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116 APPENDIX E FAA Initiative Summaries OPERATION EVOLUTION PARTNERSHIP NextGen research and development requirements and prioritize new R&D initiatives before they are included in FAA's budget The Operational Evolution Partnership (OEP) is the FAA's plan for planning. implementing the Next Generation Air Transportation System. The program is being developed by the Joint Planning and Development Office (JPDO). The FAA expects to publish its first version in the To Partner with Industry next year. OEP is also FAA's tool for collaborating with the aviation commu- The OEP was created to harmonize existing FAA plans and con- nity on NextGen implementation. Through OEP we are seeking cepts, and provide a real and tangible foundation against which the stakeholder input, evaluating available technologies, defining and FAA and our partners can chart the future. In the past the OEP prioritizing research and development requirements, establishing focused solely on increasing capacity and increasing efficiency at milestones and commitments, and providing status, context, and the 35 OEP airports. In its new form, the OEP broadens its scope to guidance for initiatives related to NextGen. Industry collaboration ensur the implementation of the operational improvements outlined is imperative for ensuring that aircraft are properly equipped for in the NextGen concept of operations. It will include key modern- NextGen. RTCA functions as a federal advisory committee and ization programs that provide enablers for operational change, such serves as industry's voice to the OEP. as ERAM, SWIM, and ADS-B. The expanded OEP will grow to include strategic dates beyond the current OEP's 10-year time frame, detailing the activities the agency must complete to achieve What Will Version 1 Contain? the NextGen vision. OEP Version 1 describes the framework for the implementation plan. The plan is divided into three domains: Who Is Developing OEP Version 1? OEP is a FAA-wide plan. It is validated by the OEP Review Board, Airport Development, focused on capacity enhancements which examines new programs for inclusion in the plan and for and delay reduction for the airport surface. resource prioritization. The OEP Review Board makes recommen- Aircraft and Operator Requirements, focused on develop- dations to the OEP Associates Team, which includes the agency's ing standards for an avionics equipage package that provides top executives and which ultimately oversees the OEP. These the new capabilities required by NextGen. bodies include representatives from many FAA lines of business, Air Traffic Operations, focused on producing transforma- including Airports; Aviation Safety; the Air Traffic Organization; tive air traffic control capabilities. Aviation Policy, Planning, and Environment; Financial Services; Information Services; and the JPDO. The OEP Planning Staff pro- OEP will contain both commitments, which are fully funded im- duces the document, manages internal coordination, and facilitates plementation activities, and strategic initiatives, which are being FAA-industry collaboration. validated for implementation. The first version will show how cur- rently funded programs support the NextGen vision, and is being used to guide FY09 budget formulation. How Will FAA Use the OEP? To Prioritize Resources What Is OEP's Relationship to the JPDO? OEP will provide a single entry point for new NextGen initiatives Because the JPDO is not an implementing or executing agency, the to enter the FAA capital budget portfolio. It will provide an inte- FAA and the other JPDO partner agencies must each develop an im- grated view of the programs, systems, and procedures that are being plementation schedule for their NextGen activities. The FAA is developed across all lines of business and are critical to transform- using the OEP to guide its transformation. JPDO representatives ing the system. It will reveal the interdependencies of these activi- will participate along with the FAA in OEP development and exe- ties, so we'll understand how changes in resource allocation to one cution. program would impact the broader plan. How Does the OEP Relate to Other To Focus Future Development Planning Documents? To support NextGen needs, the FAA Research & Development NextGen Concept of Operations (R&D) program must be flexible, balanced, and dynamic to respond simultaneously to the critical near-term needs of the current system The Concept of Operations is a document that provides a basic op- while providing for future needs. The R&D program is helping the erational description of how the NextGen will function in 2025. The FAA achieve NextGen by identifying challenges, understanding version released for comment in March 2007 describes all segments barriers, and developing solutions across the parameters of safety, of a flight, from the time an aircraft departs until it arrives at its des- environment, air traffic management, human factors, systems inte- tination, as well as operations that take place before and after a gration, and self-separation. Through OEP, the FAA will assess flight, such as flight planning and security screenings. OEP, in turn,

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117 defines the major operational changes the FAA will enact through The ConOps forms a baseline that can be used to initiate a technologies and procedures that will transform today's National dialogue with the aviation stakeholder community to develop the Airspace System (NAS) into the NextGen system. policy agenda and encourage the research needed to achieve our national and global goals for air transportation. FAA Flight Plan The goals for NextGen focus on significantly increasing the safety, security, and capacity of air transportation operations and The Flight Plan is FAA's five-year strategic plan. It focused on a se- thereby improving the overall economic well-being of the country. lect group of high-priority, measurable goals and initiatives for These benefits are achieved through a combination of new proce- achieving increased aviation safety, greater airspace capacity, inter- dures and advances in the technology deployed to manage passen- national leadership, and organizational excellence. Further, each ger, air cargo, general aviation (GA), and air traffic operations. The FAA office links portions of its respective annual business plan to NGATS Vision Briefing (2005) identifies eight key capabilities the Flight Plan. In comparison, the OEP's time frame stretches needed to achieve these goals: through 2025 and includes a broader range of transformation activ- ities related to the first three Flight Plan focus areas. Network-Enabled Information Access Performance-Based Services (now Performance-Based Oper- ations and Services) Enterprise Architectures Weather Assimilated into Decision-Making Layered, Adaptive Security The NAS and NextGen Enterprise Architectures are extremely de- Broad-Area Precision Navigation [now Positioning, Naviga- tailed system engineering plans that define timelines and milestones tion, and Timing (PNT) Services] for key infrastructure programs. They are the backbone of the OEP. Aircraft Trajectory-Based Operations (TBO) OEP describes the operational changes that these infrastructure pro- Equivalent Visual Operations (EVO) (the characteristics of grams, in coordination with new procedures, avionics . . . will ulti- which are described throughout this concept) mately provide. Furthermore, a team of top agency executives met Super-Density Arrival/Departure Operations. regularly to assess the progress of OEP activities, and the planning office conducts frequent outreach meetings with aviation commu- Airports are the nexus of many of the NextGen transformation nity organizations. elements, including air traffic management (ATM), security, and environmental goals. Accordingly, the sustainability and advance- ment of the airport system is critical to the growth of the nation's air transportation system. Airports form a diverse system that serves National Aviation Research Plan many aviation operators and communities with different needs. Air- Research and development is critical to ensuring the FAA meets port operators include a mix of private and local government/public NextGen goals. The annual National Aviation Research Plan entities that are responsible for aligning their activities with (NARP) is an integrated, performance-based plan that describes the NextGen goals. New technology and procedures will improve ac- FAA R&D programs that support both the day-to-day operations of cess to airports, enabling better utilization of existing infrastructure the NAS and the vision for NextGen. The OEP relates R&D activi- and currently underutilized airports. The sustainability of existing ties to the plan's transformative capabilities, to show explicitly how airports will be enhanced with a preservation program to increase research is moving NextGen forward. community support and protect against encroachment of incompat- ible 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, re- NEXTGEN CONCEPT OF OPERATIONS--JOINT gional system planning, and environmental activities to enable a PLANNING AND DEVELOPMENT OFFICE (JPDO) more efficient, flexible, and responsive system that is balanced with NextGen goals. NextGen is a wide ranging transformation of the entire national air transportation system--not just certain pieces of it--to meet future At the heart of the NextGen concept is the information-sharing demands and avoid gridlock in the sky and in the airports. It moves component known as net-centric infrastructure services or net- away from ground-based surveillance and navigation to new and centricity. Its features allow NextGen to adapt to growth in op- more dynamic satellite-based systems. Technologies and activities erations as well as shifts in demand, making NextGen a scalable that support this transformation are currently part of the FAA's system. Net-centricity also provides the foundation for robust, effi- investment portfolio and represent a step beyond our legacy mod- cient, secure, and timely transport of information to and from a ernization programs. These new capabilities and the highly interde- broad community of users and individual subscribers. This results pendent technologies that support them will change the way the in a system that minimizes duplication, achieves integration, and fa- system operates, reduce congestion, and improve the passenger cilitates the concepts of distributed decision making by ensuring experience. This multi-agency initiative is led by the JPDO. that all decision elements have exactly the same information upon which to base a decision, independent of when or where the deci- The Concept of Operations (ConOps), developed by JPDO, is a sion is made. The net-centricity component binds NextGen opera- document that provides a basic operational description of how the tional and enterprise services together, thereby creating a cohesive air transportation system will function in 2025. The version re- link. Enterprise services provide users with a common picture of op- leased for comment in March 2007 describes all segments of a erational information necessary to perform required functions. The flight, from the time an aircraft departs until it arrives at its desti- suite of enterprise services includes shared situational awareness nation, as well as operations that take place before and after a flight, (SSA), security, environment, and safety. such as flight planning and security screenings. OEP, in turn, de- fines the major operational changes FAA will make through tech- SSA services offer a suite of tools and information designed to nologies and procedures that will transform today's NAS into the provide NextGen participants with real-time aeronautical and NextGen system. geospatial information that is communicated and interpreted

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118 between machines without the need for human intervention. A reli- risk. Safety compliance is monitored through network-enabled data able, common weather picture provides data and automatic updates gathering, which collects interaircraft and pilot-to-pilot perfor- to a wide range of users, aiding optimal air transportation decision mance data. making. PNT services reduce dependence on costly ground-based navigation aids (NAVAIDs) by providing users with current lo- This enhanced monitoring of operational characteristics facili- cation and any corrections, such as course, orientation, and speed, tates the integration of "instantaneous" system performance metrics necessary to achieve the desired destination. Real-time air situa- into system management decisions. tional awareness is provided by integrating cooperative and non- cooperative surveillance data from all air vehicles. NextGen is a complex system with many public and private sector stakeholders that must smoothly, promptly, and capably Security services are provided by a risk-informed security sys- integrate with the changes in the global air transportation system. tem that depends on multiple technologies, policies, and procedures National defense, homeland security, ATM, commercial and GA adaptively scaled and arranged to defeat a given threat. operators, and airports work together to support passenger, cargo, recreational, and military flights. Through a net-centric infrastruc- New technologies and procedures aid in passenger screening ture, enterprise services provide users with a common picture of and checkpoint responsibilities. Baggage screening improvements operational information necessary to perform required functions. include integrated chemical, biological, radiological, nuclear, and These integrated capabilities of NextGen will provide the capacity high-yield explosives (CBRNE) detection and sensor fusion required to meet the nation's need for air travel in the most effec- systems in a range of sizes for increased portability and remote tive, efficient, safe, and secure manner possible. screening. Environmental interests are proactively addressed through the FAA FACT 2 STUDY development and implementation of an integrated environmental management system (EMS). Technologies are incorporated before FACT 2 is an assessment of the future capacity of the nation's air- and during operations to enable optimized route selection, landing, ports and metropolitan areas. Its goal is to determine which airports and take-off procedures based on a range of data feeds including and metropolitan areas have the greatest need for additional capac- noise, air emission, fuel burn, cost, and route efficiency. At airports, ity. Traffic in the NAS was modeled using projections of future en- a flexible, systematic approach is developed to identify and manage planements and operations from two different sources: the FAA's environmental resources that are critical to sustainable growth. En- Terminal Area Forecast (TAF) and the Center for Advanced Avia- vironmental considerations continue to be incorporated into aircraft tion Systems Development's experimental model of origin and des- design to proactively address issues including noise reduction and tination traffic. TAF assesses traffic on an airport-by-airport basis aircraft engine emissions. based on the economic and demographic characteristics of the air- port metropolitan area. The following is a summary of some of the Because of the profound impact adverse weather has on trans- important findings. portation, NextGen is focusing on a major new direction in aviation weather information capabilities to help stakeholders at all levels make better decisions during weather situations. For NextGen, Summary weather information has a core function--identify where and when aircraft can or cannot safely fly. These safe and efficient NextGen Many existing airports will need to be expanded to meet future de- operations will be dependent on enhanced aviation weather capa- mand. The metropolitan areas that have traditionally driven aviation bilities based on three major tenets: demand will continue to do so. A common picture of the weather for all air transportation de- Metropolitan areas on both coasts have critical capacity prob- cision makers and aviation system users. lems that are becoming more chronic. In the last 40 years, two new Weather directly integrated into sophisticated decision sup- major commercial service airports have opened in the United States, port capabilities to assist decision makers. DallasFort Worth and Denver International. We may need to add Utilization of Internet-like information dissemination capa- as many as four more in the next 20 or 30 years. Atlanta, Chicago, bilities to realize flexible and cost-efficient access to all nec- Las Vegas, and San Diego are among the likely candidates. essary weather information. In addition to building new runways and airports, we need to ex- Aviation safety is steadily improved to accommodate the antic- pand regional planning in key areas of our country and examine the ipated growth in air traffic while the number of accidents is de- role of congestion management measures in the few locations where creased through an integrated safety management system (SMS). expanding airport capacity is unlikely. Eighteen of our biggest A national safety aviation policy is established that formalizes airports are back to pre-9/11 levels. It is likely that four more-- safety requirements for all NextGen participants. The safety im- Baltimore, Detroit, Newark, and Phoenix--will achieve those lev- provement culture is encouraged by management and utilizes non- els in the next couple of years. reprisal reporting systems. Safety assurance focuses on a holistic view of operators' processes and procedures rather than the indi- FACT 2 examined potential benefits of some emerging concepts vidual pieces of the system. Modeling, simulation data analysis, and of the NextGen air traffic system that might help alleviate congestion data sharing are utilized in prognostic assessments to improve at the busiest 35 airports, and the news was very encouraging. Every safety risk management. single one of them experienced a projected drop in delays. The an- ticipated benefits of NextGen are critically important as efficiency Data from the above services are used to provide real-time sys- enhancements for airports with planned runway improvements and tem-level risk assessments and operational impact reviews to eval- even more so for airports in the NAS where geographic and other uate the performance, system safety, and security of NextGen via constraints prevent physical expansion of the airfield. In addition, the performance management service. Real-time, onboard data are NextGen is critical to handling traffic volume and ensuring smooth, monitored and shared to evaluate and manage individual aircraft high-capacity aircraft flows between airports. It also enhances our

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119 ability to meet our capacity requirements in ways that cause less International Leadership--Aviation safety is a vital na- harm to the environment and less disturbance to our neighbors--so tional export. We will enhance America's leadership role by the expansion of the airspace is beneficial to everyone. sharing our expertise and new technologies with our interna- tional partners. Organizational Excellence--To fulfill our mission, the FAA Planned Improvements must be a world-class organization. This requires greater fis- cal responsibility, stronger leadership, more cooperation, and The FACT 2 analysis includes planned improvements affecting run- performance-based management. way capacity for two future planning periods, 2015 and 2025: New or Extended Runways. FAA NAS Architecture 6 New or Revised ATC Procedures. Airspace Redesign. The National Airspace System Architecture 6 (NAS 6) is an update Other Assumptions (existing environmental restrictions). to NAS Architecture 5. NAS 6 represents a continuation of FAA's multiyear framework to measure progress in modernizing the NAS. NAS 6 incorporates many of the different agency plans and pro- This updated study shows that some airports have higher capacities grams as well as reflects changes in the FAA's budget and FAA Joint than originally presumed and thus less need for additional capacity. Resources Council decisions. Updates in NAS 6 also reflect changes in the Joint FAA/Industry concept of operations, and FAA Adminis- trator goals and strategies that appear in the FAA Flight Plan. Input from Affected Airports Specifically, the NAS Architecture overall represents the pro- A few important issues were raised by a number of the airport spon- posed execution of several key modernization plans: the FAA's sors: Flight Plan; the NAS Operational Evolution Plan, which has been expanded into the NAS Operational Evolution Partnership; the An airport's runways are not necessarily the limiting capacity NAS Capital Investment Plan; and the National Aviation Research factor. Often, taxiways and terminal gates can limit the annual Plan. NAS 6 is a comprehensive, multiyear plan for improving the number of operations more than runway capacity by itself. NAS and ultimately reflecting the plans for the Next Generation Air However, the present analysis did not consider potential lim- Transportation System, or the NextGen, to be fully operational in itations imposed by the taxiway or terminal infrastructure. the year 2025. The JPDO is coordinating the NextGen, and NAS 6 Airspace limitations also impact capacity. The ability of the will be aligned with NextGen planning. airspace around many of the airports to accommodate more arrivals and departures may be limited, especially where NAS 6 includes a series of Operational Improvements, or OIs, to there are several major airports in the same area (Southern assist users and manufacturers in planning their operations and in- California, Northern California, Chicago, New York, vestments. The OIs in NAS 6 will be updated in line with the plans Philadelphia, and Southern Florida). Enroute airspace for development of the NextGen. congestion may also impose departure delays. In other cases, operational flexibility may be affected by nearby military air- space or environmentally sensitive areas. NATIONAL AVIATION RESEARCH PLAN The annual National Aviation Research Plan (NARP) is an inte- Some Findings of the FACT 2 Study grated, performance-based plan that describes the FAA R&D pro- grams that support both the day-to-day operations of the National The FACT 2 analysis found the total number of airports and metro- Airspace System and the vision for NextGen. The OEP links R&D politan areas needing additional capacity beyond what is currently activities to the plan's transformative capabilities, to show explic- planned was lower than reported in FACT 1. The FACT 2 analysis itly how research is moving FAA toward NextGen. also identified a greater number of large hub airports that will need additional capacity beyond what is currently planned. The NARP uses ten R&D milestones to bridge the near-term goals of the Flight Plan with the long-term goals of the NextGen In- New runways typically provide the greatest capacity enhance- tegrated Plan. ment in the airport environment, and more will be needed to man- age delays throughout the NAS. Some communities, however, are 1. Fast, flexible, and efficient--a system that safely and constrained from building runways or implementing other airfield quickly moves anyone and anything, anywhere, anytime on projects to enhance capacity. In such cases, NextGen, which in- schedules that meet customer needs. cludes various technology advancements planned to transform how The approach includes developing and demonstrating we move people and goods, will be required to provide solutions for NextGen according to the FAA responsibilities in the JPDO additional capacity. plan and continuing ongoing efforts related to increasing airport capacity and reducing costs. Validation of the 2015 milestone will include a combination of modeling, analysis, FAA FLIGHT PLAN full-scale testing, and initial standards. The capacity evalu- The Flight Plan is a 5-year strategic plan outlining the FAA's goals ation under the system knowledge goal supports the interim and objectives. The Plan is updated every year and focuses on four assessment of progress and the validation of this milestone. goals: 2. Clean and quiet--a significant reduction of aerospace en- vironmental impact in absolute terms. Increased Safety The approach has four parts: measure current levels in the Greater Capacity system; determine the target levels of noise and emissions;

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120 build models to assess and predict the impact of change; and include modeling, flight simulation, physical demonstra- develop reduction techniques and assess their cost-benefit. tion, prototypes, and initial standards. The results from this Validation of the 2015 milestone will include modeling, goal will contribute to the 2015 milestone to demonstrate a physical demonstrations, prototypes, full-scale tests, and two-thirds reduction in fatalities and significant injuries software beta tests. The environmental evaluation under the under the human protection goal. system knowledge goal supports the interim assessment of 7. Self-separation--no accidents and incidents owing to aero- progress and validation of this milestone. space vehicle operations in the air and on the ground. 3. High quality teams and individuals--the best qualified The approach includes conducting R&D to support the and trained workforce in the world. standards, procedures, training, and policy required to im- The approach includes continued pursuit of efficiency gains plement the NextGen operational improvements leading to in en route and pursuit of new knowledge and results that self-separation. produce efficiency gains in terminal and tower. The baseline This goal does not develop technology, but it works with for all demonstrations will be 2004 traffic levels. Validation the designated technology developer to prepare for the op- of the interim and 2015 milestones rely on simulation and erational use of the technology according to the JPDO prototyping. Validation will involve field trials only to the schedule identified below. Validation of the 2015 milestone extent that resources and funding are available. This goal will include demonstrating that the research and develop- contributes to the integrated demonstration under the ment is sufficient for the initial policy and standards that are human-centered design goal. required to certify technology, procedures, and training 4. Human-centered design--aerospace systems that adapt to, needed to implement the JPDO plan for self-separation compensate for, and augment the performance of the 8. Situational awareness--common, accurate, and real-time human. information on aerospace operations, events, crises, obsta- The approach includes identifying roles and responsibili- cles, and weather. ties, defining human and system performance requirements, The approach includes supporting development of stan- applying error management strategies, and conducting an dards and procedures for weather-in-the-cockpit to provide integrated demonstration across multiple goal areas. Vali- the flight crew awareness of weather conditions and fore- dation of the 2015 milestone will include simulations and casts; demonstrating wake turbulence technologies to sup- demonstrations to confirm the requirements and methodolo- port self-separation; and improving situational awareness at gies for human performance and error management. The airports. Validation of the 2015 milestone will include pilot- final demonstration will integrate weather-in-the-cockpit in-the-loop simulations, modeling, tests, physical demon- technologies, self-separation procedures, air traffic con- strations, and initial standards and procedures. troller productivity tools, and network-enabled collabora- 9. System knowledge--a thorough understanding of how the tive decision making to increase capacity, reduce delays, aerospace system operates, the impact of change on system and promote safety. performance and risk, and how the system impacts the 5. Human protection--no fatalities, injuries, or adverse nation. health impacts owing to aerospace operations. The approach includes developing the information analy- The approach includes preventing injuries during regular sis and sharing system to support the FAA and NextGen operations and protecting people in the event of a crash. safety initiatives; generating guidelines to help stakeholders Validation of the supporting milestones will include demon- develop their own safety management systems; and model- strations, modeling, simulations, full-scale testing, and ini- ing activities to help measure progress toward achieving tial standards. Validation of the 2015 milestone will include safety, capacity, and environmental goals. Validation of the analysis of U.S. accident data. In 2010, progress will be 2015 milestone will include analysis, modeling, prototypes, measured based on accident data from 2003 to 2008; in and demonstrations. The evaluation efforts under this goal 2012 based on data from 2003 to 2010; and in 2015 based support the interim assessment of progress and validation of on data from 2003 to 2012. Results from the safe aerospace the 2015 milestones under the human protection, clean and vehicle goal will contribute to the interim and final mea- quiet, and fast, flexible, and efficient goals. surements of the reduction. The safety evaluation under the 10. World leadership--a globally recognized leader in aero- system knowledge goal will support the interim assessment space technology, systems, and operations. of progress and validation of the 2015 milestone. The 2015 The approach includes managing research collaborations demonstration will show that the R&D is complete, and it is to increase value and leveraging research under the existing possible to meet the targeted operational improvement by R&D program to increase value. This goal applies to the 2025. R&D program only. Validation of the 2015 milestone will 6. Safe aerospace vehicles--no accidents and incidents owing include developing agreements and conducting analysis. to aerospace vehicle design, structure, and subsystems. The research results listed under activity 2 are generated by The approach includes preventing accidents resulting the other nine goals in this plan. The purpose of this goal is from engine failures, structural failures, and system failures; to help plan the use of these products in international part- developing a fireproof cabin; integrating unmanned aircraft nering activities to produce the highest value. The method into the system; and addressing safety problems specific to of validation for the individual research results is provided general aviation. Validation of the 2015 milestone will under the respective goal for each result.