 2-8. Super-Density Terminal Operations ....................................................................... 2-27 Figure 4-1. Aircraft Data Communications ................................................................................. 4-8 Figure 5-1. NextGen Weather Dissemination Foundation .......................................................... 5-7 Figure 6-1. Secure AirspaceSecurity Restricted Airspace (SRA) ......................................... 6-10 Figure 7-1. Environmental Process.............................................................................................. 7-8

LIST OF TABLES
Table 1-1. NextGen Goals and Objectives .................................................................................. 1-3 Table 2-1. Significant ATM Transformations ............................................................................. 2-6 Table 2-2. Summary of En Route and Oceanic Trajectory-Based Operations .......................... 2-25 Table 2-3. Arrival and Departure Procedures ............................................................................ 2-25 Table 2-4. Surface Operation Transformations ......................................................................... 2-28 Table 2-5. Flight Operator Roles ............................................................................................... 2-30 Table 2-6. Air Navigation Service Provider Roles .................................................................... 2-34 Table 2-7. Personnel Management Transformations ................................................................. 2-36 Table 3-1. Significant Airport Transformations .......................................................................... 3-5 Table 4-1. Significant Net-Centric Infrastructure Transformations ............................................ 4-3 Table 5-1. Significant SSA Transformations............................................................................... 5-2 Table 6-1. Significant Security Transformations......................................................................... 6-3 Table 7-1. Significant Environmental Transformations .............................................................. 7-2 Table 8-1. NextGen Mitigation Strategies to Reduce Risk.......................................................... 8-2 Table 8-2. Significant Safety Management Transformations ...................................................... 8-3 Table 9-1. Significant Performance Management Transformations............................................ 9-2

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Executive Summary

2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 The Concept of Operation (CONOPS) provides a common vision of how the Next Generation Air Transportation System (NextGen) will operate in the 2025 timeframe and beyond. Transformation is needed to achieve the overall goals of NextGen. This includes management of air traffic and airports to achieve greater safety and efficiency. Security functions will protect our airspace, people, and infrastructure. Environmental impacts from aviation will be managed for sustainability and for an overall improvement in environmental quality. The CONOPS forms a baseline that can be used to initiate a dialogue with the aviation stakeholder community to develop the policy agenda and encourage the research needed to achieve our national and global goals for air transportation. The NGATS Integrated Plan (2004) clearly defines the problem: The U.S. air transportation system as we know it is under significant stress. With demand in aircraft operations expected to grow up to three times (3X) through the 2025 timeframe, there are well-founded concerns that the current air transportation system will not be able to accommodate this growth. Antiquated systems are unable to process and provide flight information in real time, and current processes and procedures do not provide the flexibility needed to meet the growing demand. New security requirements are affecting the ability to efficiently move people and cargo. In addition, the growth in air transportation has provoked community concerns over aircraft noise, air quality, and congestion. In order to meet the need for increased capacity and efficiency while maintaining safety, new technologies and processes must be implemented. The goals for NextGen focus on significantly increasing the safety, security, and capacity of air transportation operations and thereby improving the overall economic well-being of the country. These benefits are achieved through a combination of new procedures and advances in the technology deployed to manage passenger, air cargo, general aviation (GA), and air traffic operations. The NGATS Vision Briefing (2005) identifies eight key capabilities needed to achieve these goals: Network-Enabled Information Access Performance-Based Services (now Performance-Based Operations and Services) Weather Assimilated into Decisionmaking Layered Adaptive Security Broad-Area Precision Navigation (now Position, Navigation and Timing Services [PNT]) Aircraft Trajectory-Based Operations Equivalent Visual Operations (EVO) Super Density Operations.

These transformations fundamentally change the approach to air transportation operations in 2025. Capacity and efficiency are increased with the transformation from clearance-based operations to trajectory-based operations (TBO), as required by demand and complexity.

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Advancements in aircraft capabilities allow for reduced separation and support the transition from rules-based operations to performance-based operations. Controller workload is no longer a limiting factor because of tools and automation, which provide expanded information and improved decision-making capabilities. In addition, the transition of separation responsibility from the controller to the flight crew in some areas allows controllers to focus on overall flow management instead of individual flight management. Increased levels of service and dynamic resource management will enable the NextGen to meet demand rather than constrain demand to meet available resources. Airports are the nexus of many of the NextGen transformation elements, including air traffic management (ATM), security, and environmental goals. Accordingly, the sustainability and advancement of the airport system is critical to the growth of the nations air transportation system. Airports form a diverse system that serves many aviation operators and communities with different needs. Airport operators include a mix of private and local government/public entities that are responsible for aligning their activities with NextGen goals. New technology and procedures will improve access to airports, enabling better utilization of existing infrastructure and currently underutilized airports. The sustainability of existing airports will be enhanced with a preservation program to enhance community support and protect against encroachment of incompatible land uses and impacts to airport protection surfaces. Finally, new airport infrastructure will be developed using a comprehensive planning architecture that integrates facility planning, finance, regional system planning, and environmental activities to enable a more efficient, flexible, and responsive system that is balanced with NextGen goals. At the heart of the NextGen concept is the information-sharing component known as net-centric infrastructure services or net-centricity. Its features allow the NextGen to adapt to growth in operations as well as shifts in demand, making NextGen a scalable system. Net-centricity also provides the foundation for robust, efficient, secure, and timely transport of information to a broad community of users and individual subscribers. This results in a system that minimizes duplication, achieves integration, and facilitates the concepts of distributed decisionmaking by ensuring that all decision elements have exactly the same information upon which to base a decision, independent of when or where the decision is made. The net-centricity component binds NextGen operational and enterprise services together, thereby creating a cohesive link. Enterprise services provide users with a common picture of operational information necessary to perform required functions. The suite of enterprise services includes shared situational awareness (SSA), security, environment, and safety. SSA services offer a suite of tools and information designed to provide NextGen participants with real-time aeronautical and geospatial information that is communicated and interpreted between machines without the need for human intervention. A reliable, common weather picture provides data and automatic updates to a wide range of users, aiding optimal air transportation decision-making. PNT services reduce dependence on costly ground-based navigation aids (NAVAID) by providing users with current location and any corrections, such as course, orientation, and speed, that are necessary to achieve the desired destination. Real-time air situational awareness is provided by integrating cooperative and noncooperative surveillance data from all air vehicles.

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Security services are provided by a risk-informed security system that depends on multiple technologies, policies, and procedures adaptively scaled and arranged to defeat a given threat. New technologies and procedures aid in passenger screening and checkpoint responsibilities. Baggage screening improvements include integrated chemical, biological, radiological, and nuclear explosives (CBRNE) detection and sensor fusion systems ranging in size for increased portability and remote screening. Environmental interests are proactively addressed through the development and implementation of an integrated Environmental Management System (EMS). Technologies are incorporated before and during operations to enable optimized route selection, landing, and take-off procedures based on a range of data feeds including noise, air emission, fuel burn, cost, and route efficiency. At airports, a flexible, systematic approach is developed to identify and manage environmental resources that are critical to sustainable growth. Environmental considerations continue to be incorporated into aircraft design to proactively address issues including noise reduction and aircraft engine emissions. Aviation safety is steadily improved to accommodate the anticipated growth in air traffic while the number of accidents is decreased through an integrated Safety Management System (SMS). A national safety aviation policy is established and formalizes safety requirements for all NextGen participants. The safety improvement culture is encouraged by management and utilizes nonreprisal reporting systems. Safety assurance focuses on a holistic view of operators processes and procedures rather than the individual pieces of the system. Modeling, simulation, data analysis, and data sharing are utilized in prognostic assessments to improve safety risk management. Data from the above services are used to provide real-time system-level risk assessments and operational impact reviews to evaluate the performance, system safety, and security of NextGen via the performance management service. Real-time, onboard data are monitored and shared to evaluate and manage individual aircraft risk. Safety compliance is monitored through networkenabled data gathering, which collects interaircraft and pilot-to-pilot performance data. This enhanced monitoring of operational characteristics facilitates the integration of instantaneous system performance metrics into system management decisions. NextGen is a complex system with many public and private sector stakeholders that must smoothly, promptly, and capably integrate with the changes in the global air transportation system. National defense, homeland security, ATM, commercial and GA operators, and airports work together to support passenger, cargo, recreational, and military flights. Through a netcentric infrastructure, enterprise services provide users with a common picture of operational information necessary to perform required functions. These integrated capabilities of NextGen will provide the capacity required to meet the nations need for air travel in the most effective, efficient, safe, and secure manner possible.

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Introduction

The concepts presented in this document provide an operational view of the Next Generation Air Transportation System (NextGen) in terms of how air traffic and airports are managed, how security is provided to protect our airspace and people, how goals for protecting and enhancing our environment are achieved, and how processes in government and in civil organizations provide increased safety and efficiency. Figure 1-1. The NextGen Operational View

127 128 129 130 131 132 133 134 135 136 137 138 139 The air transportation system is a complex global system with many public and private sector stakeholders. The system includes national defense, homeland security, air traffic management (ATM), commercial and general aviation (GA) operators, and airports that support passenger, cargo, recreational, and military flights. NextGen integrates national defense and civilian capabilities to provide services to both civil and military users that are harmonized on a global scale. The integrated capabilities of NextGen provide the capacity needed to meet the nations need for an air transportation system in the most effective, efficient, safe, and secure manner possible. Figure 1-1 provides an overall operational view of the environment supported by NextGen. This document forms a baseline that can be used to initiate a dialogue with the aviation stakeholder community to develop the policy agenda and encourage the research needed to achieve national and global goals for air transportation. As such, this document not only provides

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an operational view of air transportation in the future but also highlights key research and policy issues.

1.1 BACKGROUND
A mandate for the design and deployment of an air transportation system to meet the nations needs in 2025 was established in the Vision-100 legislation (Public Law #108-176) signed by President Bush in December 2003. The legislation also established the Joint Planning and Development Office (JPDO) to carry out this mission. This document is a product of the JPDO and describes the The U.S. aviation system must operational concept for the NextGen as envisioned in transform itself and be more 2025. responsive to the tremendous social, The JPDO is a joint initiative of the Department of Transportation (DOT), Department of Defense (DoD), Department of Commerce (DOC), Department of Homeland Security (DHS), National Aeronautics and Space Administration (NASA), and Office of Science and Technology Policy (OSTP) in the White House. In addition to these government agencies, the JPDO includes the NGATS Institute, which provides access to the knowledge and skills of many in the private aviation stakeholder communities, enabling a two-way communication process between the Government and the private sector.
economic, political, and technological changes that are evolving worldwide. We are entering a critical era in air transportation, in which we must either find better, proactive ways to work together or suffer the consequences of [losing] $30B annually due to people and products not reaching their destinations within the time periods we expect today. -- NGATS Integrated Plan, 2004

The air transportation system transformation is motivated by the need for aviation to grow and continue to serve the nation and international community while responding to tremendous social, economic, political, and technological changes worldwide. During the next two decades, demand will increase, creating a need for a system that (1) can provide two to three times the current air vehicle operations; (2) is agile enough to accommodate a changing fleet that includes very light jets (VLJ), unmanned aircraft systems (UAS), and space vehicles; (3) addresses security and national defense requirements; and (4) can ensure that aviation remains an economically viable industry. The NGATS Integrated Plan (2004) recognizes these national needs and identifies 6 national and international goals and 19 objectives for the NextGen (see Table 1-1). Separately, each goal represents an ambitious agenda. Meeting these goals and objectives requires a transformation that embraces new concepts, technologies, networks, policies, and business models. In 2005, the JPDO developed a high-level vision to communicate the key operating principles and characteristics of the NextGen. This vision emphasizes a shift in how information is accessed, allowing those who use the air transportation system to have more direct access to information affecting their operations. The intent of this CONOPS is to describe a system that meets these national goals.

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Table 1-1. NextGen Goals and Objectives

Retain U.S. Leadership in Global Aviation Retain role as world leader in aviation Reduce costs of aviation Enable services tailored to traveler and shipper needs Encourage performance-based, harmonized global standards for U.S. products and services Ensure Safety Maintain aviations record as safest mode of transportation Improve the level of safety of the U.S. air transportation system Increase safety of worldwide air transportation system Expand Capacity Satisfy future growth in demand and operational diversity Reduce transit time and increase predictability Minimize the impact of weather and other disruptions

Protect the Environment Reduce noise, emissions, and fuel consumption Balance aviations environmental impacts with other societal objectives

Ensure Our National Defense Provide for the common defense while minimizing civilian constraints Coordinate a national response to threats Ensure global access to civilian airspace

Secure the Nation Mitigate new and varied threats Ensure security efficiently serves demand Tailor strategies to threats, balancing costs and privacy issues Ensure traveler and shipper confidence in system security

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The role of the JPDO is to establish how to transform the air transportation system. Part of this transformation involves integrating and reshaping capabilities across all aspects of air transportation so that the entire system operates as an interconnected structure. In many cases, this operational concept builds on visionary material that captures the aviation communitys goals for different aspects of transportation. For ATM, many of the concepts build on the National Airspace System (NAS) Concept of Operations and Vision for the Future of Aviation (RTCA 2002) and the International Civil Aviation Organizations (ICAO) Global ATM Operational Concept, which represents a globally harmonized set of concepts for the future. Additional foundational and related conceptual documents will be referenced in future versions of this document.

A point of departure for NextGen is its scope. NextGen encompasses all air transportation, not just ATM. In addition to technological innovation, NextGen emphasizes changes in organizational structure, processes, strategies, policies, and business practice, including shifts in government and private sector roles that are required to fully exploit new technology.

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1.2 OVERVIEW OF THE NEXTGEN

The goal of NextGen is to significantly increase the safety, security, capacity, efficiency, and environmental compatibility of air transportation operations; and by doing so, to improve the overall economic well-being of the country. These benefits can be achieved through a combination of new procedures and advances in the technology deployed to manage passenger, air cargo, and air traffic operations. The NGATS Vision briefing (2005) identifies eight key capabilities that will help achieve these goals: Network-Enabled Information Access. Through network-enabled information access, information is available, securable, and usable in real time for different COIs and air transportation domains. This greater accessibility enables greater distribution of decision-making and improves the speed, efficiency, and quality of decisions and decision-making. Information can be automatically provided to users with a known need and be available to users not previously identified as new needs arise. Information access improves operational decisions, enabling system operators and users to make use of risk management practices to enhance safety. Cooperative surveillance for civil aircraft operations, where aircraft constantly transmit their position, will be used with a separate sensor-based noncooperative surveillance system as part of an integrated federal surveillance approach. Performance-Based Operations and Services. Performance-based operations provide a foundational transformation of the NextGen. Regulations and procedural requirements are described in performance terms rather than in terms of specific technology or equipment. The performance-based definition and delivery of services and levels of service will encourage private sector innovation and enable efficiencies throughout the NextGen. In situations involving high demand such as congested airspaces as well as in special situations such as those involving natural disasters or law enforcement, minimum performance levels may be required to maximize capacity during specific hours. Service providers can use service tiers to create guarantees for different performance levels so that users can make the appropriate tradeoffs between investments and level of service desired to best suit their needs. A benefit of performance-based operations and services is that service providers can define capability improvements in terms of users existing equipage, thus potentially maximizing the value of the service providers and users investment. Weather Assimilated into Decision-Making. By assimilating weather into decision-making, weather information becomes an enabler for optimizing NextGen operations. Directly applying probabilistic weather information into ATM decision tools increases the effective use of weather information and minimizes the adverse effects of weather on operations. Layered Adaptive Security. Through layered adaptive security, the security system is constructed of layers of defense (including techniques, tools, sensors, processes, information, and so forth) that help reduce the overall risk of a threat
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reaching its objective while minimally affecting efficient operations. Layered security is additive; failures in any one component will not have a catastrophic effect on other components. For that reason, the system can handle attacks and incidents with minimal overall disruption. Layered, adaptive security adjusts the deployment of security assets in response to the changing profile of risks; responses to anomalies and incidents are proportional to the assessed risk of involved individuals or cargo. Positioning, Navigation, and Timing Services. PNT Services are provided where and when needed, in accordance with demand and safety considerations, to enable reliable aircraft operations in nearly all conditions. Instead of being driven by geographic constraints, PNT Services allow operators to define the desired flight path based on their own objectives. Aircraft Trajectory-Based Operations (TBO). The basis for TBO is each aircrafts expected flight profile and time information (such as departure and arrival times). The specificity of four-dimensional trajectories (4DT) matches the mode of operations and the requirements of the airspace in which an aircraft operates. A major benefit of 4DT is the ability to assess the effects of proposed trajectories and resource allocation plans, allowing both service providers and operators to understand the implications of demand and identify where constraints need further mitigation. Equivalent Visual Operations. Improved information availability allows aircraft to conduct operations without regard for visibility or direct visual observation. For aircraft, this capability, in combination with positioning, navigation, and timing, enables increased accessibility, both on the airport surface and during arrival and departure operations. This capability also enables those providing services at airports (such as ATM or other ramp services) to provide services in all visibility conditions, leading to more predictable and efficient operations. Super-Density Operations. With increasing demand, an even greater need exists to achieve peak throughput performance at the busiest airports and in the busiest airspace. New procedures to improve airport surface movements, reduce spacing and separation requirements in place today, and better manage overall flows in and out of busy metropolitan airspace provide maximum use of the highestdemand airports. Airport terminals also maximize efficiency of egress and ingress, matching passenger and cargo flow to airside throughput while maintaining safety and security levels.

These eight capabilities support the NextGen operational concept. Although not detailed separately, they are incorporated in the concepts described in the following sections. 1.2.1 NextGen Environment In the NextGen timeframe, demand for air transportation and other airspace services is expected to grow significantly from todays levels in terms of passenger volume, amount of cargo shipped, and overall number of flights. With respect to air traffic, changes will occur not only in the

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number of flights but also in the characteristics of those flights. Figure 1-2 illustrates some of the potential variations in demand characteristics. For example, a range in the potential increase of passengers exists. This range, combined with a potential range in the distribution of passengers to aircraft, may result in a wide range in the number of flights in the NextGen. The NextGen, thus, must be flexible enough to manage variations in number of passengers, types of aircraft flown, and overall number of flights. Figure 1-2. Planning for a Range of Futures
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In the NextGen, aircraft are expected to have a wider range of capabilities than today and support varying levels of total system performance via onboard capabilities and associated crew training. Many aircraft will have the ability to perform airborne self-separation, spacing, and merging tasks and precisely navigate and execute 4DTs. Along with navigation accuracy, aircraft will have varying levels of cooperative surveillance performance via transmission and receipt of cooperative surveillance information. In terms of flight operational performance, a wider range of capabilities regarding cruise speed, cruise altitudes, turn rates, climb and descent rates, stall speeds, noise, and emissions will exist. Aircraft without a resident pilot (e.g., UAS) will operate among regular aircraft, and domestic supersonic cruise operations will also be more prevalent. Aircraft operators are also expected to have a diverse range of capabilities and operating modes. Many operators will have sophisticated flight planning and fleet planning capabilities to manage their operations. Operating modes include all of todays modes, such as traditional hub/spoke operations, point-to-point flights, military/civil training, and recreational flying. Operational demand may vary among highly structured flights (e.g., todays air carrier, cargo, or operators), irregularly scheduled flights with frequent trips to regular destinations with variable dates and times (e.g., air taxi operators or business operators with regular customers), and unscheduled, itinerant flights driven by individual events (e.g., lifeguard flights, personal trips, and law enforcement missions). In addition, new types of operations are expected, including UAS that perform a wide variety of missions (e.g., sensor platforms and cargo delivery) and more frequent commercial space vehicle operations (e.g., suborbital flights to low-earth orbit payload delivery

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and return missions). Commercial space transport operations are also expected to grow overall, increasing pressures to efficiently balance competing needs for airspace access and efficiency. Overall, the NextGen is expected to accommodate up to three times todays traffic levels with broader aircraft performance envelopes and more operators operating within the same airspace, increasing the complexity and coordination requirements when traffic management is required. The key NextGen capabilities described in Section 1.2 will be critical in meeting the NextGen goals. Aircraft noise and local air quality emission concerns remain strong (and growing) constraints on system capacity, requiring collaboration among airport operators, the local communities surrounding the airports, and aircraft manufacturers. Other environmental concerns that capabilities in the NextGen address include local air quality and water contamination. Other capabilities and procedures are in place to respond to broader climate change concerns. 1.2.2 Key Characteristics of the NextGen To meet the goals and objectives described above, the NextGen vision involves a transformed air transportation system that allows all communities to participate in the global marketplace, provides services tailored to individual customer needs and capabilities, and seamlessly integrates civil and military operations. The following paragraphs describe some of the significant NextGen characteristics. 1.2.2.1 User Focus A major theme of the NextGen is an emphasis on providing more flexibility and information to users while reducing the need for government intervention and control of resources. The NextGen enables operational and market freedom through greater situational awareness and data accessibility, and it aligns government structures, processes, strategies, and business practices with customer needs. The provision of multiple service levels will permit a wider range of tailored services to better meet individual user needs and investment choices. With a focus on users, the NextGen is also more agile in responding to user needs. Capacity is expanded to meet demand by investing in new infrastructure, shifting NextGen resources (e.g., airspace structures and other assets) to meet demand, implementing more efficient procedures (e.g., reducing separation between aircraft to safely increase airport throughput), and minimizing the effects of constraints, such as weather, on overall system capacity. The system will be nimble enough to adjust cost effectively to varying levels of demand, allowing more creative sharing of airspace capacity for law enforcement, military, commercial, and GA users. Restrictions on access to NextGen resources are limited in both extent and time duration to those required to address a safety or security need. 1.2.2.2 Distributed Decision-Making To the maximum extent possible, decisions are made at the local level with an awareness of system-wide implications in the NextGen. This includes, to a greater extent than ever before, an increased level of decision-making by the flight crew and Flight Operations Centers (FOC). Stakeholder decisions are supported through access to a rich information exchange environment

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and a transformed Collaborative Decisionmaking (CDM) process that allows wide access to information by all parties (whether airborne or on the ground), while recognizing privacy and security constraints. Information is timely, relevant, accurate, quality assured, and within established security procedures. Decisionmakers have the ability to request information when they need it, publish information as appropriate, and use subscription services to automatically receive desired information. This information environment will enable more timely access to information and increased situational awareness while providing consistency of information among decisionmakers. Because decisionmakers will have more information about relevant issues, decisions can be made more quickly, required lead times for implementation can be reduced, responses can be more specific, and solutions can be more flexible to change. To ensure locally developed solutions do not conflict, decisionmakers are guided by National Airspace System (NAS)-wide objectives and test solutions to identify interference and conflicts with other initiatives. Decisionmaking reverts to higher authority only when the conflict cannot be resolved. 1.2.2.3 Integrated Safety Management System The NextGen ensures safety through use of an integrated SMS approach for identifying and managing potential problems in a system, organization, or operation. Specifically, NextGen uses a formal, top-down, businesslike approach to manage safety risk, which includes systematic procedures, practices, and policies for safety management, including Safety Policy. Defines how the organization will manage safety as an integral part of its operations, and establishes SMS requirements, responsibilities, and accountabilities Safety Risk Management (SRM). The formal process within the SMS composed of describing the system, identifying the hazards, assessing the risk, analyzing the risk, and controlling the risk; the SRM process is embedded in the processes used to provide the product or serviceit is not a separate process Safety Assurance. SMS process management functions that systematically ensure organizational products or services meet or exceed safety requirements; includes the processes used to ensure safety, including audits, evaluations and inspections, and data tracking and analysis Safety Promotion. Training, communication, and dissemination of safety information to strengthen the safety culture and support integration of the SMS into operations.

1.2.2.4 Internationally Harmonized The ATM system is globally harmonized through collaborative development and implementation of identified best practices in both standards and procedures. International harmonization also requires advocating for the highest operational standards for aircraft operators and Air Navigation Service Providers (ANSP) to ensure the safest global air transportation system. ICAO Planning and Implementation Regional Groups (PIRG) or multilateral agreements coordinate planning and implementation of NextGen transformations to harmonize the application of technology and procedures. This harmonization allows airspace users to realize the maximum benefits of the NextGen transformations.
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1.2.2.5 Taking Advantage of Human and Automation Capabilities The NextGen capitalizes on human and automation capabilities to increase airspace capacity, improve aviation safety, and enhance operational efficiency. This capitalization is based on building processes and systems that help humans do what they do bestchoose alternatives and make decisionsand helping automation functions accomplish what they do bestacquire, compile, monitor, evaluate, and exchange information. Research and analysis will determine the appropriate functional allocation of tasks among ANSP, flight operators, and automation. It will determine when Decision Support Tools (DST) are necessary to support humans (e.g., identifying conflicts and recommending solutions for pilot approval) and when functions should be completely automated without human intervention. 1.2.2.6 Weather Operations In the NextGen environment, weather information is no longer viewed as separate data viewed on a stand-alone display. Instead, weather information is integrated with and supports NextGen decision-oriented automation and human decisionmaking processes. A common weather picture is used by all stakeholders. This common picture facilitates improved communications and information sharing. NextGen weather data are translated into information directly relevant to NextGen users and service providers, such as the likelihood of flight deviation, airspace permeability, and capacity. Flight trajectory plans are developed with an increased understanding of the potential severity and probability of potential weather hazards. As a result, less airspace is constrained because of weather. Operators of aircraft equipped with capabilities to mitigate the effects of weather may chose to tactically fly through certain weather-impacted areas. Decision support systems directly incorporate weather data and bypass the need for human interpretation, allowing decisionmakers to determine the best response to weathers potential operational effects (both tactical and strategic) and minimizing the level of traffic restrictions. This integration of weather information, combined with the use of probabilistic forecasts to address weather uncertainty and improved forecast accuracy, minimizes the effects of weather on NextGen operations. 1.2.2.7 Environmental Management Framework Environmental management is performed in the context of the NextGen objectives. Capacity increases will be consistent with environmental protection goals. New technology, procedures, and policies in the NextGen minimize significant effects from noise, local emissions, and water contamination. NextGen environmental compatibility is achieved through a combination of improvements in aircraft design, aircraft performance and operational procedures, land use around airports, and policies and incentives to accelerate technology introduction into the fleet. In the NextGen, policy and financial incentives are used to accelerate the introduction of environmental technology improvements in aircraft. Intelligent flight planning and improved flight management capabilities, including the use of real-time forecasts of noise propagation, dispersion of pollutants, and sensitive areas of the upper atmosphere, enable more fuel-efficient profiles throughout the flight envelope as well as reduced noise and pollution impacts through the entire flight trajectory. Reinvigorated research and development and refined technology implementation strategiesbalancing near-term technology development and maturity needs

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with long-term cutting-edge researchhelp aircraft keep pace with changing environmental requirements. 1.2.2.8 Robustness and Resiliency Overall, the NextGen is more resilient in responding to failures and disruptions and includes contingency measures to provide maximum continuity of service, including business continuity, in the face of major outages, natural disasters, security threats, or other unusual circumstances. Moreover, the increased reliance on automation is coupled with fail-safe modes that do not require full reliance on human cognition as a backup for automation failures. Because individual systems and system components can fail, the NextGen maintains a balance of reliability, redundancy, and procedural backups. It provides a system that not only has high availability but also requires minimal time to restore failed functionality. 1.2.2.9 Scalability The NextGen is adaptable to meet the changes in traffic load and demand that occur every day. Its capabilities provide an overall system design that can handle a wide range of operations and modes of operation. Increased use of automation, reduced separation standards, super-density operations, and additional runways allow busy airports to move a large number of aircraft through the terminal airspace during peak traffic periods. Each of these features contributes to an environment that supports growth in operations. New capabilities, such as virtual towers, enable the cost-effective expansion of services to a significantly larger number of airports than is possible with traditional methods of service delivery. As a result of its scalability, the NextGen is able to adapt both up and down with changes in demand, even when the changes in demand are not predicted.

1.3 AUDIENCE AND INTENDED USE

This document addresses aviation stakeholders and invites them to help develop the policy agenda, identify the research needed to achieve the NextGen operational concept and goals, and ensure global harmonization. Initially, this document will be updated annually as research, implementation, models, policy, budget realities, and other findings are assessed and as further dialogue helps refine common goals and priorities. This document also serves as the official record and repository for operational concept insights that emerge from the in-progress national debate on the scope, characteristics, and capabilities of NextGen. This operational concept is part of the overall NextGen Enterprise Architecture, and it will help in the formulation of roadmaps and research recommendations to improve overall intergovernmental collaboration in achieving national goals for air transportation. This document, along with other engineering artifacts, also provides the basis for deriving top-level requirements. The list of key stakeholders includes Airport Communities. Cities and towns located in the vicinity of airports that have a vested interest in and are affected by the operation of the airport

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Airport Operators. Organizations and people responsible for enabling passenger, flight and cargo operations conducted within an airport with consideration for safety, efficiency, resource limitations, and local environmental issues Airport Tenants. Organizations and people who offer services at an airport, such as fueling and maintenance services or catering services Air Navigation Service Providers. Organizations and people engaged in the provision of ATM and Air Traffic Control (ATC) services for flight operators for the purpose of safe and efficient flight operations; ATM responsibilities include Communications, Navigation and Surveillance (CNS) and ATM facility planning, investment and implementation, procedure development, training, and ongoing system operation and maintenance of seamless CNS/ATM services; includes ANSP personnel and ANSP automation Customers. Individuals and organizations, including government and military, using the NextGen for personal or business transportation or to transport cargo Flight Operators. Individuals and organizations responsible for planning and operating a flight within the NextGen, including flight crews (on the aircraft or controlling it remotely) and flight FOC personnel; flight operators include personal, business, commercial aviation, and commercial organizations, as well as government and military organizations Manufacturers. Organizations and people who manufacture equipment for flight operators, ANSPs, security and defense providers, and so forth; this includes the manufacture of airframes, aircraft engines, avionics, and other aircraft systems and parts, as well as decision support systems and other systems used in the NextGen Owners. Organizations and people responsible for making investment decisions related to the development and implementation of NextGen and its associated capabilities Regulatory Authorities. Organizations and people responsible for certain aspects of the overall performance of the aviation industry, including aviation safety, environmental effects, and international trade; regulatory authorities include aviation safety regulators, certification authorities, standardization organizations, environmental regulators, and accident/incident authorities Researchers. Organizations and people engaged in conducting research and development activities that support the evolution of the air transportation system; this includes academia and government organizations Security and Defense Providers. Organizations and people responsible for national and homeland defense, homeland security, law enforcement, information security, and physical and operational security of the NextGen Weather Service Providers. Organizations and people engaged in the provision of aviation weather information products.

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1.4 DOCUMENT SCOPE AND ORGANIZATION

This document describes the operational concepts for the NextGen in the 2025 timeframe. The document is organized into the following chapters. Of note, the research and policy issues are referenced within each chapter as [R-#] and [P-#] and then detailed in Appendices D and E, respectively. Chapter 2. This chapter provides a description of Air Traffic Management Operations within NextGen, including interactions among the ANSP and operators. Chapter 3. This chapter provides a detailed overview of the Airport Operations and Infrastructure Services that address the activities surrounding the airport. Chapter 4. This chapter addresses Net-Centric Infrastructure Services that enable the NextGen enterprise services. Chapter 5. This chapter provides an initial overview of specific Shared Situational Awareness Services that support the ATM-related NextGen concepts. Chapter 6. This chapter provides a detailed perspective of Layered Adaptive Security Services within NextGen. Chapter 7. This chapter enumerates environmental concerns in the Environmental Management Framework. Chapter 8. This chapter addresses the Safety Management Services woven into the NextGen, including risk management efforts. Chapter 9. This chapter speaks to the concept of Performance Management Services, near-real time system performance assessment for system performance management.

Included in this document are the following appendices, which contain supplemental information for the reader: Appendix A. This appendix provides a list of acronyms used in this document. Appendix B. This appendix provides a glossary of terms. Appendix C. This appendix provides a list of the research issues. Appendix D. This appendix provides a list of the policy issues. Appendix E. This appendix provides a list of references used to create this document.

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Air Traffic Management Operations

Air Traffic Management (ATM) is the dynamic, integrated management of air traffic and airspacesafely, economically, and efficientlythrough the cost-effective provision of facilities and seamless services in collaboration with all parties. In the NextGen timeframe, ATM evolves into an agile, robust, and responsive set of operations that can keep pace with the growing needs of an increasingly complex and diverse set of air transportation system users. 2.1.1 ATM Goals and Overall Framework The three major goals for ATM in the NextGen are as follows: Meet the diverse operational objectives of all airspace users (commercial, general aviation, state, and military) and accommodate a broader range of aircraft capabilities and performance characteristics Meet the needs of flight operators and other NextGen stakeholders for access, efficiency, and predictability in executing their operations and missions Be fundamentally safe, secure, of sufficient capacity, environmentally acceptable, and affordable for both flight operators and service providers.

Todays ATM system usually performs well, but it is susceptible to disturbances and is reaching its capacity limits. The NextGen ATM system needs to be scalable so that it can respond quickly and efficiently to increases in demand, and flexible so it can respond to changes in fleet mixes, and in operational constraints, such as weather. The overall philosophy driving the delivery of ATM services in the NextGen is to accommodate flight operator preferences to the maximum extent possible and to impose restrictions only when a real operational need exists, to meet capacity, safety, security, or environmental constraints. In other words, the ATM system adjusts airspace and other assets to satisfy forecast demand, rather than constraining demand to match available assets. Transformation of the ATM system in the NextGen is necessary because of the inherent limitations of todays system, including limits driven by human cognitive processes and verbal communications. The NextGen ATM system designs in provisions to achieve safety, capacity, security, and environmental goals enabling these objectives to complement rather than compete with one another. Safety, capacity, security, and environmental requirements are integrated into all aspects of the ATM system, including operations, decision-support, automation, procedures, and airspace design.

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2.1.1.1 The NextGen ATM Framework To achieve these goals, a number of transformations are needed that fundamentally change how ATM is performed in the NextGen timeframe (see Figure 2-1). To respond to increases in demand and the overall complexity of operations, the roles and responsibilities of people evolve. Automation is used to a greater extent to manage complexity and expand the information that is available; individual roles migrate to more strategic management and decision-making. As part of this shift of roles, the flight crew is more integrated into traffic management, leveraging onboard aircraft capabilities to achieve a scalable system design. Figure 2-1. Air Traffic Management Transformation

582 583 584 585 586 587 588 589 590 591 592 593 594 595 Collaborative Air Traffic Management. With the increase and diversification in the number of flight operatorseach possessing a unique operating needand the increased importance and impact of other airspace uses, Collaborative Air Traffic Management (C-ATM) mechanisms support a diverse set of participants, having common awareness of overall constraints and the impacts of individual and system-wide decisions. Decision-making among these participants significantly improves in this C-ATM environment, which builds on automation tools and system-wide information exchange capabilities enabling participants to better understand the prevailing constraints, short- and long-term affect of decisions, and interdependence between national and local operations. Use of advanced automation to manage information across all phases of flight and contingency planning also results in a system that is more agile in responding to changes in environment or demand. Trajectory-Based Operations and Trajectory-Based Separation Management. Perhaps the most fundamental requirement of NextGen is to safely accommodate significantly increased traffic,
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and to do this in airspace that is already congested, such as between heavily traveled city pairs (e.g., Washington and Chicago) and near the busiest airports. This requirement leads to a transformation in high-density airspace to Trajectory-Based Operations (TBO), in which precise management of an aircrafts current and future position enables major increases in ATM throughput. This trajectory prediction capability facilitates separation assurance in this airspace, as well as delegating separation to capable aircraft for some operations, further improving efficiency and throughput. Within TBO, peak demand at the busiest airports is accommodated with Super-Density Operations, in which advanced aircraft and air navigation service provider (ANSP) capabilities support optimized runway throughput. Using TBO and probabilistic decision-making for weather events, entire flows of aircraft and individual trajectories can be dynamically adjusted to take advantage of opportunities and avoid constraints safely and efficiently. These operations replace the broad, static directives that are characteristic of todays operations. Digital data exchange of trajectories becomes the primary mode of communication between the ANSP and flight operators, replacing verbal delivery of clearances. TBOs are applied to parts of en route, oceanic, and arrival/departure 1 airspace, as well as some surface operations. ATM Service Delivery. TBO transforms ATM service delivery, with four main functions as shown in Figure 2-2. Each of these TBO-enabled functions involves a level of collaboration among the ANSP and flight operators and supports integrated decision-making between the functions: Capacity Management (CM) is the design and configuration of airspace and the allocation of other NAS resources. CM is the preferred means of responding to dynamic forecast demandresources and performance-based services are matched with the expected demand (see Section 2.3.2.1). Flow Contingency Management (FCM) comprises strategic flow initiatives addressing large demand/capacity imbalances within CM plans resulting from severe weather or airspace restrictions. FCM ensures the efficient management of major flows of traffic while minimizing the impact on other operations (see Section 2.3.2.2). Trajectory Management (TM) is the adjustment of individual aircraft within a flow to provide efficient trajectories, manage complexity, and ensure conflicts can be safely resolved (see Sections 2.4.4 and 2.5). Separation Management (SM) is the provision of separation between aircraft. SM tactically resolves conflicts among aircraft and ensures avoidance of weather, airspace, terrain, or other hazards (see Sections 2.4.5 and 2.5).

Arrival/departure airspace is airspace from the top of climb or descent to the airport surface. It includes only the arrival and departure corridors leading to the currently used runways.

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Figure 2-2. ATM DecisionsInteractive and Integrated Across Time Horizons

631 632 633 634 635 636 637 638 639 640 641 642 643 In other parts of the NAS, where demand is such that TBO is not needed, airspace and operations are similar to the current systemClassic Operations based on clearances and predefined routesbut with significant improvements enabled by space-based navigation, cooperative surveillance, and advanced automation. Classic airspace includes some high altitude (todays Class A) and significant low-altitude airspace, some oceanic airspace, and most of the airspace for arrival and departure to and from smaller airports. Increased levels of service (at lower cost), and capabilities that reduce the impact of weather provide safety, capacity, and efficiency benefits to airspace users operating from the smallest to the busiest airports. Visual flight rule (VFR) operations are conducted in classic airspace and have more access around major airports as a result of the reduced airspace footprint required for TBO. The ANSP designates whether classic operations are used or whether TBO is required. Figure 2-3 shows the NextGen airspace hierarchy.

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Dynamic Resource Management: The move toward dynamic resource management supports the need to provide improved services to all flight operators. In the NextGen, ATM system resources and services are delivered to meet demand, rather than constraining demand to match the available resources (including people, facilities, and airspace). Delivery of services is no longer tied directly to the geographic location of the aircraft; ANSP personnel acquire needed information and communicate with flight operators independent of their facility location. Weather Impact Reductions: Within NextGen, the impact of weather is reduced through the use of improved information sharing, new technology to sense and mitigate the impacts of weather, improved weather forecasts, and the integration of weather into automation to improve decisionmaking. The impacts of instrument meteorological conditions (IMC), for example, are neutralized via aircraft and ANSP capabilities that allow operations independent of visibility. Using automation to better manage uncertainties associated with weather minimizes airspace capacity limitations and reduces the likelihood of overly conservative actions. Modernized Surface Operations: Finally, another transformation in ATM is the advent of modernized surface operations. Surface operations move from a highly visual, tactical environment to a more strategic set of operations that are independent of visibility, better achieve operator and ANSP efficiency objectives, and better integrate surface and airspace decisionmaking. Surface and tower services are delivered more affordably, enabling access to ANSP services at more airports than is practical today, resulting in greater value to flight operators and airport operators. Table 2-1 compares the key transformations summarized in this section with operations in 2006.

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Significant Transformation Roles and Responsibilities

Table 2-1. Significant ATM Transformations

2006 Current Capability Primary roles for air traffic control (ATC) services are air traffic controllers and traffic management specialists Demand/capacity imbalances are managed through broad flow contingency initiatives 2025 NextGen Capability New ANSP roles focused on capacity management, flow contingency management, and trajectory management Decision-support tools enable more strategic decision-making Air traffic controllers continue to serve classic airspace Focus is on allocating NAS assets to maximize capacity to meet user demand Better decision support and integrated strategic and tactical flow management (TFM) better use capacity in presence of uncertainty A broader set of flight operators participates in the C-ATM process Shared situational awareness and integrated impact assessment tools provide stakeholders with common awareness of situations and impacts of decisions Automation incorporates probabilistic data to reduce the likelihood of overly conservative decisions Flights are managed through use of four-dimension trajectories (4DT) that specify accurate current and future aircraft position Metering, controlled time of arrival (CTA) exchange, and more flightspecific adjustments increase overall throughput and operator efficiency Safety, security, and environmental considerations are integrated in TBO

Collaborative Air Traffic Management

Focus is on managing demand to meet available capacity Traffic management initiatives are conservative and broad Communications are usually verbal and written Conservative measures are used to manage uncertainty caused by weather and other capacity constraints Stakeholders have limited ability to exchange data supporting integrated decisionmaking Uncertainties in demand, weather, and flight trajectories are cognitively handled by ANSP personnel using operational judgment Flights are managed via verbal delivery of clearances and vectors Time-based metering is used in some localities to improve predictability and throughput Required navigation performance (RNP) operations are used initially to manage complexity and increase capacity

Integration Across Strategic and Tactical Decision Horizons

Trajectory-Based Operations

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2006 Current Capability Airspace classification is largely fixed with Earthreferenced boundaries; sectors may be combined during low demand; Class B and C airspace volumes are defined to protect all possible runway configurations and to match charting capabilities Delivery of services is constrained by geographic location of physical facilities Ability to deal with weather is often limited to Severe Weather Avoidance Program and similar initiatives; in-flight rerouting causes significant delays and flight inefficiencies Visibility limits surface, arrival, and departure operations Surface operations are based on visual oversight Automation to manage surface operations is limited

2025 NextGen Capability Airspace allocation is flexible over different time horizons and geographic boundaries to meet demand. Airspace restrictions for aircraft capability are applied only when needed (e.g., for capacity, safety) Changes to airspace configuration are provided dynamically to flight crews so that maximum flexibility is possible Delivery of services is flexible and not constrained by geographic location of personnel and infrastructure Weather information is integrated into automation, improving decisionmaking Forecast and current weather measurements are improved Operations are supported independent of visibility and make better use of forecast uncertainties Integrated surface and airspace operations are independent of visibility Automated decision-aids improve efficiency

Reduced Impact of Weather

Modernized Surface Operations

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2.1.2 ATM Key Principles and Assumptions A number of key principles are associated with the delivery of ATM services in the NextGen: NextGen resources are managed to maximize utility to flight operators. Restrictions are imposed only for projected congestion, or to meet security, safety, or environmental constraints. The NextGen supports a range of operator goals and business models and does not inherently favor one business model over another; however, public policy may provide incentives for one or more business models, if desired. NextGen stakeholders maximize their ability to achieve their goals and business objectives by actively participating in the C-ATM process. This involves not only information exchange and negotiation with respect to flight trajectories but also involvement in the process of allocating ATM resources. Tools are in place in the NextGen to allow virtually any operator to participate in the C-ATM process. When excess demand exists that cannot be addressed by using performance-based operations and applying C-ATM, known policies prioritize access to NextGen resources among all operators. These policies are based solely on performance capabilities.

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All national objectives for the NextGen are considered in addressing access to NAS resources. For example, military, state, and civil aircraft that are involved in national security, homeland defense, response to national disasters, police actions, life guarding actions, and movement of high-ranking government officials receive appropriate priority. Airspace is a national resource to be used for the public good. Government mandates are an acceptable means of meeting public good objectives when incentives are insufficient. Key assumptions for the NextGen ATM system and services include the following: Performance-based operations are the basis for defining requirements. In particular, CNS performance becomes the basis for operational approval, rather than specific equipage or technologies (e.g., RNP routes). Performance-based operations simplify regulatory activities in the presence of technology proliferation and allow the opportunity to define preapproved operations based on performance levels. The ANSP provides performance-based services, giving operational benefits to aircraft that have advanced capabilities. For a given airspace volume, the minimum level of capability may vary depending on overall demand characteristics and the environment. Flight operators choose capability levels for their aircraft according to their needs and to make the economic tradeoff between level of service and aircraft investment. Network-enabled services in the NextGen provide a broad ability to move, store, and access information. All stakeholders have a consistent view of factors that affect their decision-making, while data security and privacy mechanisms ensure that information is not misused or inappropriately disclosed. Advanced automation performs routine tasks and supports distributed decision-making between flight operators and the ANSP. Both aircraft and the ANSP have new automation, procedures, and systems in place, enabling TBO and other transformations critical to achieving NextGen objectives. There is a wider range of aircraft capabilities and performance levels than exists today. Environmental issues are increasingly important in designing and conducting ATM operations International interoperability in performance-based operations is a requirement as capabilities and procedures are defined.

2.1.3 Overall Organization of Chapter 2 The rest of Chapter 2 provides greater depth of discussion on many of the transformations highlighted so far. Section 2.2 addresses the change of roles and responsibilities between the ANSP and flight operators, addressing both human-human and human-automation interactions.

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Section 2.3 examines the transformations in C-ATM, focusing on collaboration for capacity management, flow contingency management, and trajectory management. Section 2.4 focuses on how TBO provides key capacity, safety, and productivity benefits in airspace with high-density operations. Section 2.5 addresses classic operations, including VFR operations. Section 2.6 addresses surface and tower operations for both trajectory-based and classic traffic Section 2.7 provides a different view of this content, addressing transformations from a flight operator perspective. Finally, Section 2.8 addresses internal ANSP transformations not included in previous sections.

2.2 CHANGES IN ROLES AND RESPONSIBILITIES

With the significant increase in demand and the increasing complexity of operations, changes in roles for ANSP personnel and flight operators are needed for the NextGen environment. New tasks are performed by automation to support the decision-making process and the shift in focus from tactical separation between individual aircraft to the strategic management of traffic flows in high-density airspace. [R-1] Flight operator roles change accordingly. As illustrated in Figure 2-4, decision-making is more distributed among ANSP personnel, flight crews, and flight planners, with significant increases in information exchange. Flight planners have an increased role in collaborating with the ANSP on capacity and flow management strategies, and the flight crew has a greater role in many of the tactical flight management tasks. [R-2] For some aircraft, the flight crew also begins to take on a more strategic flight management role, building on aircraft automation.

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Figure 2-4. Relative Influence of ANSP and Aircraft/Pilot in ATM Decisions

746 747 748 749 750 751 752 753 754 755 756 757 758 759 760 2.2.1 Benefits and Rationale Todays NAS, in which controllers provide safe aircraft separation by issuing tactical clearances to individual aircraft, is reaching its capacity as splitting sectors further produces diminishing benefits. A new paradigm is required to better manage human workload, increase productivity, and leverage advanced automation capabilities. This in turn defines transformations required to achieve NextGen scalability and affordability goals, including the following: Restructuring the roles of humans and automation in NextGen and how they perform their respective functions to synergize human and automation performance [R-3] Better distributing tasks and decision-making between service providers, flight crews, and flight planners to achieve operational efficiencies, and scalability Broadening the resource pool of service providers by eliminating the hard wired connection between service providers and geographic regions (see Chapter 4, Net-Centric Infrastructure Services).

These transformations are discussed in further detail in the following sections of this chapter.

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2.2.2 Functional Task Allocation The NextGen ATM system capitalizes on human and automation capabilities. It employs complementary air and ground technologies in a distributed manner. Humans and automation play important and well-defined roles in the NextGen, which takes advantage of the types of functions each can best perform. Although new technology is critical to implementing the NextGen ATM system, equally critical is ensuring that both service providers and flight operators are given appropriate roles; these are described in Sections 2.8 and 2.7 respectively. Automation supports the migration from tactical to strategic decision-making by assimilating data and supplying information, as well as by performing many routine tasks. Ultimately, the determination of when to fully automate and when to provide decision support is made to optimize overall system performance and ensure that service providers and flight operators perform well and can respond to off-nominal and emergency events when required. [R-4] Increased reliance on automation is coupled with fail safe modes that do not require full reliance on humans as a backup for automation failures. In addition, backup functions are distributed throughout the system, and there are layers of protection to allow for graceful degradation of services in the event of automation failures. [R-5], [R-6], [P-1] 2.2.3 Human-System Interactions Human-system interactions are designed to gain safety, productivity, efficiency, and scalability benefits. Human factors considerations are paramount to maximizing ANSP productivity and performance and are integrated into system acquisition management and planning. Human factors considerations that drive human-system design and impact human-system performance include human cognitive capabilities and limitations, human error, situational awareness, workload, function allocation, hardware and software design, procedural design, decision aids, visual aids, training, user manuals, warnings and alarms, environmental constraints, workspace design, and team versus individual performance. [R-7] Within NextGen, human interactions with automation are more intuitive and user-friendly, allowing increased utility of tools while mitigating human errors. [R-8] New tools, measures, and mechanisms are in place to preclude and mitigate the effects human error, with error tolerance and error resistance achieved through human-centered design processes. A positive safety culture ensures safety relevant events and data are shared without fear of disciplinary or legal action. Service providers and flight operators are presented with well-integrated user interfaces. Flight deck systems are easier to use and better integrate information for situational awareness and decision-making. Likewise, ground automation systems seamlessly integrate capabilities such as automated conflict detection and resolution, data communications, and other decision aids.

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2.3 COLLABORATION FOR AIR TRAFFIC MANAGEMENT, AIRPORT, AND AIRSPACE OPERATIONS
In NextGen, all airspace users are able to collaborate on ATM decisions. This capability ranges from todays large-scale flight operations center with a complete set of C-ATM automation tools to hand-held and home personal computers for individual pilots with appropriately scaled CATM collaboration access. Those who participate in the collaboration process are better able to achieve their own objectives within the constraints imposed by overall traffic demand or shortterm effects such as weather or airspace restrictions. Collaboration involves the exchange of information to create a mutual understanding among participants of overall objectives and influence decision-making among stakeholders. With the collaborative capabilities in NextGen, stakeholders are aware of constraints, system strategies, and the performance metrics that describe the past and predicted behavior of the ATM system. Key stakeholders in ATM decision-making include the ANSP, flight operators (including both flight planners and flight crews), airport operators and regional authorities, security providers, and U.S. military and state organizations. These groups and others collaborate in the development and assessment of strategies to expand NAS capacity, in addressing short-term demand and capacity imbalances, in balancing national and civil needs in the use of special use airspace (SUA), and in coordinating appropriate responses to address security needs. 2.3.1 Benefits and Rationale Key benefits from the collaborative environment in the NextGen include the following: Airspace users benefit from improved collaborative decision-support tools, which better assess the potential impacts of decisions, reducing the likelihood of unintended consequences. Better decision support also increases the ability to maintain capacity in the presence of uncertainty. Less-conservative operational decisions are made because decision-support capabilities can better integrate large amounts of data over multiple time horizons. A larger percentage of users participate in the collaboration process than do currently. Todays process is characterized by poor information distribution capabilities and is limited by verbal negotiations. Flight operators gain benefits in efficiency, access, and overall performance, and other national needs are accommodated effectively. Information exchange is more clearly targeted to the appropriate decisionmakers, reducing workload and unnecessary actions by those not affected. Machine-to-machine negotiation replaces labor-intensive, voice, or text-based processes. Needs for managing airspace security are integrated into overall collaboration and decision-making. Participants are assured of data privacy and protection, so that sensitive or proprietary information can be shared in a way that helps to achieve their objectives.

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2.3.2 Collaborative Air Traffic Management C-ATM is the means by which flight operator objectives are balanced with overall NAS performance objectives and accomplishes many of the objectives for CM, FCM, and TM. [R-9] [R-10] Flight planners or an operators flight planning automation interact with the ANSP via a set of services that provide all stakeholders the opportunity to participate in the C-ATM process. Among these services is a common flow strategy and trajectory analysis service that enables common situational awareness of current and projected NAS status and constraints. This service provides stakeholders with a capability to examine the individual or aggregate impacts of proposed strategies for CM or FCM. With information sharing, flight operators and the ANSP have a common understanding of overall national goals and desired performance objectives for the NAS. A transparent set of strategies is in place to achieve overall performance objectives, including airspace management to maximize capacity when demand is high and, as required, flow management initiatives to ensure safe levels of traffic are not exceeded when capacity limits are reached. [P-2], [P-3] ANSPs are better able to communicate and collaborate on the effects of procedures for flights transiting across airspaces managed by different ANSP entities (e.g., for different flight information regions [FIR], for specially managed special activity airspace (SAA). A pictorial view of C-ATM is provided in Figure 2-5. Figure 2-5. Collaborative ATM Among the ANSP and Operators

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The rest of this section provides greater depth on the C-ATM process. Section 2.3.2.1 describes the CM process. CM has two main components. Short term CM (2.3.2.1.1) is the reallocation of assets and the use of procedures to maximize capacity to match anticipated demand. In contrast, long term CM (2.3.2.1.2) includes planning for major changes to airspace design, significant airport infrastructure improvements, and the establishment of new operational procedures. Section 2.3.2.2 describes the FCM process. FCM is used only when CM cannot fully adjust resources to match anticipated demand.

2.3.2.1 Capacity Management The CM process allocates NAS resources to meet overall system goals based on user plans, including the designation of trajectory-based airspace and the determination of procedures required for access to airspace. CM structures routings where required to manage complexity and reserves airspace as needed for special uses. [R-11] CM responds to an aggregation of airspace users expected or desired trajectories, infrastructure, geographic and environmental constraints, and it provides airspace assignments and dynamic structured routings to manage the resulting demand. The CM process begins years before flights are in operation and continues up to and including the day of operation. It includes the long-term and short-term management and assignment of NAS airspace and trajectories to meet expected demand, as well as assignments of related NAS assets and coordination of long-term staffing plans for the airspace assignments. Significant structural changes to airspace or operations (e.g., building a new runway or introducing a new flight procedure) are planned years in advance. The best usable solutions are selected through iterative collaboration across decision horizons. 2.3.2.1.1 Short-Term Capacity Management Short-term CM involves the allocation of existing assets (e.g., personnel, the adjustment of airspace structures, or the designation of performance-based services) to appropriately create the required capacity to meet anticipated demand. In the NextGen, resource management is flexible and dynamic, which enables the ATM system to apply people where their services are most needed, to manage and configure facilities (including airports) appropriately, and to designate the use and design of airspace to complement operations. Delivery of services is no longer tied directly to the geographic location of the flight operator or the aircraft; instead ANSP personnel have the ability to acquire needed information and communicate with flight operators independent of their facility location. As operators plan flights, they share information with the ANSP about the planned trajectory of the aircraft. These trajectories may have different levels of precision based on the expected operations to be performed. For TBOs, the operators flight plan includes a 4DT. As more information becomes available about the conditions affecting a flight, operators are automatically informed and in turn, make adjustments to provide best known information updating their flight plans. In general, operators use predefined routes less and have more flexibility in designating preferred routings. Some route structure remains where needed to manage
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complexity, especially at lower altitudes and in terminal airspace where ANSP personnel must be trained on the airspace, and where environmental restrictions exist. Airspace designated for highcapacity or high-complexity operations may hold such an operations designation for a certain set of hours in the day or over a set period of days. This dynamic use of airspace is complemented with the move toward performance-based services that identify performance criteria for an aircraft to meet the requirements for operating in a volume of airspace. Further, this dynamic nature is not capriciousflight operators have the ability to plan and execute their flights. One of the important areas of short-term collaboration for CM is in addressing the use of SUA and assessing the impacts of proposed SUA. For example, if a military flight operator plans to reserve airspace for a set of operations, the military operator and the ANSP negotiate to balance the need to reserve the airspace with other civil needs for the airspace. The ANSP and the military operator may agree to adjust the airspace boundaries or the time of operation to accommodate civil needs. However, a military need may also outweigh a civil need and, for a given mission, preempt other planned uses. Criteria for this process are defined between service providers and the military. Both defense and homeland security restrictions are dynamically managed to enhance airspace access. Restrictions for accessing airspace are managed flexibly to accommodate security and defense needs in a nondisruptive manner. When airspace restrictions are proposed to address security concerns, the impacts of a proposed restriction are weighed against the risks that have been identified, and where possible, mitigations are identified to reduce the impact on flight operator plans. The philosophy for airspace restrictions is to provide the maximum available airspace to all users at all times, meet national security needs via priority 4DT reservations, and facilitate immediate user notification of just-in-time national needs for restricted airspace. In addition to improved common situational awareness and automated conformance monitoring, management of security and defense needs evolves wherever possible toward flight-specific access requirements and away from blanket restrictions for access. CM and FCM functions are interactive, as are airspace and trajectory management functions. The demand-capacity balancing process determines which airspace capacity management strategies to employ across the NAS. Part of the CM process also includes the use of metrics and analyses to determine which strategies were most effective under which conditions. [R-12] Examples of CM strategies include the following: Increasing the capacity of a given area of airspace to accommodate projected traffic growth through reassignment of resources (e.g., personnel, RNP routes) Instituting structured routes to reduce traffic complexity Establishing flow corridors to better accommodate high levels of traffic Adjusting the boundaries or activation times of special activity airspace (SAA) Balancing workload among ANSP personnel for a forecast demand surge.

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2.3.2.1.2 Long-Term Capacity Management Long-term CM generally requires from months to several years to implement, depending on the solution set (e.g., build new runway, develop new automation system). CM solutions requiring the development of new operational procedures, design of airspace, or implementation of a new technology require the ANSP to perform pre-implementation activities including research and development, environmental impact assessment and mitigation, and safety and security analyses. The solutions typically also involve external coordination with manufacturers, flight operators, regulators, or other stakeholders. As proposed changes are defined, the ANSP addresses U.S. or international regulatory and policy bodies in a more effective and streamlined manner than is possible today. 2.3.2.2 Flow Contingency Management FCM is the process that identifies and resolves congestion or complexity resulting from blocked or constrained airspace or other off-nominal conditions. FCM deals with demand-capacity imbalances that cannot be addressed through the CM process. [R-13] FCM involves managing the conflicting objectives of multiple stakeholders regarding the operational use of oversubscribed airspace and airports while taking advantage of available capacity to address demand. The collaborative process among flow contingency managers, flight operators, and airport operators allows flight operators to find solutions that best meet their priorities and constraints while satisfying the conditions specified in a given FCM plan. Several guiding principles govern the concept of FCM: FCM deals with airspace, airport, and metroplex constraints in an integrated fashion. FCM becomes more agile in dealing with uncertainties, developing adaptive traffic management plans that use capacity as it becomes available, and safely dealing with scenarios that become more constrained than expected. FCM provides equitable treatment of flight operators and, as much as possible, gives them the flexibility to meet their objectives. FCM becomes more focused, affecting only those flights that are necessary to deal with a constraint.

FCM strategies can include establishing multiple trajectories and/or flow corridors (see Section 4.3.6) to reduce complexity, restructuring the airspace to provide more system capacity, or allocating time-of-arrival and departure slots to runways or airspace. Operators with multiple aircraft involved in an initiative have the flexibility to adjust individual aircraft schedules and trajectories within those allocations to accommodate their own internal priorities. The ability for automation to monitor conditions and identify new trends facilitates dynamic refinement of traffic management initiatives (TMI) and reduces the likelihood that TMIs are overly conservative in managing the NAS. FCM may occur months or days in advance of a flight, or during a flight. As with all TMIs, probabilistic decision-making is used to assess the likely regional and local effects of anticipated flows, weather patterns, and other potential constraints and take incremental actions to reduce the probability of congestion to acceptable levels without overprotecting NAS resources.
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2.3.3 Collaboration on Airport Operations and Planning Significant collaboration occurs in the NextGen among the ANSP, flight operators, and airport operators regarding ground operations and planned improvements for airports. [R-14] The ANSP plays a greater role in the NextGen timeframe in supporting regional system planning and addressing airspace interactions among air traffic flows to and from airports and the potential distribution of traffic among a regional system of airports, as described in Chapter 3. 2.3.4 Collaboration on Airspace Operations for Security and Defense Needs Use of airspace involves collaboration among the ANSP, flight operators, defense services providers, and security services providers. The overall goal for airspace collaboration is to minimize disruption of air traffic while recognizing national defense needs to train pilots and protect the security of sensitive assets, significant activities, and critical infrastructure. Defense and homeland security airspace restrictions are dynamically managed to enhance airspace access. Restrictions for accessing airspace are based on risk and managed flexibly to accommodate security and defense needs in a nondisruptive manner. For security and defense uses of airspace, blanket restrictions as a default strategy are no longer used to address security needs. Instead, management of security and defense needs is based on flight-specific access requirements, where practical (also see Section 6.4.5 on secure airspace concepts). Flight operators receive this information so they can better plan flights and be aware of likely restrictions. [R-15]

2.4 TRAJECTORY-BASED AIRSPACE AND OPERATIONS

A major transformation in the NextGen is the use of TBO as the main mechanism for managing traffic in high density or high-complexity airspace. Within trajectory-based airspace, all trajectory management functions across all time horizons are based on the aircrafts 4DT. Digital data communication and ground-based and airborne automation to create, exchange, and execute 4DTs are prerequisites for TBOs. [R-16], [P-4] The use of precise 4DTs dramatically reduces the uncertainty of an aircrafts future flight path, in terms of predicted spatial position (latitude, longitude, and altitude) and times along points in its path. [R-17] This enables airspace to be used much more effectively than is possible today to safely accommodate high levels of demand and maximize the use of capacity-limited airspace and airport resources. TBO and super-density operations are likely to be used during peak periods at the busiest metropolitan areas. Highaltitude en route and oceanic airspace, and areas where major flows occur, have airspace reserved for TBO. With TBO, less airspace is needed for these major flows, resulting in reduced impact and improved access for other flights. In trajectory-based airspace, differing types of operations are conducted, distinguished by the manner in which procedures are selected and clearances are initiated, transmitted, negotiated, monitored, and revised. Performance-based services are applied based on the anticipated traffic characteristics; minimum requirements for operations and procedures to be used are selected to achieve the necessary level of capacity. Overall, preferences for all users are accommodated to the greatest extent possible, and trajectories are constrained only to the extent required to accommodate demand or other national concerns, such as security or safety. With TBO, the ANSP provides services to aircraft of differing capability in proximity to each other. Operators

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that equip their fleets to conduct TBO receive services from the ANSP that allow them to achieve operating benefits. A major element of TBOs is trajectory-based separation management, which uses automation and shared trajectory information to better manage separation among aircraft, airspace, hazards such as weather, and terrain. Trajectory-based separation management also includes delegation of separation tasks to the flight crew. The benefits envisioned depend on reductions in the impacts of weather, because of improved information sharing, improved sensors and forecasting, and better integration of weather into automation supporting decision-making. Finally, the ATM framework builds on surface operations that are modernized and better integrated into airspace operations to achieve efficiencies not possible today. 2.4.1 Benefits and Rationale A number of capacity, efficiency, and general benefits have resulted from the increased predictability of operations, which is based on use of precise trajectories. These benefits include safety and increased ANSP productivity. [R-18], [R-19] Benefits from use of the 4DT include the following: Capacity/better airspace and airport utilization. One of the primary uses of TBO is to increase the inherent capacity of airspace to better accommodate demand from flight operators. As a result, trajectory-based planning and operations, together with improved weather forecast accuracy and integration of military, security, environmental, and other requirements, allow access to more airspace more of the time, with reduced impact to traffic flows. [R-20] The flexible management of aggregate trajectories enabled by TBO allows the ANSP to maximize access for all traffic, while adhering to the principle of giving advantage to those aircraft with advanced capabilities that support the ATM system. TBO minimizes excess separation resulting from todays control imprecision and lack of predictability and enables reduced separation among aircraft, allowing increased capacity. TBO is also a key element of super-density procedures. Runway capacity at the busiest airports is the primary limiting factor in NAS operations today, and even with the maximum possible efficiency gains, some airports may need additional runways to accommodate the expected NextGen traffic growth. Implementing super-density arrival and departure procedures enables new runways to be built much closer to an existing runway and potentially reduces the cost of new runway construction. Efficiency and environment. Operational management of 4DTs enables efficient control and spacing of individual flights, especially in congested arrival and departure airspace and busy runways. This enables use of noise-sensitive, reduced-emissions arrival and departure flight paths. For long flights, particularly in oceanic airspace, the increased predictability afforded by TBO improves fuel efficiency and facilitates optimal fuel loading. Overall, flight operations are more consistent and operators are able to maintain schedule integrity without the excess built into todays published flight times. As required, 4DTs are also used on the airport surface to improve surface movement efficiency and safety.

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Other benefits. In addition to supporting increased flows, TBO enables collaboration between the ANSP and operators to maximize utility of airspace to meet ANSP productivity and operator goals. [R-21] Around major airports, TBO is flexibly managed, significantly reducing the footprint of todays Class B airspace to only the active arrival and departure corridors, and allowing vastly improved access to other trajectory-based and nontrajectory-based flights in the vicinity. [R-22] Finally, TBO is seen as a key enabler to increase ANSP productivity, so services can be provided at a much lower per operation cost.

2.4.2 Definition and Attributes of 4DTs A 4DT is a precise description of an aircraft path in space and time: the centerline of a path plus the position uncertainty, using waypoints to describe specific steps along the path (see Figure 2-6). This path is Earth-referenced (i.e., specifying latitude and longitude), containing altitude descriptions and the time(s) the trajectory will be executed. Some of the waypoints in a 4DT path may be associated with controlled times of arrival (CTA). CTAs are time windows for the aircraft to cross specific waypoints within a prescribed conformance tolerance and are used when needed to regulate traffic flows entering congested enroute or arrival and departure airspace. Both the flight crew and the ANSP may need to renegotiate CTAs during the flight for reasons such as winds encountered that are different than those forecast or a change in the destination airport acceptance rate. [R-23], [R-24] Much larger windows in time are allotted to cross all other waypoints not designated as CTAs, allowing operators more flexibility to optimize their flight operations.

Figure 2-6. Elements of a Four-Dimensional Trajectory

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The required level of specificity of the 4DT depends on the flight operating environment. Information regarding the operators flight plan is managed as part of the flight object. 2 The flight object provides access to all relevant information about a particular flight (see Section 5.6 on flight plan filing and flight data services). 2.4.3 Use of 4DTs for Integrated Trajectory-Based Operations One of the key concepts associated with TBO is the integration of trajectory planning and execution across the spectrum of time horizons from strategic planning to tactical decisionmaking. [R-25] Strategic aspects of TBO include the planning and scheduling of flight operations and the corresponding planning and allocation of NextGen resources to meet demand, as described in Section 2.3.2.1. [R-21] Tactical components of TBO include the evaluation and adjustment of individual trajectories to synchronize access to airspace system assets (or to restrict access, as required) and assure separation, described later in Sections 2.4.3 and 2.4.4. New ANSP personnel roles and supporting operations (described in Section 2.7) build on the use of TBO to provide ATM services. Air traffic services are provided through the generation, negotiation, communication, and management of both individual 4DTs and aggregate flows representing the trajectories of many aircraft. Flexible route definitions allow traffic flows to be shifted as necessary to enable more effective weather avoidance; meet environmental, defense and security requirements; and manage demand into and out of the arrival and departure environment. [R-4] Capabilities for managing airspace structure include a common mechanism for implementing and disseminating information on the current airspace configuration to ensure all aircraft meet the performance requirements for any airspace they enter. Similar information on airspace restricted for defense and homeland security ensures these needs are met, maximizes access, and minimizes disruptions to commerce. Using automation to better manage uncertainties associated with weather minimizes airspace capacity limitations and reduces the likelihood of overly conservative actions. [R-8] Different aircraft and flight crews also have varying levels of ability and preferences to operate in specific weather conditions. Individual flight limitations and preferences are key inputs to flight planning and execution, and flight operators may dynamically update these features. With this knowledge, the ANSP can support 4DTs tailored to individual flight preferences. [R-26] Within trajectory-based airspace, some aircraft support additional operations via onboard capabilities and associated crew training, including the ability to perform delegated separation, airborne self-separation, and low-visibility approach procedures. [R-27] In all, these new kinds of flight operations dramatically improve en route productivity and capacity and are essential to achieving NextGen. [R-28] Delegation of ATM functions to capable aircraft means these
2

The flight object is a software representation of the relevant information about a particular flight. The information in a flight object includes aircraft identity, CNS and related capabilities, flight performance parameters, flight crew capabilities including for separation procedures, and the flight plan (which may or may not be a 4DT), together with any alternatives being considered. [R-7] Once a flight is being executed, the flight plan in the flight object includes the cleared flight profile, plus any desired or proposed changes to the profile, and current aircraft position and near-term intent information (see diagram). For VFR aircraft, the level of detail on the flight profile varies (e.g., it may consist of only information needed for SAR operations). Allocation of responsibility for separation management along flight segments is also likely to be stored. International collaboration on the development of standards for the definition of a flight object is ongoing. 2-20 VERSION 1.2

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services are provided only when and where the aircraft need them, promoting scalability of the overall ATM system. In the highest density arrival and departure areas, super-density operations are implemented to maximize airport throughput at times of peak demand while facilitating efficient arrival and departure profiles for equipped aircraft. Super-density arrival procedures are conducted, usually requiring airborne separation capability, and may be continued on the airport surface where required for throughput. [R-29], [R-30] Other arrival and departure areas with less demand, and high demand arrival and departure areas during off-peak hours, provide access to a wider range of aircraft. Aircraft routinely conduct low noise approaches, mitigating noise issues and reducing the need for nighttime curfews. 2.4.4 Trajectory Management Process TM is the process by which individual aircraft trajectories are managed just before and during the flight to ensure efficient individual trajectories within a flow. [R-18] [R-31] TM corrects imbalances within an established flow to ensure that congestion is manageable. Like FCM (see Section 2.3.2), TM is only imposed when resource contention requires. The TM process considers any active FCM initiatives and known airspace plans in establishing the best mitigation to resource contention. TM assigns trajectories for aircraft transitioning between self-separation and ANSP-managed airspace, and for aircraft entering or leaving flow corridors. [R-32] For arrival and departure operations, including super-density operations, TM assigns each arriving aircraft to an appropriate runway, arrival stream, and place in sequence. TM supports the separation management function through managing the frequency and complexity of aircraft conflicts and reduces, but does not eliminate, the need for tactical separation maneuvers. In highdensity or high-complexity operations, and especially for climbing and descending aircraft around airports, some conflicts occur; otherwise, aircraft over-constrain the system and underuse available capacity. 2.4.5 Separation Management Process The SM process ensures that aircraft maintain safe separation from other aircraft, from certain designated airspace, and from any hazards (e.g., terrain, weather, or obstructions). [R-33] Where TBO is used, SM relies significantly on automation for predicting conflicts and identifying solutions. [R-34] Use of automation also allows SM to move away from fixed human-based standards to ones that allow variable separations that factor in aircraft capabilities, encounter geometries, and environmental conditions. [R-35] Except in the case of some unmanned aerial systems (UAS), flight crews approve the recommended conflict resolution before it is implemented, whether it is generated on the ground or in the cockpit. In ANSP-managed airspace, the ANSP has overall responsibility for SM and may delegate this responsibility to separation-capable aircraft. [R-36] The ANSP SM function is fully automated, and separation responsibility is delegated to automation, or for specified operations, to the flight crew. [R-37] The operating norm is that the ANSP delegates tasks to aircraft to take advantage of aircraft capabilities; however, ANSP personnel (typically, the trajectory manager) may identify the need for the ANSP to maintain separation responsibility. For aircraft not delegated separation, whether this is because the aircraft are not capable, or because the ANSP wishes to

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retain separation authority, ANSP automation manages separation and negotiates short-term, conflict-driven updates to the 4DT agreements with the aircraft. Delegated separation operations include both a single aircraft having separation authority for a specific maneuver (e.g., for crossing or passing another aircraft), or more general separation responsibility, such as for flow corridors (described in Section 2.4.7). ANSP and aircraft automation track the delegation of responsibility and its limits and ensure that the delegation is always unambiguous and clearly communicated. Aircraft performing self-separation procedures separate themselves from one another and from aircraft whose separation is managed by the ANSP without intervention by the ANSP. (In selfseparation airspace, the ANSP provides neither separation nor TM services.) [R-38] Standardized algorithms detect and provide resolutions to conflicts at least several minutes ahead of the predicted loss of separation. The resolution maneuver is usually very small (because of the increased precision in TBOs) and generally includes course, speed, or altitude changes. Rigorous right-of-way rules determine which aircraft should maneuver to maintain separation when a conflict is predicted. These rules specify the conflict resolution maneuver options for resolving the conflict with minimum disruption to the maneuvering aircraft and for preventing a conflict with a third aircraft in the short term. Contingency procedures requiring the other aircraft to execute an avoidance maneuver are invoked in the event the burdened aircraft does not make the appropriate maneuver within a specified time. Self-separating aircraft have 4DTs with sufficient flexibility defined to allow for separation maneuvers. [R-39] After such maneuvers, the aircraft is expected to return to its route toward its next waypoint defined in the 4DT. Usually, the aircraft is able to achieve and maintain its most efficient trajectory without renegotiating its 4DT. In oceanic or remote airspace, the aircraft may have sufficient flexibility to deviate around weather. An FCM function may be needed in selfseparation airspace to impose sufficient structure to ensure that traffic density remains safe, especially around convective weather or other constraints. [R-40] Transition airspace around self-separation airspace exists to allow for the safe transfer of separation responsibility between the aircraft and the ANSP. For aircraft entering self-separation airspace, separation responsibility is transferred so that the aircraft is safely able to assume it, implying that there are no very near-term conflicts with other aircraft or hazards. For aircraft exiting self-separation airspace, the transition includes waypoints with CTAs allowing the ANSP to sequence and schedule entry into ANSP-managed airspace, which may be more congested. In this transition zone, the ANSP provides CTAs and possibly TM to maintain safe separation between the aircraft exiting the airspace. As with delegated separation, ANSP and aircraft automation track the transfer of separation responsibility and communicate it to those affected. [R-41] Today, most high-performance aircraft are equipped with an aircraft-based collision avoidance system that is independent of the ATC system. In the United States, this system is referred to as the Traffic Alert and Collision Avoidance System (TCAS) II; internationally, this system is referred to as the Airborne Collision Avoidance System (ACAS). TCAS reduces the risk of collision between aircraft when the separation assurance process fails. Under NextGen, a collision avoidance system independent of the separation assurance system, and which acts only

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in the event the separation assurance process fails, will still likely be required (see ICAO ANConf/11, ASAS Circular). [R-42] 2.4.6 Trajectory-Based Procedures The procedures performed by 4DT-capable aircraft are described in this section. The procedures used most include 4DT Procedures. In addition to basic RNP capability (described in Section 2.5), aircraft must meet specified timing constraints at designated waypoints along their route. Aircraft comply with the resulting 4DT procedure in flight. Several levels of 4DT operations exist, defined by the level of navigational and timing constraints. Continuous descent approaches (CDA) are an example of 4DT procedures Delegated Separation Procedures. The ANSP delegates responsibility to capable aircraft performing the basic 4DT procedures described above to perform specific separation operations using onboard displays and automation support. Examples include passing, crossing, climbing, descending, and turning behind another aircraft. In these operations, the ANSP is responsible for separation from all other traffic while the designated aircraft performs the specific maneuver. Airborne Merging and Spacing Procedures. 4DT aircraft are instructed to achieve and maintain a given spacing in time or distance from a designated lead aircraft as defined by an ANSP clearance. Cockpit displays and automation support the aircraft conducting the merging and spacing procedure to enable accurate adherence to the required spacing. Separation responsibility remains with the ANSP. Airborne Self-Separation Procedures. Aircraft are required to maintain separation from all other aircraft (and other obstacles or hazards) in the airspace. Aircraft follow the rules of the road and avoid any maneuvers that generate immediate conflicts with any other aircraft. Self-separation procedures are conducted only in self-separation airspace. The ANSP does not provide TM or SM, except as needed to safely sequence and schedule aircraft exiting self-separation airspace. Low-Visibility Approach and Departure Procedures. Aircraft with appropriate cockpit displays and automation support conduct landings and takeoffs safely in low-visibility conditions without relying on ground-based infrastructure by using onboard navigation, sensing, and display capabilities. Super-Density Procedures. Aircraft conduct delegated separation procedures, such as closely-spaced parallel approaches within very precise tolerances for position and timing to maximize runway throughput. Surface Procedures. 4DTs may be used on the airport surface at high-density airports to expedite traffic and schedule active runway crossings. Equipped aircraft may perform delegated separation procedures, especially in low-visibility conditions.

The procedures listed above are not mutually exclusive, and the flight object captures the abilities and authority of aircraft to perform these procedures.

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2.4.7 En Route and Cruise Trajectory-Based Operations ANSP-managed and self-separation operations are conducted in en route and oceanic trajectorybased airspace. Operational distinctions between oceanic and en route airspace fade as performance-based operations and necessary advanced CNS technologies become the norm. Some operational considerations remain for oceanic and remote airspace (e.g., when there are long distances between suitable landing locations). ANSP-managed airspace accommodates aircraft equipped only for basic 4DT procedures, possibly along fairly structured routes when more capable aircraft are occupying the efficient routes and altitudes. In ANSP-managed airspace, 4DT procedures allow the ANSP to precisely schedule traffic through congested airspace, especially as aircraft start to converge approaching a major airport. When demand is very high, the ANSP may implement flow corridors for large numbers of separation-capable aircraft traveling in the same direction on very similar routes (see Figure 2-7). Flow corridors consist of long tubes or bundles of near-parallel 4DT assignments, which consequently achieve a very high traffic throughput, while allowing traffic to shift as necessary to enable more effective weather avoidance, reduce congestion, and meet defense and security requirements. [R-43] The airspace for aircraft operating in flow corridors is protected; aircraft not part of the flow do not penetrate the corridor. The 4DT assignments in a flow corridor do not ensure that conflicts never occur, but do ensure that any conflicts are easily resolved with small speed or trajectory adjustments even with the high traffic density. The corridor is large enough for aircraft to use their separation capabilities for entering and leaving the corridors, as well as for overtaking, all of which are accomplished with well-defined procedures to ensure safety. Flow corridors are procedurally separated from other traffic not in the corridor. The high traffic density achieved increases the airspace available to other traffic, and often eliminates the need for a TMI; thus the flow corridor is implemented along the optimum routes and altitudes. The corridor may be dynamically shifted to avoid severe weather or take advantage of favorable winds. Procedures exist to allow aircraft to safely exit the corridor in the event of a declared emergency. Figure 2-7. Flow Corridors

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For scalability and affordability in ANSP-managed airspace, the ANSP delegates separation tasks to capable aircraft whenever this benefits the aircraft involved, overall operations, or ANSP productivity. [R-44] Some airspace is designated as self-separation airspace, where selfseparation operations are required. En route trajectory-based procedures are summarized in Table 2-2. Table 2-2. Summary of En Route and Oceanic Trajectory-Based Operations
Operation ANSP-Managed Operations Benefit High traffic density Accommodate wide range of aircraft capabilities Very high traffic density Preferred routing ANSP productivity Preferred routing ANSP productivity ANSP Capability 4DT exchange, including updates for SM, TM Aircraft Capability Exchange and execute 4DT, CTA, RNP Some aircraft have delegated separation capability Exchange and execute 4DT, CTA, RNP Delegated separation capability Exchange and execute 4DT, CTA, RNP Full self-separation Provision of Separation ANSP; may be automated or delegated to aircraft

Flow Corridors

4DT exchange with reduced requirement for updates, TM

Procedural separation of corridor from other airspace Aircraft within corridor separate themselves Aircraft

Self-Separation Operations

FCM, manage entry to and exit from selfseparation airspace

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2.4.8 Trajectory-Based Arrival and Departure Operations Airspace around airports serving trajectory-based traffic is ANSP-managed, with the TM and SM functions supported by advanced automation. Integrated arrival and departure area and airport surface management ensure arrival flows match projected airport capacity for improved overall throughput and efficient flight trajectories that eliminate todays low altitude pathstretching and holding. [R-45] Aircraft are typically assigned final 4DT arrival profiles at top of descent. The development of quieter aircraft coupled with widespread implementation of lownoise approaches eases restrictions currently imposed for noise abatement at many airports. Rotorcraft and other runway independent aircraft needing access to trajectory-based arrival and departure areas are coordinated with the major fixed-wing flows to avoid congestion and improve the overall flow of both types of aircraft. Table 2-3 presents arrival and departure procedures. Table 2-3. Arrival and Departure Procedures
Operation CDA, other RNP Benefit Reduced environmental ANSP Capability 4DT exchange, TM, SM Aircraft Capability Exchange and execute 4DT, CTA, RNP,CDA: Provision of Separation ANSP automation

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OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN) ANSP Capability Provision of Separation

Operation trajectories Merging and spacing

Benefit effects High throughput Arrivals matched to runway capacity, ANSP productivity Closely spaced runways maintain visual meteorological conditions (VMC) capacity in all visibility conditions

Aircraft Capability airborne spacing

TM, 4DT exchange, SM

Exchange and execute 4DT, RNP Airborne spacing Exchange and execute 4DT, RNP Delegated separation

ANSP automation

CSPA, paired approaches

TM, 4DT exchange to establish aircraft on approach, SM wake vortex monitoring and automation

ANSP automation, except between aircraft conducting approach

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At times of peak demand, major airports conduct Super-Density Operations in which capacityenhancing arrival and surface procedures are implemented to maximize runway throughput. [R46] Other airports with lower demand have fewer restrictive aircraft capability requirements, allowing access to all 4DT-capable aircraft. Some airports serving trajectory-based traffic accept both trajectory-based and nontrajectory-based traffic (usually on different runways), depending on the airport configuration and level of demand. 2.4.8.1 Super-Density Operations Super-density operations may be required at more airports than todays Class B airports to handle the projected traffic increase; however, as super-density operations restrict access to highcapability aircraft, they are only designated when warranted by demand, and revert to accepting all trajectory-based traffic at other times of the day. As illustrated in Figure 2-8, super-density corridors handle arriving and departing traffic, while much nearby airspace remains available to other traffic. [R-47] Capabilities used to achieve super-density operations are likely to include the procedures listed in Table 2.3 above and the following: Use of RNP operations Use of procedures that eliminate requirements for visual operations [R-48] Mitigation of wake vortex constraints through detection and real-time adaptation of applied separations Improved runway incursion prevention algorithms to increase efficiency Automatic distribution of runway braking action reports Distribution of taxi instructions before landing that can be automatically executed without waiting for a separate clearance Use of aircraft sensors to more quickly identify the need for de-icing operations, increasing efficiency of surface movements.

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Figure 2-8. Super-Density Terminal Operations

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2.5 CLASSIC AIRSPACE AND OPERATIONS

Classic operations build on many of the advanced capabilities of aircraft and ANSP decision support but do not require 4DTs. Performance-based services are used in classic airspace. Capacity and ANSP productivity gains are achieved through improved CM and FCM capabilities (see Section 2.3.2), coupled with decision-support automation and the leveraging of aircraft capabilities. Even in classic airspace, ANSP personnel have a more strategic view and rely more on automation to perform routine tasks yielding ANSP productivity gains as controllers handle more traffic. Air navigation (RNAV) flight routes are flown except where congestion forces structured routes. The ANSP, supported by advanced automation, provide TM and SM services in managed classic airspace through the issuance of clearances and instructions, similar to today. Some aircraft support the use of data link for many communications, especially routine transmissions, such as sector hand-offs. Electronic format has largely replaced todays paper charts for all phases of flight. Overall, a wide range of aircraft capabilities is accommodated, including many of todays ~200,000 commercial and noncommercial aircraft, and trajectory-based airspace is designed and implemented with consideration for providing classic flight operators with improved access to ATM resources. Much high- and low-altitude airspace outside of high traffic areas remains similar to todays Class A, C, D, E, and G airspace, as well as some oceanic airspace. [R-49] Aircraft capable of TBO often transit classic airspace, and often are able to use their advanced capabilities to their advantage, depending on the conditions. [R-50] The airspace around airports

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serving classic traffic operates similarly to today and accommodates aircraft with various equipage levels, with the improvements noted above for en route operations. CDAs are the norm, allowing for growth in operations and reduced curfew requirements. 2.5.1 Nonmanaged Airspace Operations Areas of uncontrolled Class G low-altitude airspace continue to exist in the future in some remote areas. Operations are unchanged from today, and no ANSP services are provided, except as required to coordinate entry to a different class of airspace. VFR procedures are used by most aircraft, as is done today. Cooperative surveillance may not be a requirement for nonmanaged operations.

2.6 SURFACE AND TOWER OPERATIONS

For both trajectory-based and classic traffic, surface operations in the NextGen timeframe at medium- and large-demand airports are integrated with other ATM functions, including departures, arrivals, and collaborative traffic management. [R-45] Improved surveillance, automation, and information sharing enhance surface and tower operations for all traffic, as described in Section 3.3.1. The busiest airports at peak times (most likely those implementing super-density arrival/departure operations) conduct Super-Density Surface Operations for trajectory-based traffic to maximize runway throughput and minimize taxi times while moving aircraft safely and with robust runway incursion prevention. Aircraft control towers provide enhanced services compared to today. Particularly in low-visibility conditions, the ANSP can safely make more efficient use of runways through real-time depiction in the tower of the location and intent of arriving and departing aircraft, as well as any aircraft intending to cross an active runway. For lower demand airports, staffed or automated virtual towers may be implemented, enabling tower services equivalent to that provided by traditional towers to be provided at more airports than is affordable today, and/or for extended hours of service. A summary of NextGen surface transformations is given in Table 2-4. Table 2-4. Surface Operation Transformations
2006 Ground surveillance available to ANSP limited. Mostly primary, some secondary surveillance capability installed. Limited effectiveness of runway incursion prevention automation. Essentially no cockpit surveillance of other ground traffic/vehicles, other than visual (out of the window). NextGen Cooperative ground surveillance at most airports, including state vector information (e.g., aircraft speed/direction), with more effective runway incursion prevention automation. Integrated surveillance of ground traffic, along with airport layout and taxi routes, with cockpit warning of runway incursions.

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Many non-towered airports. Inefficient one-in-one-out operations at smaller airports without approach controls or towers.

Updated pushback information provides improved surface and departure management. Surveillance of surface movement provides basis for more accurate departure time and taxi delay estimates. Availability of improved departure time estimates significantly improves capability of FCM and TM. Flight-specific traffic management initiatives are handled via automation and data communications. Automated virtual towers (AVT) or better where economically feasible. Elimination of one-in-one-out restrictions at most airports for equipped aircraft.

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2.7

TRANSFORMED FLIGHT OPERATIONS

There is a wide diversity of flight operations and flight operators in the NextGen. Flight operators, the primary users of ATM services, have a range of objectives for operating flights, depending on their business models. Examples of flight operators and their objectives include the following: Scheduled Operators. The primary objectives associated with scheduled operations are maintaining schedule integrity and operating efficiency. For many operators, the ability of the NextGen to accommodate growth in schedules is also important. On-Demand Operators. The objectives for on-demand operators include continual access to NextGen resources and operating efficiency. Corporate Operators. Corporations operating aircraft to support their core (and not necessarily aviation) business need access to airports and airspace for the conduct of commerce. Personal Aircraft Operators. The objective for personal aircraft operators is equitable access to NAS resourcesboth airports and airspace. Many of these operators require the ability to conduct flight training and VFR operations with minimal restrictions. State and Military Aircraft Operators. State and military operators require access to all areas of the NextGen and may, at certain times, require the NextGen to accommodate aircraft that do not meet all expected capability and performance requirements. These operators may also require priority access to complete a specific mission or objective. Military aircraft operators require the ability to operate in areas designated for their special use to conduct training and proficiency operations.

The term flight operator is used very broadly to cover all people or organizations that operate aircraft, including scheduled, on-demand, personal aircraft, and state and military aircraft operators; and emerging flight operations such as unmanned aircraft and space vehicles. [R-51] The common theme for this diversity of ATM customers is their transformed ability with

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NextGen to achieve their business and operational objectives through access to reliable real-time information relevant to their proposed operation, to understand the impact of their decisions related to their operations, and to negotiate with the ANSP to achieve their objectives. Many operators have advanced capabilities that are complementary to the ANSP and can take advantage of the significant opportunities for access, efficiency, and predictability afforded by NextGen. These transformed operations provide benefit for any operator that invests in the needed capability, whether GA, commercial, civil, or military. The adoption of performance standards rather than equipment standards encourages innovation in avionics suppliers to produce affordable capabilities supporting trajectory-based procedures and real-time flight information (weather, airspace configuration, traffic, etc.) in the cockpit. Flight operator roles during flight planning and flight execution vary based on flight operator capabilities and are highlighted in Table 2-5. Other flight operator roles such as marketing and strategy development are outside the scope of this document. Table 2-5. Flight Operator Roles
2006 Roles Dispatcher/Flight Operations Center (FOC) Personnel Person responsible for originating and disseminating flight information, including flight plans. Responsible for operational control of day-to-day flight operations. Also responsible for understanding weather and other constraints, incorporating these into flight plans, and in some organizations, for coordinating with ANSP personnel regarding overall flow issues. General aviation operators also may interact with third-party (fee for service) vendors who provide weather and other (e.g., flight planning) services through dedicated computer terminals, direct phone contact, or the web. Flight Crew Responsible for the control of an individual aircraft while it is moving on the surface or while airborne. Corresponding NextGen Roles Flight Planner Person or organization responsible for making tactical decisions about what flights to operate and when and where they operate. May be the same as flight crew. Flight planner is the interface with the ANSP C-ATM function to develop collaborative capacity and traffic flow management decisions and in trajectory negotiation. Operators with multiple aircraft involved in the initiative have the flexibility to adjust individual aircraft schedules and trajectories within those allocations to accommodate their own internal business concerns, both preflight and in flight.

Flight Crew Responsible for the control of an individual aircraft while it is moving on the surface or while airborne. Under delegated operations, responsible for separation. The flight crew may be composed of a single pilot or it may comprise multiple individuals (e.g., with two pilots). For UAS systems, the flight crew may be operating the aircraft remotely; for autonomous UAS (programmed with an overall mission), the flight crew may be an automata.

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For flight execution, there is a transition from pilot to aircraft systems manager for all classes of pilots as aircraft capabilities evolve. The roles of the flight crew for advanced aircraft in the
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NextGen include aircraft system manager, supervisory override, and participant in the C-ATM function. When separation is delegated, the flight crew assumes the role of separation manager as well. For other aircraft operating in classic airspace, the flight crew operates much as today, including those operating under VFR. In the supervisory override role, the flight crew is responsible for operating the aircraft and taking any actions deemed necessary to correct system malfunctions that occur during flight. During surface operations, the flight crew has full control of the aircraft and is responsible for maneuvering it and determining if it is fully functional before takeoff. For some aircraft, flight management automation may be used for surface operations as well. 2.7.1 Benefits and Rationale Flight operators, the primary users of ATM services, have a range of objectives for operating flights. Benefits desired by flight operators include maintaining schedule integrity, operating efficiency, having access to airspace and airports in the presence of congestion, being able to operate with minimal disruption from weather or visibility, having increased safety and utility, suffering minimal disruptions from security and defense operations, and having reduced operating costs. State and defense providers also have unique needs for access to airspace and transit through airspace to complete missions or for training. In addition, a broad community of operators who fly under VFR continue to want access to airspace without the requirement to be in communication with the ANSP. Flight operators have a wide range of capabilities and options to meet their mission needs. The minimum capability for operating in any managed airspace is cooperative surveillance, the ability to perform RNAV operations (if operating under instrument flight rules [IFR]), and communication with the ANSP via voice radio. In airspace where TBO is used (see Section 2.4), the minimum capability includes the ability to conduct RNP operations combined with the exchange (via a digital data link) and execution of precision 4DTs. [R-52] Digital data communications between flight operators and the ANSP are the norm in trajectory-based airspace; voice radio is used on exception and as a backup. Some airspace requires the ability to perform delegated or self-separation operations in addition to the above. Many aircraft in NextGen are capable of digital data communications to communicate with the ANSP (for clearances, requests, and aeronautical information) to send and receive weather information, and to receive surface movement instructions. Many operators also are able to communicate between aircraft and their flight operations center (FOC) for exchanging flight planning and trajectory information, aircraft performance and maintenance data, flight following information, and passenger-related information. Flight planning systems also have a range of capabilities, including the ability to exchange and negotiate information supporting the C-ATM process. Each operator makes choices, based on his or her own business model, about the desired operations and the tradeoffs between increased levels of service from the ANSP versus the needed investment in flight planning and aircraft capabilities and performance. As populations grow and operations rise in level and complexity, operators continue to make choices on whether to invest in needed capabilities and training, if additional procedures are required to operate.

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2.7.2 Special Vehicle Operations 2.7.2.1 State and Military Operations Many state aircraftprimarily those operated by the militaryrequire transition between seamless operations among civil aircraft and exceptional flight requirements (i.e., needing special services from the ANSP or departing airspace managed by the ANSP) during a single flight. The individual components of the mission operate in similar fashion to civil users until aerial refueling (AR) operations are initiated; at that point, the operation becomes unique and remains so until the AR mission is accomplished and aircraft once again operate seamlessly in the NAS. 2.7.2.2 Unmanned Aircraft Systems UAS operations are some of the most demanding operations in the NextGen. UAS operations include scheduled and on-demand flights for a variety of civil, military, and state missions. Because of the range of operational uses, UAS operators may require access to all NextGen airspace. UAS are expected to fly in trajectory-based airspace (see Section 2.4). The UAS operators are capable of conducting the procedures required for the airspace and must achieve the same target level of safety against collisions as manned aircraft. Because UAS may also operate in airspace in which cooperative surveillance may not be required, UAS have the responsibility for sensing and avoiding other aircraft. This may include responsibility for separating from aircraft that do not have cooperative surveillance in some airspace. 2.7.2.3 Vertical Flight Rotorcraft, tiltrotor, vertical/short takeoff and landing (V/STOL), and similar aircraft have different flight capabilities and limitations from fixed-wing aircraft, and they often perform unique and demanding missions. Transport category IFR-capable rotorcraft are being acquired in larger numbers. With growing ground congestion, these aircraft have increased utilization. In addition to civil uses, rotorcraft continue to have an increasing role in homeland security and other missions. Rotorcraft provide emergency medical services in all areas and cities of the United States, and they increasingly perform IMC operations. Rotorcraft are also used for UAS applications for commercial, police, and security operations. These operations add to the density and complexity of operations, particularly in and around urban areas. 2.7.2.4 Trans-Atmospheric and Space Operations Some aircraft are destined for specific mission operations at FL600 and above. These nearspace and space operations continue and expand in diversity in the NextGen timeframe. Nearspace and space aircraft exhibit a wide variance in capability and vehicle performance (e.g., aerostats, medium- and high-speed research/reconnaissance aircraft, suborbital spacecraft, launching and reentering orbital spacecraft). Some users of this airspace are expected to have unique needs that can be accommodated only with SRAs (todays temporary flight restrictions [TFR]).

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2.8 TRANSFORMATIONS IN AIR NAVIGATION SERVICE PROVIDER PROCESSES

ANSP service delivery mechanisms are transformed to provide ATM services in a safer, more secure, scalable, and affordable manner. Processes are revolutionized, from the way ANSP personnel are trained and allocated to airspace to the way long-term capacity changes are managed. The changes in ANSP processes and personnel management are geared toward the following goals: Managing resources dynamically to enable the ATM system to apply people where their services are most needed Managing and configuring facilities (including airports) appropriately Designing airspace and designating its use to complement operations Ensuring the ATM system is globally harmonized through collaborative development and implementation of identified best practices in both standards and procedures Ensuring safety and security considerations are fully integrated into air traffic management.

Within the ANSP workforce, the emphasis in NextGen is on strategic flow management and collaboration with airspace users. Flow contingency managers monitor and assess capacity requirements for flows of traffic. With decision support tools, they determine optimum flow and airspace configurations in collaboration with capacity managers and through collaboration with flight operators and other stakeholders. Separation managers and trajectory managers interact to determine optimum system solutions and implement decisions strategically. A broad set strategic ANSP functions include the following: Forecasting demand to support effective and timely capacity planning Managing capacity including dynamic management of NAS resources Collaborating with airspace users on flow management strategies Managing trajectory and negotiating, if needed, with flight operators Maintaining the flight object and providing flight planning services Providing flow strategy and trajectory impact analysis services Maintaining the net-centric infrastructure and providing other NAS infrastructure (e.g., navigation and surveillance) services Coordinating changes to U.S. and international procedures.

Some of these functions are new in NextGen; many are enhanced. Existing functions (e.g., forecasting demand, providing navigation and surveillance services) are also transformed. The transformations are discussed in subsequent chapters of this document. In addition, although flight planning and weather services are automatically disseminated or provided by third-party service providers, ANSP personnel still provide safety-critical in-flight services. Table 2-6 defines the NextGen service provider roles in relation to those of 2006 service providers.

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2006 Roles

Table 2-6. Air Navigation Service Provider Roles

Corresponding NextGen Roles Capacity Managers in Collaboration With Airspace Users and Flight Operators Design and strategically allocate airspace. Dynamically adjust the assignment of airspace to tactical separation providers. Structure routings (air and ground) where required, and flexibly allocate airspace for other purposes, including the operation of state (government) aircraft. Flow Contingency Providers in Collaboration With Flight Operators Identify potential flow problems, such as large-demand capacity imbalances, congestion, high degrees of complexity, and blocked or constrained airspace (e.g., for special use, weather), and collaborate to develop flow strategies (i.e., aggregate trajectory solutions). Trajectory Manager in Collaboration With Flight Operators Predict individual flight contention within a flow for resources, identify complex future conflicts (i.e., strategic separation management), and coordinate individual trajectory resolutions. This is focused on near-tactical management of individual trajectories within a flow. Separation Manager (May Be Flight Crew Depending on the Airspace and the Operation) Eliminate residual conflicts left by the three strategic functions of TBO. Automation detects the conflicts and provides the resolution. Automated Dissemination to Operators and Flight Crews, FOCs, Third-Party Service Providers Provide flight planning and weather services. ANSP role is limited to safety-critical in-flight assistance. Operators may also interact with third-party weather providers or their own FOC.

Area Supervisors, Airspace Designers, (Special Use Airspace/Space Launch Coordinator Are Partially Comparable) Design and strategically allocate airspace. Adjust the assignment of airspace to tactical separation providers (primarily by combining and decombining sectors). Structure routings (air and ground) where required. Traffic Management Specialist/Coordinator Identifies potential flow problems, such as large-demand capacity imbalances, congestion, high degrees of complexity, and blocked or constrained airspace (e.g., for special use, weather), and collaborates on traffic management initiatives. Traffic Management Specialist/Coordinators, Air Traffic Controllers (e.g., En Route D-Side) Ensure traffic management initiatives are carried out. Perform planning for flights entering sector, identify future conflicts (i.e., strategic separation management), and coordinate resolutions with adjacent sectors. Air Traffic Controllers (e.g., En Route RSide) Provide tactical separation to separate aircraft from other aircraft and special use airspace, and organize and expedite the flow of traffic. Flight Service, Third-Party Service Providers Provide flight planning and weather services (e.g., DUAT).

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2.8.1 International Harmonization ICAO Planning and Implementation Regional Group (PIRG) or multilateral agreements coordinate planning and implementation of NextGen ANSP transformations to harmonize the

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application of technology and procedures. [P-5] This harmonization allows airspace users to realize the maximum benefits of the NextGen transformations. Encouraging performance-based, harmonized global standards and leveraging research and capabilities development helps reduce the cost of aviation. Global harmonization retains the United States role as a world leader in aviation by encouraging performance-based, harmonized global standards and enabling services tailored to traveler and shipper needs. Global environmental impacts are reduced, and security risks are assessed globally. 2.8.2 ANSP Personnel Management to Support NextGen Because NextGen transformations significantly change the roles and responsibilities of ANSP personnel, substantive and organic changes in ANSP personnel management are necessary. NextGen transformations with the largest impact include TBOs and airspace Performance-based separation standards Greater role for the aircraft and flight crew in operations Reliance on intelligent automation, including for tactical separation management Emphasis on strategic flow management to minimize the need for tactical separation maneuvers Dynamic assignment of airspace boundaries and associated NextGen operations.

These operational transformations (see Table 2-7) require corresponding transformations in ANSP personnel selection, staffing, training policies, and practices to meet NextGen performance objectives. Considerations include Personnel selection (e.g., minimum skill levels, special skills, experience levels, and cultural issues) Staffing (e.g., staffing levels, team composition, job design, team communication, and organizational structure) Training (e.g., training regimen, training effectiveness, skill retention and decay, retraining, emergency operations training, training devices and facilities, and embedded training). [R-53]

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Significant Transformation Personnel Skills and Selection

Table 2-7. Personnel Management Transformations

2006 Current Capability Tactical (sector) controllers dominate ATC workforce. Controllers must learn local characteristics of airspace. Skill sets are matched to traffic characteristics within airspace (e.g., high altitude cruise, transition, terminal). 2025 NextGen Capability Separation managers are assigned only to classic airspace. Common airspace/flow configurations, decision support systems (DSS), and a network-centric information management system minimize the need for local airspace knowledge. Skill sets are matched to traffic characteristics in airspace (i.e., classic, TBO). ANSP personnel are assigned in and across facility boundaries to match staffing to traffic demand. Airspace assignments change dynamically. Different operational grade levels exist within a general service delivery point to support career progression.

Flexible Staffing

Training

Controllers assigned to one area of specialty within a facility. Sectors combined/decombined to manage workload. Constant adjustments are made to facility staffing levels to match traffic levels; facility grade assigned by traffic levels. Facility training is the longest part of training to learn local characteristics of airspace. Training emphasizes tactical separation in a variety of conditions and traffic loads.

Commonly configured airspace reduces facility training time from months to weeks or days. Training emphasizes management of off-nominal operations.

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Air traffic has different characteristics based on whether it is in classic or trajectory-based airspace; consequently different sets of skills are needed for service providers in these two types of airspaceone of an air traffic controller and the other of an air traffic manager. In trajectorybased airspace, the requirement for the service provider to retain local knowledge of the airspace (e.g., frequencies, airspace fixes, hand-off procedures) is minimized; therefore, the airspace can be treated like commonly configured airspace. This is particularly true at high altitudes. Commonly configured airspace affords great flexibility in the airspace and corresponding traffic to which ANSP personnel can be assigned, and the frequency with which the assignments can dynamically change. It also enables the reclassification of ANSP personnel commensurate with the new types of operations. Direct-addressable communication reduces the requirement for frequency management and knowledge. In classic airspace where ANSP personnel provide tactical separation and all aircraft capabilities must be accommodated, the skill set of the ANSP personnel is similar to that of a radar controller. New ways of staffing air traffic facilities take advantage of available resources and provide opportunities for career growth. Automated staffing tools help facility managers match staffing to traffic demand so that management of NAS resources is dynamic and flexible to adjust for
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changes in the market as well as daily and seasonal traffic flow changes. Unconstrained by facility boundaries and with the necessary communication, data, and surveillance capabilities, ebbs and flows in traffic levels can be efficiently managed. By decoupling geographic airspace and infrastructure constraints from aircraft operations, capacity managers have the flexibility to leverage resources across facilities to match staffing to traffic demand. [R-54], [P-6] Colocating operational domains (e.g., tower control, classic airspace, TBO airspace) of differing complexity levels into general service delivery points allows service providers to advance to higher grade levels without having to relocate. This has the dual benefit of providing employees better opportunities for career progression while dramatically decreasing operating, maintenance, infrastructure, and permanent change of station costs. All air traffic facilities benefit from scheduling and workforce management improvements. Staffed virtual towers (SVT) allow ANSP personnel to service multiple airfields from a single physical location. The ability to use SVTs enables airports to receive tower services that would not normally receive services given the criteria for today and costs of building a tower. In addition, automated virtual towers (AVT) are an innovative way to provide new services in an affordable way where service delivery was not practical before. AVTs are beneficial for smaller towered airports or SVT airports to continue providing existing services during off hours at reduced staffing costs. A voice interface ensures that minimally equipped aircraft receive service. Commonly configured airspace significantly reduces from months to weeks or days the time required to achieve various levels of ANSP personnel certification. Reduced training time is, in part, enabled by the elimination of inter-facility letters of agreements and the corresponding need to learn all local characteristics of the airspace. This in turn reduces training costs and fosters other benefits such as increased flexibility in scheduling, more rapid response to staffing needs, and reduced stress on training resources (e.g., on-the-job training instructors). Various levels of fidelity in training simulators reduce training cost and time. The enhanced process and inherent simulation capabilities provide for more standardized instruction, unbiased assessment of performance, mitigation of weaknesses, and useful remedial and proficiency training. Performance measurement tools evaluate the efficiency and efficacy of training programs, processes, and paradigms on the development and enhancement of skills performance. They also measure job performance competencies and related knowledge, skills, and abilities that determine individual and work team safety, efficiency, and effectiveness. Some members of the NextGen workforce are hired into the new roles of ANSP personnel (e.g., CM, FCM, TM) while others are retrained from the classic roles of air traffic controllers and traffic flow managers. Given the reliance on automation, ANSP personnel are selected and trained to ensure they can deliver the essential services when off-nominal or emergency conditions exist. This necessitates that a significant portion of the training focuses on dealing with emergencies and exception situations in addition to training all other necessary skills to support NextGen. This necessitates not only that systems have a very high level of reliability but also that failures are controlled in a gradual degradation, providing ample time to reduce traffic to the reduced capacity levels.

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Selection criteria tailored to the type of ATM services provided (e.g., classic airspace controller, trajectory manager), innovative and flexible staffing techniques, and a revamped training program ensure the ANSP workforce is best prepared to meet the demands and challenges of the NextGen. 2.8.3 Safety New safety policies and processes, addressed in detail in Chapter 8, are sanctioned under the safety management system (SMS) to improve the safety culture, ensure a prognostic safety risk management (SRM) capability, and enhance the safety assurance function. The National Aviation Safety policy enacts performance-based rules and emphasizes quality goals. Proactive risk assessment and management quantifies safety risk levels of all system and procedural changes prior to implementation. [R-55] Advanced data analysis and risk modeling and simulations are used for greater understanding of system, procedural, and operational risk. The risk assessments are based on coordinated and interlinked data sources, and safety data is shared across cognizant organizations in a timely manner to improve safety performance. Risk mitigation strategies are coordinated and integrated where appropriate at a national level. Safety assurance is based on audits of processes and procedures with the regulatory authority focused on the comprehensive approval and periodic audits of the safety management programs. [R-56], [R-57] 2.8.4 Security Given the limited resources of the government and private industry, it is critical that mitigation measures be developed based on threat and vulnerability, as well as the potential consequences to individuals, transportation assets, and the economy. [R-58] To achieve the requisite adaptability while maintaining effective security standards, the NextGen security system has a sound method of prioritizing risks and assessing the proportional effectiveness of different ways of countering them. In the NextGen, the security system is completely integrated with other NAS functions, and through advanced networking functionality, linked to external aviation industry stakeholders and non-federal government entities. Risk management continuously assesses threats, consequences, and vulnerabilities and is conducted from the strategic to the tactical levels. The security relationship with the ANSP primarily falls under the processes for maintaining secure airspace and maintaining secure aircraft. The major objective for secure airspace is to prevent or counter external attacks on aircraft and other airborne vehicles anywhere in the NAS or to use an aircraft as a weapon to attack assets and event venues on the ground. To reduce the security risk in the air, NextGen secure airspace systems and procedures detect and mitigate anomalies in aircraft operation that indicate unauthorized use or pose a threat and prevent these aircraft from operating in the NAS. These risk management requirements include dynamically defining the boundaries of restricted airspace, and implementing airspace access and flight procedures based on a verification process, which dynamically adjusts for aircraft performance capabilities. The model combines credentialing data with performance data as part of developing the risk profile of the flight object, and ANSP observations may result in changes to the risk profile, including escalation of flight risk to security and defense. NextGen security
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advances improve the safety and security of the aircraft in flight through a variety of hardware, software, personnel, and procedural methods.

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3.1 INTRODUCTION
Airports are the nexus for many of the transformational elements to be deployed as the NextGen becomes reality; these include safety, security, environmental management, and ANSP initiatives. The successful transformation of airports is pivotal to achieving a threefold increase in system capacity. New airports will be built, including both major airports for scheduled air carrier service and nonmajor airport facilities that will serve the GA community. In busy metropolitan areas, some nonmajor airports will grow into facilities to support significant scheduled air carrier service. New runways will be proposed and built through 2025 and beyond, in order to expand upon the utility of existing facilities. Passenger terminals will also be built or expanded. While this chapter explores concepts that can streamline this process, the development cycle of major infrastructure will remain much longer than many aviation industry business cycles. Today, the planning, environmental review, design, and construction of a new runway is a 7-to-20-year process at a major airport. This means that the many of the new runways that will be operational in 2025 are already being proposed today. Accordingly, major capacity gains will come from maximizing use of existing infrastructure, through both the increasing use of nonmajor airports and new procedures that increase runway throughput. For example, new point-to-point air service will support increases in traffic at regional airports. ATM procedures to enable independent operations on closely spaced parallel runways will improve capacity of existing infrastructure. New technologies and ATM capabilities will ensure safe aircraft separation, including the forecasting and monitoring of wake vortices. For some classes of aircraft, synthetic vision (e.g., infrared goggles) and other new technologies will mitigate the impact of low visibility and ceiling conditions on capacity. All of these advances will increase the utilization of existing infrastructure. Within the context of the NextGen, the realm of airports is unique. Unlike other components of the NAS that are directly managed by the Federal Government (such as ATM, safety, certification, and security), airports are regulated but primary decision-making is done at the local level. Effectively, the development and/or transformation of an airport hinges on the efforts and decisions of the communities and users it serves. This chapter is not intended to identify specific locations for new airport development or specific infrastructure needs (e.g., runways, terminals, gates) at existing airports. Rather, the chapter examines concepts that can advance the capabilities of existing infrastructure and enable new infrastructure to be developed as needed. Also, concepts for nonmajor airports are import to the success of NextGen. Many of the concepts in this chapter focus on initiatives to improve service at and/or expand major airports. This is a reflection of the volume of traffic that will continue to use these facilities in 2025. However, this
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is not meant to take away from the important needs of airports that primarily serve the GA community. The concepts in this chapter for airport preservation; airport mission, management, and finance; and airport and regional planning have applicability to both major and nonmajor airports. But future versions of this chapter will include concepts that will focus on the needs of nonmajor airports as these concepts become available. [R-33] 3.1.1 Airports are a Diversified System The current U.S. airport system is composed of approximately 20,000 airfields, the majority of which are small, privately owned airfields that support a significant GA community. Of the 20,000 airfields, about 25 percent are open to the public. FAA certifies airports that have air carrier service by aircraft with nine or more seats; only 575 airports are so certified under 14 CFR Part 139. The diversity of airports is an important consideration. Each airport is a unique operating environment to a far greater extent than the analogous airspace structures. Different airport layouts, constraints, and procedures pose unique challenges to achieving and maintaining efficient operations at peak capacity without sacrificing safety. Section 2.7.4 describes the NextGen concept of commonly configured airspace, which should lead to further standardization of the airborne environment. Airports are much less amenable to standardization, as reflected in this ConOps. Many of the factors that currently drive airport development are primarily market-driven, rather than falling under the control of the airport operator or Federal Government. Even as airports are responsive to their users, the users are in fact responding to market factors. Airport users include flight operators as well as the traveling public and neighboring communities that benefit from and are affected by the airport. Many factors will drive airport development and operations through 2025 and beyond. Going forward, likely factors that will drive airport actions include the following: Some major airports that are at or near capacity today may not be able to reasonably expand to support up to a threefold increase in aircraft operations or a 1.8 to 2.4 increase in passenger movements. This will drive development of other airports in congested metropolitan regions. Nonmajor airports will expand by promoting higher levels of service to both aircraft operators and passengers, potentially pushing integration into the huband-spoke system and stimulating changes in the airline hub business models. Congestion and the hassle factor will drive some passenger choices as to whether to travel on scheduled carriers with connections through major airports or seek transportation via regional airports with (scheduled/nonscheduled) nonstop service or other modes of transportation. Sufficient multimodal transportation networks must be developed to link airports with population and business centers. People and cargo must be able to get to and from the airport in a predictable and efficient manner.

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Federal, state, and local agencies must evolve to support, regulate, and oversee NextGen operations, given multiple challenges in terms of security, safety, and efficiency while maintaining a viable laissez-faire economic system for the aviation industry.

Beyond traditional airline operations, new service offerings are expected from operators of V/STOL aircraft, VLJs, and suborbital spaceplanes. These new services are expected to continue to drive growth in GA and nonscheduled commercial operations as an alternative to scheduled air carrier travel. Newly developed V/STOL aircraft (e.g., tiltrotors) could increase service within large metropolitan areas and thereby promote the development of small-footprint airports designed specifically to serve these operations. Insertion of increased V/STOL operations into major hub airports will require careful design to ensure conventional aircraft operations are not negatively affected. VLJs offer the potential to make business jet travel more efficient and cost effective. While the viability and sustainability of the VLJ air taxi business models have yet to be proven, VLJs could substantially increase air service options, especially in communities that currently have limited service. Ultimately, the airport infrastructure needed to accommodate VLJs already exists at most airports because the aircraft have the capability to operate from shorter runways (i.e., 3,000 to 4,000 feet). With the expansion of satellite-based instrument approach procedures (IAP) to most runway ends (and related infrastructure, such as approach/runway light systems and SVTs/AVTs), all-weather access by VLJs and other aircraft to nonmajor airports will increase. Conversely, VLJ use at major airports and in congested airspace could exacerbate delay levels as a result of increased aircraft operations and the complexities of managing air traffic with dissimilar airspeeds and wake turbulence separation requirements. Suborbital flight offers considerable potential for the next 20 years. Conceivably, the flight profile for suborbital space aircraft could be interoperable with conventional fixed-wing aircraft operations in order to make the best use of existing infrastructure. This could help the integration of suborbital flights into congested airspace and airports. Alternatively, suborbital operations could be concentrated at airports and airspace remote from the busy facilities in metropolitan areas. Although suborbital flights may ultimately bring about a radical change in how people travel between continents and the time required to do so, the impact on airport infrastructure is unknown. At airports with significant scheduled air carrier service, the physical and functional layout of passenger terminals is likely to evolve in response to changes in passenger processing, remote data access and sensing, information sharing, and multimodal transportation connections. The infrastructure needed to support security screening and international arriving passenger processing (i.e., Customs and INS) should decrease as these processes are integrated and refined to support NextGen. The trend for passenger check-in at locations outside the airport, such as at home, via mobile phone, and at hotels/resorts, cruise ships, conference centers, and so forth, will continue.

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3.1.2 Catalysts for Airport Development Actions While long-term development planning is an important tool for identifying potential infrastructure development projects, specific catalysts are needed to move projects from the planning stage to implementation. Historically, new gates and terminal layouts were built to accommodate widebody aircraft, regional jets, and hubbing operations. Airfield construction, including terminals, new runways, and runway extensions, has been done in response to specific localized needs. More recently, new security procedures such as the need for in-line baggage screening have driven further changes. In an era when airport security has become a national priority, airports have been able to accommodate new and evolving infrastructure needs in order to guarantee aviation security. In coordination with SSPs, airports have been able to accommodate the screening of passengers and baggage with relative efficiency despite significant challenges associated with implementation. Rather than being driven by long-term planning, these efforts were undertaken in response to specific events. This illustrates the need for increased flexibility in airport planning, development, and operations. At airports with substantial scheduled airline service, air carriers typically consent to pay for a substantial part of infrastructure development through lease agreements and user fees. Accordingly, development activities typically do not move forward until there is general consensus from the users on the need for the project. While new technologies are important drivers of airport transformation, the financial and political support from users is critical to project implementation, due in large part to the high capital and time investments required for infrastructure projects. A forecast of long-term demand alone is not sufficient given the cyclical nature of the aviation industry. There must be a definite, reasonably foreseeable need for the project. As a result, the development history of any particular airport is unique and is a reflection of that facilitys layout, aircraft operation types and activity levels, user demographics, and governing political systems. Potential solutions to NextGen critical issues need to be evaluated using metrics relating to aircraft performance, capacity, landside access, and level of service. Interpreting the various metrics with an understanding of how changes might affect the entire network of airports is key. For example, solutions implemented at a number of major airports may cause significant and negative impacts at smaller airports, or vice versa. To achieve balance, NextGen must recognize the diversity of airports and work to integrate the national planning process with site-specific facility planning, financial planning, environmental sustainability, and regional system planning. This approach, combined with benchmarking, market analysis, effective policy, operational procedures, and technology, will help to identify the appropriate airport infrastructure necessary to develop an integrated airport system and thus meet the goals and objectives of NextGen.

3.2 KEY TRANSFORMATIONS

The fundamental mission of an airport is as an interface between the ground transportation system and the air transportation system, transferring people and cargo to/from aircraft, and then getting the airplane to/from the gate to the runway in a safe, efficient, and secure manner. As

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such, airports are a primary element in the total capacity of the air transportation system. This will continue to be true with NextGen. The airport-specific concepts identified in this chapter are intended to provide the technology, policy, and regulatory mechanisms and other programs that will enable the airport system to meet the NextGen goal of accommodating up to three times the current number of aircraft operations at an acceptable level of service. Essentially, the concepts are a menu of available services that will be adopted by some airports but not others, depending on their needs and missions. For example, some airports that cannot expand their terminals may focus on off-site passenger processing capabilities, while other airports will build expansive, flexible terminals. Following the tradition of airport development in the United States, the actual implementation of these concepts will be done on a case-by-case basis through local decisionmaking in cooperation with the airport operator, users, and neighboring communities. Many of the opportunities to transform the standards, procedures, and processes by which airports are managed and developed will create corresponding policy and research questions that must be resolved in order to enable NextGen in 2025. While technology is important, many of the potential transformations related to airports (such as decisions to expand an airport) are ultimately policy choices that will be enacted at federal, state, and local levels. As shown in Table 3-1, the key airport transformations are expected to be in the areas of operational enhancements, new enterprise services, and dynamic support and planning services that will be responsive to changes in the aviation industry. Table 3-1. Significant Airport Transformations
Significant Transformation Integrated Surface and Ramp Traffic Management System 2006 Current Capability Runway incursions and missed taxi clearances result from lack of situational awareness. GSE operates per prescribed procedures, although there is no active monitoring and awareness. Constraints on information exchange between flight crews, ANSP, and ramp management result in inefficient traffic flows on the airport surface. 2025 NextGen Capability Proactive management of GSE, including schedule adjustments in response to demand, system integration, and advanced tracking capabilities. SSA enables coordination between flight operators, ANSP, and ramp management. Automated coordination between ramp management and ANSP for transfers of aircraft management. Supports coordinated pushback, deicing, and support functions for aircraft and GSE. Subterranean ground ramp support facilities.

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2006 Current Capability Facility maintenance, emergency response, and environmental operations at airports are not fully integrated into decision-making by the aircraft operators, ANSP, and airport operator during day-today operations.

2025 NextGen Capability Sensors, data management, and information exchange provide support for airport management functions to be aligned with NextGen goals. Network Enabled Operation (NEO) facilitates effective communication between airports, local emergency resources, and state and federal agencies during emergency situations. Day-to-day operations at airports will be conducted to achieve the NextGen goal of meeting demand while reducing the overall environmental impact. Passenger screening is adaptive, costeffective, unobtrusive, thorough, expeditious, and integrated into terminal operations. Customs/INS processing is more efficient and predictable, with less duplication and increased processing at the departure point. Ground transportation system provides an efficient, effective transition across multiple modes of transportation while maintaining security, efficiency, and passenger convenience and choice.

Terminal Operations

Off-Site Passenger and Baggage Processing Enabled through Integrated Trip Tracking

Airport security procedures are conducted within the limitations and confines of existing terminal building designs and configurations to meet defined threat levels. Detection devices for checkpoints and for checked baggage screening are deployed as stand-alone units with limited systems synergy or automation. Ground transportation system is based primarily on private automobiles, rental cars, and taxis. Limited opportunities for multimodal connections. Multiple systems for tracking passengers and baggage, with limited opportunities for advanced integration and thirdparty access. Centralized passenger processing/check-in can result in congestion and inefficiencies.

Passenger Flow Management Nonsynchronous systems do not provide for coordinated efforts in enhanced passenger traffic through the terminal.

Integrated trip tracking, with access by authorized third-party organizations that provide custom services such as remote check-in and baggage transport/processing. Remote Terminal Security Screening (RTSS) will allow passengers to undergo full screenings at remote, offairport locations and then be transported directly to the sterile portion of the airport terminal. Enhanced baggage delivery system. Efficient passenger flows in airport terminals to support up to a threefold increase in operations, with technology for improved signage, status information broadcast, and predictive capabilities.

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2006 Current Capability Substantial effort is expended to gather accurate and comprehensive information in standard formats (e.g., Geospatial Information Services [GIS]). Many airports are threatened by encroachment, new hazards to air navigation, conversion to nonaviation uses, and nonsustainable operating costs.

2025 NextGen Capability Airport data and information are available in a centrally managed, comprehensive repository. Integrated GIS for airport protection surface and flight hazard analyses. States, localities, and metropolitan planning organizations work to preserve the viability of existing airports through incentives and linkages with federal programs. Information on airport needs and growth is readily available to communities. Decisions on land use, new structures that could impact airport protection surfaces, and future planning are made in the interest of long-term airport sustainability. Policy, financing, and regulatory mechanisms provide for both public and private ownership and management of airports. As appropriate, increased use of joint use military airports provides for improved civil access to the NAS. Finance system has dedicated funding sources with government support for critical nonmajor airports. Airports within a region are operated in an integrated and complementary manner. Financial, ANSP, SSP, environmental reviews, and regional coordination integrated into the planning process to reduce oversights, improve capabilities, and enhance efficiency. Integrated, comprehensive, annual updates to identify gaps and implement solutions. Post-implementation evaluation of new actions in coordination with environmental management systems.

Airport Preservation

Airport Mission, Management, and Finance

Airports are typically publicly owned and operated by a city, county, or airport authority. Airports in a region are often owned and operated by several different local governments that may have differing objectives. Airports serve a utility function, providing service as a community gateway, economic engine, and transportation hub.

Airport Planning Process is Flexible, Efficient, and Responsive

Planning, environmental, and finance processes are often not well integrated, resulting in delays to implementation.

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2006 Current Capability Regional considerations are not typically part of the Master Planning Process, in part due to jurisdictional boundaries.

2025 NextGen Capability Metropolitan Planning Organizations and an integrated planning process foster agency coordination in order to address jurisdictional constraints. Incentives promote multimodal and ground transportation connections within regions, as needed to facilitate expanded use of nonmajor airports. Parallel runway separation standards, obstacle identification, airport protection surfaces, and sensor systems are optimized to take full advantage of NextGen driven airspace and aircraft improvements. Unique infrastructure needs for UAS, V/STOL aircraft, spaceplanes, and other new flight vehicles are incorporated into airport design standards. Capacity constraints due to ground infrastructure, including ramp congestion, runway crossings, and overnight parking are factored into airfield design. Changes in processing technologies and security screening requirements can be accommodated in a terminal envelope that enables rapid reconfiguration of the building to meet ongoing needs.

Optimized Airfield Design

Defined standards are used to guide airfield design, as appropriate for today's aircraft and operational procedures.

Flexible Terminal Design

Terminal envelope is static, with considerable work and disruption required to accommodate changes and new developments.

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3.3 AIRPORT ENTERPRISE OPERATIONS

At major airports, airfield and passenger terminal capacity continues to be a significant challenge for airport operators due to the complexities associated with runway/ramp operations, security, airline operational changes, and regulatory requirements. Addressing these elements is complex, as airport operators have limited control over many of the factors that affect day-to-day airport operations. For example, runway capacity is affected by FAA standards on airfield geometry, ATM procedures, and airspace structure. Passenger terminal capacity and level of service are affected by technology, airline business models, and security operations. Airside, landside, and terminal airport infrastructure must be balanced in order to achieve optimal use of total airport capacity. Future growth in aircraft operations cannot be accommodated without application of innovative ATM technologies and procedures, construction of additional infrastructure at major airports, and/or better utilization of existing infrastructure at nonmajor airports. NextGen seeks to increase the overall capacity of the existing airport system through the implementation of transformational concepts that enable the optimum and balanced utilization of airside and landside (i.e., terminal and multimodal transportation)
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components at national, regional, and local levels. The growth of the airport system will incorporate factors for environmental, financial, and regional sustainability. 3.3.1 Airside Operations The movement of aircraft and GSE on the airport surface requires new logistics, management, and technology in order to enable the efficiencies required with NextGen. Many of the factors related to airport capacity, such as parallel runway separation standards and related procedures for independent operations, are a function of the ANSP and are therefore discussed in Chapter 2. This includes wake turbulence procedures, including the placement of active sensors on the airfield for wake turbulence. This chapter discusses the non-ANSP functions related to aircraft movements on the ground, such as ramp management and deicing operations, as well as GSE movements. 3.3.1.1 Integrated Surface and Ramp Traffic Management System Surface movements of aircraft and GSE at airports are actively monitored and proactively managed, in real time, to ensure the smooth, efficient, and safe flow of traffic. With advanced technology, trained ANSP and ramp management staff are able to effectively manage high traffic volumes, including superdensity operations, on the airport surface. Using SSA and NEO, information is shared among flight crews, ANSP, ramp management, airport operators, SSPs, and other stakeholders in near real time. In the interest of performance management, the Integrated Surface and Ramp Traffic Management System will provide the capability to replay operational events, and analyze those events, with an eye for trend analysis and identification of opportunities to improve procedures. The system will also provide data for SSA initiatives. This will help the NAS to perform at optimum levels as a matter of routine. GSE, such as baggage carts, fuel trucks, catering vehicles, and other airport vehicles, will be managed using real-time surveillance/tracking, integrated support systems, and enhanced communication capabilities. GSE will have defined operating areas on the ramp specific to their function. [R-59] This will aid in providing separation from aircraft and supporting security protocols. To the extent practical, subterranean conveyors and fuel hydrant systems would be employed to reduce ramp congestion and improve safety. In addition to management, the technology used in GSE will advance. GSE will have sensors and logic to avoid hitting aircraft. As discussed in Chapter 7, GSE will be powered by alternative and/or low-emissions fuels, including electricity and hybrid systems, in order to reduce airportrelated emissions. With proactive management of GSE, real-time schedule adjustments in response to demand will be facilitated and made easier to implement. Through SSA, real-time surface surveillance of aircraft and GSE is available for all airport stakeholders, including the airport operator, aircraft operators, SSP, and ANSP. Technology advances support aircraft safety and airport access. For example

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Ground-based perimeter sensors will ensure that aircraft can be maneuvered on the ramp without coming into contact with other aircraft, GSE, or obstructions. Systems and procedures will be in place to support the interoperability of UAS, VTOL, helicopters, spaceplanes, and conventional aircraft.

3.3.1.2 Airside Management Functions With the aid of NEO, the airport operator will monitor a variety of operationally critical data feeds in order to better manage facility maintenance, emergency response, and environmental operations. 3.3.1.2.1 Facility Maintenance Airports will be expected to keep facilities open and available in all conditions. Sensors on the airfield will collect data including weather and pavement conditions, and integrated systems will be able to detect anomalies like chemical spills or debris. Forecasting systems will use this data to provide predictions of surface conditions of the runways and taxiways and will be linked with intelligent decision support systems to provide pavement treatment crews with guidance on optimal strategies to keep runways and taxiways clear and serviceable. Airports report winter airport conditions using advanced friction testing equipment and automatically disseminate the condition information in an accurate and timely fashion using SSA. The ICAO Snowtam program could provide an effective template for reporting winter conditions. [R-60] Systems in the terminal building and other airport facilities will notify airport operators of security status and maintenance issues. These intelligent monitoring systems will automatically feed into the airport operations center where the information can be used to help manage the facilities. 3.3.1.2.2 Emergency Response Airport operators will support continuous monitoring and management of routine and emergency airport operations, with support from NEO. The emergency response mechanisms at airports are closely tied to security functions (see Chapter 6) and are heavily leveraged by the NEO, which will be able to instantly recognize an issue at the airport (e.g., fire, incursion, accident, other incidents) and dispatch the appropriate response. In addition, 3D displays (virtual reality and live) will provide a clear picture of the incident, enabling the airport operations center to accurately and efficiently manage and support the response. Communications links will quickly be established and information automatically routed to the appropriate user groups. Adjacent jurisdictions and relevant regional and/or national entities will be able to directly access the NEO and provide the most efficient support possible. [R-61] Effective operational training would be conducted under the National Incident Management System (NIMS). The security of the airport perimeter and surface will be improved, as discussed in Chapter 6. [P7]

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3.3.1.2.3 Integrated Environmental Operations Day-to-day environmental operations at airports will be conducted to achieve the NextGen goal of meeting demand while minimizing overall, quantifiable environmental impacts, including [R62] the following: Environmentally friendly aircraft have lower noise and air emissions and reduced fuel consumption. Environmental commitments are considered in concert with capacity needs and weather in the selection of runway configuration, maximizing net benefits and sustainability. Use of predictive weather capabilities, icing sensors, and monitoring of icing holdover times (as defined by the flight operator) are included in the 4DT and flight object. Improved deicing/anti-icing technologies will be used to expedite the process and reduce delay. These systems will help to reduce the use of deicing and anti-icing fluids. [R-63] Water quality is improved via best management practices for storm water management (to reduce hydrocarbons, metals, and other monitored pollutants) and collection methods for spent deicing/anti-icing fluids. [R-64] Proactive monitoring of air quality and aircraft noise exposure will support efforts aimed at minimizing impacts at local and regional levels.

Deicing is a significant operational, environmental, and safety issue that will continue to provide challenges in NextGen. The use of deicing and anti-icing with freeze-depressant point fluids involves subjective contamination inspections of critical aircraft surfaces, with inadequate or nonexistent tools to monitor conditions that affect estimated fluid holdover times. Current procedures are inefficient, provide a less-than-optimum margin of safety for winter operations, and are environmentally unfriendly. NextGen will need improved methods for both deicing and anti-icing. Research is needed on alternative methods to both deice and anti-ice aircraft. Research is underway in the use of infrared energy to deice aircraft, but the effects of infrared energy on aircraft composite surfaces need further study. Also, depending on specific facility requirements, infrared solutions are not always cost-effective. A more environmentally friendly Type 1 deicing fluid is also desirable. Anti-icing must evolve beyond the current use of fluid protection with estimated holdover times. The issue of weight up until now has discouraged aircraft manufacturers from incorporating ground anti-icing systems on their airframes. However, aircraft manufacturers need to develop lightweight and energy-efficient deice/anti-ice systems for their next generation of aircraft. Short of that capability being developed, NextGen will have to continue to rely on the inefficient and less-than-desirable system of fluid deicing/anti-icing that is used today.

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Airports will continue to have the challenge of monitoring noise, air quality, water quality, and wildlife. Through NEO, improved information access, availability, and exchange will support enhanced airport environmental operations. For example: Sensors will be in place that will automatically detect pollution thresholds in local waterways and alert operations personnel to actions, including diversion of used deicing/anti-icing fluids to storage for later treatment. Aircraft and surface deicing product usage will be automatically monitored for reporting, mitigation, and compliance with environmental goals. UAS performing security functions and the airport perimeter security intrusion detection system may have the capability to assist with wildlife management programs.

3.3.2 Passenger Terminal Operations Through improvements to technology and procedures, airport terminals will support increasing passenger demand levels at acceptable levels of service. 3.3.2.1 Passenger Processing and Security Advances in common use systems will continue with existing trends towards automated issuance of boarding passes (whether paper or paperless) and faster processing of passengers. [P-8] As discussed in Chapter 6, the SSP will be responsible for regulating, managing, and/or implementing new and transformational technologies and procedures to ensure system security using integrated risk management. Typically, a departing passenger will be able to arrive at the airport curb, get his or her boarding pass and check baggage (as needed), clear security screening, and be at the gate within 30 minutes. 3.3.2.2 International Processing Customs and Immigration and Naturalization Services (INS) processing is more efficient for international arriving passengers, with less duplication and increased processing prior to departure (i.e., electronic clearance of passenger manifests). To the extent possible, Customs and INS are integrated with security screening procedures and/or augmented by automation to ensure the necessary procedures are incorporated throughout the network of airports without unnecessary duplication. [P-9] As security systems move towards strategic actions, the need for Customs and INS facilities at point-of-entry airports, or even the classification as point-of-entry airports, may be unnecessary. For the airport infrastructure this means that the requirements for dedicated international arrival boarding bridges, sterile corridors, transit hold rooms, and Federal Inspection Services (FIS) facilities could be substantially reduced. At airports that currently have space allocated for those functions, this would provide additional space for passenger processing and improve passenger flows. Transit time for passengers on connecting flights would be reduced.

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3.3.2.3 Multimodal Transportation Links The ground transportation system provides for effective, efficient transitions across multiple modes of transportation while maintaining security, efficiency, passenger convenience, and choice. [R-65] Typically, this would involve transfers from the air transport system to ground transportation with a higher density (i.e., mass transit) than that offered by passenger automobiles. The intent of this would be to alleviate congestion and delay for passengers on the ground network when traveling to/from the airport. Inclusion of multimodal links in this ConOps is not meant for funding or program implementation by NextGen, but rather to highlight the need for airports to work with their communities to integrate airport and landside access/transportation planning. With three times as many operations, people may not be able to get to the airport without landside transportation improvements. As with many systems, the air transportation system is and will continue to be constrained by its weakest component. Most passengers and cargo get to the airport via the roadway system connecting the airport to the community it serves; thus, increasing activity at an airport puts added pressure on that system. While other transportation agencies may be responsible for providing adequate infrastructure for access to airport property, each airport has to ensure that the terminal area and on-airport access roads meet user needs. Environmental sustainability and management will also need to be considered, as applicable to federal, state, and/or local regulations. Tracking and analysis of curbside activity and subsequent optimization of curbside operations at existing airports will be required. For new airports, designing landside access configurations in conjunction with terminals and while considering future development is a must. Establishing adequate rail or other mass transit service (e.g., shuttles and bus rapid transit systems) to airports to reduce the strain on roadways and parking facilities will also be key. Implementing these planning tactics will ensure that airports of the future can balance and meet landside as well as airside demand. These strategies apply not only to major airports, but also to any nonmajor airports that will be used to augment regional capacity and alleviate congestion. In some cases, major investments will have to be made to develop required infrastructure to fully take advantage of the benefit that these airports offer, especially with the potential for increased usage by VLJs and V/STOL aircraft. Traditionally, adding capacity to transportation systems leads to increases in demand. Demand and capacity must be balanced within airport systems. If there are multiple airports within a system, they need to be designed as one system and not as individual airports to avoid system imbalances, bottlenecks, and associated congestion and delay. Multimodal transportation links are an important component in making regional airport systems viable.

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3.4 AIRPORT ENTERPRISE SERVICES AND CAPABILITIES

Enterprise services are specific programs (e.g., software, processes) that will provide benefit to airport operations and mission support functions. 3.4.1 Passenger Flow Management Efficient passenger flows in airport terminals are important so that congestion, queues, and baggage do not impede passenger movements. NexGen will define a minimum level of service to support this mission. Passenger (and other airport customer) flows are impacted by signage (e.g., Flight Informational Display Systems/Common Use Terminal Equipment [FIDS/CUTE]), public transportation, regional transportation, parking, conveyance systems, terminal space layouts (including gates, concessions, and restrooms), airline business models, and marketing. In addition, changes to security protocols can create bottlenecks, thus impacting the ability of a passenger terminal to meet the needs and goals of NextGen. In order to meet the NextGen goals for smooth passenger flow management, coordinated information is broadcast to users, including current status and forecast for security wait, customs/INS processing, flight status, and so forth. Although these systems exist today, they are not sufficiently synchronized to facilitate passenger flows. NextGen provides open information standards for a centralized, wireless-enabled system to disseminate passenger flow information at key airports to include ground transportation connectivity, weather, delays, parking availability, check-in times, and so forth within a single network. 3.4.2 Off-Site Passenger and Baggage Processing Enabled through Integrated Trip Tracking An enterprise service provides for integrated trip tracking of baggage and passengers, which adheres to industry-defined standards of service, reliability, maintainability, and universal access. The system supports tracking of passenger and baggage information (e.g., RFID), synchronization, itinerary/handling information, remote check-in, and security assurance. The system does not conduct the transfer of passenger and baggage between venues, but supports the continuous tracking and availability of the plan, intent, and current locations of passengers and their baggage. Through an open information standard, transfer of passenger baggage is enabled (e.g., a passenger renting a car from a rental car company picks up the luggage at the rental car rather than at baggage claim). The RTSS facility provides added value to conducting full-spectrum screening of both passengers and bags, as described in Chapter 6. Then, cleared passengers and bags will be transferred in secure ground transport to the sterile portions of the airport terminal. The passenger and bag tracking system would decentralize passenger processing and allow bag makeup to be conducted in an out-of-the-way area of the airport, if appropriate. This would increase capacity, reduce check-in time, reduce personnel requirements, and enable tracking. Both bags and passengers would be known information, allowing 4DT aircraft departures in a more reliable manner. Passengers and bags are treated as information monitored by the passenger remotely (e.g., via mobile phone or handheld device). Aircraft operator check-in personnel are
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reduced or no longer needed, as is space in the terminal for check-in. Arrivals bag claim is not used by passenger but instead is an industrial sorting center at a remote part of the airport (similar to cargo operations). Information management and data exchange is integrated into NEO. 3.4.3 Airport System Planning Information Services The airport operator has an important role in providing accurate and up-to-date GIS data to other elements of the NextGen. Today, the lack of ready access to accurate and up-to-date airport surface GIS data is a significant issue with existing automation systems. System-wide airport planning for the NAS is difficult today because of the diverse standards and formats of information. Because each airport has responsibility for its own planning and development, the information quality, structure, and format is defined by each airport according to individual needs and budgets. Although the FAA has defined general guidelines for the development of airport documents, there is no central repository of available information. The noninteroperability of many of the formats, and the difficulty of conversion between formats, also inhibit simple exchange of airport planning information. [P-10] In order to meet the goals of NextGen, high-quality airport data and information need to be available in a centrally managed, comprehensive repository. For example, the flight hazard/obstacle review process can be automated through distributed GIS with information on Part 77/Terminal Instrument Procedures (TERPS) surfaces and obstacles. These data can be used to support safety assessments and hazard mitigation tracking. Airport layout plan documents would be available in a central repository available through a managed access process (i.e., an airport map database). Other components, such as noise contours, emissions mapping, land use, historic aircraft trajectory data, and completed studies, would also be available in the central repository. As appropriate, these systems would be developed in GIS-based formats. Additional information on this topic is available in Sections 5.8 and 5.9.

3.5 AIRPORT MISSION SUPPORT

Many of the functions of airports that would be transformed with NextGen will occur in terms of mission planning; that is, the long-term planning that will enable the domestic airport network to accommodate up to a threefold increase in operations while maintaining a high level of service. 3.5.1 Airport Preservation A diverse network of airports must be preserved throughout the nation in the best interest of an efficient national air transportation system. This includes all types of airports, inclusive of major air carrier airports and smaller, nonmajor airfields that act as relievers and regional airfields. All are vital to the future success of NextGen. However, many airports are at risk from encroachment or closure, and preservation of these resources is vital to the success of NextGen. Today, airports provide a community with a fast and efficient gateway to the domestic and international air transportation system. Many companies consider proximity to an airport as a key

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reason for locating their facilities, including proximity to smaller airports that have sufficient infrastructure to support business jet operations. This will become even more apparent as air taxi operators using VLJ business models come into operation during the next decade. Smaller airports are also a vital resource during emergencies. Emergency response activities are often staged out of smaller airports, including responses to natural disasters such as hurricanes and wildfires. Without efficient airport access, emergency response services will become more constrained. The sustainability of existing airports is critical to the future growth of communities and to the nations air transportation system. Within NextGen, increased use of nonmajor airports is envisioned as a key way to increase total system capacity and thereby accommodate up to a threefold increase in operations. With the deployment of new precision approaches to most airfields, as enabled by satellite navigation technologies and RNP, access to most nonmajor airports will become safer and more reliable. Increasingly, aircraft operators will need to make maximum use of the existing infrastructure at nonmajor airports in order to avoid congestion and higher costs at major airports. Increased use and expansion of the nonmajor airports is essential to achieving the goal of enabling an airport system that supports up to a threefold increase in operations. A diverse network of airports is also needed to support new and emerging aircraft, including UAS, V/STOL, and supersonic aircraft, as well as to support the ever-changing needs of the military. Where appropriate, increasing the utilization of existing and new joint-use facilities will provide for improved civil access to the NAS. The primary threats to airport preservation are land use encroachment of incompatible uses, conversion to nonairport uses, sustainable capital and operating finance mechanisms, and lack of community support. Land use encroachment and development has long been a concern to airport operators and users. Land use decisions are local and state concerns that reflect the political nexus of many interests: residential communities, developers, local governments, and airport users. Lack of support from communities that do not understand the importance of their airport is also a key factor. Accordingly, advocacy and sponsorship of the airport by local businesses, users, and the community is important for long-term preservation. Within NextGen, a new program is needed to support airport preservation in order to facilitate the sustainability of existing airfields. Several successful models for such a program exist, including those of the State of Californias Airport Land Use Commission, the Washington State Department of Transportation, and the Maryland Aviation Administration. The NextGen program includes linkages to 14 CFR Part 150 and EMS and facilitates increased participation by the Federal Government in identifying and protecting critical infrastructure. In addition to preventing land use encroachment and/or conversion, the program would also address Airport Protection Surfaces (i.e., 14 CFR Part 77 and TERPS, as applicable to NextGen) and noise exposure as related to the future sustainability of the facility. States, airports, and metropolitan planning organizations (MPO) would be encouraged to participate in the program through participation in the federal grant and airport certification process. [R-66] [P-11]

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In addition, the program may evaluate other areas adjacent to airports that may be affected by undesirable noise, light, glare, fumes, vibrations, smell, and low-flying aircraft activity. These impacts are most pronounced under the airport traffic pattern, which can extend several miles from the runway. Negative effects generated by airport operations in these areas often present health and safety problems and degrade quality of life for residents. Program implementation would start with identification of at-risk airports through the National Plan of Integrated Airport Systems (NPIAS), as well as input from users, airports, and others with interests in airport preservation. Essentially, long-term maps (i.e., 20-year maps that coincide with comprehensive planning) of the airport protection surfaces, existing and future noise levels, and safety zones would be prepared for airports. New development (including issuance of building permits and/or zoning amendments) and changes to comprehensive plans within the long-term mapping would require notification to the airport, local governments and MPOs, state aviation agencies, and the FAA. Depending on the state enabling legislation for land use decisions, this long-term mapping could be integrated into airport overlay zoning that would curtail new development that might affect airport preservation or future expansion plans. These organizations would have the opportunity to review and comment on the development plans for compliance with federal grant assurances, community interests, and the long-term sustainability of the NAS. Potential recommendations on the development plans could include consent/approval, disapproval, or a recommendation to amend the plan to include easements, noise mitigation, and disclosure requirements. The jurisdiction seeking to approve the development plans would be required to respond to the comments and provide their reasons for acceptance, rejection, or amendment. Depending on the governing laws of the state and local jurisdictions, varying legal remedies could then be available. At a regional level, the identification of former military bases (e.g., as part of the Base Realignment and Closure process) that have potential civilian uses could continue to be an important component in enabling aviation growth. In heavily developed regions, these former military bases may be the only realistic option for expanding regional airport access and capacity. Through NextGen, the conversion of suitable former military bases to civil aviation use will be facilitated through integrated, long-term regional planning that identifies future applicable aviation uses for the facilities. The obstruction evaluation process is more effective so that the airspace around airports is protected from encroachments that diminish aviation safety and reduce airport access and efficiency during inclement weather. As discussed in Section Error! Reference source not found., a new geographical information systembased enterprise service will permit integrated obstruction analyses inclusive of the current 14 CFR Part 77 and TERPS obstruction criteria, as well as the protections needed for air carrier one engine inoperative takeoff performance criteria, dynamic RNP, and other advanced flight procedures. By making the obstruction analysis process more robust, builders and the FAA will be able to evaluate proposals and alternatives thoroughly and efficiently. As a result, airports and aircraft operators will be protected from obstructions that impact approaches and capacity, thus aiding in the preservation of airports as a component of NextGen.

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3.5.2 Airport Mission, Management, and Finance NextGen airports will be operated by a mix of private and local government/public entities under safety, operational, and certification regulations similar to those used by FAA today. As such, the airport operator will be responsible for aligning their operating characteristics to support the NextGen mission, requirements, and goals. The ownership, management, and mission of airports will include (1) publicly owned airports with a primary utility function, (2) private airports that operate in a business-focused environment, and (3) hybrid airports that include both public and private elements and partnerships. Policy, financing, and regulatory mechanisms will provide for both public and private ownership and management of airports, including access to the NAS through level-ofservice agreements with the ANSP. [P-12] As a utility, airports provide at-cost access to the NAS for aircraft operators and the traveling public. Airports also serve as a gateway to the community. In the role of interstate commerce, airports can also function as a competitive business, especially in the case of the major airports. Airports serve as a catalyst in promoting the growth of both aviation- and nonaviation-related businesses. 3.5.2.1 Privatization Trends While major airports today have sufficient access to capital for their infrastructure projects, publicly owned transportation systems in the United States. are increasingly considering new sources of finance for both capacity investment and operating expenses. This can be seen in the privatization efforts of highways at the state level. This trend is likely to continue and may extend to airports, as public airport owners (states, cities, and municipalities) seek to divest themselves from the responsibilities of airport management and develop structures that would enable the private sector to assume these roles. This could come in the form of privatization or, more likely, long-term concession agreements between the airport operator and private enterprises to ensure that the needs of the public and stakeholders are met. The finance mechanisms available to airport operators will continue to evolve and will be a major determining factor in the management of airports. Major airport operators will continue the trend of seeking capital expense sources that are more flexible and independent from Federal Government sources. Airport operators may seek nontraditional sources of revenue in order to efficiently fund their development, given the requirements associated with federal funding. At the same time, private finance institutions are looking favorably on transportation facilities as secure and profitable investment opportunities. As a result, funding for capital projects is available through commercial markets (e.g., bonds, equity investors) for airports with substantial passenger volumes. This could help airports to more quickly grow to meet demand. Current federal statutes include major impediments to private sector investment, ownership, or long-term leasing of large airports. The existing Airport Privatization Pilot Program has proven to be inadequate and ineffective in demonstrating the potential benefits of private sector ownership and operation of commercial airports. Major reformation of current federal statutes will be needed to encourage more investment, ownership, and operation of large airports in the United States by private investors, which may be crucial in meeting future air transportation
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demand. In certain situations, the disposition of aviation-related revenue and profits to nonaviation-related activities will need to be addressed. 3.5.2.2 Finance Needs of Nonmajor Airports While funding is typically available for necessary projects at major airports, nonmajor airports often have difficulty in getting sufficient capital funding. Operating finances can also be a particular challenge for nonmajor airports. In the best interest of a sustainable NAS, the airport infrastructure finance system demands robust and dedicated funding sources with federal and state government support for critical nonmajor airports. As discussed in Section 3.5.1, the longterm preservation of the airport network is essential to the success of NextGen. Viable finance mechanisms are an important component in preservation. As the business models of major airports become more competitive and commercial markets and user revenue sources (e.g., landing and leasing fees) are increasingly available to fund capital projects, the Federal Government could enhance funding support for critical nonmajor airports. Specifically, available federal funding for airport development could be primarily directed to critical nonmajor airports with a financing formula that is not enplanement-based. With policy mechanisms that support public, private, and hybrid models, airport operators will be able to more efficiently and effectively adapt to their operating environment and thus improve service to their users and communities. This would be true for airports with a broad range of missions, including major domestic and regional hubs, regional airports with commercial service, and GA and reliever airports. Most airports will probably continue to function in the public domain, with some services being run by private enterprises, as is done today. However, where feasible, privatized airports may enable improved market-based efficiencies and capitalization. Regardless of the ownership, management, and mission model adopted by a specific airport, environmental standards and requirements (including NEPA, noise, air quality, deicing/storm water, and so forth) will continue to apply as part of the airport certification (14 CFR Part 139) and Airport Layout Plan (ALP) update process. Airports will also continue to be responsive to the concerns and needs of the communities that they impact and serve. 3.5.2.3 NAVAID Support The acquisition, operation, and maintenance costs of airport NAVAID infrastructure is a significant expenditure that needs a long-term strategy to guarantee its reliability and operation. This strategy needs to consider both existing and new NAVAID technologies and the benefits realized relative to the cost of development, installation, and maintenance of those technologies. This includes new sensor technologies for wake turbulence detection and advanced weather sensing. 3.5.2.4 Congestion Management Congestion management is discussed in this ConOps in an effort to track the ongoing policy discussion regarding airports where infrastructure development and ATM capacity improvements are not likely to be sufficient to meet future demand (e.g., New York LaGuardia). Accordingly, congestion management is a policy issue rather than a specific concept. However, the policy choice made regarding congestion management will likely affect some airports in

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NextGen. Congestion management also differs from C-ATM concepts, which seek to meter traffic in and out of congested airports rather than manage airport access. Congestion management programs at major airports may be used to manage short-term situations where demand exceeds the available capacity of the airport infrastructure. A combination of regulatory and market-based mechanisms could be used to balance the competing needs of aircraft operators seeking airport access, for airports to provide a reasonable level of service, and for the ANSP to accurately predict the impact of the local congestion on the NAS and mitigate the ripple effects throughout the NAS. Concurrently, the congestion management program could incorporate mechanisms to facilitate aircraft operator competition (e.g., gate access for new entrant carriers) and ensure major airport access for flights from smaller communities. For example, congestion management could affect the viability of service from small communities to airports such as New York LaGuardia and thus convenient access to major economic centers such as New York City. If congestion management increases the cost of airport access, flights from certain small communities to major economic centers such as New York City may not be economically sustainable. Alternatively, the market-based incentives could push flights to/from smaller cities to be scheduled at off-peak times that are not conducive to convenient access. Such adverse effects would be mitigated through specific measures within a congestion management program. In addition to short-term situations, consideration may be given to allowing airports to impose long-term peak-period landing fees that will both help manage congestion at large airports and bring increased revenue to the airport for use in modernization investments and other improvements that will assist in meeting growing passenger and freight activity. Existing federal statutes require revenue neutrality, preventing the airport from increasing user fees if they produce revenues that exceed airport costs. Changes to federal law in this manner will also encourage greater interest from private investors in investing in airports. Within the congestion management program, the roles and responsibilities of federal, state, and local government decisionmakers, as well as the airport operator, will need to be determined. As discussed previously, the disposition of revenue over and above airport needs will need to be determined, including the potential use of this revenue to support the economic sustainability of airport infrastructure. 3.5.3 Airport Planning Processes are Efficient, Flexible, and Responsive Solutions to airport critical issues need to be balanced against other aviation metrics such as aircraft operational and passenger capacity, safety, level of service standards, landside access, and environmental goals. For each of these, the NAS will need to have a clear image of different airport types and the domino effect that could ensue as a result in major aviation policy changes. For example, solutions that are implemented at a number of large airports may cause significant and negative impact on smaller airports, or vice versa. To achieve the proper balance, the future airport system will require the ability to integrate multiple planning processes and analyses to determine the appropriate airport infrastructure necessary to develop the future integrated airport system plan.

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Planning processes that encompass traditional master, financial, and environmental planning activities will be integrated into a single, comprehensive planning architecture that will enable more efficient, flexible, and responsive planning. NextGen goals will be integrated into the planning process, as will ANSP coordination activities that are needed to ensure the successful implementation of airport improvements (e.g., so that airport planning actions take into account airspace constraints). [R-67] Regional considerations such as the specific roles of airports within a system, availability and need for multimodal transportation links, and the comprehensive plans (including land use) of local jurisdictions will be key factors in successful airport planning efforts. By integrating these diverse activities into a complete process that is efficient, predictable, and transparent, oversights will be reduced and capabilities will be enhanced. Effective public involvement is also critical to ensuring that the community is aware of and can support airport infrastructure development. [R-68] FAA-supported finance mechanisms will be available to support integrated planning processes, as well as coordination actions for NextGen and ANSP. For major airports, planning is envisioned to occur on an ongoing, annual basis in connection with Capital Improvement Programs (CIP) and performance management activities, in order to identify long-term gaps and emerging trends and respond appropriately. A continuous, integrated planning process will support current environmental streamlining activities in that it will speed the identification and dissemination of airport data, as well as improve data comprehensiveness and quality. The continuous planning process will also support the EMS process discussed in Chapter 7. The impact of aviation on the surrounding environment is a critical study element in the development of airport infrastructure. As air traffic grows, airports will need to operate in a more environmentally sustainable and energy-efficient manner so as to prevent environmental degradation. Sustainability and environmental management measures will be incorporated into proposed facilities, programs, and procedures. Environmental regulations for airports fall under the jurisdiction of many agencies representing the federal, state, and local governments (i.e., city, county, municipality). At many airports, community and stakeholder groups are also involved in environmental management. Although the process is essential to the preservation of an environmentally sustainable airport system, the cost (in terms of both time and money) associated with the environmental approval process can (today) constrain the expeditious implementation of airport capacity initiatives such as additional apron and gate expansion, landside access projects, and airfield improvements. With a planning process that integrates airport, financial, environmental, and regional planning activities, airports will be able to more quickly satisfy emerging infrastructure needs. Post-implementation evaluation of actions will be an essential component of the planning process, so the actual benefits of new infrastructure can be quantified and compared to the planned estimates. This supports a lesson-learned function in planning activities, in order to identify successful project strategies and valuable lessons learned. In conjunction with EMS, evaluations of environmental impacts will be accomplished in order to identify how actual impacts and mitigation requirements may vary from the impacts projected in relevant Environmental Assessments or Environmental Impact Statements.

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3.5.4 Regional System Planning Increased support at a national planning level will be needed to (1) promote multimodal and ground transportation initiatives directly related to using alternate airports, (2) manage demand among a system of airports, and (3) protect airports from noncompatible development while also recognizing the land use needs of communities in the vicinity of airports. In terms of long-term sustainability, airports and local governments must work together to improve compatibility and to protect airport and community resources, including consideration of off-airport environmental and community planning issues. Comprehensive, integrated regional system plans are critical to achieving these objectives. Planning for airport systems, multimodal transportation, and land use are integral components of comprehensive regional system plans: Airport system planning includes activities to determine the role of each airport within a system, estimate aviation demand, determine infrastructure needs, and provide for environmental management. Multimodal transportation planning includes activities for highway, high-speed bus, and rail (including light, heavy, high speed, and freight) connections between airports, RTSS facilities, central business districts, regional transportation arteries, and residential areas. Land use planning includes activities to integrate airport compatibility standards for aircraft noise and obstructions into the comprehensive plans implemented by local jurisdictions, while also considering the development, revenue, and demographic needs of the communities.

These components are interdependent; for example, the lack of appropriate multimodal connections can constrain use of an airport, regardless of available terminal and airside facilities. Without sufficient ground access in the form of multimodal infrastructure, superdensity airports may be able to accommodate a higher number of aircraft operations but will not be able to deliver the passengers and cargo on the ground required to maintain an efficient transportation hub. Similarly, an airport that is used as an alternate facility will not be successful if efficient multimodal connections are not available to transport passengers and cargo to their ultimate destinations. In addition, local land use decisions can constrain future airport growth: Decisions to permit development of noncompatible land uses can increase the number of people living within existing and future noise impact areas; this will ultimately increase the cost of airport expansion or curtail it altogether. Development of tall towers and structures can create new obstacles that impact IAPs, airport protection surfaces, and aircraft performance/flight profiles; this constrains airport access. Other development can affect runway protection zones and other safety zones.
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Through regional system plans, airport operators can take a more active role in local land use planning by being involved in the development, review, and implementation of comprehensive plans that are used to manage local land use. Proactive use of multiple land use management tools, including disclosure requirements, conventional and overlay zoning, land banking, and development rights will also be important. Efforts to prevent new obstructions to air navigation (e.g., radio towers) from constraining aircraft performance and instrument arrival and departure procedures at an airport will also be part of the regional system plan. In order to manage interdependencies, multiple components will be integrated into the regional system planning process. Through consideration of the needs, constraints, and goals of aircraft operators, communities, and other stakeholders, the regional system plan will serve to integrate decision-making for airports, multimodal transportation, and land use. The regional system plan would provide guidance on the specific activities undertaken by local jurisdictions and airport operators for ground transportation and land use development. Potential environmental impacts and benefits will also be assessed, using appropriate metrics and impact criteria for noise, air quality, water quality, and other effects. Primarily, regional system planning would be most critical for major metropolitan regions with multiple airports and a diverse transportation network. While regional system planning is not a new concept, it will become vital to the success of the NextGen when faced with up to three times the level of operations in existence today. Specifically, airport planning processes will need to incorporate regional components, including regional policy decisions. Airports will provide local and regional transportation planning agencies (e.g., MPOs) with proposed development plans (including master plans) for review and comment. In addition, airports will collaborate with surface transportation agencies in their planning efforts so that airport ground access needs can be considered in the context of the overall regional transportation planning and programming process. Similarly, airport operators should be engaged in the review of proposed surface transportation plans and programs to ensure that the transportation access needs of the airport are properly taken into account. [R-69] Federal, state, and local roles in regional coordination and decisionmaking will need to be defined in support of NextGen goals. Appropriate policy guidance and finance mechanisms will be identified and made available to support regional system planning and multimodal infrastructure development. For example, regional system planning could be transformed if federal funding for nonmajor and major airports is tied into the role of the metropolitan region within the NAS, rather than using the number of enplaned passengers as a primary measure. An important element in regional planning is the recognition of the roles, responsibilities, and legal authority of the federal, state, and local jurisdictions that have interests in regional planning. Ultimately, the decisions to move forward on most airport and regional transportation projects are made by local governments, with guidance and financial support coming from the state and federal levels. For example, the Federal Government does not allocate demand to specific airports. Rather, market-based interactions in consideration of airport facilities, ground access, socioeconomics, and so forth determine how many and what types of flights operate at a specific airport (within a system of airports). For the purposes of NextGen, a better understanding of how market and nonmarket mechanisms affect the choices made by aircraft

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operators to serve specific airports is needed so that regional needs can be better forecasted and incorporated into decisionmaking. [R-70] 3.5.5 Optimize Airfield Design The NextGen development will transform the way air traffic flows and airspace are managed. For airports, this means that the airfield needs to be optimized to take full advantage of NextGen driven airspace improvements. This includes developing new runways, maximizing use of existing infrastructure, and incorporating use of enhanced runway markings, dynamic lighting, and multiple thresholds/touchdown points. 3.5.5.1 Parallel Runway Separation Criteria Procedures that will permit independent aircraft operations to/from closely spaced parallel runways (i.e., with smaller separation standards than those than in use today) will maximize the capacity of existing infrastructure. In terms of airfield design, reducing separation between parallel runways needed for independent aircraft operations will reduce the land needed for runway development. One of the major limitations to new runway development is the lack of available land to develop new runways at high traffic airports, especially in dense metropolitan areas. Specific parallel runway separation standards are a function of ANSP procedures; the development and implementation of new standards will have a substantial effect on airfield design and capacity. [R-71] 3.5.5.2 Obstacle Measurement and Data Distribution Landing and takeoff minimums (i.e., required ceiling and visibility weather conditions) will be lower at airports served by IAPs with the development of a robust and accurate national obstacle database. Today, there are many airports with higher-than-standard takeoff or landing minimums because of obstructions. Mature airborne and satellite-based obstacle identification and measurement techniques will supplement present-day ground survey practices. Accuracy tolerances and required clearance criteria currently added to obstacle locations and heights will be reduced or eliminated, thereby allowing airspace designers to develop IAPs with the lower minimums. Obstacle data will be readily available through a web-enabled distribution system using geographical information system technologies. This achieves substantial increases in capacity, as it increases access to the airport during low ceiling and visibility conditions. 3.5.5.3 Airport Protection Surfaces Airport protection surfaces are zones around airports that define the maximum height of obstacles so as to not interfere with the safe operation of aircraft in the overhead airspace. Today, airport protection surfaces are defined in 14 CFR Part 77 and FAA Order 8260.3, TERPS. In addition, 14 CFR Part 121 describes the engine out-climb gradients required for operation of air carrier aircraft. The climb gradients are often a factor in the determination of takeoff weight from an obstacle-constrained runway. Aircraft performance characteristics that increase present-day levels of safety, combined with advanced instrument procedure design criteria, allow for reductions in obstruction clearances and associated protection areas currently required for both ground and satellite-based aircraft flight procedures. [R-72] Reduced protection surfaces allow arriving aircraft to use lower ceiling and
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visibility minimums when using IAPs during inclement weather, thereby increasing access to the runway and increasing overall capacity because operations are not constrained due to inclement weather. Lower ceiling and visibility minimums also permit more aircraft to depart airports during adverse weather periods. Consideration needs to be given to alleviate recent changes to precision obstacle free zones (POFZ) and Final Approach W Surfaces that have had dramatic impacts to airports with displaced landing thresholds. 3.5.5.4 Sensors The NextGen will require the deployment of new sensors on the airport. Sensors will be needed in the runway environment for the active detection and dissipation measurement of wake vortices, which will enable reduced aircraft separation during conditions when wake turbulence is not a hazard. [P-13] Advanced weather sensors will also be deployed to airports, including sensors that provide a detailed picture of the atmosphere along the airport approach and departure paths in order to detect the varying conditions that may affect flight operations and wake vortices. Placement criteria, noninterference zones, maintenance requirements, and other necessary considerations for the sensors will be incorporated into airport design standards. 3.5.5.5 NAVAIDs The transition to satellite-based IAPs will free up airport surface movement areas previously constrained because of ground-based navigation systems (e.g., Instrument Landing System [ILS] Critical Areas). NextGen will require less ground-based radio navigation infrastructure to support IAPs than is used today with ILS and other systems. Therefore, ILS critical areas and other zones designed to protect instrumentation from interference will be less of a constraint. This will facilitate the efficient movement of aircraft on the airfield. 3.5.5.6 Other Design Factors Airports will have runway safety areas that meet applicable FAA airport design standards, in order to support potential aircraft overruns. Where sufficient land is not available or improved runway safety areas are not practical, alternative mechanisms to prevent overruns will be implemented (e.g., Engineered Material Arresting System [EMAS]). Unique infrastructure needs for UAS, V/STOL, spaceplanes, and other new flight vehicles will be incorporated into airport design standards. A new collision risk model may allow increased use of larger aircraft in existing object free zones. [R-73] While efforts to increase runway capacity are vital to NextGen, the ground and gate capacity of the airfield is also critical. The ground interactions between GSE, people conveyance systems, and aircraft on the apron and taxiways, as well as aircraft crossing runways, will be a significant constraint to capacity with up to three times as much operations. For example, superdensity operations may require end-around taxiway systems and other changes to airfield layout, in order to minimize the need for runway crossings by taxiing aircraft. At night, the apron space required for overnight parking of aircraft will also increase substantially. The reduction of ground movement delays and congestion due to constrained airport infrastructure will be an important component in enabling NextGen, as will providing sufficient gate capacity.

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Ultimately, no single strategy will increase the capacity of the NAS and airports. Rather, a thorough analysis of the multiple components in the system and their interactions will provide the optimum combination. 3.5.6 Flexible Terminal Design With flexible terminal designs, changes in processing technologies and security screening requirements can be accommodated in a terminal envelope that enables rapid reconfiguration of the building to meet ongoing needs. Available infrastructure would support common use facilities such as gates, ticket counters, kiosks, and information systems. Note that the common use infrastructure is not intended as a federal mandate; each airport and its users will determine gate allocation based upon its specific needs and factors related to efficiency, cost, and availability. [P-14] Today, the passenger terminals are experiencing an ongoing shift from traditional modes of operations. The airline industry has shifted to new operational efficiencies based on low cost and high volume. This shift is largely a result of carriers that have successfully driven changes in traditional operating models, including an increased reliance on automation of passenger checkin that results in reduced queue times at ticket counters. However, this does cause more pressure on security screening points due to peaking characteristics. These changes are also having an effect on the rates and charges that airports can charge to the airlines for the use of terminal space. This shift is likely to result in a relative reduction in the space that airlines will use for passenger processing in the future (in terms of square footage per enplanement), resulting in a different operational revenue structure for the airport. [R-74] New terminal designs will increasingly incorporate provisions to support energy and resource conservation, including green design and technologies.

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4.1 INTRODUCTION
Integral to the NextGen concept is the establishment of an enterprise that facilitates air transportation systemrelevant information to be shared widely among authorized usersboth quickly and reliably. 3 At the same time, all information must be protected through trusted relationships and authentication of appropriate users. The structure that allows this to be accomplished is the Enterprise Services function. 4 Enterprise Services consists of two principal subsetsInformation Services and Infrastructure Services. The first provides data and information to subscribers when and where needed in an accessible format. It maximizes compatible understanding for shared awareness by consistency of information (i.e., if two users ask the same question at the same time, they both get the same answer). The second provides communications connectivity to ensure that information flows reliably to support information communications before sharing functions. 4.1.1 Net-Centric Infrastructure Services for the Air Transportation System in the Year 2025 Interagency development and provisioning 5 of Net-Centric Infrastructure Services supports the delivery of the operational improvements envisioned by this CONOPS. The services described herein support the target air transportation system of 2025, which provides the interface between the NextGen Enterprise Services and the operational communities of interest (COI). 6 These services provide the appropriate operational entities within the NextGen environment with the appropriate data at the opportune time to allow cooperative understanding and collaborative decision-making. The concept of net-centricity ensures a robust, globally interconnected network environment in which information is shared in a timely and consistent way among users, applications, and platforms during all phases of aviation transportation efforts. By securely interconnecting distributed users and systems, net-centricity provides a robust, resilient, efficient, and effective information sharing environment enabling substantially improved situational awareness and shortened decision cycles. This chapter proposes a structure that supports the information requirements from applicable COIs by outlining necessary policy, cultural, and political changes in order to leverage
3 4

5 6

Sharing accurate information vs. sharing information accurately; reliability takes care of the latter point. In the DoD, infrastructure comprises Communications Transport, Enterprise Services, Information Services (common to nodes and across nodes), and user interfaces. Historically, systems stopped producing redundant infrastructure and focused on information services and business logic, all decoupled from user interfaces. The concept of applications is split, more to providing information and functionality through services. Development is implementationprovisioning makes that implementation available and sustained. In the NextGen, COIs are collaborative groups of users (public and private) who must exchange information in pursuit of their shared goals, interests, missions, and business processes.

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interagency programs, research efforts, and ongoing agency and industry product development. 7 The result is an environment where information and data comprise an integrated, interoperable system to meet stakeholder objectives and are provided as a quality of service (QoS) shared in support of accurate decision-making. As greater understanding and awareness of COI capabilities, programs, and specific needs develops, the Net-Centric Infrastructure responds iteratively to provide infrastructure capabilities of increasing capacity. The following guiding principles are required to realize the Net-Centric Infrastructure Services in support of the NextGen: 8 Frequency Bandwidth/Spectrum Capacity Supports Stakeholder/COI Information Sharing Needs (KEY). There is more than sufficient bandwidth available across ground, airborne, space, and mobile networking to allow extremely fast transmission rates for all types of data (to include simultaneous transmission of graphics, video, and audio) with appropriate QoS. There is sufficient spectrum available to handle the transmission of critical information to appropriate COIs through a scalable infrastructure that evolves as technology advances. [R-75] Voice by Exception and Improved Where Necessary. A voice communications system carries voice transmissions over the established fixed and mobile ground, airborne, or space information networks. [R-76] Protocol Resolution. Communications transport provides sufficient and dynamic addressing with secure and assured end-to-end connectivity for all platform nodes, including cargo, passengers, and crew across the air transportation enterprise. [R-77] Data Availability. Data registries and discovery mechanisms between entities (government, commercial, private, and international organizations) allow for data sharing in a push/pull and publish/subscribe environment between authorized COIs. [R-78] Content Understanding. Metadata tagging and federated search allow the contents of data to be understood. Technology for Access Authentication and Timely Decision-Making. Wherever possible, the system includes the capability to automatically capture any and all relevant data about components of the ATC environment, including aircraft, baggage, expendable supplies, aircrew, controllers, ground-handling equipment, gates, and passengers, and provide this information to authorized COIs in order to make timely decisions. [R-79]

This chapter does not propose the adoption of one agency to manage and administer the net-centric environment for aviation needs; that is a question to be answered by a future policy decision. In the interim, all agencies will have their own infrastructure with applicable standards enabling the sharing of data/information across platforms/ domains. Applicable areas are developed further in the Policy and Research Issues associated with this chapter. 4-2 VERSION 1.2

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No Single Point of Failure. A distributed information environment ensures information reliability, quality, and no single point of failure. The network operates as an enterprise with common transport mechanisms and services. Data Interface Oriented. Software definable interfaces allow for scalable information sharing between authorized COIs. Information Assurance. Secure exchange of information includes access controls, trust relationships, and associated policies and mechanisms to provide appropriate access to information by authorized COI users. [P-15] Cross-Domain (i.e., Multi-Level Security or Multiple Levels of Security) Exchange/ Gateway Capability. Maintenance of information assurance across security levels and domains is a critical feature of data availability. [P-16]

4.2 KEY TRANSFORMATIONS

As shown in Table 4-1, the key infrastructure transformations are expected to be in the areas of network-enabled information sharing, aircraft data communications link, and infrastructure management services. This goal requires widespread access to secure, accurate, current, and timely information and the capability to share this information securely among the operational entities. Table 4-1. Significant Net-Centric Infrastructure Transformations
Significant Transformation Network-Enabled Information Sharing 2006 Current Capability Limited ATM (e.g., traffic) information on flight deck; often, non-common data shared among stakeholders Limited data shared among stakeholders for CDM process Information sharing concerning operational security is done manually Not all stakeholders have access to data they need Stakeholders use custom data sources 2025 NextGen Capability Standardized ATM information provided to the ANSP, flight deck, and aircraft operators Information sharing among security stakeholders to facilitate collaboration, risk management, and decision-making Flexible delivery of needed information and services independent of user physical location Stakeholders can obtain access to data they need

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2006 Current Capability Limited data communications for ATM and operational control Limited access to real-time weather and aeronautical data Voice communications routine for ATM Analog voice Analog weather systems Air-ground and ground-ground communications Loss of communications due to BLOS aircraft position (e.g., over the ocean) Individual ground systems for each information type brought to the flight deck Point-to-point aircraft communications based on ATC sectors

2025 NextGen Capability 4DT, short-term intent, and other data routinely transmitted between aircraft and between aircraft and ANSP Data communications routine for ATM; in airspace reserved for TBO, voice communications used only for extraordinary purposes Capability to permit extensive negotiation between air and ground of 4DT Weather applications on the network Various alerts built or designed within a NEO environment to notify participants of predetermined activities (Hazardous Weather, Security, Trajectory Nonconformance, etc.) that require immediate attention Air-ground, ground-ground, and aircraftaircraft network connectivity in real time BLOS network connectivity relay via other airborne network participants, then to the ground A single, common airborne network that allows multiple applications from as many sources as needed. A network in the sky in which all aircraft are participants (nodes) Network-centric information sharing and ability to reconfigure resources results in ability to maintain normal operations when a major outage occurs Ad hoc capability to address unforeseen incident management Cross-domain solution for holistic sharing without compromise

Infrastructure Management Services/QoS Limited ability to maintain operations when a major facility goes out of service Limited ability to reconfigure resources to maintain operations when a major outage occurs

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4.3 NETWORK-ENABLED INFORMATION SHARING SERVICES

Information sharing is achieved through a robust network among the NextGen stakeholders infrastructure. This allows operational entities, COIs, services, and applications throughout the NAS to collaborate in a seamless information infrastructure, providing for the following: Air navigation service, airport, and flight operations Shared situational awareness Compliance and regulation oversight Security, safety, environmental, and performance management services.

Integration of these operations and services requires an adherence to open standards that maximizes their interoperability across domains. It requires the Net-Centric Infrastructure to provide services that enable secure discovery of and collaborative use of this information for the
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purpose of effective and efficient operation of the next generation air transportation system and business. It will move the NextGen beyond traditional COIs (e.g., command and control, traffic flow, and flight services) to a net-centric, global information environment. Information flows freely from ground to aircraft, from ground to ground, and from aircraft to aircraft as needed. There is greater information connectivity to and from aircraft because the basic architecture of the airborne networking system, using air-air network connectivity, is designed to increase the probability of any single aircraft being connected to the network. Commercial network protocols and topology are employed with seamless integration between the aircraft, the ground, and the rest of the NextGen information network, making information available that was not previously available. The network is properly equipped and in position to handle information needs and unanticipated challenges of tomorrow. Aircraft are continuously part of and/or automatically joined to the network. Network connectivity is throughout the air domain and provided from the ground up to all flight altitudes and includes oceanic and Gulf of Mexico regions. Mountainous regions such as Alaska see a significant increase in information connectivity for aviation as airborne networking is employed. 4.3.1 Ground Network Services A key transformation enabled by the communications network and associated net-centric applications is the ability to provide surveillance, communications, and flight data management, including automation-assisted coordination, to any service provider regardless of its physical location. When coupled with a more flexible air-ground communications network, this transformation supports the optimal daily deployment of NextGen resources and assets. Airspace and air traffic can be assigned without regard to a fixed infrastructure constraint, allowing traffic load sharing across the ANSP workforce on a seasonal, daily, or hourly basis. The networking capability also provides a robust contingency/business continuity capability. Losses of ANSP personnel workstations due to equipment outages or catastrophic events can be mitigated by reassigning management of air traffic and the supporting infrastructure to remaining workstations across the NAS. Access to communication assets is as effortless across facility boundaries as within them. Virtual addressing allows any ANSP personnel workstation to use an air-ground or ground-ground resource. Moreover, the communications system is integrated into the larger operational automation support environment (e.g., flight data processing, surveillance data processing, systemwide information management [SWIM]) so that when control of airspace/traffic is dynamically moved to a new physical workstation, the associated flight data, surveillance, and communications messages are also moved. The option for human intervention to amend the associated configuration in real-time is always available. Some of the obvious drivers for dynamic reconfiguration include the need for efficient traffic flows, the effects of weather, personnel (staffing), staffed virtual towers (SVT), and facility or equipment outages, to mention a few. Regardless of the catalyst, the communications, navigation, and surveillance systems each respond when dynamic reconfiguration procedures are executed.

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4.3.2 Air-Ground Network Services With the transformed role of the flight crew and flight deck in the NextGen, data communications are critical to ensuring that data is available for flight deck automation (i.e., avionics to support flight crew decision-making). [R-18] Data communications are also needed to provide real-time data to the ANSP on the operational aspects of flights. In certain defined airspace, data communications are the primary means of communicating clearances, routine communications, and 4DT agreements between the ANSP and flight deck. [R-80] Voice communications are used to supplement data communications for tactical situations and for emergencies to augment procedural responses or risk mitigations. Voice communications are used to communicate with lesser-equipped aircraft in appropriate airspace. [R-81] One of the key transformations is that air-ground voice communications are no longer limited by the assigned frequency-to-airspace sector mapping. This allows greater flexibility for developing and using airspace/traffic assignments in all airspace. Communication paths, including both voice and data, are controlled by an intelligent network. Communications between the ANSP and the flight deck are established when the flight is activated and are maintained continuously and seamlessly. This capability is linked to the flight data management function so that the system automatically manages who has authority to interact with the flight deck based on the type of agreement being negotiated or information being exchanged. Labor-intensive transfers of control and communication are automated. Data and voice communications are automatically transferred in the flight deck as the aircraft moves between ANSPs. Data communication are central to trajectory-based operations, including the use of 4DTs (pushback and taxi inclusive) for planning and execution on the surface, automated trajectory analysis and separation assurance, and aircraft separation assurance applications that require flight crew situational awareness of the 4DTs and short-term intent of surrounding aircraft. In addition, as indicated above, there is increased sharing of improved common data between the flight deck, operator, and ANSP. In classic airspace where data communications will be available but not required, information exchange can take place with data communications for participating aircraft to provide an operational advantage. Common data includes ATC clearances, current and forecast weather, hazardous weather warnings, notices to airmen (NOTAM), updated charts, current charting, special aircraft data, and other required data. Data communications also includes weather observations made by the aircraft that are automatically provided to ANSPs, weather service providers, and flight operators for inclusion in weather analysis and forecasts. Each of these data communications functions are managed by Required Communications Performance (RCP) standards. 4.3.3 ANSP Facilities and Infrastructure Services Since the flexible ground and air-ground communications networks negate the requirement for proximity of ANSP facilities to the air traffic being managed, facilities are sited and occupied to provide for infrastructure security, service continuity, and best deployment and management of the workforce. This includes co-locating several operational domains (e.g., en route transition, terminal) within a facility as well as staffing virtual towers. The virtual tower and any needed ANSP personnel do not have to be geographically located at the airport, and productivity gains
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may be achieved by allowing ANSP personnel to service multiple airports according to traffic ebbs and flows. Information systems facilitate the monitoring of infrastructure health and remote maintenance to maintain service availability and automatically alert the community about the status of NextGen assets. One of the key transformations resulting from the NextGen is the ability to operate the NextGen with the loss of a limited number of key operational facilities. Network-enabled operations and infrastructure management services provide continuity of operations in the event of a major outage (such as a major hurricane, terrorist event, or power grid outage). New facilities are as much about change management as they are about reducing the number of facilities and cost. In order to facilitate the significant transformations and changes in roles and responsibilities of ANSP personnel, new facilities were incorporated into the overall plan to achieve the NextGen. Traffic is assigned to facilities on both a daily and long-term basis, with service continuity a foremost requirement. Moreover, the facilities are sited and sized to provide for a stable workforce environment with opportunities for career progression. The transformations in the delivery of ground, air-ground, and ANSP facility services are fundamental enablers of the flexibility necessary to respond to demand in an affordable and timely manner. Flexible infrastructure supports changing user needs as well as providing costeffective services that are scaled up and down as needs change. This ensures that the service providers and the information (e.g., flight data, surveillance, weather) are readily available when and where needed. 4.3.4 Aircraft Data Communications Link Key to enabling an agile, scalable airspace environment and its management is the deployment of a fully capable aircraft data communications link. This data communications transformation enables the aircraft to collaborate with the Enterprise Services. This collaboration includes sharing real-time spatial information, identification, weather, security, and operational status for all aircraft. The operational information sharing includes PNT and airport status. Furthermore, the data communications link enables the real-time negotiation of 4DT collaboration between ANSP and aircraft (see Figure 4-1). This robust aircraft data communications link also enables a voice link to the aircraft. This link enables the flight deck to communicate with all necessary collaborative decision makers and operational entities. With the transformed role of the flight crew and flight deck and flight management skills in the NextGen, data communications are critical for ensuring that data is available for flight deck automation and that avionics can support flight crew decision-making and provide real-time data to the ANSP about operational aspects of flights. Data communications are the primary means of communication between the flight deck and the ANSP for airspaces that require data communications capability for clearances and 4DT amendments; for these aircraft, voice communications between the flight deck and ANSP are used only for extraordinary purposes.

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Figure 4-1. Aircraft Data Communications

2742 2743 2744 2745 2746 2747 2748 2749 2750 2751 2752 2753 2754 2755 2756 2757 2758 2759 Additionally, aircraft communicate via airborne networking capability, 9 based on the level of required performance in airspace they are transiting (equipage policy). Every aircraft is a node on the network, providing information connectivity and relaying information when needed. Voice is only used in cases of exception or if strictly limited by equipage policy. This network is based on commercial network technologies to the maximum extent possible and as such provides connectivity for all types of aircraft, from large commercial jetliners to business jets, helicopters, and GA. When new information needs or capabilities are identified by the aviation community; the network conveys that information to the COI. [P-17] 4.3.5 Infrastructure Management Services/QoS Infrastructure Management Services are necessary for operating and maintaining the NextGen enterprise. Infrastructure Management Services includes the network management functional areas of fault, configuration, accounting, performance, and security (FCAPS) management, as well as higher-level functions such as services management. Management of the Enterprise Services builds on the network and systems management capabilities of the underlying net-centric infrastructure. The network management capabilities include managing service quality, security, and resources. The emphasis is on an integrated and holistic approach to management that leverages the capabilities of tools at several levels.
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Ensuring the security and QoS of the NextGen enterprise requires close interaction between the management elements. Systems management within the Enterprise Services addresses the endto-end business process of the NextGen, with tools and technologies capable of delivering centralized management, configurable alerts for exception processing, and integration of NetCentric Infrastructure Services with other information services. To facilitate information sharing, NextGen engineering must include a cyber-protection approach that safeguards the information within an acceptable trusting relationship between the information suppliers and consumers. Agreement on a trust relationship is critical to making the information available to authorized members within the large NextGen stakeholder communitywhich includes Federal Government organizations, state and local governments, the aviation and avionics industry, the international aviation organizations and nations, and the flying public. NextGen information sharing is flexible and adaptable to circumstances and stress experienced by the NextGen over time. Information access channels are opened and closed to changing COIs depending on the circumstances or events at the time. The success of NextGen information sharing depends on constituent trust that information is properly protected, that it is not misused or mishandled, and that recipients have a valid need for the data. In turn, this trust depends on applying information assurance policies, designs, rules, and information systems hardware and software that can be tested and certified and on the perceived ability and willingness of the participants to effectively implement and manage their security responsibilities.

4.4 MISSION SUPPORT SERVICES

Mission Support addresses access, connectivity, collection, processing, and distribution of information. These are foundational functions of the services that provide information assurance, protocols, and standards applicable for Net-Centric Infrastructure Services. 10 These functions are
10

Access is a function of COIs, which are collaborative groups of users (public and private) who must exchange information in pursuit of their shared goals, interests, missions, and business processes. As a result, these COIs require shared and controlled vocabularies and exchange structure and services. COIs are formed based on user need and common mission objectives. As needs and mission objectives are collaboratively agreed upon, the information and application access requirements to support the needs and objectives can be determined. Connectivity addresses standardized interfaces, security, and compression algorithms inherent to the addressable Net-Centric Infrastructure. Logical data exchange between COIs is accomplished via internationally standardized and enterprise standardized next-generation communication protocols that are independent of the underlying communications infrastructure. COIs determine the performance requirements of data/information sharing during operations, and the addressable Net-Centric Infrastructure determines the best path to meet the message requirements. Processing is the collection of information within the Net-Centric Infrastructure that relies on the smart pull of information from multiple sources throughout the network. Users subscribe to streams of information that they require to perform their jobs by referencing their geographic location, flight path, time, types of information that they need, and other custom parameters designed for their particular needs. The Enterprise Services will then authorize the user to use the system, determine the level of access, and make available certain information feeds specific to that particular user. Information will be collected from multiple sources in a seamless manner, obviating the need of the user to be familiar with where the actual information resides and that it is authoritative. Posting is the process of users making raw information available to all of the users in the network by advertising all of their information and posting it so that other users can discover it and make better-informed decisions, neither constrained in stovepipes nor available late to need. It is not their responsibility to determine what is important and what is not important to users. Pulling involves net-centric

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crucial to the successful evolution of a Net-Centric Infrastructure. However, without defined processes for people using the capabilities, the Enterprise Service is not likely to be effective. Therefore, formalization of an institutionalized sharing process is necessary to provide the policies, processes, measures, and accountability required to ensure that COIs integrate access, connectivity, and information distribution into their planning and daily operations. These key issues are described in the research and policy issues in Appendices D and E, respectively.

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5
5.1 INTRODUCTION

Shared Situational Awareness Services

Chapter 4 discussed the NextGen Infrastructure Services such as connectivity and networking. This chapter introduces the concept of Shared Situational Awareness (SSA) Information Services. The NextGen vision of information sharing depends on SSA Information Services being available. In turn, Information Services are dependent on Infrastructure Services being in place and available. In short, information sharing is accomplished by the processes and applications that constitute the Information Services function. Another way to envision Information Services is to consider where authorized subscribers can access the information desired. This access can be accomplished in an automated and virtual fashion where a standing request for information by subscribers is produced, using established protocols and standards. This access concept is what facilitates the NextGen vision of the futuredistributed data for distributed decision-making. The transformation of the air transportation system is dependent upon accessible and shared informationSSA. The following elements of SSA Information Services are introduced in this chapter: Weather Information Services Robust PNT Services Surveillance Services Flight Plan Filing and Flight Data Management Services Flow Strategy and Trajectory Impact Analysis Services Aeronautical Information Services (AIS) Geospatial Information Services (GIS).

5.2 KEY TRANSFORMATIONS OF SSA SERVICES

Key SSA Information Services enable the fundamental operations of the NextGen and transform the national air space operation. Table 5-1 highlights these key services and their transformations.

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Significant Transformation Weather Information Services

Table 5-1. Significant SSA Transformations

2006 Current Capability Weather information requires skilled meteorological interpretation. Weather information is drawn from numerous forecast sources. The resulting traditional air transportation decisionmaking suffers when different and inconsistent weather forecast sources are used, resulting in different decisions and conflicting courses of action. Limited use in decision support systems; not available to all users (primarily pilots) Air routes are mostly defined by fixed groundbased navigational aids. Expanding use of RNAV and RNP procedures Costly ground-based infrastructure in parallel with space-based infrastructure 2025 NextGen Capability Net-centric weather information is made available and understandable to all approved users. A reliable virtual, common weather picture is foundational for optimal air transportation decision-making. Presentation of weather data is tailored to user operational needs. Widespread use of integrated probabilistic weather-related decision support systems Automatic updates to users based on operational need An adaptive observing system, integrating ground-, airborne, and space-based sensors

Robust PNT Services

Surveillance Services Air surveillance radars Surface movement radars Flight Planning Services Limited interactive flight planning capability Limited ability to receive projections on anticipated conditions that affect aircraft flight plans

Air routes are independent of the location of ground-based navigation aids. RNAV is used everywhere; RNP is used where required to achieve system objectives, which reduces controller workload and increases efficient use of NAS resources (airspace and runways). System performance meets operational needs to service the demand. Increased availability of lower minimum guided approaches at smaller airports (mostly for general aviation) Reduced costs to ANSP to provide better navigation services Passive radar, cooperative (data-linkbased) surveillance systems Fused surveillance data services Deployable area-specific surveillance systems Flight planning information services provide all operators with extensive and interactive flight planning capability. Operators receive feedback on anticipated conditions associated with a filed 4DT.

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2006 Current Capability There are multiple similar calculations of flight trajectory, airspace penetrations, time of arrival, etc., leading to inconsistent information about a flight. Information about a flight is specific to an application or location and is inconsistent across applications and locations. Information about a flight is dispersed through many owners. High reliance on oral and textual communication of strategies and concerns Limited access to both data and tools Limited decision support capabilities leading to conservative planning

2025 NextGen Capability Flight information is shared in a way that leads to consistent trajectory information that can be provided to all authorized flight data users as a service. Flight information is consistent across applications and locations and available to authorized flight data users. Information about a flight is contained in one logical unit. Proprietary and security-sensitive information is not shared with unauthorized agencies/individuals. High reliance on data communications and graphical presentations Significantly increased access to data, models, and tools Better decision support to increase the ability to use capacity Common trajectories and analysis capability to improve the quality and consistency of decision-making Automation and information services to increase awareness of constraints and strategies under consideration Broader range of participants Aeronautical information is uploaded, received, and exchanged with more accuracy and in a timely manner. System provides updates and accepts information from both ground and airborne users. Most of the AIS data are text or graphic driven; data are ready to be processed using automation. Users are supported by automation capabilities to exchange real-time information regarding airspace. Dynamic airspace boundary adjustments, trajectory-based operations, and interactive flight planning Ability to access and update information about the physical locations of fixed and mobile assets System manages current information, maintains historical information, and allows desired/planned future capabilities.

Flow Strategy and Trajectory Impact Analysis Services

Aeronautical Information Services

Much of the AIS provided by hard copy or voice Limited ability to receive and process information regarding airspace

Geospatial Information Services

Limited use in current structure

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5.3 WEATHER INFORMATION SERVICES

5.3.1 Introduction Under this CONOPS, the primary role of weather information is to enable the identification of optimal trajectories that meet the safety, comfort, schedule, efficiency, and environmental impact requirements of the user and the system. Weather information is not just an end product to be viewed in a stand-alone display. Rather, weather information is designed to integrate with and support NextGen decision-oriented automation capabilities and human decision-making processes. Weather information in the form of meteorological variables that are observed or forecasted (e.g., storm intensity, echo tops) must be translated into information that is directly relevant to NextGen users and service providers, such as the likelihood of a flight deviation, airspace permeability, and capacity. [P-18] This information is supported by a set of consistent, reliable, probabilistic forecasts, covering location (3D space), timing, intensity, and the probability of all possible outcomes, each with an associated likelihood of occurrence. Today, weather information is drawn from numerous sources. In the NextGen, consistency and continuity in the common weather picture are ensured by centrally managed weather information that is government distributed through the NextGen Network Enabled Weather (NNEW) virtual database capability. [P-19] The reliable, virtual common weather picture concept means, for example, that information on convection for a geographic area, developed by different forecast models and in different databases, is arbitrated or merged into a single forecast that all requesting users receive. NNEW weather observations and forecasts are the primary source of weather used in joint government/user NextGen decision-making processes. NNEW represents the NEO vision of a weather channel in keeping with NextGen information sharing policy. Todays complex and costly architecture of point-to-point connections to weather sources is replaced by a singleaccess approach for all users. At the core of the NNEW capability are 4D weather sources referenced to position and time, formed by automated processes through merging of observations, models, climatology, and human forecaster input, available for generation of displays and for direct integration into automated decision support systems. The 4D weather provides the basis of the common picture and consists of weather attributes organized by horizontal, vertical, altitude, time, and probability components (x, y, z, t, plus probability). Observations from surface sources, aircraft, and satellites are incorporated into the common weather picture. The update frequency of this weather information is commensurate with the need to react to unanticipated, rapidly changing circumstances. For instance, airspace structural changes are better customized in response to changing weather conditions (e.g., realigning sectors to conform to a line of thunderstorms). Also, the NextGen weather capabilities allow rapid notification (automation-to-automation) of changing weather situations to strategic and tactical NextGen decisionmakers. As with enhanced communication of weather information to ground-based automation systems and human users, weather data communications to the flight deck involves both publish and
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subscribe dissemination of critical information. Aircraft may request (subscribe to) specific weather information impacting their route of flight, while broad area weather advisories and warnings are issued (published) to all affected aircraft when safety-critical changes occur. Under the NextGen, network-enabled aircraft also become active participants in collection and transmission of weather information; observations are transmitted to ground-based systems for integration with other weather sources and to other aircraft. Aircraft operating in performance airspace act as fully enabled operational nodes on the NEO information grid. Aircraft contribute observations for, and receive via data link, localized nowcasts; they also provide critical in-situ observations for use by nearby aircraft. UASs are used for making in-situ observations; performing weather reconnaissance missions such as scouting for favorable routes and collecting critical observations where and when needed; and collecting ionospheric data and radiation activity originating from space weather. [P-18], [P-19] 5.3.2 Weather Information Operations NextGen weather services provide information to stakeholders directed by decision support systems. Procedural ANSP processes, user-automated processes, and NextGen decision support systems use the common weather picture, including probabilities, to facilitate collaborative decision-making. NextGen decision support systems use a risk management approach in planning capacity management and FCM options. The use of the common weather picture is a primary basis for collaborative NextGen decision-making purposes (e.g., flow planning), but other commercially available, value-added weather sources may be used by stakeholders in making their own flight-planning decisions (e.g., determining what preferred flight paths they will request). In developing the NextGen common weather picture, the Government may choose to acquire commercially developed weather products and capabilities for inclusion in that common picture. Weather information is tailored to the operational needs of those interested parties, maintaining a consistent view of weather information. For example, if multiple stakeholders are looking at levels of convection for a geographic area, the locations and intensity of the convection are the same. This tailoring of weather information is enabled by maintenance of a common weather picture at different resolutions, time scales, and geographic areas (e.g., the information for an airport is at a higher resolution and more rapidly updated than that for adjacent oceanic locations). Pre-flight and in-flight decisions are aided by weather services that assist the user in making tailored inquiries into the common weather picture. Other weather information such as alerts, advisories, and warnings regarding significant weather changes are proactively published to stakeholders via digital communications. For example, the flight deck receives key weather updates along the route of flight, thereby enhancing dynamic decision-making and safety of flight. Weather Information Services transformed functions are highlighted and discussed below. Transformed Function 1: Aircraft Are Capable Of Receiving, Collecting, and Transmitting Weather Information as a Digital Data Stream. Fully capable aircraft have the appropriate automation (communication and computing) systems to receive weather data (including hazard information) and transmit sensor data. Fully capable aircraft also possess the capability to collect

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and integrate weather information into onboard displays and weather-mitigating operational flight programs. Transformed Function 2: Hazardous Weather Is Identified in Real-Time. NNEW uses ground-based, space-based, and airborne sensors and systems to provide timely, relevant, accurate, and consistent hazardous weather information to aircraft and users in near-real-time. Automating traditional observations (e.g., pilot reports [PIREP]) facilitates improved hazardous weather identification. [R82] Transformed Function 3: Observation and Forecast Are Provided for NonTowered and Virtually Towered Airports. NNEW provides current and forecast weather information from the common weather picture to non-towered and virtual towered airports at the required spatial and temporal resolution. Hazardous weather in the terminal area impacting departures and arrivals is forecasted and also detected in real-time. Transformed Function 4: NNEW Provides the NextGen Decision-Oriented Tools (NDOT) with Trajectory-Based Weather. NNEW provides the NDOTs with trajectory-based weather information that is aligned with flight planning and ATM. Trajectory-based weather information (observations, forecasts, model/algorithm data, and climatology, including surface observations and weather aloft) allows full integration of weather into traffic flow decision-making. NNEW allows the NDOTs to identify weather-impacted airspace (both real-time and forecasted) as reduced-capacity and as no-fly airspace. NNEW provides the NDOTs with climatology (to permit up to at least a 3-month pre-flight planning window) and provides probabilistic forecasts to allow for multiple preplanned trajectories and airspace configuration scenarios.

An example of weather information operations are shown Figure 5-1.

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Figure 5-1. NextGen Weather Dissemination Foundation for Net-Enabled Weather Operations

2933 2934 2935 2936 2937 2938 2939 2940 2941 2942 2943 2944 2945 2946 2947 2948 2949 2950 2951 2952 2953 2954 2955 5.3.3 Weather Information Enterprise Services Decision-making by the diverse set of NextGen stakeholders is facilitated by an integrated, common picture of the weather situation. In general, stakeholders do not need meteorological expertise to interpret weather information. In addition, net-centric weather services tailored to the users needs reduce or eliminate the requirement for stakeholders to manually gather, interpret, and integrate diverse and sometimes conflicting weather data to realize a coherent picture of the weather situation; instead this is achieved with automation assistance prior to dissemination to interested parties. Decisions are predictable when stakeholders use an understandable common weather picture as a source and apply the same business processes. A central enabler for this weather capability is access to a reliable, virtual common weather picture. This common picture for current and forecast weather information includes weather attributes organized by horizontal, vertical, altitude, time, and probability components (x, y, z, t, plus probability). Optimal air transportation decision-making mitigates the risk of conflicting courses of action by requiring a single reliable NextGen common weather picture. NextGen weather data is collected, processed, forecast-fused, and distributed through a service-oriented architecture (SOA)enabled government weather information capability. The underlying premise is that the various weather data are consistent. Therefore, anyone looking into the weather information portal from the same aspect (point of view in terms of weather attributes) sees a common weather picture (all the weather information for a particular aspect is the same for every user). However, the picture may vary on how the information is rendered (e.g., text, audio, graphics, imagery, polygons); thus a reliable, virtual common weather picture is provided.

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Furthermore, the weather source is not a single database but rather a network of information sources accessed via net-centric weather services, reinforcing the virtual concept. Moreover, net-centric enterprise weather services reduce stakeholder operational costs, as expensive, customized, point-to-point interfaces from user systems to multiple sensors and sources are eliminated. Enterprise Service 1: Multiple Weather Observations and Forecasts Are Fused into a 4D Common Weather Picture That Is Distributed Through NNEW. Weather data (observations, forecasts, model/algorithm data, and climatology) are integrated into a common weather picture (Earths surface to low Earth orbit is used in all weather-oriented decision processes). Weather observations are contained in NNEW and used by forecasting toolsets to produce forecasts (both routine and aviation impacting) for all users. Users retrieve weather information needed for decision-making in real-time from NNEW. Vendors may use information from NNEW to produce tailored, value-added products for use in and out of the cockpit. Some weather information, such as turbulence and icing, is also tailored to the airframe, as well as the route. This capability depends on NNEW to disseminate a common weather picture in support of the NextGen. Weather information is also used to help in understanding environmental impacts from increased aircraft operations, such as increased noise and exhaust emissions at and near airports and volumes of airspace that may be particularly sensitive to aircraft exhausts. Enterprise Service 2: Weather Sensors Are Included in Performance-Based Services. Fully capable aircraft have a standardized set of weather sensors/algorithms to provide weather data to other users directly and via NNEW. Weather data from aircraft are valuable inputs to the common weather picture for providing advice and warning to nearby aircraft and for providing input and verification for weather forecast products. At a minimum, in addition to accurately providing their 4D geospatial position, aircraft provide in situ winds, temperature, water vapor, turbulence, and icing information. Aircraft may also measure nonweather parameters (e.g., volcanic ash), utilize forward- or downward-looking remote weather sensors, and carry dosimeters to measure the radiation environment that is affected by space weather activity. Enterprise Service 3: UASs Are Used for Weather Reconnaissance. En route weather reconnaissance UASs are equipped to collect and report in-flight weather data. Specialized weather reconnaissance UASs are used to scout potential flight routes and trajectories to identify available weather-favorable airspace. UASs may also carry instrumentation to measure the radiation environment that is affected by space weather activity.

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5.4 ROBUST PNT SERVICES

[Note: Formerly Broad-Area Precision Navigation Services] 5.4.1 Introduction The ability to accurately and precisely determine ones current location and orientation and ones desired path and position; apply corrections to course, orientation, and speed to attain the desired position; and obtain accurate and precise time anywhere on the globe, within user-defined timeliness parameters, are enabled through PNT Services. The NextGen relies on PNT Services for the implementation and conduct of many of its basic operations, as well as trajectory-based operations. 5.4.2 Positioning Services Robust PNT Services provide users of the NextGen with a highly accurate and reliable positioning source, which enables improved surveillance capabilities and reduced separation standards. Positioning is also needed for other activities in the NextGen, such as surveying stationary assets (for representation in the GISsee Section 5.9 for details); this service also provides the fundamentals for navigation (see below). 5.4.3 Navigation Services Aircraft navigation has long been constrained by the capabilities of ground-based NAVAIDs and routes that are tied to the locations of these ground-based NAVAIDs. Reliance on ground-based NAVAID locations has also constrained airspace design. Navigation Services enable area navigation (RNAV) as the standard method of navigation in the NAS. Further, Navigation Services provide the foundation for performance-based navigation operations including those that have specified RNP. Note that performance-based RNP operations will vary with airspace class to safely achieve operational objectives. 5.4.4 Timing Services PNT Services provide a common, accurate, and precise timing source for all users from a standard universal coordinated time, as maintained by the U.S. Naval Observatory (USNO) and denoted UTC. These timing services enable the precise synchronization of operations and the reduction of uncertainties associated with disparate timing sources. 5.4.5 PNT Components The primary system providing PNT Services is expected to be some form of global navigation satellite system (GNSS), perhaps with a satellite-based augmentation system (SBAS), providing increased accuracy, availability, and integrity to users of the service. Ground-based augmentation may also be used in high-density terminal airspace. Backup systems are critical to the PNT system and are required. Systems are currently under review, but a selection is yet to be determined. [R-83]

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5.4.6 PNT Summary With PNT Services, a user (or COI)determined integrated air picture supports SSA to all users of the NextGen.

5.5 SURVEILLANCE SERVICES

5.5.1 Introduction C-ATM relies on cooperative surveillance information from all air vehicles in the national airspace, providing one of the key elements for trajectory-based operations in the NextGen, as well as supporting the needs of defense and security providers. A non-cooperative surveillance capability is also required within the NextGen for air sovereignty and security purposes. NextGen surveillance coverage includes a broad range of operational environments, ranging from remote areas (like Alaska and oceanic regions) all the way to airport surface areas at our busiest airports. Surveillance Information Services derived from integrated cooperative and noncooperative surveillance systems permit creation of real-time situational awareness (the capability to detect, identify, and monitor air vehicles) on the surface of an airport and airborne. This surveillance information is networked within a net-enabled system, allowing approved COIs access to appropriate and secure data, in turn allowing distributed decision-making on a real-time basis during normal operations, abnormal events, and system-wide crisis. The Surveillance Information Services envisioned within the NextGen will improve the speed, efficiency, quality, and timeliness of decisions. NextGen Surveillance Information Services, including improved surveillance accuracy, latency, integrity, and availability, enable Reduced separation standards Comprehensive tracking of aircraft and vehicles operating on the airport surface and within the ANSP-responsible airspace, along with sovereign airspace, to improve safety, security, and operational effectiveness Increased C-ATM services within underutilized airspace and to underutilized airports Improved 4DT information, by providing aircraft intent and conformance monitoring Flexible assignment of multiple NextGen surveillance sources to any operational position at any time, to enable more flexibility in assigning airspace to each position as needed to support distributed decision-making Adaptive flexible spacing and sequencing of aircraft on the ground and in the air.

There are many new NextGen functions enabled by improved Surveillance Information Services; these range from air situational awareness to dynamic airspace and from en route deconfliction to full self-separation. Different levels of RSP are associated with each new surveillance-derived capability and specified airspace. To achieve the high level of requirements for surveillance, it is
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envisioned that both a primary and backup system for surveillance will be required in some airspaces. 5.5.2 Core Surveillance Services The NextGen delivers cooperative and non-cooperative surveillance information on aerial vehicles to enable it to achieve the maximum levels of safety and security required for future air and ground operations. 5.5.2.1 Cooperative Surveillance Services Cooperative surveillance services require aircraft to be equipped with functioning avionics, allowing surveillance sensors to reliably, consistently, and unambiguously detect the aircraft while in the air and on the ground. This type of surveillance information is considered the primary method of aerial vehicle detection because of the additional flight information it can provide. 5.5.2.2 Non-Cooperative Surveillance Services Non-cooperative surveillance allows an airborne object to be detected by ground-based, airborne, or space-based surveillance systems even if it does not have functional avionics equipment. Noncooperative surveillance can be used when airborne or ground cooperative surveillance systems malfunction. NextGen non-cooperative and cooperative surveillance systems are designed and integrated to provide mutually supporting surveillance services information. 5.5.3 Surveillance Services Components NextGen Surveillance Services consists of three components: surveillance sensors, an interconnected network structure (a part of the Infrastructure Services function), and components for distribution, processing, correlation, and display. The sum of these individual components creates a comprehensive capability that allows surveillance of NextGen airspace and the surface movement areas of an airport. Developing this capability will Enable NextGen stakeholders to better conduct their individual missions Minimize the cost to establish and use the surveillance services by operating them as a common capability Allow each agency to satisfy its public responsibility while facilitating collaborative, cooperative, and integrated operations and reducing duplicative and redundant investments.

5.5.3.1 Surveillance Sensors The NextGen surveillance sensor components are a combination of cooperative and noncooperative sensor capabilities. To enable the operational improvements envisioned the NextGen, Surveillance Services must be able to detect, monitor, track, and identify all airborne objectsanything that could present a safety risk to the community of airspace users or could be a risk to national security. Aircraft approaching U.S. airspace must be detected and monitored, whether cooperating and following correct procedures or behaving suspiciously and evading

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procedures. The NextGen must also provide enhanced air surveillance capabilities for lowaltitude coverage in areas of national interest. It is envisioned that various federal departments will develop directives that will prioritize specified surveillance coverage capabilities and requirements in these national interest areas. [P-20] At airports, NextGen sensors must track all movements from ramps to runways to minimize risk of ground collisions and mishaps. [R-84] Some capabilities of the future NextGen Surveillance sensors include Providing a unique reference identity for each flight object Providing 4D position, velocity, and directional information and identification of all airborne objects of relevance Predicting airborne object intent based on proximity to critical infrastructure; changes from assigned heading, altitude, and speed; and status of cooperative avionics Providing position, velocity, and directional information and identification of all surface vehicles and their movements, and contributing this information to the airport security service provider (SSP) systems.

5.5.3.2 Distribution, Processing, Correlation, and Display Components of Surveillance Data Information The NextGen integrates cooperative and non-cooperative surveillance data and information along with aircraft intent information to create the most accurate view possible of the actual situation. The NextGen causes this integrated data to be distributed among stakeholders in accordance with approved policies and authorities. All participants in the system have access to the essential surveillance information needed for the decisions or negotiations concerning their activities. The data protocols and processing parameters are designed to meet the requirements of the various subscribers using a common family of services. Subscribers can request that processing be done by the provider of the information service or can retain the responsibility for processing within their own applications by receiving the unprocessed data. Automation advances enable coordination and communication between various agencies to occur in a fashion responsive to needs with greater fidelity than is possible today. 5.5.3.3 Surveillance Concept Summary The sharing of surveillance data allows each user to create a tailored view yet ensures that all users have a consistent picture of what is going on in their area of interest. This consistent view is essential to supporting multiple agency missions and providing stakeholders and users with key information necessary to their operations. Numerous entities, government and private, benefit from this shared surveillance data intrinsic to the NextGen. Examples of how this shared surveillance information supports some of these missions include the following: ANSPs use surveillance information to provide separation assurance, navigational services, traffic management, and support emergency operations.

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Defense service providers (DSP) and SSPs use surveillance information to monitor, detect, and track suspect aircraft believed to be engaged in illegal or potentially hazardous activities and to identify, assess, and engage, if necessary, threats to our homeland. DSPs and SSPs use surveillance information to monitor and control airspace in permanent, semi-permanent, and roving exclusion security protective zones. Historical (recorded) surveillance information is used to support search and rescue efforts and aircraft incident and accident investigations. Surveillance data is collected, merged, and analyzed by various intelligence agencies, integrating it with other intelligence possessed or acquired to contribute to a civil air intelligence database that can be shared as required in support of assigned activities.

5.6 FLIGHT PLAN FILING AND FLIGHT DATA MANAGEMENT SERVICES

Flight Plan Filing and Flight Data Management Services provide support to flight operators for flight planning activities. These services also manage data related to a flight from the initial filing of a proposed flight to the closing of the flight plan and the archiving of the data to support performance management analyses. [R-85], [P-21] Flight plan filing provides an interactive flight planning capability for all users (with or without the aid of an FOC to file a user-preferred departure-to-destination flight profile. Plans, which are required for instrument flight rules (IFR) flights, can be submitted in advance (pre-flight) or while the flight is active in response to changing conditions. The submission can be a formal filing (i.e., the negotiation of an agreement), or it can represent a tentative flight plan for evaluation. In either case, flight operators receive automated feedback on the flight plan provided, including the identification of any system constraints that would affect the flight as filed (such as the presence of congestion or reserved airspace), significant weather, and performance-based airspace capability requirements for the planned route.11 Flight operators are encouraged to file flight plans (containing the 4DT) well in advance of the flight. Common flight data is available for updates as the operator refines plans for the flight. For some airspace (such as locations with routinely high levels of congestion), there are incentives to encourage operators to file flight plans early. The flight plan (including the planned trajectory) is managed as part of the flight object. The flight object provides access to all relevant information about a particular flight. Different stakeholders have varying access to elements of the flight object (e.g., for privacy or security concerns). The flight object is created for each proposed flight (either through user submission, published schedules, or historic data) and is updated from initial creation until the flight is closed, at which time the flight object is archived for post-analysis. Throughout the course of the flight, changes and updates to data associated with the flight object are automatically shared with
11

Note that flight operators can also use the flow strategy and trajectory impact analysis service to analyze the individual and system performance impacts related to a proposed flight or set of flights. See Section 5.7.

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all having access to the flight object. Some data elements of the flight object are automatically updated; the flight object has methods to maintain updated historic and projected trajectories, including registration in the GIS. Flight Data Management Services manage the flight object and its related data throughout the flight. Flight Data Management Services ensure that ownership and integrity of the flight object and data are maintained throughout the flight. Flight Data Management Services also manage the distribution of flight information (stored in the flight object) based on a variety of requests, such as specific flights or temporal and spatial boundaries using the GIS. For example, Flight Data Management Services may generate alerts to the ANSP, the flight operator, or other stakeholders regarding flights for which updates of trajectories are missing or flights that are overdue. An alert may initiate activities for security, law enforcement, and/or emergency responders to contact the operator and seek out the aircraft using last known position in the trajectory and related flight information in the flight object.

5.7 FLOW STRATEGY AND TRAJECTORY IMPACT ANALYSIS SERVICES

A primary service supporting C-ATM interactions among the ANSP, flight operators, and other stakeholders is the Flow Strategy and Trajectory Impact Analysis Service. This capability in the NextGen provides a common what if function to assess potential changes in planned flights, the allocation and configuration of assets, and other conditions (e.g., weather, security initiatives) that may affect flight operations. The service generates anticipated changes in target NAS performance metrics as well as estimating the impacts on individual trajectories. Impacts are assessed over multiple time and geographic horizons, so that both short-term and long-term implications of a plan can be understood. Among the impacts that can be assessed are the impact of a local change on other regions or NAS-wide. Planned trajectory information is acquired via the flight object, which is maintained by the Flight Data Management Service. The Flow Strategy And Trajectory Impact Analysis Service also employs appropriate privacy and data protection mechanisms to ensure that data is not accessed by unauthorized parties. Flight operators have a range of flight-planning capabilities that optimize flights based on individual mission objectives, aircraft performance and capabilities, known constraints (e.g, airspace or security restrictions), and forecast weather. The operators flight-planning capability interacts with the Flow Strategy and Trajectory Impact Analysis Service to understand the likely impact of overall conditions on a flight or set of flights and may make adjustments to plans based on the information provided. What if impacts can be queried for proposed, planned, and active flights. As flight operators participate in the C-ATM process, they may update their flight plans in accordance with known flow strategy plans or changing mission needs or in response to forecast changes (e.g., to better optimize the planned flight based on forecasted winds aloft). The service provides stakeholders with information on the likely impact of changes to NAS assets and flow strategies. Further, it evaluates the impacts of potential weather conditions or other changes to the NAS. A number of predefined flow strategies and asset configurations are available for decisionmakers; these can be used as is or can be refined for what if analysis. For example, the ANSP capacity manager may evaluate the impact of changing the configuration of airspace or the use of additional procedures to verify that a seasonal variation in the demand forecast can be accommodated. During the C-ATM process, flight operators and ANSP
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personnel may use the Flow Strategy and Trajectory Impact Analysis Service to assess the impacts of adjusting aircraft to accommodate a forecast weather pattern. The service employs probabilistic algorithms to provide a range of impacts that encompass the breadth of demand, weather, or other uncertain factors. When a new flow strategy or asset configuration is implemented by the ANSP, likely impacts to known trajectories are calculated and affected operators are notified via automatic updates to the flight object. Long-range strategic planning by stakeholders is also supported with this service. For example, the impacts of new airport infrastructure and potential changes to airspace can be evaluated using long-term demand forecasts. Overall, the Flow Strategy and Trajectory Impact Analysis Service provides an essential means for common SSA among ANSP personnel, flight operators, and other stakeholders as key decisions are made regarding flight plans and the use of airspace and facilities.

5.8 AERONAUTICAL INFORMATION SERVICES

Aeronautical information is uploaded, received, aggregated, and exchanged with accuracy and in a timely manner. Subscribers to the system include flight operators, airport operators, ANSPs, and other stakeholders. Aeronautical Information Services includes updates and aggregated information on Current performance requirements for airspace access and operation Special-use airspace status and activity Airspace affected by temporary flight restrictions Route information and performance metrics System outages affecting global positioning systems (GPS), wide area augmentation systems (WAAS), local area augmentation systems (LAAS), and other NAVAIDs, including lighting Weather status, such as convective activity, winds aloft, icing, etc. Airport status information, including runway availability and planned long- and short-term activities affecting the airport, such as construction, snow removal, Definitional data for airspace boundaries, fixes, terminal procedures, runways, and other supporting information.

The system accepts information from both ground and airborne users, aggregates the information, and provides it back to subscribers. Updates to aeronautical information are performed in real-time and provided in a manner that allows users to readily understand the changes. The information is user friendly and available in digital form (graphically or via digital text). The data is also machine readable and supports automated processing of information for TBO.
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5.9 GEOSPATIAL INFORMATION SERVICES

The GIS provides users with the ability to access and update information about the physical locations of both fixed and mobile assets within the NextGen. This service provides information on assets such as physical facilities, airspace boundaries, airport survey information, the locations of CNS infrastructure elements, and the like. To achieve this level of information exchange, all assets in the NAS are described in a common reference set (that is, an earth-based coordinate system) to ensure comparability and interoperability across all applications. Further, to increase the efficiency of these comparisons, users of the GIS have the ability to employ a common indexing structure to support the asset information development and exchange of information, as well as to query about overall asset inventories. The GIS manages current information, maintains historical information, and allows access to planned/desirable future capabilities. Under this structure, static elements (e.g., sectors, fixes, NAVAIDS, radars) and dynamic elements (e.g., aircraft, weather, TFRs) are referenced to latitude and longitude, then indexed to a single hierarchical grid to speed comparisons. The design of the index supports high-resolution data and includes the temporal (time) component necessary for projections and strategic planning. This capability supports the reconfiguration of airspace and airport assets to provide maximum utilization of the available capacity to meet traffic volume, while adjusting to weather or other constraints as they arise. The GIS supports dynamic airspace boundary adjustments, trajectory-based operations, interactive flight planning, and future decision support tools operating in a collaborative environment of shared data. This service depends on the ability to describe, communicate, and manage the characteristics of airspace and other asset information (and their constituent elements) at increasingly finer levels of resolution. This increased precision and resolution supports decision-making by the ANSP as well as providing a basis for SSA for collaboration (such as C-ATM) among the ANSP, flight operators, and other stakeholders in the NextGen.

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6.1 INTRODUCTION
This CONOPS for the NextGen incorporates an effective security system without unduly limiting mobility or making unwarranted intrusions on the civil liberties of all users and employees by embedding layered, adaptive security measures throughout the air transportation system, from reservation to destination. The NextGen Security Services concept addresses Integrated risk management (IRM) Secure people Secure airports Secure checked baggage Secure cargo/mail Secure airspace Secure aircraft.

The security system has particularly strong interrelations with NextGen SSA, Airports, and Global Harmonization capabilities along with some aspects of ATM. This chapter provides an overview of the NextGen Layered, Adaptive Security Services; for a detailed look at specific aspects of this system, see the NextGen Layered, Adaptive Security Services Annex. Layered, adaptive security is defined as a risk-managed security system that depends on multiple technologies, policies, or procedures adaptively scaled and arranged to defeat a given threat or threat category. This adaptability further permits the use of increased variability in security system operations that creates more uncertainty for the terrorist. Adversaries cannot defeat one particular security measure of the system and thereby achieve a break-through which permits them to operate freely with no further barriers to their activities. Furthermore, the security system has the adaptability to scale its systems and procedures to the risk level of a threat in a given situation rather than being bound to an inflexible one size fits all approach. Given the limited resources of both the Government and private industry, it is critical that mitigation measures are developed based on threat and vulnerability, as well as the potential consequences to individuals, transportation assets, and the economy. The NextGen approach better matches system costs with the risk assessment and the capacity demands at various airport and screening locations. To achieve the requisite adaptability while maintaining effective security standards, the NextGen security system must have a sound method of prioritizing risks and assessing the proportional effectiveness of different ways of countering them. The Secure IRM process performs this essential function that then directs the deployment of equipment, personnel, and procedures/ policies to defeat the evolving threat. The remaining capabilities described at a high level in this chapter must be the consequence of IRM assessments.

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6.1.1 NextGen Security Management and Collaborative Framework In the NextGen, the security system is optimally integrated with other NAS functions and, through advanced networking functionality, linked to external aviation industry stakeholders and non-Federal Government entities. To maintain effective security management across major stakeholders, a collaborative framework is composed of the following key functions and processes: National Aviation Security Policy. NextGen Security Policy embraces a broad view of threats including direct attack, exploitation, and transfer; recognizes interdependencies and uncertainty; nurtures virtual or extended enterprises supported by connectivity of diverse, informed stakeholder partnerships; employs layered security using physical, process, and institutional layers; accounts for systemic vulnerabilities that are created by the networked nature of the aviation system; and creates an environment that facilitates a rapid, seamless return to normal business operations subsequent to an incident. The NextGen has achieved integration with the overarching Homeland Security Presidential Directives and their subsidiary documents. Aviation Security Stakeholder Involvement. NextGen Stakeholder Involvement fosters industry, federal, and local partnerships with clearly defined roles and responsibilities for prevention, protection, response and mitigation, and recovery operations at strategic, operational, and tactical levels. Collaborative decisionmaking contributes to a positive security culture. Timely, effective, and informed decision-making based on SSA is achieved through advanced communications and information-sharing systems. Aviation Security IRM. NextGen IRM includes prognostic tools, models, and simulations at the strategic, operational, and tactical levels, including nominal and off-nominal situations, to support all stakeholder decisionmakers and managers in the grafting of cost-effective best practices into the design, acquisition, deployment, and operation of aviation security system assets and infrastructures. Knowledge bases concerning threats, vulnerabilities, and practices are tailored to user profiles that proactively determine need/authorization to know. Aviation Security Implementation. NextGen Implementation capabilities encompass a robust set of strategic, tactical, and operational capabilities and services focused on prevention, protection, response and mitigation, and recovery initiatives that are undertaken by a variety of stakeholder organizations. Aviation Security Assurance. NextGen Assurance capabilities includes a variety of certification programs administered by Federal, industry, and local stakeholders, surveillance and evaluation activities administered and performed by various stakeholders, enforcement inspections performed by Federal stakeholders and local stakeholders, and incident investigations performed and administered by various stakeholders.

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6.2 KEY TRANSFORMATIONS

To highlight the key transformations inherent in the NextGen Security concept described in this section and in the Security Annex, provides new, significant security capabilities. As shown Table 6-1, the key security transformations are expected to be in the areas of checkpoint operations responsibilities; credentialing/authentication; baggage screening technology; passenger screening; chemical, biologic, radiological, nuclear, and explosives (CBRNE) detection; and security system deployability. Table 6-1. Significant Security Transformations

Significant Transformation Integrated Risk Management

2006 Current Capability Static facility or passenger risk assessments

2025 NextGen Capability Dynamic risk assessment management process producing real-time risk profiles for aviation facilities and flight objects Government, airport operator, or third-party decentralized while observing common standards developed by U.S. Government Biometric credentials with 1second authentication at access or screening checkpoints CBRNE detection systems incorporating sensor fusion, with a range of sizes and throughput capacity from highthroughput in-line systems to smaller units for remote screening and local airports. Some are small, lightweight, portable devices that can screen bags from standoff distances. Greater use of off-airport screening Sensor arrays deployable throughout terminal, enabling rapid movement of passengers through virtually invisible screening points fast and efficient. Centralized monitoring center reducing security footprint at checkpoint. Advanced

Checkpoint Operations Responsibilities

U.S. Government/TSA responsible for policy development and execution

Credentialing/Authentication

Badges and background checks (mainly manual based)

Baggage Screening Technology

Large-footprint baggage screening devicesmost not integrated with baggage system only detect explosives. There are separate boxes for CBRNE sensors.

Passenger Screening

Metal detectorbased, relatively large ETD air sampling equipment/portals

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Significant Transformation

2006 Current Capability

2025 NextGen Capability behavior profile recognition procedures. Biological threat/ disease detection and assessment Deployable for all airport screening operations, linked by NEI to airport operations, law enforcement, and national network Rapid-deployable units for low-capacity, temporary, and intermittent screening locations integrated with other airport customer service functions RTSS enabling all or a portion of security screening to be done off-airport Use of SRAs is infrequent and its use is based on integrated risk analysis. Access to SRAs depends on flight risk profiles to allow for flexibility and to increase access. On-board aircraft leveraged safety modifications, supplemented by groundbased and procedural systems Passenger screening and bilateral agreements for international reentry of hypersonic vehicles Mature and institutionalized risk management environment to inform investment and decisions System-wide deployment of NEI applications with artificial intelligence capabilities to support risk management Unified command, control, and communication with integrated risk-informed decision-making Network-centric information VERSION 1.2

CBRNE Detection

Only deployed at a few highthreat locations (typically not airports)

Security System Deployability

Expensive, slow installation

Screening Checkpoint location Airspace Security

In airport terminals between public area and sterile area Frequent use of TFRs with blanket restrictions Limited SSA among DHS/DoD/FAA operations centers Non-integrated aircraft security-relevant databases Perimeter and adjacent jurisdiction observation (LEO)

MANPADS (e.g., shoulderfired missiles, lasers, electromagnetic pulse [EMP]) Detection and Defeat Commercial Spaceport

Licensing with no commercial passenger service

Security Risk Management

Aviation risk management process is beginning. Risk management tools and capabilities are under development.

Security-Relevant

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Significant Transformation Information

2006 Current Capability no easy transfer of data

2025 NextGen Capability access with smart applications proficient in datamining and pre-analysis of large amounts of data. Decision support applications assist Security Operations Center (SOC) and other security analysts. All air cargo items not packed in sterile area and securely conveyed to aircraft are screened for CBRNE.

Cargo Screening Technology

Small percentage of cargo is screened for explosive threats. Most cargo undergoes paperbased documentation (Known Shipper).

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6.3 IRM ENTERPRISE OPERATIONS

Risk management is the ongoing process of understanding the threats, consequences, and vulnerabilities that can be exploited by an adversary in order to determine which actions can provide the greatest total risk reduction for the least impact on limited resources. Risk management is inherent to every element of Layered, Adaptive Security Services; it is conducted from the strategic to the tactical levels. [R-86], [P-22], [P-23] In this section, the strategic aspects of the IRM process are described. The following sections briefly mention the relevant tactical aspects of IRM for that particular threat vector. The NextGen Layered, Adaptive Security Services IRM capability is an overall federated risk assessment and risk mitigation framework to guide multiple security service enterprises in order to assist in making decisions, allocating resources, and taking actions under conditions of uncertainty. This framework is a planning methodology that outlines the process for satisfying or exceeding security goals through prevention, protection, response and mitigation, and recovery. It derives its importance from the following needs: To understand the spectrum of threats that could be mounted against the NextGen To identify the vulnerabilities that can be exploited by an adversary To evaluate and prioritize assets/activities to be protected from attack To determine which protective actions can provide the greatest total risk reduction for the least impact on limited resources To provide the most focused and adaptive security measures to reduce the impact of security systems and procedures on air transportation. [R-87]

IRM is characterized by a specific and consistent terminology to describe its various aspects. Threats are the likelihood of an attack on a particular asset. Vulnerabilities are weaknesses in the design, implementation, or operation of an asset or system that can be exploited by an adversary or disrupted by a natural disaster. Consequences are the result of an attack on infrastructure assets reflecting level, duration, and nature. Risks are measures of potential harm that encompasses threat, vulnerability, and consequence. [R-88], [R-89], [R-90], [R-91], [R-92], [P24], [P-25], [P-26]

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The assessment of risks provides a prioritized list of vulnerabilities and potential mitigation strategies. [R-93] Since the terrorist has the freedom to choose targets and modes of attack, the NextGen Security system must develop (but not necessarily universally deploy) operationally feasible mitigations to as many potential threats as possible. [R-94], [P-27] Because of limited resources, mitigation requiring substantial investment (e.g., system cost or infrastructure intensive) is applied (deployed) in the order of risk level. For example, external attacks on aircraft may be an issue at some airports requiring mitigation. This doesnt mean that GA airports will have or need such systems. Another way to effectively apply resources is through technical advances in sensor design and fusion as well as cost efficiencies typical of information processing system upgrades. With the development of low-cost CBRNE sensors for low-volume operations, it will be possible to conduct screening in 2025 at sites that would have been economically infeasible in 2006 for a given risk profile (thus permitting many more airports to provide commercial service). This doesnt mean that all non-commercial operations have to screen passengers or cargo for flights posing below-threshold risk levels. [R-95], [P-28], [P-29] Many flights occur far from major metropolitan areas or national security restricted areas. However, flights to sensitive areas have to make adjustments to reduce their risk profile. [R-96] In summary, it is essential to remember that the security system responses and procedures throughout the NextGen are applied based on the risk profile of each flight and airport facility. [R-97] Facilities or flight objects that do not adopt particular security processes may still operate in the NextGen but may have to observe some restrictions depending on the given risk profile created. Yet their overall access and performance in the NextGen even with some (self-imposed) security restrictions is considerably greater than their access in 2006.

6.4 SECURITY ENTERPRISE SERVICES AND CAPABILITIES

6.4.1 Service: Secure People No aspect of the NextGen security architecture is more important to the perception of a secure aviation system environment than publicly visible or implicit checkpoint and carry-on baggage screening operations. Other less-visible security procedures may work toward similar ends and achieve them as effectively. [R-98] However, the visible aspect of checkpoints and baggage screening is still most tangible, hence most relied upon, by the general public in establishing its level of confidence and thereby its use of the system. The checkpoint displays an operating profile of consistency and routine, while behind the scenes it has several new screening techniques and tools [R-99] that are brought to bear upon the assessed risk and, in some cases, performed randomly as an added measure. [R-100] In the NextGen, the Secure People capability of the security architecture puts greater reliance on an integrated approach correlating credentialing and identification processes with screening. [R-101], [R-102] Aviation security risks are mitigated by identifying people who, whether travelers or aviation workers, are a potential threat and preventing them from gaining access to the air transportation system through pre-screening/credentialing, screening, and intervention. [P-30], [P-31] For travelers, aviation security is provided continuously from the time the reservation is made until the safe arrival of the flight at the destination airport and uneventful
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retrieval of baggage by the passenger. For persons with disabilities (PWD), the NextGen Secure People capability ensures accommodation and privacy by including special training and procedures for screeners, separate screening areas, and appropriate equipment to address PWDs needs. For aviation workers, a standardized credentialing process, standardized, periodic updating and re-credentialing of secure access personnel, and identification technologies deny unauthorized individuals access to restricted areas of airports. The NextGen NEO permits more valid and faster credential verification. [P-32] A balance between security and customer service is maintained, permitting the consistent, efficient, and seamless movement of passengers at the airport. 6.4.2 Service: Secure Airports The NextGen airport (as summarized in Chapter 3) has an integrated facility security system scalable to differing capacity, access, and risk environments. The Secure Airport CONOPS includes both technological and procedural measures to protect against the dynamically evolving threat. This flexible security system leverages advanced network-centric capabilities inherent in the NextGen to minimize redundant credentialing and access controls while providing SSA when security incidents occur or credentialing concerns surface. The NextGen Airport NEO seamlessly links sensors and data sources from access and screening checkpoints for passengers, visitors, employees and vehicles, perimeters, and critical facility infrastructure. The airport security technologies and adjustable procedures are nominally transparent to passengers [R-103], [P-33], [P-34] and cargo, but hard to exactly predict by those who intend harm. Additionally, the NextGen airport has resident response and recovery programs enabled through local and regional memoranda of agreement (MOA) and supported by the U.S. Government. In this connection, the net-centric operations of the NextGen maintain real-time connectivity to other regional airport operators, law enforcement, and government intelligence and SSP operational entities. These tools enable quick rampup response operations to incidents of national significance, including CBRNE attacks on the airport or within the region. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure that the responders are fully prepared and informed for any contingency. [R-104], [R-105], [P-35], [P-36], [P-37], [P-38], [P-39] The layered and overlapping security systems are in place at the following types of airport facilities: Commercial (passenger/cargo) airports [R-106], [R-107] RTSS facilities [R-108], [R-109], [P-40] Public GA airports [P-41] Commercial spaceports

and at the following areas within these facilities, as appropriate: Airside. Security identification display area (SIDA)/airport operations area (AOA), [R-110] terminal perimeter, terminal airspace (security) Landside. Terminal public and commercial roadways and parking lots, [R-111], [P-42] terminal entry and departure, airline ticketing kiosk/counter, sterile area,
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international arrivals/customs, security control center, response and recovery operations. 6.4.3 Service: Secure Checked Baggage This capability includes provisions for RTSS to allow passengers to undergo full screenings at remote off-airport locations and then be transported directly to the sterile area of the airport terminal and their screened checked bags directly to the aircraft. [R-112], [P-43] Such screened baggage is available for direct transfer to other modes of transportation without further screening. [R-113], [R-114], [R-115], [P-44], [P-45], [P-46], [P-47] Additionally, integrated trip tracking, with access by authorized third-party organizations, provides custom services such as remote check-in and baggage transport and processing capabilities. [P-48], [P-49], [P-50] 6.4.4 Service: Secure Cargo/Mail Cargo represents a critical vulnerability that was addressed historically mainly through the deterrence value of background investigations, inspections, and paper trails required of shippers, both known and unknown. The NextGen vision for cargo security moves beyond that to also include freight vulnerability assessments (through the IRM process), identifying the risk level of cargo, use of sterile area cargo packing areas, cargo transit safety and integrity, and CBRNE screening for air cargo. [P-51] Secure Cargo/Mail has the objectives of preventing checked cargo/mail from endangering aircraft, aviation facilities, or people and preventing the air cargo system from being used as a threat vector. These objectives are met through a combination of policy, procedures, information, and technology to accurately differentiate normal commerce from threats. Cargo/mail screening equipment and container sensors, with multi-sensor capabilities, are linked through secured NEO to the SSP Security Operations Center (SOC) and other analysis centers. The security of cargo and mail begins at the point of initial packing (or when initial screening occurs prior to entry into the NextGen Security system) with either the manufacturer, freight consolidator, air carrier, or licensed U.S. Customs broker. The SSP integrates all information related to the flight, cargo, and aircrew to provide additional information and ensure security during transit, enabled through NEO. [R-116] The SSP includes the following concepts: Vetting for Secure Supply Chain Entity (SSCE) Vetting for Certified Supply Chain Entity (CSCE) Security screening Loading and storage security Surface transportation security/tracking Cradle-to-grave tracking/integrity. [R-117], [P-52], [P-53], [P-54], [P-55]

The air cargo supply chain potentially has many organizations and personnel involved in the transport of any given piece of cargo: a source or shipper, freight forwarders, indirect air carriers, and other commercial and government personnel. Because of the many potential transfer points, cargo/mail security has to take into account the entire custody chain. A continuous risk and threat assessment must be conducted to identify risks to the supply chain, assess those risks, and apply
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measures, procedures, and policy to reduce those risks to an acceptable level. A secure supply chain encompasses the concept that cargo must be initially packed in a sterile area and conveyed through a secure chain of custody to the aircraft. If any deviance from this process occurs, all cargo intended for air transport, whether on passenger flights or all-cargo operations, must undergo CBRNE screening from either the SSP or a CSCE. [P-56] After CBRNE screening, the integrity of the goods shipped must be maintained until the cargo exits the air transportation system. SSCE and CSCE are regularly inspected for compliance. All personnel with access to shipped goods must be properly credentialed, authenticated, and trained to ensure a secure shipping environment. In addition, all cargo items are subject to random inspection and CBRNE screening to maintain necessary variability and verification of the supply chain. 6.4.5 Service: Secure Airspace The major objective of Secure Airspace is to prevent or counter external attacks on aircraft and other airborne vehicles anywhere in the NAS or using an aircraft as a weapon to attack assets and people on the ground. In order to reduce the security risk within the air domain, NextGen Secure Airspace systems and procedures detect and prevent or mitigate (1) anomalies in aircraft operation that indicate unauthorized use or attempted unauthorized use, (2) aircraft not providing the appropriate cooperative data concerning identity and intentions, (3) external attacks on aircraft, and (4) aircraft that can pose a threat from operating in the NAS. These risk management requirements include defining (almost always dynamically) the boundaries of SUA and temporary flight restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, and the security personnel on flights and modifications/equipage to the aircraft. [R-118], [R-119], [R120], [R-121], [R-122], [P-57], [P-58], [P-59] In addition, Secure Airspace implements airspace access and flight procedures based on a verification process that dynamically adjusts for aircraft performance capabilities. [P-60] The model combines credentialing data with performance data as part of developing the risk profile of the aircraft. [R-123], [P-61] One objective is to permit increased NAS access by low-performance aircraft through most restricted zones since the reaction time to intercept is correspondingly greater than with high-performance aircraft. Refer to Chapter 2 for additional information. A depiction of secure airpace is provided in Figure 6-1.

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Figure 6-1. Secure AirspaceSecurity Restricted Airspace (SRA)

3549 3550 3551 3552 3553 3554 3555 3556 3557 3558 3559 6.4.6 Service: Secure Aircraft The Secure Aircraft Service increases the safety and security of the NextGen aircraft in flight through a variety of hardware, software, personnel, and procedural methods. [R-124], [R-125], [R-126], [R-127], [P-62], [P-63] The threats that require mitigation are hijacking/unauthorized diversion; internal explosive destruction; external attack; onboard CBRNE or other attack of crew, passengers, or aircraft systems; aircraft use as a transport for CBRNE; or aircraft use as a weapon of mass destruction (WMD). [R-128], [P-64] The Secure Aircraft Service applies to both civilian passenger aircraft and civilian cargo aircraft. [R-129] UAS aircraft (surveillance or cargo) are included as well for threats related to unauthorized diversion, internal explosive destruction, and use as a transport for CBRNE.

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Environmental Management Framework

7.1 INTRODUCTION
Anticipated increases in air transportation demand will place significant environmental pressures on various segments of the NAS. Current operational trends show that environmental impacts such as noise, air emissions, water pollution, land use, climate change, and fuel consumption will be the primary constraints on the capacity and flexibility of the NextGen unless these impacts are managed and mitigated. Environmental issues have resulted in the delay and/or down-scaling of certain airport capacity projects over the past decade. Airports will need to escalate their efforts to address the environmental concerns of their neighboring communities. Noise has been and will continue to be a primary area of concern. However, air quality, water quality, and other environmental demands are a growing challenge to enabling significant capacity expansion without a detrimental impact to the environment. These challenges are not only of concern to commercial aviation; military readiness is also being constrained by restrictions on training and operations due to environmental issues. Therefore, the NextGen environmental challenge is to manage aviations environmental impacts in a manner that limits or reduces their footprint and enables the U.S. air transportation system to meet the nations future transportation needs. The NextGen manages mission-critical environmental resources/impacts through an environmental management framework that is fully integrated into all NextGen operations. This framework ensures environmental protection that allows sustained aviation growth. Critical to the success of this framework is preventing or reducing significant environmental impacts, especially as aircraft noise and local air quality emission concerns remain strong constraints on system capacity, while new issues, such as those associated with water quality and global climate change, emerge. The NextGen environmental management framework must account for interdependencies among many environmental issues so that in addressing some, others are not exacerbated. To achieve this, the NextGen environmental management framework consists of a self-correcting feedback cycle that systematically identifies, manages, monitors, and adapts to the environmental demands associated with the high-volume and dynamic nature of the NextGen air transportation system. Objectives of the NextGen Environmental Framework: Environmental Protection that Allows Sustained Aviation Growth (NGATS Integrated Plan, 2004) Reduce significant noise and aircraft engine emissions in absolute terms Proactively address emerging environmental issues (e.g., water quality, energy intensity, global climate change)

This chapter describes the operational concept of the NextGen environmental management framework, including a description of key transformed environmental operations (Section 7.3) that will be enabled in the NextGen and services and capabilities (Section7.4) that need to be

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implemented to enable these transformations. As some enabling services are not yet clearly understood, policy and research areas are identified in each applicable section.

7.2 KEY TRANSFORMATIONS

As shown in Table 7-1, the key environmental transformations are expected to be in the areas of aviation environmental management systems (EMS), airspace environmental operations, airport planning and operations, and transformed aircraft design and technology. These transformations enable the fundamental operations of the NextGen and transform the national airspace operation. Table 7-1. Significant Environmental Transformations
Significant Transformation Transformed Aviation System EMSs 2006 Current Capability Some airports, air carriers, and agencies have EMSs. Organizations focus on individual objectives that are not necessarily dealt with on an integrated basis or focused on future capacity concerns. Limited infrastructure exists for tracking performance of airports/agencies/aircraft operators in managing environmental impacts to capacity. Limited infrastructure exists for transferring environmental information across airports, air carriers, and agencies. Challenges in evaluating the cumulative effects of multiple airports and nearby projects prevail. 2025 NextGen Capability All airports, air carriers, and agencies have integrated EMS principles to support NextGen environmental demands. Incentive programs exist for the establishment and integration of EMS requirements/objectives that focus on improvements to remove/reduce environmental constraints on capacity. Metrics are established for key components of the air transportation system that support decision-making and policy development to sustain capacity while limiting the systems environmental effects. Information management systems are established to enable real-time reporting of environmental conditions and performance metrics at airports, carriers, and other key components of the air transportation system. These systems transfer best practices, communicate incentives, gauge progress toward NextGen goals, and transfer other information. An agile air traffic system has flexibility to achieve better fuel efficiency and emissions reductions during flight through the use of environmentally friendly procedures, such as CDA. In a dynamic airspace not limited to ground-based NAVAIDs, environmental impact management is embedded into en route flight planning on an ongoing and real-time basis. Integrated noise/emissions/fuelburn/ costs/efficiency information feeds into and is optimized in selection of routes VERSION 1.2

Airspace Environmental Operations

Fuel-efficient routes are sought but limited by dependence on groundbased NAVAIDS. Environmental impacts are primarily evaluated by FAA for major airspace decisions. Noise abatement arrival and departure procedures consider efficiency to some extent, but generally not emissions or fuel burn. There are open questions about the contribution of the en route system 7-2

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2006 Current Capability to regional emissions, climate change, and noise over special quiet locations, e.g., national parks. Management of en route congestion and delay in terminal airspace is not traditionally perceived as an environmental problem. However, as the vast majority of airports are in air quality non-attainment areas and there is growing concern regarding GHG emissions, there is growing awareness and concern. Generally, environmental planning and mitigation focuses on regulatory compliance or the next development project. Procedures that exist to minimize environmental impacts of operations focus on individual impacts, e.g., noise or emissions. Almost 500,000 people continue to be exposed to significant levels of aircraft noise around airports, and local air quality issues are increasingly pressing. Airport planning and community planning are often done in isolation from each other and are adversarial, especially with respect to land-use planning to manage noise. Some airports are moving to lowemissions ground equipment in response to local air quality concerns. Water quality impacts occur due to stormwater runoff and deicing operations. [R-130] Management of congestion and delay at airports and terminal airspace is not traditionally perceived as an environmental problem, although there is growing awareness and concern. Considerable past research has been incorporated into current aircraft and engines that improve environmental performance. Significantly lower funding is going into federal research and

2025 NextGen Capability and procedures. Better scientific information guides appropriate actions/procedures to responsively address noise, air quality, climate change, and fuel burn.

Airport Planning and Operations

Environmental issues are fully integrated into a smart planning and management cycle. This focuses on enabling the longterm viability/sustainability of the airport. A wide range of environmental procedures exist for managing ground operations, which are assessed and implemented in an integrated fashion that optimizes the environmental benefits. Significant aircraft noise is contained within the airport boundary and/or neighboring compatible land uses. Airport facilities, vehicles, and GSE produce low or no emissions. Airport and community planning processes acknowledge and complement each other. Communities value airports as regional economic engines and gateways to the national and international air transportation system. More effective airplane and runway de/anti-icing agents contain less-toxic ingredients.

Transformed Aircraft Design and Technology

There is a well-established R&D and implementation process for technology that improves aviations environmental performance. Technological breakthroughs enabled by robust R&D programs allow dramatic

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2006 Current Capability development to improve aviation noise and emissions technology. Environmental performance is an increasingly important component of aircraft design. National and international regulatory frameworks are based mostly on multiple, uncoordinated approaches to noise and emissions. Improvements in avionics give significant opportunities for improvement in environmental operational performance.

2025 NextGen Capability reductions of noise and emissions impacts from airframes and engines. Integrated models allow selection of the optimum environmental performance characteristics, including informed decisions on any necessary trade-offs. Alternative fuels are available and in service. A significant portion of U.S. aircraft fleets contain environmental technology matured between 2007 and 2012. Advanced aircraft avionics support the conduct of operations that reduce environmental impacts. The optimization of environmental performance continues to be a critical factor in aircraft design. What are Environmental Management Systems? EMS is an organizational business process that consists of four phases. In the planning phase of the NextGen EMS, the organization identifies environmental issues with the potential to constrain future capacity. These are the focus of tactical, measurable objectives for which improvement initiatives can be undertaken during the implementation phase. During the assessment phase, the effectiveness of these initiatives is monitored and key performance metrics are tracked. Monitoring data is then used to support planning at the organization itself in the review and adaptation phase. In the NextGen EMS, monitoring data is also reported at an enterprise level to support NextGen-wide planning.

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7.3 TRANSFORMED ENVIRONMENTAL OPERATIONS

The NextGen environmental management framework consists of several operations that are transformed in the NextGen. These transformations are driven by increased traffic volume compounded by greater stakeholder and community awareness of environmental issues and increasing expectations for environmental impact reductions by communities. Transformations are facilitated by enabling services and capabilities described in Section 7.4. The major transformed environmental operations are described below. 7.3.1 Transformed Aviation System EMSs

A central element of the NextGen environmental management framework is an enterprise-wide EMS program. The enterprise-wide EMS program does not treat the aviation system as a single unit, but as a community of organizations with a diverse range of requirements and drivers. It establishes systematic but flexible approaches that enable the environmental management framework to respond to the dynamic capacity demands of the aviation system. These are supported by enhanced information flow and better connections between individual component organizations. The EMS program aims to provide individual air transportation component organizations (e.g., airports, agencies, air carriers, manufacturers) with greater flexibility to identify and manage environmental resources necessary to meet their individual long-term capacity demands. It
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consists of the integration of the EMS into all aviation system component organizations (e.g., airports, air carriers, ANSPs, FAA). This NextGen EMS model establishes a standardized, systematic approach for managing the environmental aspects of operations in support of the overarching mission of the organization. The use of NextGen-focused EMS models ensures that all aviation system component organizations contain business processes that help them align with critical NextGen goals. Implementing EMS models provides mechanisms for identifying and managing resources critical to sustainable growth, transferring information, standardizing operations based on best practices, and encouraging environmental stewardship. It also provides a vehicle for NextGen-level objectives to be incorporated by individual organizations, thereby aligning them with NextGen goals. Individual organizations (e.g., airports, air carriers, FAA) connect through an information management system. As discussed in Section 7.4, this system enables environmental information management enterprise-wide, including tracking environmental metrics, storing best practices (e.g., on construction, maintenance, and operational procedures), reporting capacity forecasts, and communicating NextGen objectives, policies, incentives, and regulations. 7.3.2 Transformed Airspace Environmental Operations The NextGen seeks to create a dynamic and flexible airspace, capable of supporting a tripling in demand by 2025 in all phases of flight in an environmentally sustainable manner. An agile air traffic system based on advanced cockpit avionics, satellite navigation, and dynamic airspace has enhanced ability and flexibility to maximize routings for fuel efficiency and emissions. The NextGen has the ability to address relevant environmental impacts dynamically on a continuing real-time basis, replacing the current more rigid structure of federal review linked to federal actions with respect to the airspace. Environmental performance is embedded in the overall performance of the air traffic system, supported by EMS goals, including the availability of upto-date critical system information. Consistent with EMS principles, a holistic but flexible approach is used to manage key environmental issues as they pertain to specific geographic regions and to the system as a whole. This approach accounts for variations at an individual component level (e.g., airports or air carriers); adaptive frameworks implemented by individual components account for their specific needs while also contributing to system-level requirements. This includes the determination of critical environmental impacts in terminal airspace as well as emerging environmental requirements associated with en route portions of air travel. While environmental impacts and potential constraints of terminal airspace are currently better understood than those associated with en route airspace, there is significant uncertainty associated with 2025 projections for both. Therefore, the primary capability of the environmental management framework is its ability to adapt to the dynamic nature of the air traffic system, which may be affected by unforeseen national or international economic market fluctuations, changes in societal norms, emerging technologies, or other events (e.g., major natural disasters or terrorist attacks). This framework is facilitated by a dynamic airspace structure and includes environmental management embedded into en route flight planning on an ongoing and real-time basis. New technology enables optimized route selection during landing and take-off procedures that are based on minimizing the impact of noise and air emissions, minimizing costs and fuel burn, and maximizing route

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efficiency and safety. An example consists of the establishment of environmentally friendly operational procedures (e.g., CDA) for all traffic conditions. [R-131] In terminal airspace, single-purpose noise abatement procedures are replaced by more sophisticated environmental procedures that maximize benefits based on integrated assessment and management of multiple factors, including noise, emissions, fuel burn, land uses, operational efficiency, and cost. Procedures are dynamic and adapt to fit changing needs rather than remaining static and institutionalized. There are more available procedures using advanced technologies from which to select for best operational and environmental benefits. In the case of the en route environmental impacts, ongoing discussions and analyses have resolved major questions, and outcomes are integrated into the environmental management framework. Specific focus is placed on understanding and identifying the direct attributable role of aircraft operations in climate change through coordination with research partners and international cooperation. [R-132] 7.3.3 Transformed Airport Planning and Operations Airports contain the greatest interaction between the national aviation system, communities, and environmental resources. By 2025, significant aircraft noise will be confined within the airport boundary and over small areas of adjacent compatible land uses. Airports are emissions friendly with low- or no-emissions stationary facilities and GSE. Airport and community planning complement and support each other, and airports are valued community assets as air transportation gateways and economic engines. Through the integration of EMS principles, environmental planning and mitigation is continuous and includes activities to meet long-term goals for sustainable growth in airport capacity. These activities are supported by improved information management that, for example, transfers and stores information on environmentally preferable airport practices. In addition, an advanced capability to integrate and balance noise, emissions, fuel burn, land use, efficiency, and costs effects of alternative measures allows the selection of optimum operational modes, mitigation strategies, and surface planning procedures. [R-133], [R-134], [R-135] The implementation of an EMS model provides a flexible systematic approach to identify and manage environmental aspects of operations so as to meet capacity targets. The EMS approach will be effective because it is adaptable to the characteristics of an airport, such as its size (large or small), its ownership (public or private), or and its geography. The EMS feedback cycle also allows the airport to change its EMS-based market trends, natural events, or other system dynamics. Such a model enables airports to expand in a timely manner and remain within current noise, emissions, and water quality limits by responding to careful analysis of the environmental aspects of operations and potential threats to achieving capacity increases. The noise, air quality, and water quality concerns identified by airports and communities as critical to sustainable growth are fully integrated into smart growth management plans that have the ability for midcourse adjustment based on feedback and forecasts. Therefore, as opposed to a one size fits all approach, airports are able to assess their specific environmental requirements for sustainable growth and choose from a range of approaches to address specific operational, geographic, and local community impacts. [R-136]

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Local environmental monitoring enables the effects of management strategies to be assessed and best practices or lessons learned to be transferred system-wide. Monitoring enables regional and national trend analysis and supports decision-making and planning. Improved environmental information transfer ensures that proven practices are widely used and successes quickly proliferated. 7.3.4 Transformed Aircraft Design and Technology Environmental considerations are a critical component of aircraft design and operations. These design and operational improvements also aim to reduce costs to aircraft operators, airports, and the ANSP. As the market demand for improved environmental technologies increases, a public/private sector partnership delivers more robust R&D that enables technological breakthroughs, which dramatically reduce significant impacts. Scalable models and analytical capabilities that integrate noise, emissions, fuel burn, costs, and other factors enable development of the optimized aircraft performance characteristics, based on informed decisions of any necessary trade-offs (e.g., between noise and emissions). The development of alternative fuels for aircraft is driven by costs, energy supply and security concerns, and environmental factors. Alternative fuels will be available and in service in 2025. Uncertainties regarding the contribution of aircraft to climate change, emissions-induced health effects, and noise annoyance over noise-sensitive areas (e.g., homes, churches, schools, and national parks) are sufficiently resolved to either put them to rest or affect approaches to aircraft technology. [R-137] Use of environmentally sensitive technology is facilitated by a prompt and efficient development process where innovation, such as environmentally friendly airframe and engine design, is encouraged through federal grants and close collaboration with industry. [R-138] Design, product development, testing, and certification steps are well established, with changes in policy enabling a more direct flow from concept through implementation. This, combined with increased demand from aircraft operators, provides for a strong market for environmentally sensitive aviation technology. [R-139]

7.4 ENVIRONMENTAL MANAGEMENT FRAMEWORK POLICIES AND CAPABILITIES

The NextGen environmental management framework is a single, fully integrated, cohesive system. The NextGen is dependent on the effectiveness of this framework to manage and mitigate the environmental constraints to capacity and the impacts due to aircraft operations. An integrated NextGen environmental management framework, consistent with this CONOPS, is based on researching, designing, and implementing a broad set of enabling services and capabilities (i.e., systems and infrastructure). These services and capabilities are described in the following subsections. Each plays an important role in supporting the transformed operations of the NextGen. [R-140], [P-65] Figure 7-1 depicts the Environmental Management Framework Process.

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Figure 7-1. Environmental Process

3752 3753 3754 3755 3756 3757 3758 3759 3760 3761 3762 3763 3764 3765 3766 3767 3768 3769 3770 3771 3772 7.4.1 Policy NextGen Environmental Policy. Although many air transportation system component organizations have robust environmental programs, the focus of these multiple programs varies. Development of a unified NextGen environmental policy supported by a wide array of air transportation system stakeholders (e.g., airports, aircraft operators, agencies, communities) will assist component organizations in aligning their environmental systems with NextGen goals and objectives. Central to this policy is the establishment of long-term measurable targets that address environmental issues critical to the NextGen (e.g., noise, air emissions, fuel, and water quality). While this policy provides an overarching framework for the NextGen, it also allows sufficient flexibility to ensure that organizations can design their programs to meet their unique challenges. Performance metrics also provide an incentive for air transportation system component organizations to implement environmental management initiatives and may be used as the basis for the incentive. Therefore, a framework of metrics is established for each type of air transportation system component organization. These are reported via a net-centric environmental information management system for the purposes of analysis, continuous improvement, and public dissemination. [R-141] Standardized EMS Model. There are a wide variety of approaches and methodologies for the application of EMSs. This flexibility is critical for EMSs to be applied to a diverse range of organization types. However, to meet future capacity challenges, NextGen EMSs will contain some necessary standard elements. Examples of these elements are mechanisms for (1)
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incorporating enterprise-wide environmental objectives (e.g., objectives of the aviation system as a whole to meet forecast capacity increases safely and securely); (2) reporting using standardized metrics; and (3) linkage to a NextGen environmental information management system. Therefore, a NextGen EMS model will be developed based on existing best practices. This model is based on the globally recognized International Organization for Standardization (ISO) 14001 standard and will be sufficiently flexible to support the diverse needs of aviation system component organizations. It will also include those standard elements necessary to support an enterprise-wide approach to environmental management. Incentives System. Although the NextGen environmental management framework is expected to deliver net monetary savings to the system as a whole, incentives play a central role in offsetting the costs to individual organizations and generating implementation momentum. The NextGen environmental framework includes a diverse array of incentive programs, including financial incentives, regulatory incentives, operational incentives, award programs, and recognition programs. These incentives are tied to specific NextGen environmental program initiatives or goals. Furthermore, provisions on financing streams are included in the enterprise management framework, creating incentives and available capital to organizations to implement measures. [R-142] Information Management System. A robust information management system is critical to enabling the transfer of environmental information throughout the NextGen. This system, for example, couples shared available information (e.g., real-time weather information) to provide real-time information to aircraft operators and the ANSP on dynamically forecasted areas of noise sensitivity, areas susceptible to dispersion of pollution, and volumes of airspace that are sensitive to emissions, so that consideration of these factors can be included in planning routes, approaches, and departures. This enables communication between different NextGen organizations, so that airports can share best practices or receive updates on new policy, regulation, or other initiatives with the NextGen system. Organizations are also able to input environmental metrics data such as air emissions and noise monitoring data directly from monitoring equipment into the system. Subsequent data analyses enable better decision-making and policy development, allowing for the adjustment of environmental objectives. They also facilitate the development of effective incentives and communication of all of these actions seamlessly across the NextGen in an efficient manner. Therefore, this single enterprise-wide system supports all the environmental information management needs of the NextGen. [R-143] 7.4.2 Operations Initiative Integrated Environmental Planning. Incentives provide greater focus on airport environmental planning. More flexible smart plans enable airports to make midcourse corrections to planned initiatives, thus shortening the planning horizon. Planning includes greater involvement of stakeholder groups and local communities in order to mitigate the social impacts of aviation growth. As part of the EMS, airports conduct standardized environmental evaluations to identify environmental resources that are being adversely impacted and/or have the potential to constrain future airport capacity. This information supports long-term planning efforts and helps direct airport improvement initiatives to mitigate potential future resource constraints. Standardized environmental evaluations are reported via the enterprise-wide information management system so that it is possible to identify the specific, local environmental issues that must be addressed for

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the NextGen to be enabled. This enables organizations to review regional and national trends and support planning and decision-making within the NextGen. Airport Approaches. A range of environmentally sensitive operational procedures are developed to assist airports and aircraft operators in minimizing environmental impacts. Currently, most aircraft use the standard approach route at an airport, regardless of noise or emissions considerations. However, aircraft that utilize quiet technology will no longer produce significant noise impacts and therefore will be able to use a wide range of approaches. These procedures are developed based on improved tools and information (e.g., real-time weather information), and increase airport efficiency and ensure the maximum number of aircraft operations can be accommodated within environmental limits (e.g., state implementation plan air quality requirements, noise limits, or water quality regulations), without impacting capacity. [R-144], [R-145], [R-146], [R-147] Environmental Routes Consideration. This initiative introduces environmental considerations into the route planning decision-making process, including identifying and considering cumulative effects in routing decisions and providing preference to quieter and less-polluting aircraft. In addition, advanced navigation systems enable greater routing flexibility without impacting capacity, while also enabling en route adjustments according to on-the-ground conditions (e.g., designated quiet times or air quality emergency days). For example, aircraft that have low noise and air emissions have access to a wider selection of routes than those that do not have comparable technology. Enhanced real-time weather information allows better prediction of noise and emissions impacts. [R-148], [R-149] Ground Procedures. The implementation of EMSs encourages the use of a range of environmentally sensitive and cost-effective standardized procedures for ground activities. These include conversion of airport GSE to alternative and low-emission fuels or eliminating ground vehicles (e.g., use of fixed underground services), reducing the time spent on the ground by aircraft, reducing the use of auxiliary power units (APU), using environmentally sensitive deicing chemicals, and a wide range of other procedures. These standardized airport ground procedures are focused on enhancing surface operations, reducing delays, and minimizing environmental impacts. In particular, through the implementation of the EMS, organizations use these activities in a focused manner specifically targeting pre-identified environmental issues that threaten their ability to meet forecast demand. For example, airports may identify air emissions as a critical challenge in doubling throughput. In response to this challenge, ground procedures may be one of a number of efforts taken to reduce nonaviation emissions. In addition, the organizations assess all the attributes of procedures that can support their growth goals. For example, proactively communicating with local stakeholders on environmental initiatives may reduce complaints, ultimately improving the efficiency and speed of airport expansion. 7.4.3 Analytical Tools Understanding the relationship between various environmental impacts and the interdependences between these impacts is critical to minimizing environmental degradation. For example, if an action is taken to reduce air emissions, will this cause additional impacts on another impact category, such as noise? A suite of transparent, integrated aviation noise and emissions models is

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developed to help planners understand the environmental impacts of their actions holistically. The suite of models includes The Environmental Design Space (EDS), a capability to provide integrated analysis of noise and emissions at the aircraft level The Aviation Environmental Design Tool (AEDT), which provides integrated capability to generate interrelationships between noise and emissions and among emissions at the local and global levels The Aviation Environmental Portfolio Management Tool (APMT), which provides the common, transparent cost/benefit methodology needed to optimize choice among standards, market-based options, policies, and operational procedures to gain the largest environmental benefit at the least cost.

This suite of models allows government agencies and airport operators to understand how proposed actions and policy decisions affect noise and emissions. The models help industry understand how operational decisions influence proposed projects affecting aviation noise and emissions. They also help the public understand how actions by government and industry impact aviation noise and emissions. [P-66] The tools allow optimized environmental benefits of proposed actions and investments, improved data and analyses on airport/airspace capacity projects, and increased capability to address noise and emissions interdependencies in the resolution of community concerns. Ultimately they will facilitate more effective portfolio management and support the EMS process. [P-67] 7.4.4 Technology Clean and Quiet Technologies. In the near-term, new technologies to improve ATM enable new, quieter, and cleaner operations. In the medium-term, technologies from NASAs Quiet Aircraft Technology (QAT) and Ultra-Efficient Engine Technology (UEET) programs will be matured for handover to private-sector implementation. In the long-term, new engines and aircraft will feature enhanced engine cycles, components to enable quieter operations, more efficient aircraft aerodynamics, and reduced weight. These technology advancements enable significant reductions in noise and emissions. Technology Development Processes. Aircraft design, navigational capabilities, and technology play a central role in the ability of the NextGen to increase capacity sustainably. The development of environmentally sensitive technology is encouraged by an efficient, expeditious R&D pipeline. A critical aspect of this process will be to develop an innovative and sustainable source of funding and public/private partnerships of federal, private sector, and academia to facilitate the movement of technology from the conceptual phase through to its operational use in the NextGen.

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7.4.5 Science/Metrics Enterprise Environmental Metrics. Environmental performance indicators (e.g., noise, emissions at the airport, emissions in the airspace), combined with other system information (e.g., forecasted traffic flows, market data, fleet size, technology implementation, operational procedures), provide the needed information to quantify the individual environmental impacts (noise impacts, local air quality, and global climate change). Based on information from the results of such scientific assessments, environmental metrics are defined to attempt to put all environmental impacts on a common scale and assign relative priority to reach a quantified goal. The metrics are used to derive analytical tools to study interdependencies and perform cost/benefit analyses. These tools in turn drive policy, regulations, incentive programs, national objectives, operational procedures, and technology design goals. Establishment of what needs to be mitigated is critical before cost-effective mitigation can be implemented. The development of new metrics to assess environmental and health impacts of aviation activities enables a robust NextGen EMS. Metrics, based on best available and sound scientific principles, help establish significant impact. New metrics allow measuring the impact of noise and emissions around airports for increased operations as well as new operating paradigms (e.g., light jets and supersonic aircraft) and characterize aviations environmental impact to help inform policy decisions and environmental assessments. More robust metrics also provide an incentive for air transportation system component organizations to implement environmental management initiatives. These metrics may also be used as the basis for the incentive. [R-150]

7.5 ENVIRONMENTAL MANAGEMENT FRAMEWORK SUPPORT

The environmental framework focuses on improving linkages between various components of the air transportation system (e.g., airports, aircraft operators, federal agencies, manufacturers) and establishing a systematic but flexible framework to meet NextGen capacity demands. Where possible this aims to enable decision-making and planning at the individual component level supported by several mission support functions. These functions (e.g., environmental, market, social trends, best practices, lessons learned, feedback, incentives, monitoring) are accessible to all components of the NextGen through an information management and communication system. In addition, cross-functional groups including representatives from all stakeholder groups are assembled to review trends, policy, monitoring, and goals at a national level. These groups provide a forum for discussing research, funding, policy, regulation, tools, and other issues linking the aviation system as a whole.

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8
8.1 INTRODUCTION

Safety Management Services

The U.S. air transportation system is the safest in the world, and has been for a long time. Maintaining this record and achieving the NextGen safety objectives of improving the level of safety of the U.S. air transportation system and increasing the safety of worldwide air transportation requires designing the future air transportation system and safety management systems to control relatively benign events and how they combine with others in unexpected ways to create hazardous conditions. The potential for significant growth and increased complexity in the air transportation system requires commensurate improvement in safety performance. To achieve this improvement there must be a fundamental change in the way the safety of the system is managed. The safety programs of the NextGen will evolve from today's post-accident data analysis to integrated historical and prognostic evaluation and management of hazards and their potential safety risk to prevent future accidents. The key to success is the implementation of safety management systems integrated at the national level. The integrated safety management approach being developed includes (1) a national aviation safety strategy, (2) a safety improvement culture, (3) a prognostic safety risk management (SRM) capability, (4) a robust and protected safety information sharing and analysis procedure, and (5) an enhanced safety assurance function. This safety management approach is commonly referred to within the FAA as a safety management system (SMS) and is in accordance with international standards. The following three goals from the National Aviation Strategic Plan convey the system, practice, and worldwide impact of NextGen success: Safer Systems. Aviation system technologies are aimed at managing hazards, eliminating recurring accidents, and mitigating accident and incident consequences. Safer Practices. Safety is assured through standards, regulations, and procedures including comprehensive monitoring, sharing, and analysis of safety information for proactive solutions. Safer Worldwide. System technologies, standards, regulations, and procedures are harmonized domestically and internationally to create an equivalent and improved level of safety across air transportation system boundaries.

This chapter focuses on the processes of safety management and the expectation for safety management practices for the 2025 timeframe. The safety goals for the NextGen are intended to permit increases in capacity and efficiency while ensuring that the safety of the system is maintained. Table 8-1 identifies present-day safety concerns and correlates some of the proposed NextGen concepts that might mitigate each. As these concepts are designed and developed they will be subjected to the safer practices and risk management processes to ensure that they are

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indeed safe. Concept implementation must mitigate known risks and must not introduce significant sources of new risk. Transforming the air transportation system includes not only technological changes but human and institutional adjustments as well, which may be more challenging to implement. Table 8-1. NextGen Mitigation Strategies to Reduce Risk
Current Safety Concern On-Airport Collisions NextGen Concept Elements that Mitigate Concern Optimized airfield design Basic airport information supplied Improved airport ability to operate in low visibility Integrated Surface and Ramp Traffic Management System Moving maps in the flight deck 4DTs during super-density surface operations Improved runway incursion prevention algorithms SSA Interactive and iterative flight planning Flow strategy and trajectory impact analysis 4DTs, gate to gate Dynamic resource and airspace management Automated alerts within NEO environment Improved avionics to support operations, including airborne separation Delegated (airborne) separation SSA Improved aircraft ability to operate in low visibility Pre-landing distribution of taxi instructions Improved airport ability to operate in low visibility Automatic distribution of runway braking action reports Detection of bird activity adjacent to airfield via UAS Detection of entry of wildlife Aircraft sensors to improve de-icing operations 4DTs during super-density surface operations Detection of entry of wildlife Detection of bird activity adjacent to airfield via UAS Improved aircraft ability to operate in low visibility 4DTs, gate to gate Extensive negotiation of 4D trajectories between air and ground Automated alerts within NEO environment Moving maps in the flight deck SSA Weather assimilated into decision-making Trajectory-based weather Hazardous weather identified in real time Improved avionics to receive and transmit weather information Common integrated weather picture and virtual database Real-time adaptation of applied separation for vortex mitigation SSA Integrated SMS Improved safety management and oversight with focused audits Improved safety analysis and prediction tools Shared safety information Integrated risk mitigation strategies 8-2 VERSION 1.2

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Landing Accidents

Takeoff Accidents

Terrain Encounters

Turbulence Encounters

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Aircraft Fire

Integrated SMS Improved safety management and oversight with focused audits Shared safety information Shared safety information SSA

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8.2 KEY TRANSFORMATIONS

Improved safety management is a principal enabler of a safe and efficient higher capacity air transportation system. Key transformations in safety management practices and processes facilitating improved operational safety are highlighted in Table 8-2. The transformations support the safety management functions addressed in Section 8.3. Table 8-2. Significant Safety Management Transformations
Significant Transformation National Aviation Safety Strategic Plan 2006 Current Capability Safety management is inconsistent and fragmented. Regulatory language is not consistently focused on safety priorities. Safety rules and regulations are prescriptive in nature, restricting innovation in safety performance. There is limited regulatory relief from enforcement actions afforded to voluntary disclosure programs. Current safety programs are inefficient and nonuniform in administration. They are gradually giving way to improved global safety systems. Not all government and industry stakeholders have a culture that embraces positive safety characteristics (e.g., punitive policies do not foster reporting and sharing of data). 2025 NextGen Capability A clear and cohesive National Aviation Safety Strategic Plan for the air transportation system formalizes safety requirements and compliance guidelines for all participants in the system. Overall responsibility for safety management is assigned at the highest levels of the organization. Day-to-day safety management may be delegated. A forum is established for continuous safety process improvements and the sharing of research, safety, and audit information. Performance-based rules, are enacted emphasizing quality goals and allowing for greater certificate compliance delegation authority. A positive influential safety culture is firmly established throughout all levels of stakeholder organizations. A top-down management process is accountable for supporting a positive safety culture. Mitigation strategy effectiveness can be improved through a non-reprisal reporting program where everyone reports errors and incidents. Prognostic assessments are used to quantify safety risk levels of all system and procedural changes prior to

Positive Safety Culture

Proactive Risk Assessment and Management

Risk analysis is mostly forensic and diagnostic in nature. Risk analysis is frequently

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Significant Transformation

2006 Current Capability performed after the system or operation is designed or implemented. Risk analyses are lacking continuity, slow, and not always shared. Monitoring and data sharing and analysis are not integrated. Precursors are not always known or proactively managed.

2025 NextGen Capability implementation. Advanced data analysis and risk modeling and simulations are used for greater understanding of unforeseen system risk introduced by unanticipated codependencies. Risk assessments are based on coordinated and interlinked data sources. Risk mitigation strategies are coordinated and integrated where appropriate at a national level. Monitored data and assessments are shared and available in a timely manner. A methodology is in place for determining the potential for combining contributing factors in unexpected ways that create a hazardous situation. A robust collection and analysis system for safety-related information and dissemination of lessons learned is in place. Safety data is shared and employed across cognizant organizations to improve safety performance and drive action. Timely sharing of sensitive safetyrelevant data and information enables prompt action to prevent incidents and accidents. A mechanism (network-enabled infrastructure) and standards are in place for sharing data among diverse stakeholders. The regulatory authority continuously measures and assesses the effectiveness of stakeholder safety management systems through joint audits and trend analysis. Performance-based standards are continuously reviewed and revised as experience dictates.

Safety Information Sharing

System-wide sharing of voluntarily disclosed safety data is in the early stages of analysis and dissemination. Information sharing is local and limited to specific challenges. Legal and business concerns inhibit timely and widespread sharing of safety data. Standards and infrastructure for sharing diverse safety and related data sources are not in place.

Safety Assurance

Safety assurance is based on prescriptive rule compliance, with the regulatory authority focused on extensive testing, inspecting, and certifying individual system and operational elements.

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8.3 SAFETY MANAGEMENT ENTERPRISE OPERATIONS

The JPDO, along with its member agencies and industry partners, ensures the safety of the NextGen by establishing and maintaining a National Aviation Safety Strategic Plan for air transportation, facilitating and stimulating the continuous improvement of the safety culture
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among NextGen stakeholders; consistently, systematically, and proactively applying and improving safety risk management practices, including increasing the sharing of safety-critical data; and enhancing safety assurance. The JPDO and its stakeholders will jointly define an optimal SMS that leverages government and industry experience to quickly identify and address nonnormal, tactical, and strategic increased risk operations. [P-68] 8.3.1 National Aviation Safety Strategic Plan A clear and cohesive National Aviation Safety Strategic Plan is developed to promote continuous improvement of safety and safety management practices and the sharing of research and safetyrelevant information. This plan serves as the guiding principle to all government and industry participants in the NextGen. It facilitates and encourages the proliferation and maintenance of a safety culture. This plan promotes SRM and safety assurance processes and practices. It assigns responsibility for safety at the highest levels of the organization, allowing delegation of day-today safety management but not of overall responsibility for safety. It establishes safety management standards and ensures that safety management processes and practices are consistent with the ICAO [International Civil Aviation Organization] standards. 12 [R-151], [R-152], [R-153], [P-69], [P-70], [P-71] 8.3.2 Safety Improvement Culture A positive safety culture will focus government and industry on doing the right thing, empowering individuals across functional lines to act upon reliable data according to clear expectations of measurement and behavior. The safety culture of an organization is the product of individual and group values, attitudes, competencies, and patterns of behavior that determine the commitment to, and the style and proficiency of, an organizations health and safety programs. A positive safety culture is pervasive throughout all government and industry aviation stakeholders, thus facilitating a more proactive use of SRM principles and practices. These characteristics include but are not limited to management accountability, nonreprisal reporting, consistent use of SRM best practices, and sharing safety data and lessons learned. [R-154], [P72] 8.3.3 Safety Risk Management SRM is a construct that takes into account the frequency of occurrence of an undesired outcome, along with the possible consequences, permitting a rationale for appropriate prioritization of remedial action. It is a structured approach for identifying potential breakdowns in the systems operation, understanding the impact they may have on safety, identifying mitigation strategies, and evaluating and monitoring their effectiveness. The NextGen uses advanced data analysis and risk modeling and simulations techniques, where applicable, for a systematic and comprehensive understanding of system and operational risk. These techniques are used to identify and understand the roles of precursors in past and potential accidents, and to evaluate the effectiveness of risk mitigation strategies, thus allowing precursors to accidents to be identified and proactively managed. Understanding the accident precursors and the effectiveness of risk
12

Next Generation Air Transportation System Integrated Plan, Joint Planning and Development Office, referring to ICAO Annexes 6 (Operation of Aircraft), 11 (Air Traffic Services), and 14 (Airports Which Now Require Safety Management Systems).

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mitigation strategies helps ensure safety requirements are established at the front end of every aviation process to prevent accidents before they happen (NGATS Integrated Plan, 2004). Prognostic risk assessments based on data analysis and risk modeling techniques are used where feasible to quantify safety risk levels of system changes prior to implementation. Appreciating the interdependent and hierarchical risks of various NextGen operational improvements ensures optimal resource allocation for safety research and implementation. [R-155], [R-156], [R-157] 8.3.4 Safety Information Integration The integration and sharing of high-quality, relevant, and timely aviation safety information is critical to the operational success of the Safety Management Enterprise. The Aviation Safety Information Analysis and Sharing (ASIAS) environment is a combination of processes, governance, technologies, information protection policies and standards, and architectures used to connect Safety Management Enterprise resources including information, organizations, services, and personnel. In 2025, the ASIAS environment will support multiple levels of stakeholders within the Safety Management Enterprise, including government and private-sector decisionmakers with the responsibility of maintaining the aviation record as the safest mode of transportation. To do this, ASIAS provides easy access to a suite of tools used to extract relevant knowledge from large amounts of disparate safety information. To facilitate the trusted exchange of aviation safety information, ASIAS leverages net-centric features by implementing need-to-know, role-based access capabilities. ASIAS plays a critical role in establishing and maintaining information protections. Further, ASIAS implements and continuously improves an Electronic Directory Service, a one-stop resource for stakeholders to discover relevant aviation safety information assets across multiple domains. Lastly, ASIAS establishes and continuously refines interoperability techniques by joining disparate data sources to discover system-level hazards that were once undiscoverable. 8.3.5 Enhanced Safety Assurance Safety Assurance is the independent oversight function that tests, evaluates, and certifies, as necessary, products and processes to ensure safety for the public and the stakeholders. The regulatory authority continuously measures and assesses the effectiveness of stakeholder SMSs through joint audits and trend analysis. Performance-based standards are continuously reviewed and revised as experience dictates. The responsibility for safety assurance is distributed among and between the regulators and the providers. As a result of this delegation, the regulatory authority is better equipped to focus resources on the most safety critical systems and operations. To support national-level proactive hazard identification, risk assessments, and the Safety Assurance function, the incompatible databases scattered throughout government and industry (NGATS Integrated Plan, 2004) are transformed into a coordinated and interlinked data source using the network-enabled infrastructure. The safety-critical events and data are reported and shared without fear of disciplinary or legal action. Mechanisms are in place for protecting competitive information. [R-158], [R-159], [R-160], [R-161], [P-73], [P-74]

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8.4 SAFETY MANAGEMENT ENTERPRISE SERVICES AND CAPABILITIES

National-level Safety Management Services are provided to facilitate safety management and cooperation across aviation stakeholder organizations. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, injection of critical and timely safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. [R-162], [R-163], [R-164], [R-165], [P-75], [P-76], [P-77] The safety services may be provided to varying degrees by local or federal government agencies, or by industry associations, technical societies, or other nongovernmental organizations; and they may be either permanent or temporary bodies. These services have been grouped into categories further described in the subsections below. This does not diminish the responsibility for improving and managing safety that is the foundation for each stakeholder organizations safety culture. 8.4.1 Aviation Safety Strategic Plan Service The Safety Strategic Plan Service provides A coordinated and maintained national safety plan Coordinated cooperation in aviation safety management research Steps to promote and enhance an effective safety culture, including recommending appropriate training and addressing legal and liability issues Responsibility of organizations top management for safety performance as they are now for financial performance Coordination with foreign and international organizations and air transportation stakeholders.

8.4.2 Safety Promotion Service The Safety Promotion Service provides A Safety Culture Improvement Plan, which includes examples of strategies and tools that can be used by the stakeholders Implementation guidelines for safety culture improvement Capabilities for additional research into the relationship between safety climate scores and mishap rates Development and distribution of material that facilitates awareness of the importance of organizational culture in fostering safety.

8.4.3 Safety Risk Management Service The Safety Risk Management Service provides Safety data management capability, including data sharing and protection, and formatting requirements to facilitate data analysis and reporting Integrated NextGen-wide (and major portions thereof) risk assessment capability via data analysis and models and simulations development, maintenance, and

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application to understand the relative risks across the NextGen and the effectiveness of mitigation strategies Continued understanding of safety culture impacts on NextGen safety Assessments of the impact on safety (including on safety culture) of proposed new regulations.

8.4.4 Safety Information Integration Service The ASIAS environment provides A one-stop shop for aviation safety information required to support Safety Management Services Large amounts of safety information from multiple domains under one virtual roof Processes for acquiring access to data from multiple, disparate information sources Authorized end users with easy access to relevant aviation safety information in a timely manner Role-based, need-to-know authorization features Coordination and maintenance of aviation safety information protection policies and procedures Adaptation to meet the ever-changing safety information requirements of the Safety Management Enterprise operations.

8.4.5 Safety Assurance Service The Safety Assurance Service provides Certification SMS certification System and operation certification Training Independent evaluations (using SRM services) of systems, operations, and safety culture Accident investigation services Other regulatory and oversight services Integration of safety management into infrastructure planning and management, and into intermodal operations Regulatory and policy enforcement service.
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8.5 INTEGRATION OF SMS INTO NEXTGEN SERVICES

All modifications to existing systems, procedures, equipment, and policies and all transformations undertaken by the services to achieve the NextGen undergo the safety risk analysis and management process. Each of the services identifies the requirements to meet target levels of safety through integrated safety assessments and implements the SMS to accomplish the goals. The NextGen integrated SMS specifies a collaborative and integrated safety hazard/ mitigation strategy. Results from safety assessments are factored into the operational data requirements for each of the services. SMS data required for identification and tracking of hazards and trend analysis is centrally managed and accessible to users. SMS best practices and lessons learned are coordinated across the services.

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9
9.1 INTRODUCTION

Performance Management Services

Among the major determinants of acceptable system performance is the acceptable level of risk. Historically, system risk has been managed at the component level by inspection, oversight, procedural compliance, verification, and trend monitoring. In the dynamic system of the future, risk management is a requirement for a real-time process, especially as dynamic changes in authority delegation and airspace definitions occur. This service is designed to facilitate decision-making with respect to the safety of these dynamic changes as well as establish a method for monitoring system component performance in real-time. The significant transformation this service will experience is the evolution from retrospective evaluation of risk and utility of system configuration to near-real-time system performance assessment for system performance management. The intent is to switch to real-time (operational impact) reviews of system safety and performance in lieu of historical-based analysis. This capability fosters new integrated monitoring and management services to the system through the use of new system design (new roles and responsibilities inclusive). Further, realtime system performance allows Use of onboard data monitoring to manage individual aircraft safety among the COIs Use of inter-aircraft data to provide inter-element compliance and performance data to systems Enhanced use of aircraft-ground monitoring of operational characteristics in the decision-making process.

As a result, the performance management system is a better integrated as well as a more accurate tool for information.

9.2 KEY TRANSFORMATIONS

As shown in Table 9-1, the key performance management transformations are in the areas of providing real-time information and communication.

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Table 9-1. Significant Performance Management Transformations

Significant Transformation Real-Time Performance Management System Real-Time Aircraft Data Communication 2006 Current Capability Real-time NAS-level performance monitoring of many operational parameters Use of self-reports (via PIREPs, radio, etc.) or ADS-B to track aircraft performance; TCAS alerts in high-risk situations No real-time aircraft performance data collected; certification of compliance with navigation performance is done as an independent process. Limited real-time aircraft-to-pilot health monitoring 2025 NextGen Capability Real-time NAS-level performance monitoring for all key system metrics

Real-time inter-aircraft operational data sharing and system performance management decision framework

Real-Time OnAircraft Operational Data Management

Real-time on-aircraft operational data management and evaluation of aircraft performance for compliance with performance levels

Real-Time InterAircraft Operational Data Management

Real-time inter-aircraft operational data management and evaluation of interaircraft performance for compliance with performance levels

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Real-time measures of system risk and safety performance are developed based on the internal capability of system performance evaluation and integrated decision-making. This operational metric-based management completes the holistic model of the Performance Management Services. Consequently, this transformation fosters real-time data communication, real-time operational data management, real-time measures of system risk and safety performance, and the metric results of operational system performance.

9.3 PERFORMANCE MANAGEMENT ENTERPRISE SERVICES

System risk management is an integrated function within the overall NAS architecture, using the components of the architecture as nodes for data gathering and reporting and distributed and centralized computing systems to identify anomalous situations, circumstances that are accident precursors, and other potential hazards. [R-166] Since the current risk management system is based on historical data analysis and forensic situational decomposition, it is difficult to use it in a proactive manner to manage system safety. The new concept uses this historical data to develop a model of the relationship between risk (even probabilities and consequences) and observable operational data (including flight operational quality data on board aircraft, aircraftto-aircraft transmissions, ground-based system observations, and NAS-level system performance information). This relationship is dynamically updated to provide risk indicators for various operational conditions, including environment (e.g., weather), aircraft density, airspace complexity, aircraft performance, and the performance of other system component characteristics that may affect risk. [R-167]

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9.3.1 Service 1: Operational Metric Monitoring The development of this system risk management process is based on a relationship between operational metrics and system risk. This model is based on historical incident/accident data and provides nominal conditions for normality (acceptable risk) associated with operational performance data. Metrics are suggested and verified for their ability to reflect risk and to provide operators with actionable data. 9.3.2 Service 2: Aircraft On-Board Data Collection and Management In an operational environment that involves significant aircraft self-management, on-board collection of data on aircraft performance is required to provide two key types of decisionquality data: (1) the quality of the aircrafts performance vis--vis the operators intended actions and (2) the behavior of the aircraft vis--vis its neighbors and compliance with a given navigation performance requirement. On-board integrated data management must be developed that provides information to operators, other aircraft, and the relevant actors in the NAS based on the statistical performance data collected by on-board instrumentation. This requires an on-board aircraft intent management system integrated into the flight management system (FMS), which broadcasts some critical aircraft performance data to the distributed and/or centralized control facilities and other aircraft in proximity. 9.3.3 Service 3: Aircraft-to-Aircraft Data Standards and Exchange; Operational Metric (e.g., Risk) Model The data and information collected in Service 2 must be broadcast in such a way as to give other aircraft, operating in self-management, information on intent and aircraft performance so that risk of collision due to aircraft failure or pilot error is minimized. The standard messages required for information exchange and SSA are developed to support sharing the information developed in Service 2. 9.3.4 Service 4: Aircraft-to-Ground Data Standards and Exchange Similarly, a standard message set related to operational metrics and based on aircraft performance data is developed to broadcast aircraft performance information to the distributed or centralized control facility. These data are part of the required inputs for aggregate airspace risk management. 9.3.5 Service 5: ANSP Management SoftwareIntegrated System Performance Models As discussed above, an integrated risk performance model is developed based on the historical association between incidents and accidents and the operational performance of the system associated with those incidents. This model provides a risk probability to control functions (such as the ANSP) for given time intervals based on the data collected on individual aircraft performance, aircraft-to-aircraft operational performance data, and environmental conditions (e.g., weather, visibility). The management software provides standard risk-level estimates to operators (such as controllers) or directly to aircraft (under self-separation and management) with respect to allowable separations, closing speed, access to airspace, and the like.
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9.4 PERFORMANCE MANAGEMENT MISSION SUPPORT

The dynamic assignment of airspace to varying levels of capability and the reassignment of separation assurance functions within the system require a system evaluation function that provides real-time operational performance monitoring to assess risk and efficiency management. Within each element of the system (e.g., aircraft, pilot, controller, airspace), levels of monitoring and comparison of current operational performance against the required performance metrics must be maintained to facilitate allocation and management system decisions. While the operator makes allocation decisions based on the performance of system optimization schemes, the system is not necessarily able to diagnose variance from performance requirements that may increase risk (to aircraft operation, among aircraft, for ground system control, or among system elements). This function provides a system-level model (aggregated from componentlevel models of risk and operational performance) that allows system elements to reflect on their current operational performance versus ideal requirements for safe operation. Then this systemlevel model reflects to the elements of the system for decision quality data and recommended actions.

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APPENDIX A

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Appendix A: Acronyms
Term 3D 4D 4DT AAAE AAR ACAS ACC ACI ADS-B AEDT AIS ALP ANSP AOA APMT APU AR ASIAS ATC ATIS ATM Definition Three-Dimensional Four-Dimensional Four-Dimensional Trajectory American Association of Airport Executives Airport Acceptance Rate Airborne Collision Avoidance System Airport Consultants Council Airports Council International Automatic Dependent Surveillance-Broadcast Aviation Environmental Design Tool Aeronautical Information Services Airport Layout Plan Air Navigation Service Provider Airport Operations Area Aviation Portfolio Management Tool (Environmental) Auxiliary Power Unit Aerial Refueling Aviation Safety Information Analysis and Sharing Air Traffic Control Automatic Terminal Information Service Air Traffic Management

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Term AVT BLOS BPR BRAC CAD CAM C-ATM CBRNE CCCHS CDA CDM CDTI CFR CIE CIP CM CNS COI CONOPS COU CSCE CSPA

Definition Automated Virtual Tower Beyond Line of Sight Behavior Pattern Recognition Base Realignment and Closure Computer Aided Design Continuous Air Monitoring Collaborative Air Traffic Management Chemical, Biological, Radiological, Nuclear, and Explosive Cockpit, Cabin, and Cargo Hold Surveillance Continuous Descent Approach Collaborative Decision-Making Cockpit Display of Traffic Information Code of Federal Regulations Collaborative Information Environment Capital Improvement Program Capacity Management Communications, Navigation, and Surveillance Community of Interest Concept of Operations Concept of Use Certified Supply Chain Entity Closely Spaced Parallel Approach

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APPENDIX A

Term CTA CUTE DHS DOC DoD DOJ DOT DSP DSS DST EDS EMAS EMP EMS ESTOL ETD EVFR EVO FAA FBO FCAPS FCM

Definition Controlled Time of Arrival Common Use Terminal Equipment Department of Homeland Security Department of Commerce Department of Defense Department of Justice Department of Transportation Defense Service Provider Decision Support System Decision Support Tool Environmental Design Space Engineered Material Arresting System Electromagnetic Pulse Environmental Management System Extremely Short Takeoff and Landing Explosive Trace Detection Electronic Visual Flight Rules Equivalent Visual Operations Federal Aviation Administration Fixed Base Operator Fault, Configuration, Accounting, Performance, Security Flow Contingency Management

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Term FIDS FIR FIS FMS FOC FONSI FSD FSS GA GHG GIS GNSS GPS GSE IAP ICAO IED IFR ILS IMC IP IRM

Definition Flight Informational Display System Flight Information Region Federal Inspection Services Flight Management System Flight Operations Center Finding of No Significant Impacts Federal Security Director Flight Service Station General Aviation Greenhouse Gas Geospatial Information Services Global Navigation Satellite System Global Positioning System Ground Support Equipment Instrument Approach Procedure International Civil Aviation Organization Improvised Explosive Device Instrument Flight Rules Instrument Landing System Instrument Meteorological Conditions Internet Protocol Integrated Risk Management

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APPENDIX A

Term ISO ISP JPDO LAAS LEO MANPADS MOA MOPS MPO NAS NASA NAVAID NDOT NEI NEO NEXRAD NextGen NEXTOR NGATS NM NNEW NOTAM

Definition International Organization for Standardization Institutionalized Sharing Process Joint Planning and Development Office Local Area Augmentation System Law Enforcement Officer Man Portable Air Defense System Memorandum of Agreement Minimum Operational Performance Standard Metropolitan Planning Organization National Airspace System National Aeronautics and Space Administration Navigational Aid NextGen Decision-Oriented Tool Network-Enabled Infrastructure Network-Enabled Operation Next-Generation Radar Next Generation Air Transportation System National Center of Excellence for Aviation Operations Research Next Generation Air Transportation System Nautical Mile NextGen Network Enabled Weather Notices to Airmen

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Term NPIAS OAG OSTP PIREP PIRG PNT POFZ PWD QAT QoS R&D RCP RFID RMAP RNAV ROD RNP RNP-X RSP RTCA RTSP RTSS

Definition National Plan of Integrated Airport Systems Official Airline Guide Office of Science and Technology Policy Pilot Report (Weather) Planning and Implementation Regional Group Positioning, Navigation, and Timing Precision Obstacle Free Zone Person with Disability Quiet Aircraft Technology Quality of Service Research and Development Required Communications Performance Radio Frequency Identification Risk Management and Analysis Program Area Navigation Record of Decision Required Navigation Performance Required Navigation Performance Level or Type Required Surveillance Performance Radio Technical Commission for Aeronautics Required Total System Performance Remote Terminal Security Screening

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APPENDIX A

Term SAA SBAS SIDA SM SMS SOA SOC SRM SSA SSCE SSP SUA SVT SWIM TBO TCAS TERP TFM TFR TIS-B TM TMI

Definition Special Activity Airspace Satellite-Based Augmentation System Security Identification Display Area Separation Management Safety Management System Service-Oriented Architecture Security Operations Center Safety Risk Management Shared Situational Awareness Secure Supply Chain Entity Security Service Provider Special Use Airspace Staffed Virtual Tower System-Wide Information Management Trajectory-Based Operations Traffic Alert and Collision Avoidance System Terminal Instrument Procedure Traffic Flow Management Temporary Flight Restriction Traffic Information Service-Broadcast Trajectory Management Traffic Management Initiative

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Term TSA UAS UEET UGV URET US-CERT USCG USNO UTC V/STOL VBIED VFR VHF VLJ VMC VoIP VPN VTOL WAAS WMD Wx

Definition Transportation Security Administration Unmanned Aircraft System Ultra-Efficient Engine Technology Unmanned Ground Vehicle User Request Evaluation Tool United States Computer Emergency Readiness Team United States Coast Guard U.S. Naval Observatory Universal Coordinated Time Vertical/Short Takeoff and Landing Vehicle-Borne Improvised Explosive Device Visual Flight Rules Very High Frequency Very Light Jet Visual Meteorological Conditions Voice-Over-Internet Protocol Virtual Private Network Vertical Takeoff and Landing Wide Area Augmentation System Weapon of Mass Destruction Weather

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APPENDIX B: GLOSSARY

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Term Aeronautical Information Service (AIS)

Appendix B: Glossary
Definition The near-real-time transmission of accurate aeronautical information, including updates on airspace restrictions; performance requirements for airspace access and operations; system outages; airport status information; static information, such as approach plates; and certain fixed airspace definitional data, such as fixed special activity airspace and airport information. The Air Carrier operational node represents the operational users of NextGen. An air carrier includes commercial passenger or cargo airlines, military air commands, business aviation, and private air vehicle operators. The global airspace, including domestic, international, and foreign airspace, as well as all manned and unmanned aircraft operating, and people and cargo present in that airspace, and all aviation-related infrastructures. Used generically, ANSP refers to the organization, personnel, and automation that provide Air Traffic Management (ATM); Communications, Navigation, and Surveillance (CNS) services; meteorological services for air navigation; aeronautical information; infrastructure management; aviation information; landing; airspace management; or aviation assistance services to airspace users. The dynamic, integrated management of air traffic and airspacesafely, economically, and efficientlythrough the provision of facilities and seamless services in collaboration with all parties. Refers to all aircraft within the airspace or airport movement area maintaining separation from all other aircraft within the airspace or airport movement area according to defined rules and separation criteria. The ANSP is not responsible for separation between aircraft. When authorized by the ANSP, equipped aircraft in this airspace maintain separation from all other aircraft, including those managed by the ANSP. Refers to separation delegated to an individual aircraft to maintain separation from a designated aircraft, either in flight or on the airport movement area, such as for a crossing or passing maneuver. Separation of this aircraft from all other aircraft, including all aircraft to which separation has not been delegated, remains the responsibility of the ANSP. Pairwise separation and closely spaced parallel approaches are also in this category. Refers to a capability of the aircraft to maintain awareness of and separation from other aircraft, airspace, terrain, or obstacles. There are four different levels of airborne separation assurance (based on the RTCA definition) airborne traffic situational awareness, airborne spacing, airborne separation, and airborne self-separation.

Air Carrier

Air Domain

Air Navigation Service Provider (ANSP)

Air Traffic Management (ATM) Airborne SelfSeparation

Airborne Separation

Airborne Separation Assurance

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APPENDIX B Term Airborne Spacing Definition

OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN)

Refers to the capability of one aircraft to achieve and maintain a defined distance in space or time from another aircraft. Separation responsibility remains with the ANSP. Refers to flight crew knowledge of nearby traffic depicted on a cockpit traffic display without any change of separation tasks or responsibility. Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth's surface. An aircraft can include a fixed-wing structure, rotorcraft, lighter-than-air vehicle, or a vehicle capable of leaving the atmosphere for space flight. A defined area on land or water (including any buildings, installations, and equipment) intended to be used either wholly or in part for the arrival, departure, and surface movement of aircraft. Airspace with a common air traffic management interest and use, based on similar characteristics of traffic density, complexity, air navigation system infrastructure requirements, aircraft capabilities, or other specified considerations wherein a common detailed plan fosters the implementation of interoperable CNS/ATM systems. The process of transforming routes, fixes, sectors, and other structural/operational elements of the NAS to ensure a safe, secure, and efficient aviation system. High-density, moderate-complexity airspace where the flight operator executes a 4DT agreement. Trajectory Management (TM) ensures the overall flows are well behaved so that potential conflicts are kept to a minimum. Separation Management (SM) is performed automatically by ground automation. If conflicts are detected, the ground automation issues revised 4DTs to the flight operator. A method of navigation that permits aircraft operation on any desired flight path within the coverage of station-referenced navigation aids, the limits of the capability of self-contained aids, or a combination of these. Aircraft operations using an RNAV system. RNAV Operations remove the requirement for a direct link between aircraft navigation and a NAVAID, thereby allowing aircraft better access and permitting flexibility of point-topoint operations. RNAV Operations include RNAV and RNP applications. An ATS route established for the use of aircraft capable of employing area navigation. Airspace from the top of climb or descent to the airport surface. It includes only the arrival and departure corridors in current use, but extends to enroute altitudes.

Airborne Traffic Situational Awareness Aircraft

Airport

Airspace Classification

Airspace Design

Air Navigation Service Provider (ANSP) Flow Airspace

Area Navigation (RNAV) Area Navigation (RNAV) Operations

Area Navigation (RNAV) Route Arrival/Departure Airspace

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APPENDIX B: GLOSSARY

Term Automated Virtual Tower (AVT) Auto-Negotiation

Definition A facility where sequencing services and basic airport information are provided without the use of ANSP personnel, at a service level that is enhanced as compared with typical nontowered airports in 2006. The interaction among two or more systems to identify a specific operational response acceptable to the parties (e.g., flight operator and ANSP) served by the automated system. The automated systems would use the known operating constraints or user preferences to identify the preferred response. The maximum number of aircraft that can be accommodated in a given time period by the system or one of its components (throughput). The long-term and short-term management and assignment of NAS airspace and routes to meet expected demand. This includes assigning related NAS assets as well as coordinating longer-term staffing plans for airspace assignments. It includes the allocation of airspace to airspace classifications based on demand, as well as the allocation of airspace and routes to ANSP personnel to manage workload. Low altitude airspace away from busiest terminal areas (those not engaged in super density operations) that accommodates mixed capability aircraft, including those under visual flight rules. The collaborative process among the ANSP, flight operators, airport operators, and other stakeholders, to manage objectives for capacity management, flow contingency management, and trajectory management. Collaborative air traffic management (C-ATM) is the means by which flight operator objectives and constraints are balanced with overall NAS performance objectives. A virtual, consistent, reliable, comprehensive NextGen Government-provided weather information service available to all NAS stakeholders. CWP information consists of observed weather and forecast weather. CWP weather is available as girded service; that is to say, it exists over different 3D meteorological scales. The observed weather information includes but is not limited to the following: convection, turbulence, icing, rain, hail, snowfall, lighting, ceiling, visibility, space radiation, wind speed, wind direction, temperature, humidity, noise propagation potential, and airport plume concentration, atmospheric sensitivity to exhaust, volcanic ash, and wake vortex information. Forecast weather has the same information as observed weather with the additional parameters of probability of occurrence and a confidence level describing the occurrence probability. A description of how nonhomogeneous the traffic demand is. Factors that cause complexity to be higher are large numbers of vertically transitioning aircraft, large numbers of crossing paths, large variation in speeds, etc. Any situation involving an aircraft and a hazard in which the applicable separation minima may be compromised.

Capacity Capacity Management

Classic Airspace

Collaborative Air Traffic Management

Common Weather Picture

Complexity

Conflict

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APPENDIX B Term Constraint Controlled Time of Arrival Cooperative Surveillance Definition

OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN)

Any limitation on the implementation of an operational improvement, or a limitation on reaching the desired level of service. The assignment and acceptance of an entry/use time for a specific NAS resource. Examples include point-in-space metering, time to be at a runway, or taxi waypoints. The determination of an aircrafts multi-dimensional position utilizing equipment on the airframe. In comparison, non-cooperative surveillance would be the determination of an aircrafts multi-dimensional position without the knowing participation of the aircraft or its equipment. The number of aircraft requesting to use the ATM system in a given time period. Initiatives, such as (new) technologies, systems, operational procedures, and operational or socioeconomic developments that facilitate the implementation of operational improvements or of other enablers. Any or all of the key services that are provided to all COIs throughout NextGen, and can be characterized by the Net-Centric Infrastructure Services that provide connectivity and universal access to information; and by services that provide the collection, processing, and distribution of information. This includes Shared Situational Awareness, Security Management, Safety Management, Environmental Management, and Performance Management Services. An organizational business process that consists of four phases. In the first, planning phase of the NextGen EMS, the organization identifies environmental issues with the potential to constrain future capacity. These are the focus of tactical, measurable objectives, for which improvement initiatives are undertaken during the second implementation phase. During the third assessment phase, the effectiveness of these initiatives is monitored and key performance metrics tracked. Monitoring data is then used to support planning at the organization itself in the fourth review and adaptation phase. In the NextGen EMS, monitoring data is also reported at an enterprise level to support NextGen-wide planning. The capability to provide aircraft with the critical information needed to maintain safe distances from other aircraft during non-visual conditions, including a capability to operate at levels associated with VFR operations on the airport surface during low-visibility conditions. The ANSP personnel delegate separation responsibility to the flight operators. This capability builds on net-enabled information access, certain aspects of performancebased services, and some elements of PNT services and layered adaptive security. The individual or group of individuals responsible for the control of an individual aircraft while it is moving on the surface or while airborne.

Demand Enablers

Enterprise Services

Environmental Management System

Equivalent Visual Operations

Flight Crew

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APPENDIX B: GLOSSARY

Term Flight Object

Definition The representation of the relevant information about a particular instance of a flight. The information in a flight object includes (1) aircraft capabilities, including the level of navigation, communications, and surveillance performance (e.g., FMS capabilities); (2) aircraft flight performance parameters; (3) flight crew capabilities, including level of training received to enable special procedures; (4) 4DT profile and intent, containing the cleared 4DT profile plus any desired or proposed 4DTs; and (5) aircraft position information and near-term intent. Standards for the definition of a flight object are in development. The organization or person responsible for scheduling, planning, and directly operating the aircraft. Roles within the flight operator include the flight scheduler, flight planner, and flight crew, and may reside with one individual or be relegated among separate individuals. Specified information relating to the intended flight of an aircraft that is filed electronically, orally, or in writing with an ANSP facility. A series of activities preformed before a flight that include, but are not limited to, reviewing airspace and navigation restrictions, developing the route, obtaining a weather briefing, completing a navigation log, filing a flight plan, and inspecting the aircraft. The management of data related to a flight from the initial filing of a proposed flight to the closing of the flight plan and the archiving of the data to support performance management analyses. The process that identifies potential flow problems, such as large demand capacity imbalances, congestion, high degrees of complexity, blocked or constrained airspace, or other off-nominal conditions. It is a collaborative process between ANSP personnel and airspace users to develop flow strategies to resolve the flow problems. Examples of flow strategies include establishing routing to reduce complexity, restructuring airspace, and allocating access to airspace or runways. A corridor is a long tube of airspace that encloses groups of flights flying along the same path in one direction. It is airspace procedurally separated from surrounding traffic and special use airspace, and is reserved for aircraft in that group. There is a minimum distance that traffic within the corridor must maintain from the edge of the corridor (i.e., the corridor walls have some thickness). This capability in the NextGen provides a common what if function to assess potential changes in planned flights, the allocation and configuration of assets, as well as other conditions (e.g., weather, security initiatives) that may affect flight operations.

Flight Operator

Flight Plan Flight Planning

Flight Plan Filing and Flight Data Management Services Flow Contingency Management

Flow Corridor

Flow Strategy and Trajectory Impact Analysis Services

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APPENDIX B Term Four-Dimensional Trajectory (4DT) Definition

OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN)

A 4DT represents the centerline of a path plus the positioning uncertainty, including waypoint. Positioning uncertainty includes lateral, longitudinal, and vertical positioning uncertainty. Some waypoints within a 4DT may be defined with controlled times of arrival (CTAs), which constrains the uncertainty for planning purposes. The required level of specificity of the 4DT depends on the operating environment in which the flight will be flown. Associated with a 4DT is the separation zone around an aircraft and the aircraft intent information, which provides near-term information on the expected flight path. The term used to describe any flight other than a military or scheduled airline flight, ranging from gliders and powered parachutes to large, non-scheduled cargo jet flights. The objects or elements from which an aircraft can be separated. These include other aircraft, terrain, weather, wake turbulence, incompatible airspace activity, and, when the aircraft is on the ground, surface vehicles and other obstructions on the apron and maneuvering area. The ATM system is designed around the capabilities and limitations of humans. It assigns functions to humans that are best performed by them, and it provides automation assistance when it can improve decision-making or make the humans tasks easier. It does not imply that humans are always in direct control. The discipline concerned with the understanding of interactions among humans and other elements of a system. It is application of theory, principles, data, and other scientific methods to system design to optimize human wellbeing and overall system performance. A service that provides data and information to subscribers when and where needed in a common format. It ensures questions raised by data consumers are answered correctly and consistently. A service that provides communications connectivity to ensure information flows work reliably to support information communications and sharing functions. A process that includes prognostic tools, models, and simulations at the strategic, operational, and tactical level to support all stakeholder decisionmakers and managers in the grafting of cost-effective best practices into the design, acquisition, deployment, and operation of aviation security system assets and infrastructures. Knowledge bases concerning threats, vulnerabilities, and practices are tailored to user profiles that proactively determine need/authorization to know.

General Aviation

Hazards

Human-Centric

Human Factors

Information Services Infrastructure Services Integrated Risk Management (IRM)

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APPENDIX B: GLOSSARY

Term Intelligent Agents

Definition Within the context of this operational concept, refers to a computational system that includes the following characteristics: is aware of constraints, has goals, and operates autonomously within its construct to identify information or opportunities for human action. It is customized for an area or task, is adaptive, knows the users preferences/interests, and can operate on their behalf (e.g., by narrowing the choices available through auto-negotiation). As such, this concepts definition is consistent with commonly accepted industry standards. Information on planned future aircraft behavior, which can be obtained from the aircraft systems (avionics). It is associated with the commanded trajectory and takes into account aircraft performance, weather, terrain and ATM service constraints. The aircraft intent data correspond either to aircraft trajectory data that directly relate to the future aircraft trajectory as programmed inside the avionics or the aircraft control parameters as managed by the automatic flight control system. These aircraft control parameters could either be entered by the flight operator or automatically derived by the flight management system. The security system is constructed in layers of defense to detect threats early and prevent them from meeting their objective while minimally affecting efficient operations. Airports and aircraft are designed to be more resilient to attacks or incidents. Building on the net-enabled information access and performance-based services capabilities, risk assessments begin well before each flight so that people and goods can be appropriately screened as they move from the airport curb to the aircraft, or as they support aerodrome/aircraft operations. As technology matures, screening will be unobtrusive and more transparent to the individual. All people and cargo that touch or are carried by an aircraft will be positively identified. Responses to anomalies and incidents will be proportional to the assessed risk of the involved individuals or cargo. A group of two or more adjacent airports whose arrival and departure operations are highly interdependent. Low-density, low-complexity airspace at very high altitudes that accommodates a wide range of special operations (e.g., high-speed reconnaissance aircraft, aerostats, long-endurance orbiting unmanned aircraft systems). For aviation transportation efforts, defines a robust, globally interconnected network environment in which information is shared in a timely and consistent manner among users, applications, and platforms. An information network that makes information available, securable, and usable in real time to distribute decision-making. Information may be pushed to known users and is available to be pulled by other users, including users perhaps not previously identified as having a need for the information. The decision support and other applications using NEI for information transfer and retrieval.

Intent

Layered Adaptive Security

Metroplex Near-Space Airspace

Net-Centricity

Net-Enabled Information (NEI)

Network Enabled Operations (NEO)

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APPENDIX B Term NextGen Decision Oriented Tool (NDOT) NextGen Network Enabled Weather (NNEW) Non-Managed Airspace Oceanic Airspace Definition

OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN)

A tool that incorporates observations, forecasts, model/algorithm data, and climatology, including surface observations and weather aloft to allow full integration of weather into traffic flow decision-making The network that publishes current and forecast weather information (using observations, forecasts, model/algorithm data, and climatology) to nontowered and virtual towered airports at the required spatial and temporal resolution. Uncontrolled, low-altitude airspace where no ANSP services are provided, except as required to coordinate entry to a different class of airspace. That airspace over the oceans of the world, considered international airspace, where oceanic separation and procedures per ICAO are applied. Responsibility for the provisions of ATC service in this airspace is delegated to various countries, based generally upon geographic proximity and the availability of the required resources. Performance-based navigation specifies RNAV system performance requirements for aircraft operating along an ATS route, on an instrument approach procedure, or in airspace. Performance requirements are defined in terms of accuracy, integrity, continuity, availability, and functionality needed for the proposed operation in the context of a particular airspace concept. Performance requirements are identified in navigation specifications that also identify the navigation sensors and equipment that may be used to meet the performance requirement. Use of performance capability definition versus an equipment basis to define the regulatory/procedural requirements to perform a given operation in a given airspace. There are multiple service levels aligned with specified user performance thresholds to provide choices to users depending on needs, required communication, navigation and surveillance performance, environmental performance criteria, security parameters, etc. Services are flexible according to the situation and consolidated needs of the users. Services vary from area to area in terms of airspace and airport surfaces, and they vary with time as needs dictate. Preferences are established based on user capability, equipage, training, security, and so forth. The performance-based approach is used to analyze risks (e.g., safety, security, environment) instead of equipment-based approaches. The performance-based services capability enables a definition of service tiers and allows the government to move from equipment-based regulations to performance-based regulations. A service that enables the ability to accurately and precisely determine ones current location and orientation and desired path and position; apply corrections to course, orientation, and speed to attain the desired position; and to obtain accurate and precise time anywhere on the globe, within userdefined timeliness parameters

Performance-Based Navigation

Performance-Based Operations Performance-Based Services

Position, Navigation, Timing (PNT) Services

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APPENDIX B: GLOSSARY

Term Required Navigation Performance Required Navigation Performance Level or Type (RNP-X) Route

Definition A statement of the navigation performance accuracy necessary for operation within a defined airspace. RNP Operations introduce the requirement for onboard navigational performance monitoring and alerting. A value, in nautical miles (NM), from the intended horizontal position within which an aircraft would be at least 95 percent of the total flying time. A 3D path through space with no time component. Unlike corridors, aircraft can cross routes as operational need requires, with proper separation provided to all aircraft. The independent oversight function which tests, evaluates, and certifies, as necessary, products and processes to assure these are safe for the public and stakeholders. The product of individual and group values, attitudes, competencies, and patterns of behaviors that determine the commitment to, and the style and proficiency of, an organization's health and safety programs. The process that provides a systematic method for managing safety. The four components of an SMS are policy, architecture, assurance, and safety promotion. The set of processes and practices by which a concept and its operation are designed and made to be safe. That airspace where aircraft self-separation enables maximum user flexibility in exchange for high capability equipage of the aircraft. The function of ensuring that aircraft or vehicles maintain safe separation minima from other aircraft or vehicles, protected airspace, terrain, weather, or other hazards. The function may be performed by ANSP personnel, the flight operator, and/or automation. The minimum displacements between an aircraft and a hazard that maintain the risk of collision at an acceptable level of safety. A design for linking computational resources (principally, applications and data) on demand to achieve the desired results for service consumers (which can be end users or other services). OASIS (the Organization for the Advancement of Structured Information Standards) defines SOA as A paradigm for organizing and utilizing distributed capabilities that may be under the control of different ownership domains. It provides a uniform means to offer, discover, interact with and use capabilities to produce desired effects consistent with measurable preconditions and expectations. The access to information among the processes and applications that constitute the information services function to the stakeholders in the system.

Safety Assurance

Safety Culture

Safety Management System (SMS) Safety Risk Management (SRM) Self Separation Airspace Separation Management

Separation Minima Service Oriented Architecture (SOA)

Shared Situational Awareness (SSA)

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APPENDIX B Term Situational Awareness Definition

OPERATIONAL CONCEPT FOR THE NEXT GENERATION AIR TRANSPORTATION SYSTEM (NEXTGEN)

Refers to a service provider or operators ability to identify, process, and comprehend important information about what is happening with regard to the operation. Airborne traffic situational awareness is an aspect of overall situational awareness for the flight crew of an aircraft operating in proximity to other aircraft. A facility where surface and tower services are provided by ANSP personnel, providing other-than-direct visual observation, who may or may not be located at the facility. Stakeholders represent all entities that are vested in ensuring the safest and most efficient operation of the NextGen. Through performance metrics analysis and research, these entities see that the proper training is coordinated and provided to the appropriate COIs, and that other enterprise needs are met. The specific airspace configurations or routes chosen in near-real time to provide flexibility and maximize arrival and departure throughput. It is smaller than or lies within super-density protected airspace. The charted airspace protecting super-density terminals that is somewhat larger than the actual airspace used operationally. Statically defined for lowcapability aircraft that do not have access to real-time updates of airspace definition. This service integrates cooperative and non-cooperative airport surface and airspace surveillance systems fostering real-time air and airport situational awareness and enhancing safety and security. The function of fine-tuning trajectories as required by the airspace plan or an active flow contingency management initiative to minimize pairwise contention and ensure efficient individual trajectories within a flow. The use of four-dimensional trajectories as the basis for planning and executing all flight operations supported by the air navigation service provider. Tubes of airspace that allow aircraft to transition through autonomous airspace and ANSP flow-managed airspace to near-space airspace. The trajectory manager provides the transition, coordinates, and reserves times for aircraft traveling to near-space airspace. A pilotless aircraft is flown without a pilot-in-command onboard and is either remotely or fully controlled from another place (ground, another aircraft, space), or programmed and fully autonomous. The UAS includes the pilotless vehicle, control system, and operator. A facility that provides surface and tower services without the requirement for ANSP personnel providing direct visual observation. Virtual towers may be automated or staffed.

Staffed Virtual Tower Stakeholders

Super-Density Flexible Airspace Super-Density Protected Airspace

Surveillance Services Trajectory Management Trajectory-Based Operations Transition Corridors

Unmanned Aircraft System

Virtual Tower

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APPENDIX B: GLOSSARY

Term Weather Information Services

Definition NextGen Weather Information Service is a common service providing the following generic capabilities: sensor configuration, observation, forecast, and history.

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APPENDIX C: RESEARCH ISSUES

Appendix C: Research Issues

Note: The following research issues are listed by chapter content; they are not listed in any priority order.

Reference Type
R-1 Research

Section
2.2

Line Reference
New tasks are performed by automation to support the decision-making process and the shift in focus from tactical separation between individual aircraft to the strategic management of traffic flows in high-density airspace. Flight planners have an increased role in collaborating with the ANSP on capacity and flow management strategies, and the flight crew has a greater role in many of the tactical flight management tasks. Restructuring the roles of humans and automation in NextGen and how they perform their respective functions to synergize human and automation performance Ultimately, the determination of when to fully automate and when to provide decision support is made to optimize overall system performance and ensure that service providers and flight operators perform well and can respond to off-nominal and emergency events when required. In addition, backup functions are distributed throughout

Issue
What accident rate is considered acceptable given the expected number of operations?

R-2

Research

2.2

Determine the extent to which national policies on access to airspace can be transparent and implemented within automation.

R-3

Research

2.2.1

Develop new flight procedures enabling flight efficiency and ANSP productivity in both en-route and arrival/departure airspace, including how procedures will be integrated for consistency, appropriate workload and training for flight crews and ANSP personnel. Develop transparent policies and methodologies for the allocation of airspace and ANSP resources to implement the NextGen philosophies of providing enhanced services and access to better-equipped users while accommodating all users to the maximum extent possible.

R-4

Research

2.2.2

R-5

Research

2.2.2

Develop policies, tools and procedures for integrating and managing the different operations in trajectory-based airspace to

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Reference Type

Section

Line Reference
the system, and there are layers of protection to allow for graceful degradation of services in the event of automation failures. In addition, backup functions are distributed throughout the system, and there are layers of protection to allow for graceful degradation of services in the event of automation failures. Human factors considerations that drive human-system design and impact human-system performance include human cognitive capabilities and limitations, human error, situational awareness, workload, function allocation, hardware and software design, procedural design, decision aids, visual aids, training, user manuals, warnings and alarms, environmental constraints, workspace design, and team versus individual performance. Within NextGen, human interactions with automation are more intuitive and userfriendly, allowing increased utility of tools while mitigating human errors. C-ATM is the means by which flight operator objectives are balanced with overall NAS performance objectives and accomplishes many of the objectives for CM, FCM, and TM. C-2

Issue
achieve NextGen objectives.

R-6

Research

2.2.2

Develop guidance for what flexibility is allowed in the implementation of airborne separation management algorithms to ensure operationally consistent results, understanding whether variations in algorithms can result in major impacts on overall operations.

R-7

Research

2.2.3

Determine the level of performance and trajectory specificity necessary for the different uses of the 4DT from initial planning to separation management.

R-8

Research

2.2.3

Determine how to use probabilistic information (including and especially weather) to more effectively manage uncertainty in a management-by-trajectory framework over varying time horizons.

R-9

Research

2.3.2

Super Density operations will result in many aircraft in close proximity. Consequently an aircraft deviating from its assigned trajectory is much more likely to cause an immediate conflict with another aircraft, and safe avoidance maneuvers may be limited or unavailable. How can super density operations be conducted safely, especially in the presence of severe weather? VERSION 1.2

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Reference Type
R-10 Research

Section
2.3.2

Line Reference
C-ATM is the means by which flight operator objectives are balanced with overall NAS performance objectives and accomplishes many of the objectives for CM, FCM, and TM. CM structures routings where required to manage complexity and reserves airspace as needed for special uses. Part of the CM process also includes the use of metrics and analyses to determine which strategies were most effective under which conditions. FCM deals with demand-capacity imbalances that cannot be addressed through the CM process. Significant collaboration occurs in the NextGen among the ANSP, flight operators, and airport operators regarding ground operations and planned improvements for airports. Flight operators receive this information so they can better plan flights and be aware of likely restrictions. Digital data communication and ground-based and airborne automation to create, exchange, and execute 4DTs are prerequisites for TBOs. The use of precise 4DTs dramatically reduces the uncertainty of an aircrafts future flight path, in terms of predicted spatial position (latitude,

Issue
Develop requirements for a collision avoidance system that is compatible with NextGen tactical separation? Unless mandated otherwise, some aircraft will likely be equipped with legacy TCAS/ACAS systems which may generate unwanted alerts during normal operations; how should this be accounted for? How is the safety and effectiveness of this adaptive automation ensured?

R-11

Research

2.3.2.1

R-12

Research

2.3.2.1.1

Determine how to negotiate and ensure trajectory stability during 4DT updates, especially to the CTA, and the impact on system functions that rely on the CTAs. What tolerances in the time dimension are needed to make the 4DT useable? Develop tools and procedures to allow ANSP-managed and delegated separation operations to be safely and efficiently integrated in the same airspace, while retaining adequate ANSP productivity. Determine the range of demand and complexity that SVTs and AVTs can each provide, operationally and economically.

R-13

Research

2.3.2.2

R-14

Research

2.3.3

R-15

Research

2.3.4

Develop explicit approaches to integrate technical and organizational, cultural, and policy innovation.

R-16

Research

2.4

Assess appropriate roles for humans and automation in NextGen, and develop an overall philosophy to enable human operators to safely and effectively manage the proposed advanced automation systems.

R-17

Research

2.4

Develop metrics and analysis methodologies to quantify and assess the impact of new capabilities on the air transportation system.

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Reference Type

Section

Line Reference
longitude, and altitude) and times along points in its path. These benefits include safety and increased ANSP productivity.

Issue

R-18

Research

2.4.1

R-19

Research

2.4.1

R-20

Research

2.4.1

R-21

Research

2.4.1

R-22

Research

2.4.1

R-23

Research

2.4.2

These benefits include safety and increased ANSP productivity. As a result, trajectorybased planning and operations, together with improved weather forecast accuracy and integration of military, security, environmental, and other requirements, allow access to more airspace more of the time, with reduced impact to traffic flows. In addition to supporting increased flows, TBO enables collaboration between the ANSP and operators to maximize utility of airspace to meet ANSP productivity and operator goals. Around major airports, TBO is flexibly managed, significantly reducing the footprint of todays Class B airspace to only the active arrival and departure corridors, and allowing vastly improved access to other trajectory-based and nontrajectorybased flights in the vicinity. Both the flight crew and the ANSP may need to renegotiate CTAs during the flight for reasons such as winds encountered that C-4

What capabilities and technologies are required to enable a mobile aircraft-ground system communications service that is affordable, available globally, and fully interoperable? Define RTSP as a function of RNP, RCP, RSP. Develop the concept of EVFR, including applicability, equipage, procedures, training and certification requirements.

What are the cost benefits and safety assessments of ground-based versus airborne conflict detection/resolution automation? What alerts and information displays does a pilot need to safely oversee conflict detection and resolution when no one on the ground is responsible for tactical separation? Under what conditions are different modes more beneficial? How will decision-making across various time horizons be integrated?

Develop methods and tools to guide design decisions associated with allocation of responsibilities and functions among automation, aircraft operators, remote operators (e.g. UAS pilots), and the ANSP. VERSION 1.2

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Reference Type

Section

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are different than those forecast or a change in the destination airport acceptance rate. Both the flight crew and the ANSP may need to renegotiate CTAs during the flight for reasons such as winds encountered that are different than those forecast or a change in the destination airport acceptance rate. One of the key concepts associated with TBO is the integration of trajectory planning and execution across the spectrum of time horizons from strategic planning to tactical decisionmaking. With this knowledge, the ANSP can support 4DTs tailored to individual flight preferences. Within trajectory-based airspace, some aircraft support additional operations via onboard capabilities and associated crew training, including the ability to perform delegated separation, airborne selfseparation, and lowvisibility approach procedures. In all, these new kinds of flight operations dramatically improve en route productivity and capacity and are essential to achieving NextGen. Super-density arrival procedures are conducted, usually requiring airborne separation capability,

Issue

R-24

Research

2.4.2

Determine the onboard controls and displays required for flight crews to safely perform self-separation operations within acceptable workload levels in en route airspace.

R-25

Research

2.4.3

Develop methods for assessing risk and safety in an RTSP framework and for different service levels, including transitions across service levels and mission criticality and backup requirements.

R-26

Research

2.4.3

Which NextGen systems should be fully automated without relying on human intervention for off-nominal situations?

R-27

Research

2.4.3

Define concepts/functionalities to enable provision of tower-like ANSP services without a physical tower.

R-28

Research

2.4.3

If the automation fails, what is the backup plan in terms of people/procedures/automation?

R-29

Research

2.4.3

Investigate aircraft energy management during rollout for high-speed runway turnoff.

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Reference Type

Section

Line Reference
and may be continued on the airport surface where required for throughput. Super-density arrival procedures are conducted, usually requiring airborne separation capability, and may be continued on the airport surface where required for throughput. TM is the process by which individual aircraft trajectories are managed just before and during the flight to ensure efficient individual trajectories within a flow. TM assigns trajectories for aircraft transitioning between self-separation and ANSP-managed airspace, and for aircraft entering or leaving flow corridors. The SM process ensures that aircraft maintain safe separation from other aircraft, from certain designated airspace, and from any hazards (e.g., terrain, weather, or obstructions). Where TBO is used, SM relies significantly on automation for predicting conflicts and identifying solutions.

Issue

R-30

Research

2.4.3

Identify how to utilize probabilistic forecasts of weather to make optimal NextGen decisions, including direct integration of weather information into government/user decision support tools.

R-31

Research

2.4.4

How is flight crew situational awareness maintained in an environment that does not include party-line communications?

R-32

Research

2.4.4

R-33

Research

2.4.5

Determine the responsibilities and boundaries between Capacity Management, Flow Contingency Management, Trajectory Management, and Separation Management and whether some of these functions be combined in some cases for ANSP productivity. What are the infrastructure and development needs for general aviation airports as part of NextGen? What is the role of the FBO in NextGen?

R-34

Research

2.4.5

R-35

Research

2.4.5

Use of automation also allows SM to move away from fixed human-based standards to ones that allow variable separations that factor in aircraft capabilities, encounter geometries, and environmental C-6

Determine the levels of flexibility and persistence in structure needed to achieve operational goals in en-route and arrival/departure airspace. As part of this, address how environmental and noise reduction goals are incorporated with other operational goals. Develop forecast systems that provide 4-D weather data that includes probability levels.

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APPENDIX C: RESEARCH ISSUES

Reference Type
R-36 Research

Section
2.4.5

Line Reference
conditions. In ANSP-managed airspace, the ANSP has overall responsibility for SM and may delegate this responsibility to separation-capable aircraft. The ANSP SM function is fully automated, and separation responsibility is delegated to automation, or for specified operations, to the flight crew. (In self-separation airspace, the ANSP provides neither separation nor TM services.) Self-separating aircraft have 4DTs with sufficient flexibility defined to allow for separation maneuvers.

Issue
Develop airport taxiway and runway configuration requirements to enable highcapacity traffic operations on the airport surface.

R-37

Research

2.4.5

Determine the appropriate contents of the flight object for the full spectrum of NextGen operations.

R-38

Research

2.4.5

Address the international harmonization of capabilities and associated aircraft equipage requirements.

R-39

Research

2.4.5

R-40

Research

2.4.5

R-41

Research

2.4.5

R-42

Research

2.4.5

An FCM function may be needed in selfseparation airspace to impose sufficient structure to ensure that traffic density remains safe, especially around convective weather or other constraints. As with delegated separation, ANSP and aircraft automation track the transfer of separation responsibility and communicate it to those affected. Under NextGen, a collision avoidance

Conduct research to understand how increased automation and new technologies affect flight crew and ANSP workload? Items to investigate in this research include the following issues: Do cockpit workload limitations exist that inhibit the proposed technologies? What effect do the changing roles and responsibilities (flight deck versus ANSP, automation versus human, etc.) have on safety? What effect do the changing workload and changing workforce have on safety? What is the Aircraft/flight crew provided regarding the SRA perimeter (based on the risk profile) pre-flight and during flight?

What is the relationship between airport capacity and separation management at airports? Will airports be the constraint on capacity? Who will assume the responsibility for separation on the ground (ANSP or shared responsibility)?

Develop concepts to effectively balance operator flexibility against system

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Reference Type

Section

Line Reference
system independent of the separation assurance system, and which acts only in the event the separation assurance process fails, will still likely be required (see ICAO AN-Conf/11, ASAS Circular). Flow corridors consist of long tubes or bundles of nearparallel 4DT assignments, which consequently achieve a very high traffic throughput, while allowing traffic to shift as necessary to enable more effective weather avoidance, reduce congestion, and meet defense and security requirements. For scalability and affordability in ANSPmanaged airspace, the ANSP delegates separation tasks to capable aircraft whenever this benefits the aircraft involved, overall operations, or ANSP productivity. Integrated arrival and departure area and airport surface management ensure arrival flows match projected airport capacity for improved overall throughput and efficient flight trajectories that eliminate todays low altitude path-stretching and holding. At times of peak demand, major airports conduct Super-Density Operations in which capacity-enhancing arrival and surface C-8

Issue
predictability and flow management objectives.

R-43

Research

2.4.7

How will the ANSP and trajectory-based flight operators develop and manage trajectories to enable safe and efficient flight profiles that meet capacity and productivity objectives?

R-44

Research

2.4.7

For systems that are not fully automated and for which human involvement is required to ensure effective performance and resilience, how should the automation (in terms of roles and responsibilities, underlying functionality, and associated controls and displays) be designed?

R-45

Research

2.4.8

Develop tools for airport design and operations to match surface throughput with arrival/departure flows.

R-46

Research

2.4.8

How will we design and implement systems to be resilient to failures and robust to operator error?

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Reference Type

Section

Line Reference
procedures are implemented to maximize runway throughput. As illustrated in Error! Reference source not found.10, superdensity corridors handle arriving and departing traffic, while much nearby airspace remains available to other traffic. Use of procedures that eliminate requirements for visual operations Much high- and lowaltitude airspace outside of high traffic areas remains similar to todays Class A, C, D, E, and G airspace, as well as some oceanic airspace. Aircraft capable of TBO often transit classic airspace, and often are able to use their advanced capabilities to their advantage, depending on the conditions. The term flight operator is used very broadly to cover all people or organizations that operate aircraft, including scheduled, on-demand, personal aircraft, and state and military aircraft operators; and emerging flight operations such as unmanned aircraft and space vehicles. In airspace where TBO is used (see Section 2.4), the minimum capability includes the ability to conduct RNP operations combined with the exchange (via a digital data link) and

Issue

R-47

Research

2.4.8.1

We do not prove todays ATC system is safe, but rely on historical data. NextGen will be required to both be safe and to demonstrate it is safe. How will safety be designed into all aspects of NextGen and then proven?

R-48

Research

2.4.8.1

Develop wake vortex prediction capabilities, and resulting safe aircraft arrival spacing. Develop and refine metrics associated with overall ATM system performance and the effectiveness of C-ATM processes. What processes, tools, and data sources are needed for effective and equitable management of system resources?

R-49

Research

2.5

R-50

Research

2.5

How is broadcast intent information handled in the event of a trajectory change?

R-51

Research

2.7

Develop standards for the communication of flight limitations and flight operator preferences.

R-52

Research

2.7.1

Develop a broad-area navigation capability accurate enough to enable takeoff, landing and taxi operations with no visual references.

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Reference Type
R-53 Research

Section
2.8.2

Line Reference
execution of precision 4DTs. Training (e.g., training regimen, training effectiveness, skill retention and decay, retraining, emergency operations training, training devices and facilities, and embedded training). By decoupling geographic airspace and infrastructure constraints from aircraft operations, capacity managers have the flexibility to leverage resources across facilities to match staffing to traffic demand. Aviation Safety policy enacts performancebased rules and emphasizes quality goals. Proactive risk assessment and management quantifies safety risk levels of all system and procedural changes prior to implementation. Safety assurance is based on audits of processes and procedures with the regulatory authority focused on the comprehensive approval and periodic audits of the safety management programs. Safety assurance is based on audits of processes and procedures with the regulatory authority focused on the comprehensive approval and periodic audits of the safety management programs. Given the limited C-10

Issue
As part of the development of procedures for surface operations in low visibility conditions, identify and address potential safety risks.

R-54

Research

2.8.2

Conduct research to determine how superdensity procedures will be managed, conducted, and integrated with arrival/departure operations, including ground-based automation support.

R-55

Research

2.8.3

Develop the concept of EVFR, including applicability, equipage, procedures, training and certification requirements.

R-56

Research

2.8.3

Determine associated training requirements for flight crews and ANSP personnel associated with delegated separation management.

R-57

Research

2.8.3

What is the most effective way to allocate traffic to ANSP personnel (e.g., chunks of airspace versus flows of traffic) to increase productivity, manage workload, and ensure situation awareness?

R-58

Research

2.8.4

What are the responsibilities and liabilities of VERSION 1.2

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Reference Type

Section

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resources of the government and private industry, it is critical that mitigation measures be developed based on threat and vulnerability, as well as the potential consequences to individuals, transportation assets, and the economy. GSE will have defined operating areas on the ramp specific to their function.

Issue
different stakeholders in the event of automation failure?

R-59

Research

3.3.1

R-60

Research

3.3.1

R-61

Research

3.3.1

R-62

Research

3.3.1

R-63

Research

3.3.1

Airports report winter airport conditions using advanced friction testing equipment and automatically disseminate the condition information in an accurate and timely fashion using SSA. The ICAO Snowtam program could provide an effective template for reporting winter conditions. Adjacent jurisdictions and relevant regional and/or national entities will be able to directly access the NEO and provide the most efficient support possible. Day-to-day environmental operations at airports will be conducted to achieve the NextGen goal of meeting demand while reducing the overall environmental impact, including . . . Use of predictive

GSE, such as baggage carts, fuel trucks, catering, and other airport vehicles, will be managed using real-time surveillance/tracking, integrated support systems, and enhanced communication capabilities. GSE will have defined operating areas on the ramp specific to their function. Define role of airport operator in support information dissimenation during winter operations, including runway friction and the ICAO Snowtam program.

How does one maintain business continuity post-catastrophic event, in terms of provisions with multi-modal transportation connections and regional systems?

What is the potential for advanced technologies to improve environmental operations and efficiencies, such as heated runway systems?

Define technologies and procedures to enable

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weather capabilities, icing sensors, and monitoring of icing holdover times (as defined by the Flight Operator) for inclusion in the 4DT and Flight Object. Improved deicing/anti-icing technologies will be used to epedite the process and reduce delay. These systems will help to reduce the use of deicing and antiicing fluids. Water quality is improved via best management practices for stormwater management (to reduce hydrocarbons, metals, and other monitored pollutants) and collection methods for spent deicing/anti-icing fluids. The ground transportation system provides for effective, efficient transitions across multiple modes of transportation while maintaining security, efficiency, passenger convenience, and choice. In addition to preventing land use encroachment and/or conversion, the program would also address Airport Protection Surfaces (i.e., 14 CFR Part 77 and TERPS, as applicable to NextGen) and noise exposure as related to the future sustainability of the facility. States, airports, and metropolitan planning organizations (MPOs) C-12

Issue
efficient deicing and anti-icing activities, including linkages to 4DT and the Flight Object as well as environmental goals.

R-64

Research

3.3.1

Synthesize available information on best practices related to stormwater management and collection of spent deicing/anti-icing fluids.

R-65

Research

3.3.3

How can landside design be optimized to facilitate passenger movement to/from gates to multi-modal connections, including ground transportation?

R-66

Research

3.5.1

Define NextGen Airport Preservation Program. Define Fedederal role in protecting ctirical infrastructure, including linkages to NPIAS and airport advocacy. Analyze liability concerns with safety zones. Define applicability of airport traffic pattern in overall program. Incorporate recommendations of existing TRB/ACRP research, when available.

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would be encouraged to participate in the program through participation in the Federal grant and airport certification process. NextGen goals will be integrated into the planning process, as will ANSP coordination activities that are needed to ensure the successful implementation of airport improvements (e.g., so that airport planning actions take into account airspace constraints). Effective public involvement is also critical to ensuring that the community is aware of and can support airport infrastructure development. Similarly, airport operators should be engaged in the review of proposed surface transportation plans and programs to ensure that the transportation access needs of the airport of properly taken into account. For the purposes of NextGen, a better understanding of how market and non-market mechanisms affect the choices made by aircraft operators to serve specific airports is needed, so that regional needs can be better forecasted and incorporated into decision-making Specific parallel runway separation standards are discussed in Chapters Two and

Issue

R-67

Research

3.5.3

Need to determine process and performance standards for coordinating and airspace actions. Performance standards would permit third-party participation in the airspace design in order to speed up the process.

R-68

Research

3.5.3

Identify best practices in public and community involvement to support airport infrastructure development.

R-69

Research

3.5.4

How can regional planning agencies coordinate with regional transportation authorities in order to prioritize regional allocation of air traffic, multi-modal linkages, land use, etc.?

R-70

Research

3.5.4

For the purpose of regional system planning and demand models, need to better understand economic theory of airports as a monopoly versus a competitive industry. At 3X operations, what are the economics of congested mega hubs versus smaller hubs with less O/D traffic but less delay?

R-71

Research

3.5.5

With the reduced separation standards available for arrival/arrival and departure/departure operations (as opposed to mixed operations), could modifying design to

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Three; the development and implementation of new standards will have a substantial effect on airfield design and capacity. Aircraft performance characteristics that increase present day levels of safety, combined with advanced instrument procedure design criteria, allow reductions in obstruction clearances and associated protection areas currently required for both ground and satellite based aircraft flight procedures. A new collision risk model may allow increased use of larger aircraft in existing object free zones. This shift is likely to result in a relative reduction in the space that airlines will use for passenger processing in the future (in terms of square footage per enplanement), resulting in changing operational revenue structure for the airport. There is sufficient spectrum available to handle the transmission of critical information to appropriate COIs through a scalable infrastructure that evolves as technology advances.

Issue
favor arrival only and departure only runways improve capacity? What would be the changes to runway design and layout (e.g., Denver International Airport (DEN)?

R-72

Research

3.5.5

How will Part 77/TERPS process change with dynamic airspace, dynamic RNP approaches, synthetic vision, etc? What airspace design and protection area criteria would change as a result of the review and revision of the FAA Order Series 7000, FAA Order Series 8000, 14 CFR Part 77, and AC150/5300-13?

R-73

Research

3.5.5

Research new collision risk model for allowing increased use of larger aircraft in existing object free zones. What are some potential outcomes of changes to the finance structure as the terminal design evolves to support NextGen?

R-74

Research

3.5.6

R-75

Research

4.1

Frequency Bandwidth/Spectrum Capacity: Sufficient bandwidth in ground, airborne, and mobile networking to allow extremely fast transmission rates for all types of data (to include simultaneous transmission of graphics, video and audio) with appropriate quality of service (defined later) must be addressed. Bandwidth for ground communications does not appear to be a future problem. Airborne Networking to the aircraft cockpit will be limited by the spectrum currently protected by the FAA. Voice over Internet Protocol (VoIP) to the cockpit is a significant challenge. Spectrum for airborne networking for passenger services may be more readily available, but VERSION 1.2

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Issue
will still be limited and remains a concern. There will be sufficient spectrum available to handle the transmission of critical information to appropriate COIs through a scalable enterprise that evolves as technology advances. Voice By Exception: Voice communications have transitioned from analog to digital technology and employ some form of VoIP to allow voice transmissions to be carried over the established ground, airborne or mobile information networks. In addition, as indicated above, the NextGen involves increased sharing of improved common data among the flight deck, operator, and ANSP. This data includes ATC clearances, 4DT, current and forecasted weather, notices to airmen, hazardous weather warnings, updated charts, current and special aircraft data, and other required data (RTCA, 2002). Information exchange also includes weather observations made by the aircraft that are automatically provided to the ground (for inclusion in weather analysis and forecasts) and other aircraft. The NextGen will have a level of Required Communications Performance (RCP) for each of these data communications functions.
Content Definition Standards Resolution: Shared Data must have a controlled vocabulary and exchange structure. A uniform basis for categorizing and protecting sensitive information needs to be developed because the lack of uniform definitions and policy can only lead to breaches. Procedures need to be developed for dealing with asynchronous changes to higherauthority laws and policies in national and policy domains, recognizing that regulations and guidance may not always be consistent. There are an unmanageably large number of different types of Sensitive but Unclassified Information (SUI) used amongst United States Government agencies. Many types of SUI are defined in statute and regulation created at different times. The Federal Government will need to identify and remove inconsistencies, contradictions, and complications embedded in law, executive order, departmental policies, and customary usage. Necessary capabilities needed for transformation include: Parallel development of information assurance security for NextGen to comply with DoD, DHS, DOC, DOJ, NASA, FAA and other applicable agency requirements Interagency collaboration through information management Interoperability between various agency net-enabled information sharing capabilities (examples include FAAs System Wide Information Management (SWIM), DoDs Global Information Grid (GiG), Air Force Technical Implementation

R-76

Research

4.1

A digital voice communications system employing Internet Protocol (IP) carries voice transmissions over the established fixed and mobile ground, airborne or space information networks.

R-77

Research

4.1

Communications transport providing sufficient and dynamic addressing with secure and assured end-to-end connectivity for all platform nodes, including cargo, passengers, crew across the air transportation enterprise.

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Issue
Architecture, and DHSs OneNet) and DoJ/DHS Network Information Exchange Model (NIEM) as they evolve/mature/transform). Multi-level & multi-layered security Exploitation of technologies designed to maximize Traffic flow management Safety and Security parameters Dynamic or flexible routing capabilities Static and dynamic airspace management (to include Special Use Airspace), coordination & collaboration Integration of expanded information sources/assets Shared all-source weather decision making ADS-B like and data-link equipped aircraft Establishment of contingency operations and continuity of operations for the air traffic system to include such characteristics as: Recognized integrated userdefinable operational air picture Standardized emergency and all hazard responses (re-deployable capability, etc.) Incorporating the use of commercial technologies, standards and government initiatives, the Net-Centric Infrastructure Services will consist of a tiered transport layer and a net-centric enterprise services layer that fully support the information needs of our ANSP and the NextGen enterprise. Information assurance will be integral to the infrastructure, and data management strategy initiatives will ensure that data is appropriately tagged, posted, and made available to others with access to the services. Information redundancy, storage, and backup to enhance reliability in the event a node in the system is lost (definition of lost is not limited to power interruption, failure, or attack of some type such as cyber, physical or other asynchronous means).

R-78

Research

4.1

Data registries and discovery mechanisms between entities (government, commercial, private and international organizations) allow for C-16

Information Assurance: NextGen needs a common understanding and foundation for establishing policies and procedures so that all stakeholders can share information yet remain committed to protecting organizational and individual rights in information and information systems. This VERSION 1.2

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data sharing in a push/pull and publish/subscribe environment between authorized COIs.

Issue
trust relationship must ensure that: Systems devised to facilitate the storage and sharing of the information cannot be corrupted, degraded, penetrated, or denied to authorized subscribers by agents both inside and outside the community of recognized and authorized users. Information received is accurate, timely, and authoritative.

NextGen information sharing must be flexible and adaptable to circumstances and stress experienced by the NextGen over time. Information access channels must be opened and closed to changing communities of interest/subscribers depending upon the circumstances or events at the time. The potentially conflicting goals of safety, security, and operational efficiency must be addressed head-on. The cyber security protections must accomplish simultaneous and competing demands by: Openly sharing as much information as possible R-79 Research 4.1 Wherever possible, the system includes the capability to automatically capture any and all relevant data about components of the ATC environment, including aircraft, baggage, expendable supplies, aircrew, controllers, ground-handling equipment, gates, and passengers, and provide this information to authorized COIs in order to make timely Providing appropriate controls preventing unauthorized use or access Protecting the security interests of the nation and the NextGen Protecting Privacy Act information Protecting proprietary information and other intellectual property

Commitment to airborne networking: Early technological solutions must be evaluated and demonstrated for the aviation community. Minimum Acceptable System Performance Standards (MASPS) and Minimum Operational Performance Standards (MOPS) must be defined. Commercial ground and avionics systems must be certified by the FAA as acceptable for use for air traffic and safety of flight information. This whole process currently takes a minimum of fifteen to twenty years to accomplish.

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Issue
Since voice is now the exception and not the rule, how is situation awareness maintained without party-line communications?

decisions. R-80 Research 4.3.2 Voice communications are used to communicate with lesser-equipped aircraft in appropriate airspace R-81 Research 4.3.2 In certain defined airspace, data communications are the primary means of communicating clearances, routine communications and 4DT agreements between the ANSP and flight deck. R-82 Research 5.3.2 Improved information from ground sensors (e.g., Next-Generation Radar (NEXRAD) dual Polarization), new sensors on satellites, as well as increased weather observations by ground and aircraft sensors (e.g., commercial, GA, UAS, pilot report (PIREP)) identify weather hazards, which are disseminated to aircraft and users in real-time. R-83 Research 5.4.5 Back-up systems are under review, but a selection is yet to be determined. R-84 Research 5.5.3.1 At airports, NextGen sensors must track all movements from ramps to runways to minimize risk of ground collisions and mishaps. R-85 Research 5.6 This service also manages data related to a flight from the initial filing of a proposed flight to the closing of the flight plan and the archiving of the data to support performance management analyses. R-86 Research 6.3/C.2.1 Risk management is continuous; it is conducted from the C-18 JOINT PLANNING AND DEVELOPMENT OFFICE

What measures will be taken to ensure accurate data transmission occurs in airground communications? What occurs in the scenarios where instruction is sent to the wrong aircraft or the data sent to the aircraft is misread/misinterpreted by the flight operators or a partial transmission (data or voice) is received?

Assess the cost/benefit of aircraft modifications that could mitigate the impact of airborne weather hazards.

What systems and capabilities are used to supplement or back up the space-based satellite infrastructure? How are navigation and surveillance backup strategies related? Determine Surveillance (Cooperative and Non-Cooperative) back-up needs/requirements including the completion of the necessary safety risk analysis research to support NextGen. Can this more automated process provide flexibility in flight data service that eliminates the flight data constraint for CM and FCM? What are the functional requirement on the flight object and the flight data services to support both security, and search and rescue?

Can valid and time sensitive risk probability models be developed for different threat scenarios? VERSION 1.2

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R-87 Research

Section
6.3/C.2.2.3

Line Reference
strategic to the tactical levels. Provide the most focused and adaptive security measures to reduce the impact of security systems and procedures on air transportation Risks are measures of potential harm that encompasses threat, vulnerability and consequence Risks are measures of potential harm that encompasses threat, vulnerability and consequence Risks are measures of potential harm that encompasses threat, vulnerability and consequence Risks are measures of potential harm that encompasses threat, vulnerability and consequence

Issue
For airports of similar capacity requirements, what is the overall most cost effective mix of baggage screening equipment consistent with throughput requirements and security standards?

R-88

Research

6.3/C.2.2.6

Can light weight aircraft hardening material be developed?

R-89

Research

6.3/C.2.2.6

Are there cost-effective MANPADS attack detection and counter measure technologies?

R-90

Research

6.3/C.2.2.6

How can biometric access be integrated safely with aircraft cockpit systems?

R-91

Research

6.3/C.2.2.6

R-92

Research

6.3/C.2.3

R-93

Research

6.3/C.2.2.4

R-94

Research

6.3/C.2.2.1

R-95

Research

6.3/C.2.2.6

Risks are measures of potential harm that encompasses threat, vulnerability and consequence The assessment of risks provides a prioritized list of vulnerabilities and potential mitigation strategies. Since the terrorist has the freedom to choose targets and modes of attack, the NextGen Security system must develop (but not necessarily universally deploy) operationally feasible mitigations to as many potential threats as possible. This doesnt mean that

Can adaptive flight control technologies TOC/PCAR be implemented such that risk is mitigated and cost/benefit is viable? (Thrust Only Control/Propulsion Controlled Aircraft) [Rationale: Adaptive flight controls may provide last chance to control/land safely after an attack that results in damage to flight critical systems/surfaces.] (a) What information should we share among the IRM stakeholders? (b) What decisions will be made based on the IRM risk management analysis? What are the kinds of air cargo that can be adequately screened by operationally feasible NextGen detection technologies for Cargo/Mail CBRNE? How can watch lists be validated so the NextGen IRM Secure People capability minimizes false positives as well as failures to detect a threat?

What factors should be considered for the

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all non-commercial operations have to screen passengers or cargo for flights posing below threshold risk levels. Many flights occur far from major metropolitan areas or national security restricted areas. However, flights to sensitive areas have to make adjustments to reduce their risk profile. In summary, it is essential to remember that the security system responses and procedures throughout the NGATS are applied based on the risk profile of each flight and airport facility. Other less visible security procedures may work towards similar ends and do so as effectively. The checkpoint displays an operating profile of consistency and routine, while behind the scenes it has several new screening techniques and tools that are brought to bear upon the assessed risk, and in some cases, performed randomly as an added measure

Issue
security envelope of an aircraft?

R-96

Research

6.3/C.2.4

What data are needed to develop the metrics to examine the adequacy of IRM? What are the metrics?

R-97

Research

6.4.1/C.3.4

How can certified checkpoint CBRNE and weapons detectors be designed for maximum deployability and reconfigurability to facilitate deployment at the full range of NextGen airports?

R-98

Research

6.4.1/C.3.4

What check-point detections devices/systems can be smaller, lighter, less costly as well as have high detection accuracy?

R-99

Research

6.4.1/C.3.5

How can the accuracy rate of Behavior Pattern Recognition techniques be improved? What aspects can be performed through automated systems?

R-100

Research

6.4.1/C.3.2.1

In the NGATS, the Secure People capability of the security architecture puts greater reliance upon a more integrated approach correlating credentialing and identification processes with screening. R-102 Research 6.4.2/C.3.4 In the NGATS, the C-20 JOINT PLANNING AND DEVELOPMENT OFFICE

R-101

Research

6.4.1/C.3.4

How can personal data used for credentialing be safeguarded against misuse or exposure given collecting, storing, and sharing personal information across many government and commercial (e.g., airport, airline) systems? How can detection of weapons become more automated?

(a) What are the optimal sensor fusion VERSION 1.2

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Secure People capability of the security architecture puts greater reliance upon a more integrated approach correlating credentialing and identification processes with screening. The airport security technologies and adjustable procedures are nominally transparent to passengers. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. Commercial (Passenger/Cargo) Airports Commercial (Passenger/Cargo) Airports RTSS Facility

Issue
strategies? (b) Are there safety issues that emerge in such systems that are not present with the individual sensors?

R-103

Research

6.4.2/C.4.3.3

What are the costs and benefits of using UAS in terminal airspace surveillance?

R-104

Research

6.4.2/C.4.5

(a) System integration of the full array of surveillance input on disparate systems and data inputs. (b) What is the most effective and suitable way to display data to foster shared situational awareness and increase decision quality and decrease response time?

R-105

Research

6.4.2/C.4.3.3

What defense technologies can be developed to interdict a fourth generation MANPAD (i.e. Radio Frequency Weapons (RFW) or Electromagnetic Pulse Weapons (EMPW))?

R-106

Research

6.4.2/C.4.3.3

R-107

Research

6.4.2/C.4.2.2

R-108

Research

6.4.2/C.5.3.3

R-109

Research

6.4.2/C.4.3.1

RTSS Facility

R-110

Research

6.4.2/C.4.4.1

Airside: Security Identification Display Area (SIDA)/AOA

What safety related modifications to the aircraft can be leveraged as mitigation to a MANPADS hit (e.g. non-explosive fuels and damage adaptive flight control systems)? What cost-effective technologies and operating techniques can make the transportable RTSS a viable option? How can CBRNE detector systems be made part of an easily deployable screening checkpoint for remote, intermittent or temporary demand locations? What cost-effective technologies and operating techniques provide for effective vehicle screening that doesnt impede airside operations? R&D needed to develop and refine operationally effective and suitable technologies to detect vehicle anomalies and sense CBRNE at a distance. R&D needed to improve blast mitigation and neutralize CBRN containment.

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R-111 Research

Section
6.4.3/C.5.3

Line Reference
Landside: Terminal Public and Commercial Roadways & Parking Lots This capability includes provisions for Remote Terminal Security Screening (RTSS) to allow passengers to undergo full screenings at remote off-airport locations and then be transported directly to the sterile area of the airport terminal, and their screened checked bags directly to the aircraft. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Such screened baggage is available for direct transfer to other modes of transportation without further screening. The SSP integrates all information related to the flight, cargo & aircrew to provide additional information and ensure security during transit, enabled through NEO. Cradle to Grave Tracking/Integrity

Issue
Systems designs for differing CBRNE equipment combinations for different types will need to be developed. What is the optimum way to achieve sensor fusion for higher accuracy of threat detection?

R-112

Research

6.4.3/C.5.2.1

R-113

Research

6.4.3/C.5.2.1

What is the optimum way to integrate human and automated decision making for the screening system?

R-114

Research

6.4.3/C.5.2.2

What alarm resolution systems are appropriate for systems with sensor fusion?

R-115

Research

6.4..4/C.6.9

What technologies provide effective and operationally suitable procedures to screen air cargo for CBRNE?

R-116

Research

6.4.4/C.6.9

Identify best locations within the air cargo supply chain to conduct 100% screening of cargo if requiredby the risk profile for given flight object or facility. This screening should occur as early as possible within the supply chain.

R-117

Research

6.4.5/C.7.3

These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary C-22 JOINT PLANNING AND DEVELOPMENT OFFICE

R-118

Research

6.4.5/C.7.3

What are the Airspace Security Performance Requirements for different types of Flight Operators for the NextGen timeframe? How large should the SRAs be? How do we balance the need for security airspace vs. user demand? To what extent should the use of SRAs be accommodated while serving the need of air traffic?

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Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft These risk management

Issue

R-119

Research

6.4.5/C.7.3

What are the specific operational requirements for the various types of SRA Airspaces? What is the relationship between high density terminal airspace with SRAs? What are the exemption criteria?

R-120

Research

6.4.5/C.7.5.2

What are the information sharing requirements? Who should have what information under different operational situations?

R-121

Research

6.4.5/C.7.5.2

What is the overall NEO Operational

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requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft The model combines credentialing data with performance data as part of developing the risk profile of the flight object.

Issue
Concept for the Security Command/Operational Centers?

R-122

Research

6.4.5/C.7.4

How many alert severity status levels should NextGen have? What are the alert escalation criteria?

R-123

Research

6.4.6/C.8.5

If certain aircraft are at risk for MANPADS what kinds of countermeasures are feasible? Does the threat justify the expense of mitigation efforts? If no, no action required. If yes, are defensive systems aircraft based or land based? Are there other, non-hardware methods to reduce the threat posed by MANPADS? The primary objectives of Aircraft Hardening research are to determine the vulnerabilities of commercial passenger aircraft to terrorist threats and to investigate and develop methods to protect or mitigate the damage from an in-flight explosion or other criminal VERSION 1.2

R-124

Research

6.4.6/C.8.5

Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and C-24

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procedural methods.

Issue
action. This includes assessment of threats such as explosives directed energy electromagnetic and man portable air defense systems. A) Identify methods of modeling internal blast loading in a typical passenger aircraft environment and the respective structural damage including blast and damage characteristics and failure mechanisms. Identify model adaptability to various aircraft designs and model capability to clearly determine specific vulnerabilities. B) Demonstrate methods/means to protect commercial passenger aircraft from catastrophic structural or critical system failures due to in-flight explosions including solutions applicable to the cargo hold and/or passenger cabin. Identify, assess and test as appropriate potential countermeasures to aircraft threats from laser, directed energy or electromagnetic pulse and other emerging threats. Include efforts that complement existing Department of Defense (or other public or private) programs that can be leveraged. Will video download to ground stations interfere w/ other aircraft functions? Is there enough spectrum to project/download real time cockpit, cabin & cargo hold information?

R-125

Research

6.4.6/C.8.5

R-126

Research

6.4.6/C.8.5

R-127

Research

6.4.6/C.8.4

R-128

Research

6.4.6/C.8.3.2

Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and procedural methods. Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and procedural methods. Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and procedural methods. The threats that require mitigation are hijacking/unauthorized diversion, internal explosive destruction, external attack, onboard CBRN or other attack of crew, passengers, or aircraft systems, aircraft use as a transport for CBNRE,

Determine the type of aircraft hardening required to effectively and efficiently enhance safety and security.

Can operationally effective and suitable onboard CB sensors and treatment systems be developed to mitigate risk to passengers?

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aircraft use as a Weapon of Mass Destruction (WMD). Secure Aircraft applies both to civilian passenger aircraft and civilian cargo aircraft. Water quality impacts occur due to stormwater runoff and deicing operations example consists of the establishment of environmentally friendly operational procedures (e.g., continuous descent approach [CDA]) for all traffic conditions. Specific focus is placed on understanding and identifying the direct attributable role of aircraft operations in climate change through coordination with Partnership for Air Transportation Noise and Emissions Reduction (PARTNER), the Center of Excellence (COE), and international cooperation. Advanced capability to integrate and balance noise, emissions, fuel burn, land use, efficiency, and costs effects of alternative measures and alternatives allow selection of optimum operational modes, mitigation strategies, and surface planning procedures. Advanced capability to integrate and balance noise, emissions, fuel burn, land use, efficiency, and costs effects of alternative C-26

Issue

R-129

Research

6.4.6/C.5.2.3

What kinds of threat defeat systems are operationally effective and suitable for particular CBRNE threats? Research methodologies to reduce water runoff from airports and minimize impacts on local water quality. Identify airports at which various operational procedures, such as CDAs, RNP, etc. can be implemented and used in a variety of traffic level conditions that reduce aircraft noise and emissions.

R-130

Research

7.2 (Table 71)

R-131

Research

7.3.2

R-132

Research

7.3.2

Work internationally to identify directly attributable impacts and take appropriate actions to manage significant climate change impacts associated with aircraft operations.

R-133

Research

7.3.3

Develop methodologies to streamline environmental reviews so as to support capacity growth at the key airports.

R-134

Research

7.3.3

Develop a repository of environmentally preferable operations proven in practice.

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measures and alternatives allow selection of optimum operational modes, mitigation strategies, and surface planning procedures. Advanced capability to integrate and balance noise, emissions, fuel burn, land use, efficiency, and costs effects of alternative measures and alternatives allow selection of optimum operational modes, mitigation strategies, and surface planning procedures. Therefore, as opposed to a one size fits all" approach, airports are able to assess their specific environmental requirements for sustainable growth and choose from a range of approaches to address specific operational, geographic, and local community impacts. Uncertainties regarding the contribution of aircraft to climate change, emissionsinduced health effects, and noise annoyance over special noisesensitive areas (e.g., national parks) are sufficiently resolved to either put them to rest or to affect approaches to aircraft technology. Use of environmentally sensitive technology is facilitated by a prompt and efficient development process whereby innovation, such as environmentally friendly airframe and

Issue

R-135

Research

7.3.3

Identify improvements to surface planning procedures to reduce emissions.

R-136

Research

7.3.3

Identify incentive programs for the adoption of environmentally friendly technology, operations, and planning at airports

R-137

Research

7.3.4

Research the environmental and health impacts of particulate and hazardous air pollutants effects of aviation.

R-138

Research

7.3.4

Increase budgets and focus research on development and maturing of environmentally friendly airframe and engine design.

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engine design, is encouraged through federal grants and close collaboration with industry. This, combined with increased demand from aircraft operators, provides for a strong market for environmentally sensitive aviation technology. These services and capabilities are described in the following subsections. Each plays an important role in supporting the transformed operations of the NextGen. These are reported via a net-centric environmental information management system for the purposes of analysis, continuous improvement, and public dissemination. Furthermore, provisions on financing streams are included in the enterprise management framework, creating incentives and available capital to organizations to implement measures. Therefore, this single enterprise-wide system supports all the environmental information management needs of NextGen. These procedures increase airport efficiency and ensure the maximum number of aircraft operations can be accommodated within environmental C-28

Issue

R-139

Research

7.3.4

Identify incentives for the adoption of environmentally friendly design and technology by carriers.

R-140

Research

7.4

Develop an EMS framework to support NextGen leveraging existing practices at leading airports.

R-141

Research

7.4.1

Research effective methodologies to expand FAA EMSs to external programs governing the NAS.

R-142

Research

7.4.1

Investigate incentive options for encouraging EMS implementation and operation.

R-143

Research

7.4.1

Develop a concept for the transfer of environmental information across NextGen.

R-144

Research

7.4.2

Develop improved terminal airspace operations to reduce air emissions and noise

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limits (e.g., state implementation plan air quality requirements, noise limits, or water quality regulation), without impacting capacity. These procedures increase airport efficiency and ensure the maximum number of aircraft operations can be accommodated within environmental limits (e.g., state implementation plan air quality requirements, noise limits, or water quality regulation), without impacting capacity. These procedures increase airport efficiency and ensure the maximum number of aircraft operations can be accommodated within environmental limits (e.g., state implementation plan air quality requirements, noise limits, or water quality regulation), without impacting capacity. These procedures increase airport efficiency and ensure the maximum number of aircraft operations can be accommodated within environmental limits (e.g., state implementation plan air quality requirements, noise limits, or water quality regulation), without impacting capacity. For example, aircraft that have low noise and air emissions will have access to a wider selection of routes than

Issue

R-145

Research

7.4.2

Research procedures to reduce the impacts of significant aviation noise and aircraft emissions in absolute terms, notwithstanding the growth in aviation.

R-146

Research

7.4.2

Research airspace approaches to reduce the impacts of aviation noise in absolute terms, notwithstanding the growth in aviation.

R-147

Research

7.4.2

Develop improved en route operations to reduce air emissions and noise in select noise sensitive areas.

R-148

Research

7.4.2

Research how to obtain flexible, dynamically reprogrammable airspace capabilities consistent with NEPA requirements.

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Reference Type
R-149 Research

Section
7.4.3

Line Reference
those that do not have comparable technology. For example, aircraft that have low noise and air emissions will have access to a wider selection of routes than those that do not have comparable technology. More robust metrics also provide an incentive for air transportation system component organizations to implement environmental management initiatives and may be used as the basis for the incentive. The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent with the International Civil Aviation Organization (ICAO) standards The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent C-30

Issue
Determine the impact of fleet replacement schedules, the emergence of new technologies and air traffic system enhancements.

R-150

Research

7.4.5

Identify enhanced metrics to assess the environmental and health impact of aircraft noise.

R-151

Research

8.3.1

Aviation Safety Policy: What should the scope and depth of this national level aviation safety policy be across the governmental agencies and aerospace industry? How should a national level aviation safety policy and associated strategy be established? What body should do this? What should its composition be? Should this body have authority over its participants?

R-152

Research

8.3.1

Aviation Safety Policy: Should a national level aviation policy and strategy be mandated and / or enforced or should it be simply agreed to and voluntary by participants? Should it play only an advisory and coordination function?

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Section

Line Reference
with the International Civil Aviation Organization (ICAO) standards The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent with the International Civil Aviation Organization (ICAO) standards These characteristics include but are not limited to management accountability, nonreprisal reporting, consistent use of safety risk management best practices, and sharing safety data and lessons learned. Understanding the relative risks of the NextGen operations facilitates better prioritization of resources for safety research and enhancements.

Issue

R-153

Research

8.3.1

Aviation Safety Policy: What is the best mechanism / body to coordinate aviation safety research and safety enhancement activities (1) among government agencies and (2) nationally? Should this coordination be mandated and enforced? If so, how? Or should it be advisory and informational?

R-154

Research

8.3.2

Safety Culture: What are the attributes of a strong safety culture? How do we measure it? Where are we today? How do we transform the culture to get to where we want to be? What organizations have implemented safety culture improvements and how? How do we foster a safety culture across all NextGen stakeholders?

R-155

Research

8.3.3

R-156

Research

8.3.3

Understanding the relative risks of the

Risk Assessment & Management: Determine how to relate operational safety data (e.g., incidents, operational errors, etc.) to hazards. What is the structure of the model to connect the right data to hazards? Determine the reasons for the current exceptionally good commercial aviation safety record. Determine whether we should establish a target level of safety at an individual capability level or at a system-of-systems level. i) How do we define target level of safety and how do we ensure that current levels of safety are maintained, given the propose 3x capacity increase? ii) What are the best analytical methodologies to determine actual level of safety at individual capability and system-of-systems level? Determine necessary procedures that define how to set a safety level. Risk Assessment & Management: What is the relationship between required

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Section

Line Reference
NextGen operations facilitates better prioritization of resources for safety research and enhancements. Understanding the relative risks of the NextGen operations facilitates better prioritization of resources for safety research and enhancements.

Issue
performance levels (such as RNP) and safety? How can this play in ensuring a safe system and safe operations?

R-157

Research

8.3.3

R-158

Research

8.3.4

The safety relevant events and data are reported and shared without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information.

Risk Assessment & Management: Establish a baseline of the current safety risk in the air transportation system (including hazards and mitigation strategies). Determine the change in safety risk with the anticipated changes to the air transportation system and its operational environment in 2025. Improve risk assessment methodologies (e.g., data analysis, modeling, and simulations) expanding prognostic capabilities. Develop a high level integrated model of the risk in the air transportation system. Safety Assurance: What is the best mechanism for safety oversight of safety management programs within NextGen government stakeholders? Should it be an existing or new Federal agency? If multiple oversight organizations, how will conflicting rulings be resolved? How will the oversight organization exercise authority if the multiple agencies can not reach consensus on national safety priorities? Should the oversight organization have actual approval authority or must it remain advisory? What steps need to be taken to stand up these oversight functions? Safety Assurance: What authority does the oversight organization have with respect to the use and required implementation of safety management standards? What is the best method by which the quality of safety management programs can be measured and monitored?

R-159

Research

8.3.4

R-160

Research

8.3.4

R-161

Research

8.3.4

The safety relevant events and data are reported and shared without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information. The safety relevant events and data are reported and shared without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information. The safety relevant events and data are reported and shared C-32

Safety Assurance: How best to ensure the consistency of requirements levied on NextGen industry stakeholders by the various government agencies? How will the best safety processes and practices be enforced and how will effectiveness of these be managed at a national level? What legal authorities are required? How are competing stakeholder interests/missions balanced? Safety Assurance: Will delegating certification responsibilities result in equivalent, or higher, levels of safety? What VERSION 1.2

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without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies,

Issue
is the correct or effective level of delegated certification to ensure safety, and how best to implement? How can the benefits and effectiveness of delegated certification be determined? Safety Information Sharing: What are the tools/infrastructure necessary to facilitate the information sharing capability? How should taxonomy differences be addressed? What is best practice to standardize taxonomies? What are the best interoperability techniques? Do existing data sources support analysis and safety management activities? Where will the capability and its sensitive content reside?

R-162

Research

8.4

R-163

Research

8.4

Safety Information Sharing: How will the analysis capability be developed? Who will determine what forensic, diagnostic, and/or prognostic analysis needs to be performed? What type and amount of information needs to be collected and shared for comprehensive analysis? What are existing forensic, diagnostic, and prognostic analytical tool requirements?

R-164

Research

8.4

Safety Information Sharing: What protections must be in place to protect safety information from misuse and the sources of safety information? How can it be assured that information is protected and shared across all government agencies and their customers? What changes in the legal system will be necessary to protect safety information and how will those changes be effected?

R-165

Research

8.4

Safety Information Sharing: What liability issues must be addressed with respect to collecting, reporting, sharing, handling, and misusing safety related data? How should these liability issues be addressed while encouraging data sharing? What changes in

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Line Reference
cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. System risk management is an integrated function within the overall NAS architecture; using the components of the architecture as nodes for data gathering and reporting and distributed and centralized computing systems to identify anomalous situations, circumstances that are accident precursors, and other potential hazards. This relationship is dynamically updated to provide risk indicators for various operational conditions, including environment (weather, etc.), aircraft density, airspace complexity, aircraft performance, and other system component characteristic performance that may affect risk.

Issue
the legal system will be necessary to address these liability issues and how will those changes be effected?

R-166

Research

9.4

System risk baselines for the NAS and for its components do not exist. A baseline for acceptable risk for the NextGen system is therefore very difficult to construct. Analysis is required to both construct a system baseline and to define the acceptable risk levels for the future system.

R-167

Research

9.4

System component requirements are defined in terms of operational parameters, however, risk should be used as an additional component in the definition of performance requirements.

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Appendix D: Policy Issues

Note: The following policy issues are listed by chapter content; they are not listed in any priority order.

Reference Type
P-1

Section

Line Reference
In addition, backup functions are distributed throughout the system, and there are layers of protection to allow for graceful degradation of services in the event of automation failures. A transparent set of strategies is in place to achieve overall performance objectives, including airspace management to maximize capacity when demand is high and, as required, flow management initiatives to ensure safe levels of traffic are not exceeded when capacity limits are reached. A transparent set of strategies is in place to achieve overall performance objectives, including airspace management to maximize capacity when demand is high and, as required, flow management initiatives to ensure safe levels of traffic are not exceeded when capacity limits are reached. Digital data communication and ground-based and airborne automation to create, exchange, and execute 4DTs are prerequisites for TBOs.

Issue

Policy

2.2.2

Develop policies concerning liability for delegated separation and self-separation operations.

P-2

Policy

2.3.2

Can automation ever be responsible for separation assurance, or is a human (flight operator or ANSP personnel) always required to assume responsibility?

P-3

Policy

2.3.2

What incentives and consequences exist to encourage desired behaviors by stakeholders?

P-4

Policy

2.4

Address needed policy related to incentives for early filing of flight plan intent information. How do these requirements affect scheduled operations versus on-demand or unscheduled operations?

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Reference Type
P-5

Section

Line Reference
ICAO Planning and Implementation Regional Group (PIRG) or multilateral agreements coordinate planning and implementation of NextGen ANSP transformations to harmonize the application of technology and procedures. By decoupling geographic airspace and infrastructure constraints from aircraft operations, capacity managers have the flexibility to leverage resources across facilities to match staffing to traffic demand. The security of the airport perimeter and surface will be improved, as discussed in Chapter Seven regarding security protocols. Advances in common use systems will continue with existing trends towards automated issuance of boarding passes (whether paper or paperless) and faster processing of passengers. To the extent possible, Customs and INS are integrated with security screening procedures and/or augmented by automation to ensure the necessary procedures are incorporated throughout the network of airports without unnecessary duplication. D-2

Issue

Policy

2.8.1

Develop a framework for ANSP arbitration decisions, including representation of national policy in a transparent set of algorithms and metrics.

P-6

Policy

2.8.2

Develop policies to align treaty obligations and international processes for oceanic airspace with NextGen.

P-7

Policy

3.3.1

What will be the role of the operator in terms of NAS defense?

P-8

Policy

3.3.2

Will meters/greeters be permitted in secure boarding areas in the future? If so, what is the potential of biometric check-in processing at the gate?

P-9

Policy

3.3.2.2

What is the role of Customs/INS within an NextGen-enabled airport? How can these processes be automated, transformed, and made more efficient?

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Reference Type
P-10 Policy

Section
3.4.3

Line Reference
The noninteroperability of many of the formats, and the difficulty of conversion between formats, also inhibit simple exchange of airport planning information. In addition to preventing land use encroachment and/or conversion, the program would also address Airport Protection Surfaces (i.e., 14 CFR Part 77 and TERPS, as applicable to NextGen) and noise exposure as related to the future sustainability of the facility. States, airports, and metropolitan planning organizations (MPOs) would be encouraged to participate in the program through participation in the Federal grant and airport certification process. Policy, financing, and regulatory mechanisms will provide for both public and private ownership and management of airports, including access to the NAS through level of service agreements with the ANSP.

Issue
Which organization(s) will maintain overall ownership of the central information repository for airports?

P-11

Policy

3.5.1

Define NextGen Airport Preservation Program. Define Fedederal role in protecting ctirical infrastructure, including linkages to NPIAS and airport advocacy. Analyze liability concerns with safety zones. Define applicability of airport traffic pattern in overall program. Incorporate recommendations of existing TRB/ACRP research, when available.

P-12

Policy

3.5.2

Define policy options for airport ownership, finance, and management under NextGen.

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Reference Type
P-13 Policy

Section
3.5.5

Line Reference
Sensors will be needed in the runway environment for the active detection and dissipation measurement of wake vortices, which will enable reduced aircraft separation during conditions when wake turbulence is not a hazard. Note that the common use infrastructure is not intended as a Federal mandate; each airport and its users will determine gate allocation based upon their specific needs, as well as factors related to efficiency, cost, and availability.

Issue
What is the role of the operator in providing weather information to the NAS? Is this an airport, NOAA, or ANSP function?

P-14

Policy

3.5.6

In the interest of fostering airline competition, should the Federal government have a policy of encouraging flexible/common use gates over single-use versus flex gates at airports with Federal grant assurances?

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Reference Type
P-15 Policy

Section
4.1

Line Reference
Secure exchange of information includes access controls, trust relationships, associated policies and mechanisms to provide appropriate access to information by authenticated COI users.

Issue
Mobile Routing and Domain Network Services: The NextGen unclassified domain operated by the FAA may be considered as the root domain to which the other domains will connect. The originating domain has the responsibility to establish policies to protect the interests of all interconnected domains and negotiate interconnection agreements. These agreements will include specification of the boundary protection between domains. Boundary protection includes firewalls and trusted guard technology (e.g., Radiant Mercury). The strength or trustworthiness of the boundary protection technology and the policy used to implement the interconnection will be part of the written agreement between the AOs (authorizing officials). The policy domains constituting NextGen include, but are not necessarily limited to, the following: FAA, DoD, DOC, DoJ DHS, NASA, Airline operating companies, General aviation facilities, State, local, and tribal law enforcement and emergency responders, commercial air traffic communication providers, Foreign civil aviation authorities, and the International Civil Aviation Organization (ICAO). Mechanism and support will be provided to support U.S. Computer Emergency Readiness Team (USCERT) coordination of defense against and responses to cyber attacks across the nation and protection of the nation's Internet infrastructure.

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Reference Type
P-16 Policy

Section
4.1

Line Reference
Maintenance of information assurance across security levels and domains is a critical feature of data availability.

Issue
Cross-Domain (e.g. Multi-Level Security Exchange/Gateway Capability: Secure communication across security levels and domains is a critical feature. Information, perhaps intelligence, at various levels of classification and from a variety of users (domains) will require information assurance (1). In addition, different COIs have domains that require distinct requirements for information availability. (1) Connections between different security levels must fulfill three requirements: Provide users with the information they need while; Securing classified/sensitive data from access by unauthorized persons and; Protecting networks from intended/unintended corruption by malicious or hidden code. Top Secret, Secret, Sensitive but Unclassified and industry proprietary information must remain protected in the net-centric NextGen. The requirement for purity of COIs information may be founded legally, by proprietary preference, or through civil liberties concerns and policies. NextGen must be implemented in a way that encourages participation by incentive such as fuel savings, increased aircraft operations or access to more air space. If such incentive for volunteer equipage are lacking, then policy will need to be established that reflects a certain level of equipage mandate to enable the utilization of the full capability of netcentric operations. This is not restricted to aircraft; it includes ground fixed, ground mobile, other airborne, and satellite, connections to similar and dissimilar network backbones (to include backward compatibility to legacy systems) and the capability to provide a reduced performance for those systems that cannot equip due to economic, technological, international or other considerations/agreements.

P-17

Policy

4.3.4

When new information needs or capabilities are identified by the aviation community; the network conveys that information to the COI.

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Reference Type
P-18 Policy

Section
5.3.1

Line Reference
Weather information in the form of meteorological variables that are observed or forecasted (e.g., storm intensity, echo tops, etc.) must be translated into information that is directly relevant to NextGen users and service providers, such as the likelihood of a flight deviation, airspace permeability, and capacity. In the NextGen, consistency and continuity in the common weather picture are ensured by centrally managed weather information that is government distributed through the NextGen Network Enabled Weather (NNEW) virtual database capability. It is envisioned that various federal departments will develop directives that will prioritize specified surveillance coverage capabilities and requirements in these national interest areas. These services also manage data related to a flight from the initial filing of a proposed flight to the closing of the flight plan and the archiving of the data to support performance management analyses.

Issue
What is the role of meteorological information from nations adjacent to the NAS and over the Oceans?

P-19

Policy

5.3.1

What is the role of the information available from private weather providers in realizing the single authoritative weather source and in NextGen decision making? (Note: this is partially addressed in the text)

P-20

Policy

5.3.1

Develop a policy for back-up needs/requirements for surveillance including the completion of the necessary safety risk analysis.

P-21

Policy

5.6

Develop a policy which addresses the handling of archived data in order to protect privacy and proprietary information.

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Reference Type
P-22 Policy

Section
6.3/C.2.3

Line Reference
Risk management is inherent to every element of Layered, Adaptive Security Services; it is conducted from the strategic to the tactical levels. Risk management is inherent to every element of Layered, Adaptive Security Services; it is conducted from the strategic to the tactical levels. Risks are measures of potential harm that encompasses threat Risks are measures of potential harm that encompasses threat

Issue
How to finance and coordinate the IRM NEI investments and their long term O&M?

P-23

Policy

6.3/C.2.3

How does the SSP share IRM information with stakeholders that have different levels of clearances?

P-24

Policy

6.3/C.2.2.6

How should the research of aircraft security technologies be funded and by whom? How should aircraft security technology be certified? How do we expedite the certification process? How do we integrate aircraft security and safety management process? How should the security envelope risk values be communicated to stakeholders? What kinds of cargo screening can be conducted by 3rd parties?

P-25

Policy

6.3/C.2.2.6

P-26

Policy

6.3/C.2.2.6

P-27

Policy

6.3/C.2.2.4

P-28

Policy

6.3/C.2.2.1

P-29

Policy

6.3/C.2.2.1

Risks are measures of potential harm that encompasses threat Since the terrorist has the freedom to choose targets and modes of attack, the NGATS Security system must develop (but not necessarily universally deploy) operationally feasible mitigations to as many potential threats as possible. This doesnt mean that all non-commercial operations have to screen passengers or cargo for flights posing below threshold risk levels. This doesnt mean that all non-commercial operations have to screen passengers or cargo for flights posing below threshold risk levels.

What process best addresses privacy and civil liberty concerns within the IRM Secure People capability?

What agency within the Federal Government has the responsibility and authority to mandate security processes for Secure People?

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Reference Type
P-30 Policy

Section
6.4.1/C.3.2.2

Line Reference
Aviation security risks are mitigated by identifying and preventing people who, whether travelers or aviation workers, are a potential threat from gaining access to the air transport system through prescreening/credentialing, screening, and intervention. Aviation security risks are mitigated by identifying and preventing people who, whether travelers or aviation workers, are a potential threat from gaining access to the air transport system through prescreening/credentialing, screening, and intervention. The NGATS NEO permits more valid and faster credential verification. The airport security technologies and adjustable procedures are nominally transparent to passengers. The airport security technologies and adjustable procedures are nominally transparent to passengers. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency.

Issue
If the government uses data-mining from commercial data service providers to conduct pre-screening, how are validity and privacy maintained?

P-31

Policy

6.4.1/C.3.2.3

Can Federal credentialing be made a condition of employment or condition of use for an aviation industry worker or passenger? Who should bear the responsibility of credentialing cost?)

P-32

Policy

6.4.1/C.3.2.3

Given the difficulty of cross-agency and cross-sector coordination, how are funding and compliance issues resolved? What kind of certification standards should be imposed on CBRNE sensors? Should standalone sensor requirements be different than for combined sensor (sensor fusion) requirements? What are the checkpoint equipage standards required for different types of NextGen Airports?

P-33

Policy

6.4.2/C.3.4

P-34

Policy

6.4.2/C.3.4

P-35

Policy

6.4.2/C.3.4

CBRNE threat detection profiles will need to be developed.

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Reference Type
P-36 Policy

Section
6.4.2/C.4.2.1

Line Reference
The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. The emergency response has been appropriately gamed and rehearsed in using this tool, and other tools, to ensure the responders are fully prepared and informed for any contingency. RTSS Facility Commercial Spaceports

Issue
Who pays for various security based infrastructure modifications to facilities?

P-37

Policy

6.4.2/C.4.2.1

What security measures should be considered for Unmanned Aircraft System (UAS) operations?

P-38

Policy

6.4.2/C.4.3.3

Who pays for these counter-measures? Are airborne defense systems a better approach?

P-39

Policy

6.4.2/C.4.6

What type of intelligence and data sharing protocols between airports, state and federal agencies are needed?

P-40 P-41

Policy Policy

6.4.2/C.5.3.3 6.4.2/C.4.2.4

Policies and standards specific to the remote check-in functions need to be developed. What international agreements or licensing procedures should be in place to provide for ensuring spacecraft reentering the atmosphere over US territory are screened and vetted? How are privacy issues managed in this area?

P-42

Policy

6.4.2/C.4.4.1

Landside: Terminal Public and Commercial Roadways & Parking Lots

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Reference Type
P-43 Policy

Section
6.4.3/C.5.4

Line Reference
This capability includes provisions for Remote Terminal Security Screening (RTSS) to allow passengers to undergo full screenings at remote off-airport locations and then be transported directly to the sterile area of the airport terminal, and their screened checked bags directly to the aircraft. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Such screened baggage is available for direct transfer to other modes of transportation without further screening. Additionally, Integrated Trip Tracking, with access by authorized third party organizations, provides custom services such as remote check-in and baggage transport and processing capabilities.

Issue
How can identical vs. equivalent checked baggage and check-point screening policies and procedures between the UDS and foreign governments be harmonized?

P-44

Policy

6.4.3/C.5.2.2

Alarm resolution policies, protocols and procedures will need to be developed for the CBRNE threat.

P-45

Policy

6.4.3/C.5.2.2

How will airport space requirements be allocated to the alarm resolution process?

P-46

Policy

6.4.3/C.5.2.3

Liability issues between the airports, the airlines, the ANSP, and the SSP need resolution.

P-47

Policy

6.4.3/C.5.2.3

Policies procedures will need to be developed for the containment, and disposition of CBRNE threat objects considered to require disposal.

P-48

Policy

6.4.3/C.4.2.2

Who pays for the remote screening and what liability agreements are possible for 3rd party operation to be economically feasible?

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Reference Type
P-49 Policy

Section
6.4.3/C.4.2.2

Line Reference
Additionally, Integrated Trip Tracking, with access by authorized third party organizations, provides custom services such as remote check-in and baggage transport and processing capabilities. Additionally, Integrated Trip Tracking, with access by authorized third party organizations, provides custom services such as remote check-in and baggage transport and processing capabilities. The NGATS vision for cargo security moves beyond that to also include freight vulnerability assessments (through the IRM process), identifying the risk level of cargo, use of sterile area cargo packing areas, cargo transit safety and integrity, and CBRNE screening for air cargo. Cradle to Grave Tracking/Integrity Cradle to Grave Tracking/Integrity

Issue
Screening and overall operational policies and procedures governing the RTSS or any off site sterile area and transportation systems to the will need to be developed.

P-50

Policy

6.4.3/C.5.3

An overall set of ergonomic policies will need to be developed for CBRNE detection systems in the airports

P-51

Policy

6.4.4/C.6.2

What policies govern liabilities and participation in the SSCE and CSCE programs in which the shipper performs cargo screening?

P-52 P-53

Policy Policy

6.4.4/C.6.9 6.4.4/C.6.9

P-54

Policy

6.4.4/C.6.9

Cradle to Grave Tracking/Integrity Cradle to Grave Tracking/Integrity If any deviance from this process occurs all cargo intended for air transport whether on passenger flights or allcargo operations must undergo CBRNE screening from either the SSP or a CSCE. D-12

P-55

Policy

6.4.4/C.6.9

P-56

Policy

6.4.4/C.6.4

Define the security requirements for operations at all cargo airports. Expand the definition of an Indirect Air Carrier to include businesses involved in indirect transport of cargo on larger airlines, regardless of the use of passenger or all cargo aircraft. Liability: What are liabilities if cargo is screened via available screening technologies and a mishap/attack/accident occurs? Define the appropriate use of IED Defeat Technology to achieve the 100% screening of all cargo items at the needed schedule. Alarm resolution protocols and procedures need to be prepared for the range of cargo packing options.

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APPENDIX D: POLICY ISSUES

Reference Type
P-57 Policy

Section
6.4.5/C.7.5.2

Line Reference
These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft. These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft.

Issue
How should the NEO security infrastructure be financed and maintained?

P-58

Policy

6.4.5/C.7.5.2

What are roles and responsibilities of the ANSP, SSP, and DSP for airspace security?

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Reference Type
P-59 Policy

Section
6.4.5/C.7.5.2

Line Reference
These risk management requirements include defining (almost always dynamically) the boundaries of Security Restricted Airspace (SRA) and Temporary Flight Restrictions (TFR), the cooperative division of responsibilities between the DSP, SSP, and ANSP in the event of security events in flight or by airborne threat aircraft, the security personnel on flights and modifications/equipage to the aircraft. In addition, Secure Airspace implements airspace access and flight procedures based on a verification process which dynamically adjusts for aircraft performance capabilities. The model combines credentialing data with performance data as part of developing the risk profile of the flight object. Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and procedural methods. Secure Aircraft increases the safety and security of the NGATS aircraft in flight through a variety of hardware, software, personnel and procedural methods.

Issue
How is classified information edited for dissemination to non-cleared stakeholder (e.g., FOCs and flight operators)

P-60

Policy

6.4.5/C.7.4

How will non-cooperative surveillance be performed and who will manage/fund it?

P-61

Policy

6.4.5/C.7.4

What kind of data and capabilities does an aircraft broadcast capability have to possess?

P-62

Policy

6.4.6/C.8.5

Who pays for any secure aircraft effort: government, manufacturer, airline, owner, etc.? Will that determine liability in the event of an incident?

P-63

Policy

6.4.6/C.8.5

Do different aircraft types have different applicable standards for defensive systems?

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APPENDIX D: POLICY ISSUES

Reference Type
P-64 Policy

Section
6.4.6/C.4.2.3

Line Reference
The threats that require mitigation are hijacking/unauthorized diversion, internal explosive destruction, external attack, onboard CBRN or other attack of crew, passengers, or aircraft systems, aircraft use as a transport for CBNRE, aircraft use as a Weapon of Mass Destruction (WMD). These services and capabilities are described in the following subsections. Each plays an important role in supporting the transformed operations of the NextGen. The models also help industry to understand how operational decisions influence proposed projects affecting aviation noise and emissions; they also help the public to understand how actions by government and industry impact affect aviation noise and emissions. Ultimately they will facilitate more effective portfolio management and support the EMS process. By applying these four safety management functions early, the JPDO and its partners ensure not only that the NextGen is safely operated, but that its systems and operations are designed and built to be as safe as possible.

Issue
Under what circumstances will privatelyoperated general aviation airports be required to install sensors and other detection equipment to meet security requirements?

P-65

Policy

7.4

Consider a framework by which the EMS process (or other regulatory procedure) makes the approval process for routes and new runways viable.

P-66

Policy

7.4.3

Research to assure that environmental metrics are based on best available scientific information.

P-67

Policy

7.4.3

Use environmental metrics to define interdependencies for technology design goals, operations, and procedures at the airport and in the airspace. Establish safety management standards for NextGen stakeholders.

P-68

Policy

8.3

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Reference Type
P-69 Policy

Section
8.3.1

Line Reference
The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent with the International Civil Aviation Organization (ICAO) standards The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent with the International Civil Aviation Organization (ICAO) standards

Issue
Aviation Safety Policy: Establish a common, national-level aviation safety policy and strategy for the NextGen and its government and industry stakeholders.

P-70

Policy

8.3.1

Aviation Safety Policy: If determined beneficial or necessary, mandate all NextGen government and industry stakeholders to adopt an effective and auditable safety management program, and designate body with responsibility for coordinating and implementing the national aviation safety policy.

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Reference Type
P-71 Policy

Section
8.3.1

Line Reference
The National Aviation Safety Policy assigns responsibility for safety at the highest levels of the organization, allowing delegation of day to day safety management but not of overall responsibility. It establishes safety management standards and ensures that safety management processes and practices are made consistent with the International Civil Aviation Organization (ICAO) standards These characteristics include but are not limited to management accountability, nonreprisal reporting, consistent use of safety risk management best practices, and sharing safety data and lessons learned. The safety relevant events and data are reported and shared without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information. The safety relevant events and data are reported and shared without fear of disciplinary nor legal action. Mechanisms are in place for protecting competitive information.

Issue
Aviation Safety Policy: Establish a mechanism for sharing and coordinating aviation safety research and safety enhancement activities.

P-72

Policy

8.3.2

Safety Culture: Define and foster common attributes of a multi-agency safety culture, and implement a safety culture improvement effort.

P-73

Policy

8.3.4

Safety Assurance: Designate an oversight body with jurisdiction and responsibility over NextGen stakeholders.

P-74

Policy

8.3.4

Safety Assurance: Policy for delegating certification responsibilities.

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Reference Type
P-75 Policy

Section
8.4

Line Reference
These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation. These services provide, among others, coordination of safety activities such as research and risk mitigation strategies, cross pollenization of safety information and lessons learned (where appropriate), and regulatory oversight to assure the public of the safety of air transportation.

Issue
Safety Information Sharing: Mandate sharing of safety relevant data and information across NextGen stakeholders.

P-76

Policy

8.4

Safety Information Sharing: Protect data and information shared across NextGen stakeholders.

P-77

Policy

8.4

Safety Information Sharing: Address liability issues related to sharing accident and other failure data.

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APPENDIX E

4250
15B

Appendix E: References
1. JPDO, End State Vision of the Next Generation Air Transportation System, July 2004. 2. JPDO, Next Generation Air Transportation System Integrated Plan, December 2004. 3. JPDO, 2005 Progress Report to the Next Generation Air Transportation System Integrated Plan, 2005. 4. Sullivan, B, et al. NGATS 2025 Concept, www.jpdo.digiplaces.com/tech_hangar/, 2005.
H H

4251 4252 4253 4254 4255 4256 4257 4258 4259 4260

5. RTCA, NAS Concept of Operations and Vision for the Future of Aviation, Washington, D.C. 2002. 6. ICAO, Global Air Traffic Management Operational Concept, First Edition, Doc 9854, 2005. 7. FAA, Roadmap for Performance-Based Navigation, 2006.

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