1. ICAO Aviation System Block Upgrade Executive Briefing:
The Framework for Global Harmonization
Issued 10 June 2011
Note: this presentation should be given in conjunction with the ICAO Aviation System Block Upgrade Executive Briefing document.

2. ICAO ASBU Executive Briefing
The Challenge
USD 120 billion will be spent on ATS transformation in next 10 years
NextGen and SESAR account for large share of spending
Parallel investment initiatives also include:
Latin America, Russia, Japan, and elsewhere
ATM Modernization is enormously complex task
As traffic levels in civil aviation continue to increase, Industry stakeholders seek benefits of new initiatives
ICAO estimates USD 120 billion will be spent on air transportation systems transformation in the next 10 years.
While NextGen and SESAR modernization programs in the United States and Europe account for a large share of this spending, there are parallel investment initiatives in Latin America, Russia, Japan, and elsewhere.
Air Traffic Management (ATM) Modernization is an enormously complex task, but aviation industry stakeholders seek the benefits of these initiatives, especially as traffic levels in civil aviation continue to increase.
ICAO ASBU Executive Briefing

3. ICAO ASBU Executive Briefing
Why is Action Needed?
Need to renovate ATM systems to:
Safely accommodate increase of air traffic demand
Respond to diversified needs of operators
Global environmental issue
Other issues inherent with current ANS
ATM modernization programmes must harmonize to:
Provide greatest operational & performance benefits
Achieve seamless global air navigation into future
It is becoming clear that to safely accommodate the increase of air traffic demand in the future—as well as respond to the diversified needs of operators, global environmental issues, and other issues inherent with the current air navigation systems—it is necessary to renovate ATM systems for the future.
To provide the greatest operational and performance benefits, these programs must harmonize to achieve seamless global air navigation into the future.
ICAO ASBU Executive Briefing

4. What are the Impediments?
All programmes face risks & require mitigation strategies
Most significant risk is related to timing and mix of technical, political, and infrastructure requirements
Set of risks exist independent of specific solution chosen:
Non-homogeneous deployment across regions
Lack of synchronization of air & ground deployments
Future investment in existing ATM programmes by key stakeholders not secured
Delays in standards development and approvals
AIM not implemented in global interoperable way
SWIM not implemented in correct form
All programs face risks and require appropriate mitigation strategies. The most significant risk in global airspace modernization is related to timing and the mix of technical, political, and infrastructure requirements.
As the airspace is “right sized” to the State’s unique needs and the business case developed that support viable operational benefits, there are a set of risks that exist independent of the specific solution chosen. These include:
Non-homogeneous deployment across the ICAO Regions
Lack of synchronization of air and ground deployments
Future investment in the existing ATM programs by key stakeholders will not be secured
Delays in standards development and approvals
AIM is not implemented in a global interoperable way
SWIM not implemented in correct form
ICAO ASBU Executive Briefing

5. ICAO ASBU Executive Briefing
ICAO’s Approach
ICAO established programmatic, collaborative approach to develop set of ATM solutions
Meet global needs for interoperable airspace that:
Takes advantage of current equipage
Establishes transition plan that provides key performance improvements
Enables global interoperability
ICAO launched Aviation System Global Block Upgrade initiative to facilitate:
Interoperability
Harmonization
Modernization of air transportation world-wide
The Aviation System Global Block Upgrade initiative was launched as an outcome of the 37th ICAO General Assembly to facilitate the interoperability, harmonization, and modernization of air transportation world-wide. To that end, ICAO established a programmatic, collaborative approach to develop a set of ATM solutions to meet the global needs for an interoperable airspace that takes advantage of current equipage, establishes a transition plan that provides key performance improvements, and enables global interoperability.
ICAO ASBU Executive Briefing

6. ICAO ASBU Executive Briefing
What is an ASBU?
Aviation System Block Upgrade (ASBU) designates set of improvements that can be implemented globally from defined point in time to enhance performance of ATM System
A Block is made up of modules
Each module represents a specific, well-bounded improvement
A module can be grouping of several elements which can contain:
Communications, navigation, surveillance components in aircraft
Communication system
Ground component of ATC automation
or decision support tool for controllers
etc.
Elements mutually make module comprehensive & cohesive
An Aviation System Block Upgrade designates a set of improvements that can be implemented globally from a defined point in time to enhance the performance of the ATM System. 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.
ICAO ASBU Executive Briefing

7. What is an ASBU? (Cont’d)
ABSUs are suite or package of capabilities (called modules) where each has essential qualities of:
Clearly defined measurable operational improvement
with appropriate metric to determine success
Necessary equipment and/or systems in aircraft and on ground
along with operational approval or certification plan
Standards & procedures
for airborne & ground systems
Positive business case
over clearly defined period of time
Aviation System Global Block Upgrades (ABSUs). These Block Upgrades are a suite or package of capabilities called modules where each has the essential qualities of:
A clearly defined measurable operational improvement with the appropriate metric to determine success;
The necessary equipment and/or systems in the aircraft and on the ground along with an operational approval or certification plan;
Standards and procedures for both airborne and ground systems;
And a positive business case over a clearly defined period of time.
ICAO ASBU Executive Briefing

8. What is an ‘Aviation System Block Upgrade’ ?
ICAO ASBU Executive Briefing 8

9. It’s been done before - PBN
Operational Improvement
Fewer Runway Excursions
Less Noise & Emissions
Fuel Savings
Lower Pilot workload
Lower ATC Workload
Performance Monitoring
by PIRGs/States
Metrics
Necessary Procedures
Air & Ground
Annex 2, 10 & 11 (2008)
Annex 14 & 15 (2009)
Annex 4 & 6 (2010)
Annex 3 (2012)
Procedures Ops Vol. 1 & 2 ( )
Procedures ATM ( )
Procedures ABC (2010)
PBN Manual ( )
RNP AR Manual (2009)
Continuous Descent Operations (2010)
Continuous Climb Operations (2012)
Quality Assurance Manual (2010)
Airspace Design Handbook (2011)
Rollout (planning& implementation
by PIRGs/States)
Necessary Technology
Air & Ground
Annex 10 (2008)
GNSS Manual (2011)
Rollout (planning &
implementation by
PIRGs/States)
Global Demonstrations
and/or Trials
Oceanic – RNP 4; Pacific
Continental – RNAV 5; S. America
RNAV 10; Red Carpet Africa
Challenging Approaches
Lhasa, Queenstown
Rollout (planning & implementation
by PIRGs/States)
Positive Business Case
Minimum investment; using existing airborne technology
Rollout (Formulation of
business case by States)
Regulatory Approval Plan
Air & Ground
Ops Approval Handbook (2011)
PBN Model Regulations (2011)
Rollout (planning& implementation
by PIRGs/States)
ICAO ASBU Executive Briefing 9

10. Advantage of ICAO’s Approach
Block Upgrades provide a series of measurable, operational performance improvements
Organized into flexible & scalable building blocks
Could be introduced as needed
Implemented as each individual State and or Region determines feasible
based on individual needs & level of readiness
These “Block Upgrades” provide a series of measurable, operational performance improvements, organized into flexible and scalable building blocks, that could be introduced as needed and implemented as each individual State and or Region determines feasible based on their individual needs and level of readiness.
ICAO ASBU Executive Briefing

11. What is the Basis for ASBUs?
Foundation of blocks originates from existing, near term implementations and access to benefits that already exist
Blocks are based on operational concepts extracted from:
Intent is to apply key capabilities and performance improvements across other regional and local environments
with same level of performance and associated benefits worldwide
Block upgrades will allow structured approach to meet needs of individual aviation communities worldwide
while considering associated business cases
Block upgrades reflect recognition that all module solutions are not required in all airspaces
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 the Japanese CARATS Programmes. 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. Further, the block upgrades reflect the recognition that all module solutions are not required in all airspaces.
ICAO ASBU Executive Briefing

12. ASBUs & Performance Improvements
ASBUs address 4 key Performance Improvement Areas:
Greener Airports
Globally Interoperable Systems and Data
Optimum Capacity and Flexible Flights
Efficient Flight Path
The (4) Performance Improvement Areas are:
Greener Airports
Globally Interoperable Systems and Data: through Globally Interoperable System Wide Information Management
Optimum Capacity and Flexible Flights – through Global Collaborative ATM
Efficient Flight Path: through Trajectory Based Operations
ICAO ASBU Executive Briefing

13. Improvement Areas, Blocks & Modules
Performance Improvement Areas
Block 0
(2013)
Block 1
(2018)
Block 2
(2023)
Block 3
(2028 & >)
Greener Airports
Globally Interoperable Systems and Data
Optimum Capacity and Flexible Flights
This Illustration depicts the relationship between the performance improvement areas, also called PIAs, (in green boxes), the specific blocks associated to each PIA (in orange) and the individual modules for each block (in yellow boxes).
For each PIA, there are blocks that are introduced by phase (Block 0, 1, 2, 3).
Each block has individual modules to help create the PIA associated to it.
A Table containing all the detailed Blocks and modules, mapped to PIAs is available in Appendix A of the executive summary document.
Efficient Flight Plan
ICAO ASBU Executive Briefing

14. ICAO ASBExecutive Briefing
Roadmaps???
A slice based on technology.
Block 0 Block 1 Block 2 Block 3 +
Communications
Navigation
Surveillance
AIM
AVIONICS
+ Plus whatever else we are doing!!!
ICAO ASBExecutive Briefing 14

15. Performance Improvement Areas
Example of Mapping
Performance Improvement Areas
Block 0
(2013)
Block 1
(2018)
Block 2
(2023)
Block 3
(2028 & >)
Greener Airports
Optimisation of Approach Procedures Including Vertical Guidance (GBAS I)
Optimisation of Approach Procedures Including Vertical Guidance (GBAS II/III)
Wake Vortex Separation, Refined
Wake Vortex Separation (Time-based)
Advanced Wake Vortex Separation
(Time-based)
Here is an example using some of the blocks for the PIA “ Greener Airports”
A Table containing all the detailed Blocks and modules, mapped to PIAs is available in Appendix A of the executive summary document.
Runway Sequencing
AMAN/DMAN Metroplex
Linked AMAN/DMAN
Integrated AMAN/DMAN/SMAN
etc.
etc.
etc.
etc.
ICAO ASBU Executive Briefing

16. ICAO ASBU Executive Briefing
Timeframe
Block 0: available to be deployed globally from 2013
Block 1: available to be deployed globally from 2018
Block 2: available to be deployed globally from 2023
Block 3: available to be deployed globally from 2028/beyond
The following Blocks have been defined:
Block 0: available to be deployed globally from 2013, at the time of AN-Conf 12
Block 1: available to be deployed globally from 2018
Block 2: available to be deployed globally from 2023
Block 3: available to be deployed globally from 2028 and beyond
The dates refer to the ability for an operator to use the module in an operational manner to generate operational benefits (i.e., the initial operating capability, IOC). 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.
ICAO ASBU Executive Briefing

17. ICAO ASBU Executive Briefing
Mitigating the Risks
Deployment of ASBUs chosen to resolve many identified risks
Timing and sizing of Block Upgrades are in response to need for:
Mature standards
Integrated air and ground solutions
Establishment of positive business cases for level of equipage and infrastructure costs
Capabilities lacking specific maturity in content or described benefit are purposefully placed in later Block Upgrades
ASBUs respond to issue of “non-homogeneous deployment across regions”.
Block components are intended to interoperate seamlessly independent of how they are implemented in neighboring States
To ensure procedures, training, policy, and other “infrastructure” are consistent
Ensure safe transition to more capable airspace
The deployment of ASBUs has been chosen to resolve many of these identified risks. The timing and sizing of the Block Upgrades are in response to the need for mature standards, integrated air and ground solutions, and the establishment of positive business cases that bring identifiable benefits forward for a level of equipage and infrastructure cost. Those capabilities that lack specific maturity in content or described benefit are purposefully placed in the later Block Upgrades.
ASBUs also respond to the issue of “non-homogeneous deployment across regions”. Each Block and its underlying components are intended to interoperate seamlessly independent of how they are implemented in neighboring States. This has been designed to ensure that procedures, training, policy, and other “infrastructure” are consistent to ensure a safe transition to a more capable airspace.
ICAO ASBU Executive Briefing

18. Improvements for Phases of Flight Example: Block 0
An illustration of the improvements brought by Block 0 for the different phases of flight is presented here. It highlights that all flight phases are subject to proposed improvements, as well as the network as a whole, information management and infrastructure.
ICAO ASBU Executive Briefing

19. ICAO ASBU Executive Briefing
A Team Effort
Two teams involved in air transportation modernization define and govern the work of the Block Upgrade Initiative. The Technical Team comprising subject matter experts packages the Block Upgrades into logical grouping (modules) that support key performance improvement areas defined in terms of time and evolving technologies. The Challenge Team comprising government and industry senior executives provides senior level policy guidance and oversight.
The specific elements or modules of the Block Upgrades are being defined by a Technical Team comprised of subject matter experts from the Joint Planning and Development Office/Federal Aviation Administration (JPDO/FAA), SESAR Joint Undertaking, EUROCONTROL, International Air Transport Association (IATA), International Federation of Air Line Pilots' Associations (IFALPA), International Federation of Air Traffic Controllers' Associations (IFATCA), Civil Air Navigation Services Organisation (CANSO), Airports Council International (ACI), International Business Aviation Council (IBAC), International Council of Aircraft Owner and Pilot Association (IAOPA), RTCA, and the European Organisation for Civil Aviation Equipment (EUROCAE), with additional subject matter expertise and perspectives provided by industry through the International Coordinating Council of Aerospace Industries Associations (ICCAIA) and the NextGen Institute.
ICAO ASBU Executive Briefing

20. ICAO ASBU Executive Briefing
What’s Next?
ASBUs initiative formalized at 12th Air Navigation Conference
In November 2012
As revision to ICAO Global Air Navigation Plan
Global Air Navigation Industry Symposium (Sept 2011):
Allow States and industry partners to gain insight
Provide feedback
Ultimately commit to concept
Initiative will influence ICAO’s future Standards development work programmes
Block Upgrades and associated performance improvements will be realized by implementation actions in regions
The Aviation System Block Upgrades initiative will be formalized at the 12th Air Navigation Conference in November 2012 as a revision to the Global Air Navigation Plan. Also, the Global Air Navigation Industry Symposium in September 2011 will allow States and industry partners to gain insight, provide feedback and ultimately commit to the concept. ICAO’s future work Standards development work programmes will be influenced by this instrument. Block Upgrades and associated performance improvements will be realized by the more bottom-up and pragmatic implementation actions in the regions. It is also an instrument that will influence ICAO’s work program in the coming years, specifically in the area of Standards development.
ICAO ASBU Executive Briefing