1. Overview of the Block Upgrades Concept
Tai Feng
Air Navigation Commissioner
International Civil Aviation Organization

2. Our Collective Challenge
While 2010 was the safest year on record; the accident rate is flat. Without intervention; given growth - accidents will begin to increase exponentially in all parts of the world.
New technologies and procedures can serve to keep our excellent aviation safety record in tact, and even improve, if introduced in a globally harmonized way.
If fact, we expect in excess of US$ 120 billion will be spent worldwide on new aviation systems over the next 10 ten years.
So consistent with the Assembly’s direction, ICAO has put a lot of energy into planning for the future.
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3. Developing Tomorrow’s Aviation System
Global framework is needed to ensure:
Safety is maintained and enhanced
ATM improvement programmes are harmonized
Barriers to future efficiency and environmental gains are removed, at reasonable cost
Harmonization is EASY to talk about, and VERY DIFFICULT to do.
This is about INTEGRATED PLANNING.
Harmonization is most effective after concepts are fairly mature, but BEFORE significant funds are expended on particular solutions.
So, the time is right.
As the international aviation community transitions to the future, a global framework is needed to ensure that:
Safety is maintained and enhanced
Individual regional ATM improvement programmes are harmonized
Barriers to future efficiency and environmental gains are removed, at reasonable cost
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4. Developing Tomorrow’s Aviation System
Investment certainty is required for:
Operators
Infrastructure providers
Equipment manufacturers
Regulatory approval process must be outlined
Support States in introduction of significant changes
But this industry has suffered from the “chicken and the egg” problem for some time. In order to move forward, the Airlines need to know that they WILL receive the benefits promised, so do the Air Navigation Service providers. And the equipment manufacturers need to know what systems to build.
The aviation system is a SYSTEM of systems; and the investment decisions will need to be synchronized so that all elements of those Systems invest at the appropriate time to enable ultimately delivery of the operational benefit.
And in addition, we need to concentrate on how we will certify these new systems and procedures much earlier in the process. The regulator has to be a part of the INITIAL PLANNING.
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5. Developing Tomorrow’s Aviation System
ICAO developed 4-step plan
Setting the stage for global interoperability
ICAO developed a four-step plan to set the stage for global interoperability.
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6. Step 1 Get Harmonization on the Global Agenda
ICAO Future Systems Symposium (2008)
Convened Standards Organization Roundtable (2009)
Established working agreements with Standards Organizations on shared work programmes
Step 1 – Get Harmonization on the Global Agenda
In 2008, ICAO hosted a Future Systems Symposium, and it was very clear that the U.S., Europe, and Japan had relatively mature plans, and were beginning to invest significantly in the development of these plans.
But standards are needed in order to produce new systems. So ICAO convened a Standards Organization Roundtable so that we could begin to coordinate with other standards bodies such as Eurocae, RTCA, SAE, ARINC and others. This allowed ICAO to formalized relationships with other standards-making bodies, to have data sharing agreements, and to coordinate timelines.
This is about effective, integrated PLANNING.
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7. Step 2 Block Upgrades Why is this approach proposed?
Define aviation system block upgrades
For interoperability purposes
Independent of when and where specific ATM improvement programmes are introduced
The second step was to begin to plan the future in BLOCKS, in stead of BITS.
Airplanes and ATM systems are HIGH VALUE assets, and require years of planning for upgrades, in order to minimize their downtime.
So we began to look at the most effective and efficient way to PLAN for the future, for interoperability purposes, and for ease of understanding.
So WHAT IS A BLOCK UPGRADE? And why plan that way?
Why is this approach proposed?
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8. The Reality of Our System Today…
This is the reality of our aviation system today.
Different States are launching different initiatives in order to accommodate their expected traffic growth.
However, in order to achieve a globally harmonized system, we need to have those States, and all other stakeholders, come together and agree of what ELEMENTS of those systems NEED to be harmonized, and what elements of those systems need to be interoperable.
What key decisions will we, as an aviation COMMUNITY, need to make to have seamless OPERATIONS? And how can the industry assist in those decisions?
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9. Preparatory Workshop for AN-Conf/12
A Team Effort
So ICAO invited all those that responded to our call for those that had MATURE programs to participate in an informal Technical Team to begin the dialog on how best to start this process.
On behalf of ICAO, I would like to take this opportunity to thank all the members of the Technical Team, as this briefing is a product of THEIR work. We also initiated a Challenge Team to challenges OURSELVES to begin to think about how to synchronize the investments that will be needed from all of the stakeholders to bring the future into reality.
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10. Measurable Operational Improvement Standards & Procedures
What is a Block Upgrade?
Measurable Operational Improvement
Air & Ground
Standards & Procedures
Air & Ground
Equipment / Systems
+ Approvals
Positive
Business Case
A BLOCK IS INTENDED TO ORGANIZE A GROUP OF ELEMENTS INTO AN OPERATIONALLY DRIVEN, COST EFFECTIVE UPGRADE THAT IS:
Clearly defined and measurable operational improvement
Equipment and/or systems needed onboard the aircraft and on the ground to make it happen,
Accompanying airborne and ground procedures including new separation minima
A positive business case over a clearly defined period of time
And an operational approval or certification path
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11. We Can Benefit From What Is Already Out There…
Brazil
Russia
Canada
Australia
India
China
The foundation of the blocks originates from existing, near term implementations, and access to the benefits that already exist in many regions of the world.
The blocks are based on operational concepts extracted from the United States’ Next Generation Air Transportation System (NextGen), Europe’s Single European Sky ATM Research (SESAR), and Collaborative Actions for Renovation of Air Traffic Systems (CARATS) Programmes and other maturing programmes, which have been aligned with the ICAO ATM Operational Concept.
Australia, Brazil, Canada, China, India and the Russian Federation also shared their maturing programmes with ICAO, we took all of that information onboard and integrated it into the blocks. The intent is to apply key capabilities and performance improvements across other regional and local environments with the same level of performance and associated benefits worldwide.
The block upgrades will allow a structured approach to meet the needs of the individual aviation communities worldwide, while considering the associated business cases. The block upgrades reflect the recognition that all modules are not required in all airspaces.
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12. 4 Blocks Upgrades are Proposed
2023
Block 3
2028> 2 B 3 B B 1 B
4 Blocks are proposed - Block 0: available now,
Block 1: from 2018, Block 2: from 2023 and Block 3: from 2028/beyond
The dates refer to the ability for an operator to use the module in an operational manner to generate operational benefits.
There are several activities before reaching the IOC dates, and they are an integral part of the plan (e.g. the necessary infrastructure to support a block upgrade capability).
The inclusion of a module in a block is dependent on the time at which the appropriate ICAO provisions will be made available and the operational capability will be deployable.
The notion of Blocks introduces a form of quantization of the dates in five years intervals. However, detailed descriptions will allow the setting of more accurate implementation dates, often not at the exact reference date of a block.
The purpose is not to indicate when a module implementation must be completed unless dependencies among modules logically suggest such a completion date.
Block 0
Available now
Block 1
2018
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13. A Block is Made Up of Modules…
Each module represents a specific, well bounded improvement.
A module can be the grouping of several elements which can contain communications, navigation, surveillance components in the airplane, a communication system, a ground component of the ATC automation or decision support tool for controllers, etc.
The elements mutually make the module comprehensive and cohesive.
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14. …So a Block is Scalable to Meet Regional or Local Needs
At the same time, it is clear that all ICAO states do not have the same immediate requirements for operational capabilities. So the Blocks were constructed as:
Modules are organized into flexible and scalable building blocks
Which can be introduced and implemented in a State or a region depending on the need and level of readiness
Recognizing that all the blocks/modules are not required in all airspaces (important for some regions)
And that some may need investment synchronisation possibly spurred by a global mandate
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15. Modules are Grouped in 4 Performance Improvement Areas
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Airport Operations
Airport Operations
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17. Globally Interoperable Systems & Data
Globally Interoperable Systems and Data – through Globally Interoperable System Wide Information Management
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18. Optimum Capacity & Flexible Flights
Optimum Capacity and Flexible Flights – through Global Collaborative ATM
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Efficient Flight Path
Efficient Flight Path – through Trajectory Based Operations
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Let’s Focus on Block 1…
Let’s look at Block 1 as an example. B 1
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21. Block 1 Modules for: Airport Operations
NAV Equip.
A-SMGCS
Wake
Vortex
A-CDM
Remote
Tower
A/D
MAN
Here you see the different modules within Block 1, within that performance area, here airport operations,
At last year’s Global Air Navigation Industry Symposium, one of the speakers stated that improved Surface Movement and Enhanced Vision Systems are part of the “low hanging fruit” in Block 1. A-SMGCS is here today but Block 1 sees, Enhanced A-SMGCS which makes greater use of technology in the cockpit, especially cockpit displays.
Airport CDM also exists today but at the GANIS we heard that Airport CDM is a good candidate for harmonisation, as common terminology and capabilities were sorely needed.
By 2018 we would have had enough experience with the application of standards wake vortex minima. Block 1 sees us taking this to the next level with the dynamic management of wake vortex separations.
As more and more aircraft are GNSS-capable we will have the ability to rationalise airport approaches. A good example being the seamless integration of PBN approach procedures with PBN arrival procedures including Continuous Descent Operations.
Block 0 introduced time-based metering, arrival and departure management automation. These items work independently with ATC personnel acting as the information integrator. Block 1 will see extended metering and departure/surface integration thus boosting aerodrome throughput.
Finally, advances in visual systems will allow the first implementation of remote towers, providing a remote “out of window” experience. Contingency situations will clearly benefit from this.
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22. Block 1 Modules for: Globally Interoperable Systems & Data
FF-ICE 1
Digital ATM Info
SWIM
Globally Interoperable Systems and Data.
Many of you have heard of SWIM (System-Wide Information Management) and FF-ICE, Flight and Flow in the Collaborative Environment. These plus the Integration of Digital ATM Information represent a significant step toward harmonisation.
I won’t go into the detail of each step here but together these modules will see the adoption of common flight objects for the exchange of flight information. We will also see the adoption of common reference models for the automated exchange of weather data and all ATM information.
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23. Block 1 Modules for: Optimum Capacity & Flexible Flights
Interval
Mgmt
In Trail ADS
CDM
+ FLT Planning WX
Info
Dynamic ATS Routing
The next PIA is Optimum Capacity and Flexible Flights. We are really moving into some exciting areas here.
Free Flight has been talked about since the early 90s. In this case we will see the introduction of free routing in defined airspace. These routes will cross FIR boundaries and allow greatest adherence to a user-preferred profile.
This will be supported by improved ATFM based in user driven prioritisation processes. Decision support systems will include the integration of weather information.
Constraints brought about by other aircraft will be reduced through in-trail procedures relying on ADS-B and interval management to merge and space aircraft effectively.
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24. Block 1 Modules for: Efficient Flight Path
OPDs
Synch/ 4D TRAD
RPAs
AND Efficient Flight Paths.
Optimised Profile Descents will see the provision of vertical corridors for arriving and departing aircraft making the airspace more efficient.
Air-Ground datalink application will support Initial 4D trajectories with improved synchronisation at merging points and better controlled arrival flows.
Remotely-piloted aircraft (RPAs) will be a fact of life and in Block 1 we will be taking the first steps to integrate these into non-segregated airspace. This last module is a complex one which sets out to achieve a number of things:
a streamlined process to access non-segregated controlled airspace.
airworthiness certification provisions
provisions for operator certification and remote pilot licensing requirements and most importantly
detect and avoid technology performance requirements.
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25. Threads Between Modules… and Across Blocks
Airport Operations
Improved Traffic Flow through Runway Metering
Block 0
Improved Approach & Departure Management through Integration
Block 1
Block 2
Linked
AMAN/
DMAN
Block 3
Integrated
AMAN/
DMAN/
SMAN
And here you see the threads (meaning capabilities built over time) ACROSS the Blocks
Available Now
2018
2023
2028>
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26. Improved Coordination through multi-centre Ground-Ground integration:
Threads Between Modules… and Across Blocks
Globally Interoperable Systems & Data
Through Global SWIM
Increased Interoperability, Efficiency & Capacity through Ground-Ground Integration
Block 0
Block 1
Increased Interoperability, Efficiency & Capacity through FF-ICE/1 application before Departure
Block 2
Improved Coordination through multi-centre Ground-Ground integration:
(FF-ICE/1
&
Flight Object, SWIM)
Block 3
Improved Operational Performance through the introduction of Full FF-ICE
Available Now
2018
2023
2028>
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27. Threads Between Modules… and Across Blocks
Optimum Capacity & Flexible Flights
Through Global Collaborative ATM
Improved Flow Performance through Planning Based on a Network-Wide View
Block 0
Block 1
Enhanced Flow Performance through Network Operational Planning
Block 2
Increased User Involvement in the Dynamic Utilisation of the Network
Block 3
Traffic Complexity Management
Available Now
2018
2023
2028>
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28. Threads Between Modules… and Across Blocks
Efficient Flight Path
Through Trajectory-based Operations
Improved Flexibility & Efficiency in Descent Profiles (CDOs)
Block 0
Block 1
Improved Flexibility & Efficiency in Descent Profiles (OPDs)
Block 2
Optimised Arrivals in Dense Airspace
Block 3
Full 4D Trajectory based Operations
Available Now
2018
2023
2028>
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29. Step 3 Global Rollout & Feedback at GANIS
Held Global Air Navigation Industry Symposium
September 2011
Over 500 participants from Industry, States and international organizations
Platform to enable feedback
Industry voice is critical in our planning
Essential preparation for AN-Conf/12
The third step requires access to the right information.
As part of this step, we hosted the Global Air Navigation Industry Symposium in September of this year. We considered it a great success, with over 500 participants from industry, States and international organizations in attendance.
The Blocks are the primary subject of the 12th Air Navigation Conference.
Never before has ICAO been so fully transparent, so far in advance. And that has a purpose. Industry voice is critical in our planning.
The Symposium was designed to get industry feedback on the ASBUs concept contained in a Working Document, in preparation for the 12th Air Navigation Conference.
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30. Step 3 What Happened Post-GANIS?
Collected feedback on the Working Document
Until 17 October 2011
Technical Team generated Edition 2 (version 3) of the Working Document
Week of 24th October 2011
Edition 2 released for further feedback
December 2011
Proposed revision of Global Air Navigation Plan (GANP)
Include technical roadmaps for CNS/AIM, based on ASBUs concept
Internal review – May 2012
Public consultation – 30 June 2012
Proposed GANP content will be discussed at AN-Conf/12
19-30 November 2012
The working document containing the ASBUs concept and details was made available for feedback until the 17th of October 2011.
On the following week, of 24 October 2011, the Technical Team met again and reviewed all the feedback, and used it to produce an updated version of the Document.
Edition 2 - Version 3 of the GANIS Working Document, reamed “ASBU Working Document” was released to the public in December 2011 to obtain further inputs on the revision.
The revised working document, as well as technical roadmaps dealing with Communications, Surveillance, Navigation and Aeronautical Information Management, were incorporated into a proposed revision of the ICAO Global Air Navigation Plan.
This revision was reviewed internally, by the ICAO Air Navigation Commission, in May of 2012.
ICAO then released the revised Plan for external consultation at the end of June 2012.
The proposed content of the Plan will be discussed at the 12th Air Navigation Conference, which brings me to the 4th and final step…
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31. Step 4 International Agreement at AN-Conf/12
Opportunity to formalize future of infrastructure & equipage
Strategies for longer-term requirements
Agreement of first series of block upgrades
Level of certainty for all stakeholders
Encourage more efficient implementation
Revised Global Plan
Operational capabilities to
manage ATM system requirements
And finally, ICAO’s plans to present the proposed GANP, housing the ASBUs at the 12th Air Navigation Conference.
The last two represented significant steps in aviation’s evolution. In 1991, at the 10th ANC, the Conference endorsed the FANS Concept and agreed to the establishment of Planning and Implementation Groups (we call them PIRGS). And in 2003, the Conference endorsed the Global ATM Operational Concept, developed global AIM requirements and a data exchange model and encouraged the use of ADS-B.
The 12th ANC provides the opportunity for the global aviation community to formalize the near-and mid-term future of aviation infrastructure and airborne equipage in the form of AVIATION SYSTEM BLOCK UPGRADES, in particular seeking agreement on Block 1. And in addition, we anticipate that the Conference will outline the research and development for longer term requirements.
This will result in a new update to the Global Air Navigation Plan (GANP) which will serve as the planning document for the future. Which will be shortly followed with a Global Infrastructure Report, outlining the progress against this plan, worldwide.
So please familiarize yourself with this planning, in preparation for the Conference.
Thank you.
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