INTERNATIONAL CIVIL AVIATION ORGANIZATION

D R A F T

MANUAL ON AIR TRAFFIC FLOW MANAGEMENT

Published by XXXX

1

Manual on Air Traffic Flow Management

Table of Contents

1

Manual on Air Traffic Flow Management

FORWARD

Purpose of this Manual

The purpose of this Manual is to provide guidance and harmonize the development and implementation of Air Traffic Flow Management (ATFM). The implementation guidance in this manual is intended to support collaboration among the different stakeholders involved in ATFM:

a) air navigation service providers, including;

1) policy/decision makers;

2) airspace designers; and

3) operational ATC staff;

b) aircraft operators:

1) policy/decision makers;

2) senior pilots; and

3) technical staff;

c) airport operators including:

1) operations department; and

2) environment department;

d) aviation regulators; and

e) military agencies.

Future developments

Comments on this manual would be appreciated from all parties involved in the development and implementation of CDO. These comments should be addressed to:

The Secretary General

International Civil Aviation Organization

999 University Street

Montréal, Quebec, Canada H3C 5H7

…………………….

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Manual on Air Traffic Flow Management

EXECUTIVE SUMMARY

This Manual contains guidance material on how ATFM is applied by using Collaborative Decision-Making (CDM) processes in order to balance capacity and demand within Air Traffic Control (ATC) and aerodrome environments. It therefore provides background and implementation guidance for:

a) air navigation service providers;

b) aircraft operators;

c) aerodrome operators, including airport slot coordinators as appropriate;

d) aviation regulators;

e) military agencies; and

f) manufacturing industry related to ATFM.

Key objectives of this manual are to:

  • establish globally consistent ATFM planning and operating practices;
  • encourage a cooperative approach to ATFM between States; and
  • encourage a systemic approach to ATFM, including all ATM components, aerodrome operations (airside and landside where this affects aircraft operations) and airlines.

THE MANUAL NEEDS TO RECOGNISE AND TAKE INTO ACCOUNT THE VARIOUS NEEDS AND THE DIFFERENT LEVELS OF DEVELOPMENT OF OPERATIONS OF AIR NAVIGATION SYSTEMS AROUND THE WORLD. START WITH WHAT YOU HAVE!

REFERENCES

ICAO Documents

ICAO Annex 11 (Section 3.7.5).

ICAO Doc 4444 (Section 3.2).

ICAO Doc 9426 (Part II, Chapter 1)

TABLE OF CONTENTS

FORWARD

Purpose of this Manual

EXECUTIVE SUMMARY

REFERENCES

ICAO Documents

TABLE OF CONTENTS

ABBREVIATIONS

DEFINITIONS

CHAPTER 1

1.1 INTRODUCTION

1.1.1 Air Traffic Flow Management Definition

1.1.2 Air Traffic Flow Management Philosophy

1.1.3 Air Traffic Flow Management Benefits

1.2 AIR TRAFFIC FLOW MANAGEMENT OVERVIEW

1.2.1 ATFM Characteristics

1.2.2 Air Traffic Flow Management Principles

1.2.3 Collaborative Decision-Making Objectives and Principles

1.2.4 CDM Requirements and Benefits

1.2.5 CDM Organization and Structure

1.2.6 Global CDM Resources

CHAPTER 2

2.1 ATFM System Planning

2.1.1 Determining ATFM Requirements

2.1.2 Traffic Management Initiatives

CHAPTER 3

3.1 ATFM DEVELOPMENT STRATEGY

3.1.1 ATFM System Preparation

3.1.2 ATFM System Establishment

3.1.3 ATFM System Operation

3.1.4 Planning for Special or Unforeseen Events

CHAPTER 4

4.1 INFORMATION EXCHANGE

4.1.1 General

4.1.2 International Data Exchange Standards

4.1.3 System Eligibility for Data Exchange

4.1.4 Connectivity Specifications

4.1.5 Data Type Description and Harmonization

4.1.6 Data Exchange Limitations and Regulations

4.1.7 Allowed Data Usage

4.1.8 Documentation

4.1.9 Tools

4.2 COMMUNICATION

4.2.1 Background

4.2.2 Stakeholder ATFM Communication Structure

4.2.3 Coordination of ATFM Information and Traffic Management Initiatives

4.2.4 Exchanging ATFM Information

4.2.5 ATFM Message Components

4.2.6 Amendment

4.2.7 Cancellation

4.2.8 Operations Plan

4.2.9 Civil/Military Coordination

CHAPTER 5

5.1 POST-TACTICAL ATFM TASKS

APPENDIXES

APPENDIXES

APPENDIX A: ATFM Communication Phraseologies

APPENDIX B: ATFM Training Information

APPENDIX C: ATFM Traffic Management Measures

APPENDIX D: ATFM Resources

APPENDIX E: Sample Data Exchange Agreement

APPENDIX F: Special Event Planning Examples

ABBREVIATIONS

Air Traffic Control (ATC)

DEFINITIONS

CHAPTER 1

1.1 INTRODUCTION

1.1.1 Air Traffic Flow Management Definition

1.1.1.1The definition of ATFM is as follows:

A service established with the objective of contributing to a safe, orderly and expeditious flow of air traffic by ensuring that ATC capacity is utilized to the maximum extent possible, and that the traffic volume is compatible with the capacities declared by the appropriate air traffic service (ATS) authority.

1.1.2 Air Traffic Flow Management Philosophy

1.1.2.1The objectives of ATFM are as follows:

a)without compromising safety, to ensure an optimum flow of air traffic during times when demand exceeds, or is expected to exceed, available capacity of the air traffic control (ATC) system;

b)to ensure the maximum utilisation of airspace, and balance the legitimate, but sometimes conflicting, requirements of all users;

c)to develop a seamless and harmonised ATM system and ensure compatibility with international developments;

d)to ensure that optimum capacity is provided in a flexible and timely manner; and

e)to minimise inefficiencies that affect ATM capacity.

Initially there are three phases of ATFM: strategic, pre-tactical, and tactical. Based on implementation experience, there is a requirement for a fourth phase that involves analysis of data in order to assess effectiveness of the ATFM system. This analysis can be used to make strategic changes to the ATFM system and provide feedback to system users.

A key to the implementation of effective ATFM is to get States working together. The political dimension should be considered when ATFM involves international air traffic, and without political support any ATFM system will not be as effective as possible. While Letters of Agreement regarding ATFM can be initiated without high-level political agreement, this may be necessary in some parts of the world.INCLUDE HERE INFRMATION FROM THE EUR FASID.

1.1.3 Air Traffic Flow Management Benefits

INCLUDE REFERENCE TO IMPROVEMENTS IN ATC SECTOR CAPACITY WITH EFFECTIVE ATFM AS WELL AS ECONOMIC AND ENVIRONMENTAL BENEFITS FOR AVIATION AND COMMERCE. IT MAY BE POSSIBLE TO INCLUDE ECONOMIC BENEFIT EXAMPLES THALES?.ATFM works to minimise adverse effects on irregular operations and can enhance safety by reducing complexity. The benefits should also mention special or unexpected event planning.

1.2 AIR TRAFFIC FLOW MANAGEMENT OVERVIEW

1.2.1 ATFM Characteristics

1.2.1.1ATFM is intended as a win-win enabler, to ensure the ATM system is compatible, balances capacity, and is responsive to user needs. ATFM supports the introduction of new technologies (such as probabilistic meteorological forecasting and ATS sector capacity assessment tools) and procedures that enhance airspace capacity.

1.2.1.2ATFM is evolutionary in nature, in order to manage a changing aeronautical environment. Thus the nature of ATFM is one of a system that is constantly reviewed in terms of the airspace, ATS routes and aerodromes, and the ATFM system effectiveness itself.

1.2.1.3ATFM is integral to world economies, as it maximises aviation economic efficiencies and returns, in turn supporting many other economic sectors such as tourism and freight carriage. ATFM supports predictability in terms of inventories, and the efficient carriage of passengers and freight.

1.2.1.4ATFM assists international cooperation, leading to an optimal seamless ATM environment. Even relatively simple ATFM systems such as slot management can be as effective as complex systems, to enable systems to cope with unexpected capacity deficiencies.

1.2.1.5ATFM traffic data analysis can yield significant strategic benefits, especially when used in conjunction with airspace and ATS route planning, in terms of future ATM systems and procedure improvements. This is part of a continuous safety and service improvement loop (Figure x).

Figure xx: ATFM Cycle of Review and Improvement

1.2.2 Air Traffic Flow Management Principles

1.2.2.1It is evident that ATFM can be relevant to any ATC unit when that unit’s effect on aviation is considered from a systemic (network) perspective.

An ATFM system can be either directive in nature when the Air Navigation Service Provider (ANSP) also has regulatory and/or airspace authority functions, or more of a facilitator when this is not the case. In any case, it is important to recognise that ATFM is very effective when ATFM objectives are provided to ATC units, which are best placed in most cases to determine the actual means of achieving the stated objective.

Though the principle of ‘first come, first served’ and ‘equitable access to airspace’ are laudable concepts, it is inevitable when there are capacity issues that the ATFM system may focus on other priorities, such as ‘appropriately equipped aircraft’ or type of traffic, in order to achieve optimal airspace capacity and best network performance. IN THE FUTURE THERE MAY BE INCREASING USE OF NEXTGEN AND SESAR IN PARTICULAR MAY SHIFT TO PRIORITISING THE BEST EQUIPPED AIRCRAFT.
1.2.2.2 General principles of ATFM are as follows:

  • ATFM must seek to optimise available aerodrome and airspace capacitywithout compromising safety;
  • ATFM must seek to balance the financial impact on stakeholders with safety,and operational and technical benefits, taking into account globalinteroperability;
  • ATFM must entail timely and effective co-ordination with affected parties,including ATC units, aircraft operators, military authorities and aerodromeoperators as appropriate. Civil/military co-ordination ideally results inairspace being shared, either simultaneously or on a time-share basis. ATFMmust take into consideration the requirements of the military, lawenforcement, and search and rescue.
  • Military aircraft operating as general air traffic should be subject to ATFM.
  • ATFM recognises that airspace is a common resource for all users, ensuringfairness and transparency, while taking into account security and defenceneeds.

1.2.2.3Recommended ATFM practices:

ATFM planning should be prioritised for appropriate major traffic flows, instead of a focus on regional ATFM;THIS MAY REQUIRE FURTHER REGIONAL DISCUSSION

  • Recognising that the most efficient utilization of available airspace and airport capacity can be achieved only if all relevant elements of the air traffic system had been considered during the planning stage, applying a systems approach. Quantitative data should be moderated by qualitativeassessment using subject matter experts to ensure the following factors, interalia, are taken into account:
  • airspace and airway complexity, structure and volume;
  • adjoining ATC sectors;
  • amount of climbing/descending traffic;
  • terrain;
  • military operations; and
  • special use airspace.

When flow management measures are necessary for certain areas, they should be applied in a timely manner only for the period when expected air traffic demand will exceed the capacity in those areas. ATFM measures should be kept to the minimum and, whenever possible, be applied selectively only to that part of the system that is constrained.

Advance information on overload situations should be provided to ATC and aircraft/aerodrome operators.

Relevant air traffic statistics should be generated in order to promptly identify bottlenecks in the system. Accurate and timely data should be continuously available to support implementation and ongoing ATFM operations in the form of:

  • Static data identifying historical traffic loadings, for use as strategic planning and trend analysis, and
  • Dynamic real-time data used for the tactical management of traffic in terms of commencement of ATFM measures;
  • Flow control measures should be established and coordinated in such a way that they will not cumulatively interact with each other on the same flights;

The following types of flights should be granted exemption from flow control measures:

  • emergency flights, including aircraft subjected to unlawful interference;
  • flights operating for humanitarian reasons;
  • medical flights specifically declared by medical authorities;
  • flights on search and rescue missions;
  • flights with ‘Head of State’ status; and
  • other flights as specifically required by State authorities.
  • The use of appropriate automated tools should allow effective application of ATFM;
  • Formalised CDM should be utilised to promote increased information sharing, awareness and acceptance;
  • States should ensure the use of the English language in a concise, non-verbose manner in ATFM operations;
  • Whenever measures to control the flow of air traffic have to be applied in the form of delays, they should, if possible, be applied by ATC to aircraft on the ground rather than to aircraft in flight.
  • Whenever application of ATFM in the form of delays to airborne aircraft becomes unavoidable, the flights concerned should be informed as soon as possible.

The ATFM service should have the following basic strategic and tactical functions:

  • collection, collation and analysis of data on air traffic, the air navigation infrastructure and on the capacities of the ATS system and selected aerodromes;
  • determination of available airspace, ATS and aerodrome capacity;
  • determination of a coherent picture of expected traffic demand;
  • identification of areas and time periods of expected critical traffic loadings; and
  • in order to accommodate the growth of air traffic, an appropriate ATFMplan should be established, aimed at optimising the airspace utilisation.

1.2.3 Collaborative Decision-Making Objectives and Principles

DEFINE CDM.CDM DESCRIPTIONS CAN BE DESCRIBED VERY SIMPLY AND WE SHOULD FOCUS ON ITS VALUE.

Collaborative Decision-Making (CDM), as part of ATFM, ideally involves people skilled in facilitation.

CDM is about sharing information, which allows an understanding of user and ATM requirements, in order to achieve commitment, cooperation, and predictability. In effect, CDM allows the system to work smarter, not harder.

Airport CDM must take into account airside (aircraft) and landside (passenger) movements.

CDM should be described through its fundamental philosophy of inclusion andprocess of sharing information to make better system decisions.

1.2.4 CDM Requirements and Benefits

2.1X

1.2.5 CDM Organization and Structure

2.2X

1.2.6 Global CDM Resources

2.3x

CHAPTER 2

2.1 ATFM System Planning

2.1.1 Determining ATFM Requirements

Determine Capacities

REFERENCES TO DEMAND-CAPACITY ANALYSIS, SHOULD FOCUS ON ACTION-VERBS SUCH AS BALANCING TO SHOW THATATFM IS ACTION-ORIENTED AND NOT JUST PASSIVE. THIS SHOULD INCLUDE AIRSPACE AND AERODROME CAPACITY.WRITE IN POSITIVE TERMS.

Identify Capacity-Building Measures

x

Assess Demand and Need for ATFM

The emphasis in the future will be on ‘best equipped’ aircraft, not necessarily ‘fair’ access.

Determine Recommended ATFM Measures

Strategic ATFM (airports)

  • legal framework
  • slot allocation processes
  • designation of slot allocation coordinators or authorities

Strategic ATFM (airspace)

A region should have a single network operations plan.

  • inter-State agreements and political support
  • airspace design
  • route structure
  • procedures and separation standards
  • communications (data-link, ATM automation system integration)
  • coordination/acceptance agreements
  • capacity changes (ATM/CNS degradation)

Pre-tactical ATFM

  • determination and dissemination of acceptance rates
  • weather and other operational impacts daily/hourly
  • airport capability under varying conditions
  • airspace capacity changes
  • available methods to achieve pre-tactical arrival rates
  • gate delay
  • ground holding
  • en-route speed reductions
  • available methods to achieve pre-tactical movement rates (airspace)
  • re-routing
  • en-route traffic metering/spacing (including RTA)

Tactical ATFM

  • determining the sequence – ATC facilities and processes, automated and manual
  • gate times
  • pilot actions
  • speeds
  • runway occupancy

2.1.2Traffic Management Initiatives

TMIS – REFERENCE SHOULD BE PROVIDED TO THE APPENDIX. DESCRIBE HERE AS THE MITIGATION STRATEGIES USED TO BALANCE AIR TRAFFIC DEMAND WITH CAPACITY.

CHAPTER 3

3.1 ATFM DEVELOPMENT STRATEGY

3.1.1ATFM System Preparation

Consult with Stakeholders, including political entities as required

Improve ATFM knowledge, including TMI (use the term ATFM measures) information

Determine ATFM Facility and Personnel Requirements

Analyse the ATFM environment and develop documents with procedures

3.1.2ATFM SystemEstablishment

ATFM Staff Training and Competencies

Assessment and procurement of facilities

EXPERIENCE REQUIREMENTS FOR ATFM STAFF – CGNA USED AREA CONTROLLERS WITH AT LEAST 10 YEARS’ EXPERIENCE. ASIA/PACIFIC NOTED THAT ATFM EXPERTS ARE SPECIALLY TRAINED AT FACILITATION, SO SOMETIMES CONTROLLERS WITH A DIRECTIVE APPROACH DO NOT MAKE THE BEST ATFM EXPERTS.

THE MANUAL SHOULD OUTLINE AT HIGH LEVEL THE PROCEDURES, AND HAVE A STATEMENT THAT THE STAFF NEED APPROPRIATE TRAINING. THERE NEEDS TO BE TRAINING OF ALL THE ATFM ACTORS.

3.1.3ATFM System Operation

THE MANUAL SHOULD ADDRESS STRATEGIES TO DEAL WITH PROBLEMS REGARDING RESTRICTED AREAS AND OTHER SUA.

Monitor the situation.

Establish strategies for the termination of ATFM measures.

3.1.4 Planning for Special or Unforeseen Events

The ATFM system needs to take into account responses to emergencies and special events. DON’T CALL SPECIAL EVENT RESOURCES ‘CRISIS’ CELLS AS THIS HAS A NEGATIVE CONNOTATION. CONDUCT POST ANALYSIS OF EVENTS.

SPECIAL EVENT MANAGEMENT IS SOMETHING THAT INTERMITTENTLY AFFECTS ALL STAKEHOLDERS, BUT HAS A SIGNIFICANT IMPACT WHEN IT DOES, AND GLOBAL BEST PRACTICES WOULD BE VERY VALUABLE. AN APPENDIX TO THE MANUAL WITH BRIEF DETAILS OF RELEVANT EXAMPLES WOULD BE APPROPRIATE.

ATFM ASSISTS RESPONSES TO UNEXPECTED EVENTS IN TERMS OF TIMELINESS.

CHAPTER 4

4.1 INFORMATION EXCHANGE

4.1.1 General

THE MANUAL MUST TAKE INTO ACCOUNT HOW STATIC/DYNAMIC DATA IS TO BE ACQUIRED AND COVER FLIGHT PLAN INFORMATION. THE MANUAL SHOULD COVER CIVIL AND MILITARY ASPECTS.

Airport data is important to facilitate enhanced cooperative airport CDM.

CARE SHOULD BE TAKEN WITH REFERENCES TO DATABASES OR SIMILAR LIMITING ITEMS. IF THE DESIRE IS TO SHARE DATA, FOCUS ON THAT AND NOT GET BOGGED DOWN WITH THE TECHNOLOGICAL ASPECTS, AS THEY WILL SURELY CHANGE OVER TIME. THIS SHOULD INCLUDE FLIGHT PLANNING AND CDM-TYPE FLIGHT UPDATES, WITH CORRESPONDING ANSP INFORMATION SHARING TO THE REST OF THE STAKEHOLDER COMMUNITY.

REDUCE THE NUMBER OF FOLLOWING HEADINGS

4.1.2 International Data Exchange Standards

X

4.1.3 System Eligibility for Data Exchange

X

4.1.4 Connectivity Specifications

X

4.1.5 Data Type Description and Harmonization

X

4.1.6 Data Exchange Limitations and Regulations

X

4.1.7 Allowed Data Usage

x

4.1.8 Documentation

x

4.1.9 Tools

x

4.2 COMMUNICATION

4.2.1 Background

ATFM Coordination should be expanded to include effective communication and
also information management.

4.2.2 Stakeholder ATFM Communication Structure

x

4.2.3 Coordination of ATFM Information and Traffic Management Initiatives

x

4.2.4 Exchanging ATFM Information