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HALA!

SESAR Research Network

Summer School

TITLE
Slots and flow management (Slot allocation & operational planning: airport and en-route slots, CFMU) Rosa Arnaldo, UPM
COURSE 102: RESEARCH IN DECISION SUPPORT SYSTEMS FOR FUTURE AIR TRAFFIC MANAGEMENT

La Granja

9th -12th July, 2012

www.hala-sesar.net

Introduction

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Summer School

Imbalance between air transport demand and airport facilities/infrastructure availability and airspace systems to meet demand.

Results in congestion
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Introduction

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Two main process Airports

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Summer School

Airspace

Two main processes for maximizing use of available capacity

Airport slots allocation


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ATFM slots allocation


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Two main process

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Summer School

Airport slots allocation

The FPL management link these two main processes

ATFM Slots allocation

Allocated airport slots


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EOBTs

ETOTs

ATFM slots (CTOTs)


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Airport Slots - The Building Blocks of Air Travel

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Airport Slots The Building Blocks of Air Travel Flow Management Demand and Capacity Balance Connecting Airport slots and ATFM slots
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Airport Slots - The Building Blocks of Air Travel

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Summer School

Airport Slots The Building Blocks of Air Travel

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Airport Slots - The Building Blocks of Air Travel

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Summer School

What is an Air Traffic Slot?


Permission given by a coordinator to land at or to take off from a coordinated airport on a specific date and time. The allocation of an airport slot in no way represents the right to ownership of that slot by the company to which the authorization has been granted.

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Airport Slots - The Building Blocks of Air Travel

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Summer School

What is a Coordinated Airport?


Level 1: Non coordinated Airport
Airline Handling Agent Airport

Demand <<<< Capacity


Simple discussions between airline, handling agent and airport

Level 2: Schedules Facilitated Airport


Airline
Schedules Facilitator

Demand = Capacity
Schedules submitted to facilitator who seeks cooperation and voluntary schedule changes to avoid congestion. No slots are actually allocated . No historical precedence.

Airport

Level 3: Coordinate Airport


Airline
Coordinator

Demand >>>>>> Capacity


Airlines must have been allocated a slot before operating Allocation of slots by coordinator Historic rights exist and slot exchange occurs
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Airport

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Airport Slots - The Building Blocks of Air Travel

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Summer School

How many coordinated airports are there in Europe nowadays?

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Airport Slots - The Building Blocks of Air Travel

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Summer School

What is Slot Allocation?


A planning instrument to help balance supply and demand at a coordinated airport and to maximize the use of scarce capacity.

How often are Slots Allocated?


From the last Sunday of October to the Saturday before last Sunday in March From the last Sunday in March to Saturday before last Sunday in October

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Airport Slots - The Building Blocks of Air Travel

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What is a series of slots?


At least five slots having been requested and allocated - for the same time on the same day of the week regularly in the same scheduling period.

What is a new entrance?


An air carrier , with low presence at an airport, fewer than five slots at that airport on a particular day. An air carrier holding more than 5 % of the total slots available on the day in question at a particular airport shall not be considered as a new entrant at that airport;
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Airport Slots - The Building Blocks of Air Travel

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Who is the Coordinator?


The sole person responsible for the allocation of slots Request: Nominated by the State. (a)historical slots by airline, Acts according to (b)requested slots (initial Regulation. submissions), Neutral, non(c)all allocated slots, and discriminatory and outstanding slot requests, transparent. (d)remaining available slots, Monitor the conformity of (e)full details on the criteria air carriers' operations being used in the with the slots. allocation.
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Examples of coordinators in Europe


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Belgium- Brussels Airport: Sabena Finland: Finnair. France. New Society formed by French airlines : COHOR. Germany. A natural person that reports to DGAC. Greece: Olympic Airways. Italy. Until 1996, it was Alitalia. In November 1996, after protests from airlines, the DGAC temporarily took the responsibility until the creation of an independent company. Denmark. New company of the Danish airport and airlines: Airport Coordination Denmark. Sweden. New company of the Swedish airport and airlines: Airport Coordination Sweden. Norway. New company made by the Norwegian airport and airlines: Airport Coordination Norway. UK. An independent company, ACL, owned by nine British airlines. They have contractual relationships with airports.
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Airport Slots - The Building Blocks of Air Travel

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An what about the Coordination Committee?


To advise the coordinator and/or the Member State on: the possibilities for increasing the capacity of the airport or for improving its usage; the coordination parameters the methods of monitoring the use of allocated slots; local guidelines improvements to traffic conditions serious problems encountered by new entrants all questions relating to the capacity of the airport; To mediate between all parties concerned on complaints on the allocation of slots.
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Airport Slots - The Building Blocks of Air Travel

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An the coordinating parameters? Twice yearly Objective analysis . Maximum number of departures and landings . At coordinated airports there are shortfalls as regards these capacities so the timeframes have to be allocated by an airport coordinator.
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How the process works

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Airports outside the EU: Airline self-regulation using guidelines drawn up


by IATAs Worldwide Slot Guidelines .

Airports regulated by the EU:


Slot Allocation Regulation. Regulation 95/93/EEC amended by Regulation 894/2002/EC and 793/2004/EC
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How the process works: Airline self-regulation

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Two stages
overall and worldwide schedule co-ordination at twice-yearly IATA meetings; and local co-ordination at individual airports usually through their own scheduling committees.
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How the process works

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Guiding rules
1 grandfather rights 2 use it or lose it

3 slot pool

New entrant and regular services priority


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How the process works

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Grandfather rights or 80/20 rule


An air carrier having operated a series of slots for at least 80 % during the summer/winter scheduling period is entitled to the same slots in the equivalent scheduling period of the following year

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How the process works

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Summer School

Grandfather rights or 80/20 rule

SC: Slot Canceled SNC: Slot not granted SCO: Slot granted and correctly operated SCD : Slot granted at different time SCN: Slot granted but not operated

First step : determination of the historic series

A=SCO/(SCO+SCD+SCN+SC) A= 19/(19+2+1+1)=0,82

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How the process works

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Summer School

Grandfather rights or 80/20 rule

Second step : determination of the time and period of the historic series A=SCO/(possible operations within the period)
10:10 - B=10 / 26 10:20 - B=4 / 8 10:20-- B=4 / 5
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(April 3 - Sept 25) < 80% (Jun 12 - Jul 31) < 80% (Jun 12 Jul 10) = 80%
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How the process works

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Use it or lose it rule


Example clase

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How the process works

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Priorities in slot allocation: the Slot pool


1
2

Historic Slots
Remaining capacity and any new capacity for the season

Changes to Historic Slots for operational reasons


SLOT POOL

50%

50%

New entrants

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Changes to Historic Slots for nonoperational reasons Regular services, commercial flights Most frequently, longer duration, more days of the week 24 All other request

How the process works Is it possible to interchange slots?


Slots Swapping

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Slots can be freely exchanged between airlines as long as the slots exchanged are going to be used Only authorized: between the main company and subsidiaries between subsidiaries of the same main company, as part of the capital acquisition of an airline, in the case of total or partial acquisition, when the slots are directly related to the airline acquired.

Transfer of Slots

Trade with Slots


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NOT allowed YET Except UK, US, .


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How the process works What is the process?


80/20 Rule Start Date (31 January)

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SUMMER SEASON

Calculation of historic rights

Deadline of Slot Handback (15 January)

Start of the season

End of the season

SEP

OCT

NOV

DEC

JAN

FEB

MART

SEP

OCT

Initial Corodination Post Conference Coordination

Request Coodination 14/07/2012

IATA Conference 26

The four cornerstones of the Worldwide Slots Allocation System

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The 4 cornerstones of our worldwide system


No airline wants a slot management system, but the Certainty of access Transparency of allocation rules governing access to slots must be the same at Flexibility to meet Sustainability and both ends of a route changing market needs predictability of costs

Slot allocation rules are observed worldwide


Airport May Airport A try to impose its unique rules onB Europe nonwithin Europe outside Europe European airlines?
Departure Slot slot pair Arrival Slot
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Arrival Slot slot pair Departure Slot


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Europeen airports key facts and figures


Almost 800 million passengers used EU airports in 2010.

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Aviation is one of Europe's most competitive sectors. Europe as "hub" for the world. Over the next five years, air transport growth will be driven mainly by regions like Asia Pacific, the Middle East and Latin America. Two major challenges facing European airports: capacity and quality. Capacity crunch. Airport capacity must be optimised. Today 5 major European airport hubs are at saturation . By 2030, on current trends 19 key European airports will be at saturation. Quality and efficiency of services at airports must be improved. 70% of all delays to flights are already caused by problems due to the turn around of aircrafts at airports .

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Problems arising from the existing system of allocation


Relation between preliminarily requested and finally operated slots.
Financial accoutrements and independency of the coordinator. Monitoring the use of allocated slots.

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Few carries holds a very large amount of available slots: babysitting. No incentive for efficient use od slots. Slots close to peak times used within peak times. Lack of timeframe protects established carriers against effective competition.
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What are the problems?


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Is the current system of slot allocation inefficient? Is the "grandfather clause" sufficiently performant? How to avoid capacity to remain unused? May be a solution allow market incentive for airlines to sell on under used slots to other airlines who could make better use of the capacity? Does the system hinders competition and passenger choice? Is the System resistant to air traffic increase? Can carriers enter the market at congested airports? Does airlines will do everything necessary to keep their slots from one season to the next? Are pool slots often only available for flight timings which are less attractive (e.g. mid afternoon, late evening, when fewer people wish to fly)?
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Slot Allocation Regulation: proposed reform, 2011

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Allocation system in place prevents optimal use of the scarce capacity at busy airports . EC Better Airports Package December 2011 : Introducing the possibility of secondary trade in slots and increased competition Strengthening the transparency of the slot allocation process and the independence of slot coordinators Integrating slot allocation with the reform of the European air traffic management system (SES) Amending the '80-20' rule on grandfather rights
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Airport Slots - The Building Blocks of Air Travel

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Summer School

Airport Slots The Building Blocks of Air Travel

Drawbacks

Possible improvements

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Flow management

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Flow Management The balance between Demand and Capacity

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Why Flow Management

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What does DEMAND stand for?


In economics, demand is the desire to own anything, the ability to pay for it, and the willingness to pay. In air transport, air traffic demand stand for.the mumber of aircraft
intending to use the Air Navigation System

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Why Flow Management

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What does CAPACITY stand for ?


The number of flights for a time period that can be managed by an ANSP, normally varying according to: The complexity of the flights to be managed. Staffing numbers and their experience (e.g, number of trainees under supervision). Status of equipment.

different meanings:
Declared capacity : before taking the above factors into account. Co-ordinated Capacity: after taking the above factors into account.
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Why Flow Management

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What is Traffic Flow ?


Number of flights moving through and Airspace in a common direction

Is there any Limit for traffic flows?


The limit is based on :

DEMAND and CAPACITY


What happens if DEMAND exceed CAPACITY?
then , either the DEMAND or the CAPACITY requires adjustment.
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Why Flow Management

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Summer School

What is Air Traffic Flow Management ?


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

Air Traffic Flow Management Objectives


Safety Fluency Better use of capacity Equity Information

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Why Flow Management

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What is EOBT (Estimated Off Block Time)/coordinated SLOT ?


Time programmed to perform an operation within a period of time determined at an airport.

What is and ATFM SLOT or CTOT (Calculated Take Off time) ?


Take-off Time assigned by the Flow Control Service.

What is a ATFM Delay ?


Difference in time between the scheduled and actual take of time of a flight.

What is a ATFM Regulation ?


ATFM Measure issued by the Flow Control service provider in order to protect the established parameters of capacity in the airspace and airports.
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Why Flow Management

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Summer School

What is Air Traffic Flow Management ?


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

Demand requiring ATFM measures

Regulated Demand

Actual Demand

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Why Flow Management What is Air Traffic Flow & Capacity Management ?

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A concept which extends the role of ATFM to the optimization of traffic patterns and capacity management. Through managing the balance of capacity and demand, the aim of ATFCM is to enable flight punctuality and efficiency according to the available resources with the emphasis on optimizing the network capacity through the collaborative decision making process

Air Traffic Flow & Capacity Management Objectives


Safety Fluency Better use of capacity Equity Information
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The Essence of ATFCM

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The Challenge
Enabling flight punctuality and efficiency according to the available resources

The Answer
Improving Traffic Flow & Capacity Management

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The Essence of ATFCM

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Planning and optimisation of the required capacity. Overcome as far as possible the slot allocations. Minimise the impact on Aircraft Operators. Inclusive and transparent collaborative decision making process Implementation of local solutions based on a global ATM awareness. Anticipation of any events according to new information
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CFMU systems

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CFMU Areas of Operation


ATFCM Area
States receiving full ATFCM service from CFMU

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ATFCM Adjacent Area


FIRs directly adjacent to the CFMU area: ATFCM regulations at the entry fixes/pints on their boundary or at an airport(s) and only for traffic departing within the ATFCM Area.

Flight Plans and Messages (FPM) Distribution Areas- IFPS zone


The area in which CFMU is responsible for the distribution of Flight Plans and associated messages to the ATC world.
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How are different flights affected?

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All IFR GAT flights intending to operate within the CFMU areas of operation must file a flight plan (inform CFMU ). The flight plan is used when comparing demand and capacity.
Flight Departing from within the ATFCM area of the CFMU to anywhere Departing from an FIR immediately adjacent of the ATFCM area of the CFMU, and entering the ATFCM area Departing from an FIR immediately adjacent of the ATFCM area of the CFMU NOT entering the ATFCM area Departing from outside the ATFCM area of the CFMU and outside FIRs immediately adjacent , to anywhere
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Subject to ATFCM measures May be subject to ATFCM measures May be subject to ATFCM measures Not subject to ATFCM measures Not subject to ATFCM measures

Calculated Take Odd Time (CTOT) If affected by Regulation If affected by Regulation Not issued

Not issued

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How are different flights affected?


Departing from within the ATFCM area of the CFMU to anywhere Departing from an FIR immediately adjacent of the ATFCM area of the CFMU, and entering the ATFCM area Departing from an FIR immediately adjacent of the ATFCM area of the CFMU NOT entering the ATFCM area
Departing from outside the ATFCM area of the CFMU and outside FIRs immediately adjacent , to anywhere
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EDDF EDDM LFPG CTOT LIMC

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RJAA

NO CTOT

CTOT DTTA NO CTOT OEJN

DTTA

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The process of filling a flight plan through to the issuing of a CTOT


Flight plan filled and processed

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Summer School

1 2

Capacity / demand is compared and resolved

2.a

Match capacity to demand (with FMP).

2.b

Match demand to capacity without Regulation ( with FMPO and/or AO).

YES
Adjust Sector Configuration ?

YES
Level capping?

NO
YES
Coordinate a temporary increase of capacity?

NO YES NO
Re-routeing of traffic flows or individual flights?

3
CFMU informs Customers of ATFCM measures and CTOT

NO

4 END
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END

CFMU monitors and refines ATFCM measures/CTOT

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Flight plan filled and processed

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Summer School

AOs
Flight Plan

CFMU
Flight Data Operations Flight Data Operations

Syntax, Routing Checked in IFPS


Yes

ACK Message
ATC Units involved
Flight Plan

OK?

No Manual Change
Flow Management Operations
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ACK Message
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Match capacity to demand

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Summer School

CFMU
Flight Data Operations
Demand

FMPs Capacities Sector configurations

Flow Management Operations


Demand >capacity?

Yes

Match Capacity to demand?

NO
Match Capacity to demand?

AOs

NO
Match demand by Regulation 14/07/2012 49

Match demand to capacity by use of Regulation

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Summer School

CFMU
Flight Data Operations Flow Management Operations Yes

AOs & ATC Units


(ATFCM Maeassures)

Regulation Required?

Yes
CTOSs Required?

(CTOTs) Yes

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Issue a CTOT

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CFMU
Flight Data Operations
Demand

AOs & ATC Units

Flow Management Operations


Monitor situation
ATFCM measures Modified or cancelled? New ATFCM measures required?

AOs & ATC Units


ANM update

Yes

Yes

Yes Yes
New/changed /cancelled CTOT?

Yes
ATFCM messages) 51

SLC
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Operational structure

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CFMU
Updated flight data

Flight Data
Flight plans

IFPS

AOs

Flight plans

Env. data

RPL
Flight Plat

ENV
Env. data

/
AROs
Updated flight data

Updated sector config & capacities

ATC

Real time flight data

Flow Management
CTOTs % Updates

ANMs & Updates

ETFMS (CASA)

ANMTs % Updates

capacities

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ATFCM Phases
ATFCM consists of 4 phases:

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Phase
Strategic Flow Management Pre-Tactical Flow Management

Time horizon
More than 7 days before the day of the operation During the six days prior to the day of operation Applied on the day of the operation

Output
Network Operations Plan (NOP)

ATFCM Daily Plan (ADP) published via ATFCM Notification Message (ANM) / Network News and via the NOP portal. Updates the daily plan according to the actual traffic, capacity and monitoring values CTOT

Tactical Flow Management

Post Operational Analysis


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Applied following the day of operation.


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Strategic Flow Management


Traffic Forecasts & Special Events
Planned ATS Route Network Identified Bottlenecks

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ATC Capacities

Research , planning and coordination

Route Availability Document RAD

Possible AIP amendments Routing & Level Capping Scenarios Pre-tactical phase
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Pre- Tactical Flow Management


From 6 days to 2 days before the day of operation

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Routing & Level capping scenarios (from strategic phase)

FMPs AOS Flow Management Previous experiences

FMPs Ad hoc special events Data from Reference Day

Assess previous experience & measures taken for a Reference Day

WHAT LESSONS HAVE BEEN LEARNT?


Teleconferences with AOs and ANSPs for certain problematic hours

Identified Critical Areas


Identified likely capacities & optimum Sector Configurations

Identified agreed Routing scenarios

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Pre- Tactical Flow Management


During the 2 days prior to the day of operation

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FMPs Lessons learnt Predicted sector configurations & Agreed routing scenarios & capacities for day of operation (previous phase)

RAD Route changes for D-day

Formulate pre-tactical plan for day of flight Compare demand (reference day) with available capacity and sector configuration Assess network effects
Refine plan Coordinate with FMPs

Regulations ATFCM Notification Messages (ANMs)


Regulations ETFMS (day of operation)

Information on significant events, including mandatory / advisory routings (network news)


ATFCM Informmation Messages (AIM)

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Tactical Flow Management


During the day of operation

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Summer School FMPs ATC

Flight data ATFCM measures From Pre tactical Plan


Flight Plans & updates

AOs
ATFCM messages

Monitor & refine measures further

Updated sector configurations & capacities Updated real time flight data (DEP message, FSA & CPR)

Monitor traffic load vs available capacity + Assess network effects of implemented measures
Calculates Take Off Timeas CTOT ATFCM Messages
CASA Slot Allocation Refine plan Coordinate with FMPs

CTOT Updates

Suggested rerouting and level capping

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Improvements deteriorations or cancelations)

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The slot allocation process


FLIGHT PLAN

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Affected by Regulation?

FPL- AFR3436-IS-E135/M-SRYW/sLFML1635-M976F310 MTL UN854 ETREK UN 871 KUDES T163 PSAEDDF0125)

YES Identify the most penalizing regulation

Pre allocate slot based on this regulation

Estimated Off Block Time ( EOBT) = 16:35 Aerodrome Taxitime = 10 Minutes Estimated Take off Time (ETOT) = EOBT + taxitime =16:45

Improve or change requested


YES

ISSU CTOT

CTOT= EOBT+ taxi time + delay

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CTOTs and updates

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The slot allocation process


FLIGHT PLAN

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Affected by Regulation?

Estimated Off Block Time ( EOBT) = 1635 Aerodrome Taxitime = 10 Minutes Estimated Take off Time (ETOT) = EOBT + taxitime =1645
4 3 2 1 Initial flight profile 5 6 7

YES Identify the most penalizing regulation


ETOT 16:45

ETOT 16:54

ETOT 17:07

ETOT 17:18

ETOT 17:30

ETOT 17:41

ETOT 17:52

Pre allocate slot based on this regulation

SECTOR 1 2 3 4 5 6 7

CAPACITY 40 25 35 40 30 35 40

DEMAND 35 25 30 55 28 33 50

Improve or change requested


YES

ISSU CTOT

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CTOTs and updates

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The slot allocation process


FLIGHT PLAN

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Affected by Regulation?

Estimated Off Block Time ( EOBT) = 1635 Aerodrome Taxitime = 10 Minutes Estimated Take off Time (ETOT) = EOBT + taxitime =1645
4 3 2 1 Initial flight profile 5 6 7

YES Identify the most penalizing regulation


ETOT 16:45

ETOT 16:54

ETOT 17:07

ETOT 17:18

ETOT 17:30

ETOT 17:41

ETOT 17:52

Pre allocate slot based on this regulation

The system looks at the Slot List for sectors 4 and 7 CTOT= EOBT+ taxi i.e. 40/hr. slot are Slot List based on capacity time + delay every 1.5 mins

Improve or change requested


YES

ISSU CTOT

Sector 4 (X= Slots taken)

X X
17:18 17:21

X
17:24 17:27 17:30 17:33

ETO

Sector 7 (most penalising) CTOTs and updates

X X
17:51 17:54

X
17:57 18:00

ETO

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The slot allocation process


FLIGHT PLAN

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Summer School

Affected by Regulation?

Estimated Off Block Time ( EOBT) = 1635 Aerodrome Taxitime = 10 Minutes Estimated Take off Time (ETOT) = EOBT + taxitime =1645
4 3 2 1 Initial flight profile 5 6 7

YES Identify the most penalizing regulation


ATO 16:45

ATO 16:54

ATO 17:07

ATO 17:18

ATO 17:30

ATO 17:41

ATO 17:52

Pre allocate slot based on this regulation

Actual times
Improve or change requested
YES ISSU CTOT

Calculated to arrive based on previous ATOS

Current Tactical Flight Model ( FTFM) [-5, +10] minutes CTOT Tolerance

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CTOTs and updates

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Performance Assessment

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Punctuality

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causes of departure delays


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Performance Assessment

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ATFM slot adherence measures the share of take-offs outside the ATFM slot tolerance window (-5min +10 min). Share of regulated hours with over deliveries in Europe. ATFM regulations avoidable as there was no excess of demand.

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Possible elements for the future of ATFCM

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1. Explicit representation of uncertainty and mitigate impact via contingency plans


Today, uncertainty is processed informally Planning tends to be single scenario or wait and see

2. Flexible Plans and dynamic adjustments


Robust w.r.t. uncertainties

3. Collaborative TFM and distributed decision making


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Elements for the future of ATFCM

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4. Trajectory based operations


Take airport to airport user intentions into account

5. Coordination with capacity management (dynamic airspace configuration)


Second half of the demand capacity balancing equation

6. Performance based operations and services


Provision for non uniform services

7. Economic controls
Market based mechanisms for demand control pre-day of operations
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Airport Slots - The Building Blocks of Air Travel

HALA! SESAR Research Network

Summer School

Flow Management Balance between Demand and Capacity

Drawbacks

Possible improvements

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Flow management

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Summer School

Connecting Airport slots and CFMU slots

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Operational planning time phasing


Airport Slots
Airport coordinator considers airlines request and other elements to allocate available airport slots several days)

HALA! SESAR Research Network

Summer School ATFM Slots

FPL
Airlines prepare initial FPLs and send RPL

Strategic phase (18/6 months several days)

Airport coordinator introduces airlines modification to airport slots

CFMU compares expected air traffic with ATC capacity to prepare season

Airlines introduce modifications to FPLs

Pre tactical phase ( several days)

Airport coordinator introduces final modifications to airport slots

Airlines introduce modification to FPLs

The ATFM notification messages prepared

Tactical / Operational phase ( day of operation Post Operational phase ( after day 14/07/2012 of operation

Airlines prepare final FPLs taking into account Real Time events

CFMU allocates ATFM slots and monitors air traffic

Actual Flight Plan

Airport coordinator analyses actual use of airport slots to prepare following season

AFTM analyses imbalance and delays to prepare the following pre-tactical and strategic phase

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