UNIT- 5

Airspace Management: Navigation system – Air Traffic Control Facilities – ATC

Tower – Phases of Flight – Infrastructure safety – Airport and Airspace Congestion
Issues – Air Transport Slot Trading. Privatization of Indian Civil Aviation Industry
– Airport Privatizations – Objectives – Causes and Models.

Air Space Management

The national airspace system (NAS) is a complex network of air navigation facilities
air traffic control facilities, airport, technology, and appropriate rules and regulations.
ATC uses highly technical, obscure procedures to direct aircraft. He we detail only areas
of the NAS that impact operations in the immediate vicinity of MSP (up to and including
3000 feet of altitude). National Airspace System (NAS) is to protect persons and property
on the ground, and to establish a safe and efficient airspace environment for civil,
commercial, and military aviation. The NAS is made up of network of air navigation
facilities, air traffic control facilities, airports, technology, and appropriate rules and
regulations that are needed to operate the system. The various components of the NAS, is
described below with various components that relate to ensure safe and efficient air travel.

Airspace

Aircraft flying in the airspace are subject to varying degrees of control depending on
their operating rules, airspace type, and metrological conditions. The types of airspace,
which aircraft operate, is divided into many different blocks of airspace segregated by
geography, altitudes, and location. The control of aircraft operating in the airspace is
exercised from a network of air traffic (ATC) facilities. The ATC system operates within a
framework of laws and regulations to provide for the safe operation of aircraft. Accuracy
of communication and air navigation is required to maintain the air traffic control system
and use of federal airways and routes. Airspace is broadly classified as either controlled or
uncontrolled. Controlled airspace is intended to ensure separation of IFR and VFR. It is
supported by ground-to-air communications, navigation aids, and air traffic services.
Aircraft operating within controlled airspace are subject to varying requirements for
positive air traffic control.
 Navigation System

Air traffic control (ATC) is in contact with the navigational service available in the
aircraft in all phases of flight-departure, en route, and arrival. Several navigation system
are available, all comprising ground-based transmission facilities and receiving
instruments on aircraft. Navigation aids (NAVAIDS) often provide navigation to a broad
area of airspace. A non-directional beacon (NDB) is a general purpose, low-frequency
radio beacon that transmits a non-directional signal. An aircraft equipped with directional
finding equipment can determine a bearing to or from the radio beacon, and use this to
navigate.

TRACONs can be located at an ATCT or in close proximity to the airport.

TRACON’s use radar to guide aircraft, and therefore they do not have to be located at an
airport facility. Like ARTCCs, a TRACON’s airspace may also be divided in to a number
of different sectors to make the workloads of air traffic controllers manageable.

Airport Traffic Control Tower(ATCT)

Traffic at busy airports is controlled by an ATCT. ATCTs are located at the airport
and provide local air traffic control, usually within five nautical miles of the airport. Air
Traffic Controllers in towers primarily use sight to track and control aircraft. Large
commercial airports typically have several runways that can be used simultaneously. As a
result, these airports operate in a safe, systematic departure and arrival configurations (or
flow) that is based on the prevailing winds and the physical layout of the runways. If
airports are in close proximity to each other, operations at the airports must be able to
smoothly interact. This requires extensive planning and coordination between the air
traffic control facilities, including ATCTs, TRACONs and ARTCCs that operate within
an area.
 Phases Of Flight

All of the components of the National Airspace System, including airports,

navigational aids, ATC, and aircraft must be able to interact so that aircraft can safety and
efficiently travel from one place to another. We have, thus far, discussed the various
components of the NAS, but will now detail how these systems interact. An aircraft
traveling from one place to another goes through three phases of flight: departure
(takeoff), en route (cruise), and arrival (landing); during each of these phases , different
components of the NAS are used. Noise abatement procedures are also used at some
airports and are integrated with the ATC system and rotes assigned to aircraft.

Arrival Phase

When the aircraft comes within a couple of hundred miles of its destination the
ARTCC will direct it to begin a descent to a specified lower altitude. The aircraft may be
routed using a standard terminal arrival route (STAR). A STAR is very similar to a DP ; it
contains a group of procedures, including routes and fixes, to be used by the aircraft as it
approaches the airport. Like a DP, a STAR is intended to simplify clearance delivery
procedures. The ARTCC will direct the aircraft along a route (and to an arrival gate) used
to funnel traffic in to a specific airport when using a given north, south, east, or west flow.
The controllers at the ARTCC merge aircraft along these routes, and provide sequencing
and adequate separation from other air traffic. They will then transfer control of the
aircraft to the appropriate TRACON at the arrival gate. This transfer is usually completed
within approximately 20 nautical miles of the destination airport. After the TRACON
controllers establish communication with the aircraft, they provide approach control
services by instructing the pilot to fly along specific routes, using fixes NAVAIDS, and
vectors. During IMC conditions, the TRACON will also direct the aircraft to an
instrument approach for landing at the destination airport. The TRACON will often route
the aircraft to the airport using a local traffic pattern. The pattern is used by aircraft
operating to and from an airport, to ensure that all aircraft use similar procedures and
follow similar routes to and from the runways. If at all possible, aircraft should land and
takeoff in to the prevailing wind. This reduces takeoff and landing distance, and also helps
to create an orderly traffic flow. The terminology used to describe the different legs of the
traffic pattern is based up on the leg position relative to the direction of the prevailing
wind and the runway. An aircraft taking off is flying in to the wind, and hence the leg is
known as the “up wind” leg an craft that is flying perpendicular to the wind, on the
departure side of the runway, is on the “cross wind” leg of the pattern. An aircraft flying
parallel towards the arrival end of the runway is on the “downwind” leg. The “base” leg is
also perpendicular to the prevailing wind, and is intended as a “base” as the aircraft begins
it approach for landing on the runway. The last leg, when the aircraft is aligned with the
runway for landing is known as “final”. For jet airline traffic, the traffic pattern is usually
fairly “wide”, meaning it is flown several miles aways from the airport. During IMC
conditions, the pattern flown may be very wide, and pattern legs are used mainly to
describe the aircraft relative position to the airport. The TRACON hands the aircraft off to
the airport’s ATCT when it is within approximately five to 10 nautical miles of the
airport or when the ATCT has visual contact with the aircraft. The ATCT gives the
aircraft final clearance to land, and the aircraft safely completes its flight using the various
components of the NAS.

Departure Phase

An aircraft operating on an IFR flight plan will receive an ATC clearance, specifying
the air routes and initial altitudes that are to be used on the flight. The clearance may come
in the form of a departure procedure (DP). A DP is a standardized ATC, departure
procedure, containing a group of procedures that would otherwise be transmitted piece by
piece, used at certain airports to simplify clearance delivery procedures. As discussed
earlier, many busy airport have a systematic and coordinated arrival and departure flow.
As a result, many aircraft may receive the same clearance to depart from the airport and
transition to the en route portion of their flight; a DP permits the controller to relay this
clearance simply and quickly without having to repeat the information for every flight.
The ATCT will transmit this clearance to the pilot; and will also give clearance for the
aircraft to taxi to the runway. The ATCT will also give clearance for the aircraft to
takeoff. Shortly after takeoff the aircraft is handed off to the TRACON. The TRACON
acquires the aircraft on radar, and the pilot switches radio frequency. The TRACON
controller will vector the aircraft to follow a specific course on to avoid other air traffic,
and will give it instructions to climb to certain altitudes. The TRACON directs the aircraft
to a specific departure gate, which is a designated area of air space where the aircraft is
handed off to the ARTCC.

En Route Phase

By definition, the en route system of ATC is that part of the system devoted to
controlling IFR aircraft between the terminal area of origination and the terminal area of
destination. For the study, the term “en route system” includes all routes procedures 3000
feet and higher. This definition is consistent with the definition of airport traffic areas and
environmental review procedures. The “roof” of the airport traffic area is 3000 feet above
ground level (AGL). FAA order 1050. ID establishes 3000 feet AGL as the altitude above
which changes in en route procedures, airport approach procedures and airport departure
procedures are normally categorically excluded from the requirement for an
environmental assessment (EA) or environmental impact statement (EIS)
The pilot of the aircraft will initially contact the ARTCC by switching to another
discrete radio frequency and the ARTCC will detect the aircraft on its large range.
ARTCC will vector and direct the aircraft so that it is adequately separated from other air
traffic, and will direct the aircraft along its assigned route. The route will consist of a
combination of VORs, airways, fixes, and radar vectors. The ARTCC will also direct the
aircraft to climb to its cruise altitude. The aircraft will be handed off to different sectors
and ARTCCs as it traverses along the route towards its destination.

Infrastructure safety

Air Traffic Control Safety

The air transport industry operates in a broad safety environment, which encompasses
Air Navigation Service Providers (ANSPs). Airline members interact with over 188
ANSPs in the course of their operations. Sharing of safety information between ANSPs
regulators, and operators is Key to reducing incidents such as runway incursions, level
busts, communication misunderstandings and clearance errors.

Pilot/Controllers Collaboration

Pilots and air traffic controllers perform complex tasks, often under heavy workloads,
and their responsibilities constantly overlap. Accident and incident analysis show the
complex interrelationship between casual factors attributed to air traffic services and
flight operations. Accident prevention can only benefits from effective direct interaction
and communication between pilots and ATC outside the cockpit, radar room and control
tower. In June 2003 the Global Aviation Information Network (GAIN) published a report
on successful pilot/controller collaboration initiatives to enhance safety and efficiency of
operations. Issues addressed by these initiatives include varying aircraft performance
characteristics, approach procedures, cockpit automation, changes to equipment/ATC
procedures, landing and runway exiting procedures and training.

English Language Proficiency

Air Safety Reports provided by pilots have demonstrated that misunderstanding in air-
ground communications due to the use of multiple languages or non-standard
phraseology has been a contributing factor in aircraft accidents and incidents. IATA
policy states that air-communications in international airspace should be conducted using
standard phraseology in English. IATA has prepared a document discussing Aviation
Language.

ATC Safety Net

When faced with an air disaster such as controlled flight in to terrain (CFIT) or a mid-
air collision, we ask “how could this happen”? when the technical inquiry in to a CFIT
accident or a mid-air collision shows that before impact the aircraft was airworthy, its
onboard systems were operating normally and its crew was in full possession of their
physical and intellectual capabilities, the question of ground-based intervention to
prevent the accident arises.

Automated tools provide the means for ATC to strengthen overall defenses against
CFIT and mid-air accidents. An example is the short-term conflict alert (STCA), which
relies on the provision of reliable 4-dimensional predicted trajectories to detect potential
conflicts between aircraft in the approach control areas. Other ground-based ATC safety
net tools are Minimum Safe Altitude Warning (MSAW), and flight-path conformance
monitor.

AIRPORTS AND AIRSPACE CONGESTION ISSUES

The spectre of airspace/airports congestion presages grave problems, which threatens to

seriously pin down the air transport business. This problem has become global in scope,
with the potential of seriously impacting 25.0 per cent of the flights arriving and
departing at the major airports that are already delayed by an average of 15-20 minutes.
Congestion imposes costs on both the users and providers of airlines transportation
services. In the 21st century, the use of secondary and underused airports is the key to
freeing congestion at major airports. ICAO air transport policy stipulates that there
should be

 Fair access to airports and airspace by all classes of users;

 No imposition of artificial constraints;
 Provision of adequate and proper services: e.g., more efficient and well
managed departure, en route, approach and terminal air traffic control (ATC)
facilities and procedures, sufficient numbers of competent and efficient air traffic
controllers, reliever runways, ground services, handling facilities, transportation
and, as required, customs and immigration services.
 The principle that users of aviation transportation systems should be
assessed equitable, cost-based charges for use and improvements of airways and
airports on a basis similar to that applied to other modes of transportation.
  Preservation and improvement of all elements of the airport system, along
with expansion and improvement of the airways-airports system so as to meet
anticipated growth in demand.
 The solution to capacity-related problems lies in proper development and
management of the airspace and airports system. Technological and procedural
improvement is preferable to the more easily applied option of discriminatory
demand constraint.

Allocation of Runway Slots

The regulation of the international allocation of scarce runway capacity is subjugate to

the Worldwide Scheduling Guidelines of the International Air Transport Association
(IATA), an inter-airline and non-governmental organization. Most importantly , these
guidelines establish grandfather rights for runways slots, which authorize airlines to use
those slots in the future, which they have already used in the past. Accordingly, this rules
results in cost free reservations of runway capacity for the respective airlines. However,
airlines lose grandfather rights if they do not operate them for at least 80%of the time of
the time of the respective flight period (use-it-or-lose-it)- one flight period is six months.
Besides, it is possible to exchange slots on a one-to-one basis. Slot trading in
combination with monetary transactions is not intended. To recompense newcomer
airlines for disadvantages that result from grandfathering, the guidelines state that 50%of
free or new slots should be primarily allocated to them. Let us see the allocation of
runways in the European Union and US.

Airport Slot Trading – New Aeronautical Trading Pattern to Overcome Airport

Congestion

The basic economic principle is that where a “supply is scarce, it should be put to its
maximum value use”, from the perception of economic efficiency, the intent would be to
increasingly use slots in a manner which best reflects the value of air travellers in
aggregate put on them, thus pointing towards market solutions wherever possible, for a
variety of reasons, airport access is not priced at market clearing levels and thus “slots”
are scarce and have an economic value. In view of the growing air traffic demand,
efficient allocation of airport capacity, especially of runway capacity becomes
increasingly urgent, even more to since possibilities to expand capacities are limited. The
current slot allocation system is generally based on administrative procedures and thus
leads to misallocations on a growing scale. Therefore, many economists have proposed
that they be replaced by market mechanisms and regulated accordingly.

Definition of slot

A Slot is defined at the concession or the entitlement to use runway capacity of a certain
airport on a specific date and at a specific time.

Slots have been defined in EC regulation 95/93 as “the scheduled time of arrival or
departure available or located to an aircraft moment on a specific date at an airport
coordinated under the terms of this regulation”

In the commission’s June 2001 proposal to amend the slot regulation, a slot is defined
as “the entitlement established under this regulation, of an air carrier to use the airport
infrastructure at a coordinated airport on a specific date and time for time purpose of
landing and take-off as allocated by the coordinated in accordance with this
regulation”.

Other definitions that exist are:

“The scheduled time of arrival or departure available for allocation by or as allocated

by a coordinator for an aircraft movement on a specific date as a fully coordinated
airport”-(IATA Worldwide scheduling guidelines)

PUBLIC PRIVATE PARTICIPATION IN INDIAN AIRPORT

A Public-Private Partnership (PPP) is a partnership between the public sector and

the private sector for the purpose of delivering a project or a service traditionally
provided by the public sector. The advantage of a PPP is that the management skills
and financial acumen of private businesses could create better value for money for
taxpayers when proper cooperative arrangements between the public and private
sectors are used.
PPP can increase the quality, the efficiency and the competitiveness of public
services. It can supplement limited public sector capacities and raise additional
finance in an environment of budgetary restrictions. The best use of private sector
operational efficiencies can increase quality to the public and the ability to speed
up infrastructure development.

When considering the commercialization or privatization of airports and air

navigation services providers (ANSPs), States should bear in mind that they are
ultimately responsible for safety, security and economic oversight of these entities
(Doc 9082 - ICAO's Policies on Charges for Airports and Air Navigation Services
- Section I, para. 6 refers).

The four major PPP airports in India are Delhi and Hyderabad (both operated by
GMR-led consortia) and Mumbai and Bengaluru (both operated by GVK-led
consortia). These four airports accounted for 53% of total passenger traffic handled
by Indian airports in FY2014. Under the PPP concession agreements the airport
operators are required to pay a specified share of gross revenue to the state-owned
Airports Authority of India (AAI); this share varies by airport. Since FY2007, the
four private metro airports have delivered a massive dividend of USD1.72 billion
to the AAI. The annual amount payable to the AAI has been growing rapidly each
year and in FY2014 it reached close to USD460 million. This goes directly to the
AAI’s bottom line as the authority incurs no expenses in relation to the PPP
airports.
 India’s Union Cabinet has given its approval to lease three airports, Jaipur, Guwahati
and Thiruvananthapuram, under the public-private partnership (PPP) model. The three
airports are owned by the Airports Authority of India (AAI).

The approval was given to Adani Enterprises to operate, manage and develop the three
airports for a 50-year period. Adani was selected through a global competitive bidding
process carried out by the AAI. The projects are expected to increase the efficiency of
service delivery, expertise, enterprise and professionalism. AAI manages more than
100 airports in the country. Around ten years ago, the Indian Government leased out
AAI’s Delhi and Mumbai airports on PPP for operation, management and
development. In a statement, the Ministry of Civil Aviation said: “While these PPP
experiments have helped create world-class airports and helped in the delivery of
efficient and quality services to theairport passengers, it has also helped AAI in
enhancing its revenues and focusing on developing airports and Air Navigation
infrastructure in the rest of the country.

Privatization in Indian Civil Aviation

In India, civil aviation industry has historically grown in a regulated environment

however, with the proclamation of the open skies policy in 1989, a few small airline,
companies began to operate as “Air Taxi” the first air taxi operator in India was by the
united breweries group, which was confined to the south, later a Chennai based firm
followed this, air Asiatic an American firm, named continental aviation. However,
operational barriers made it close down its operations the year 1992 proved to be the turning
point in the civil aviation history of India with the announcement under the “New Economic
Policy”. East West airlines was the 1 st major airline company to begin operations In
February 1992 followed by Damania airways in march 1993. Later Jet Airways , Archana
Airways And Modi Luft began to fly in the sky in May 1993. The process of deregulation
was complete when the Centre issued an ordinance in 1994 repealing the air corporation act.
This dismantled the state monopoly in civil aviation industry and legitimized the operation
of air taxies by giving them the status of airlines. All companies fulfilled certain minimum
requirement as laid down by the ministry of civil aviation before these were granted the
status of scheduled airlines. By 1996, 7 private operator were given the status of scheduled
airlines and 18 companies where holding ATO’s permit.

Airport Privatization

The global economy relies increasingly on air transport with airports acting as the main
technical support. Airport will be the mega Centre in the growth and development of
regional. Global and local economy. The concept of privatization in the airline industry dates
back to 1972, when US airline industry was decentralized. Privatization of airports and its
facilities is a more recent concept, which was originated in the 1980’s. Traditionally, airports
were owned and managed by the government until the 1970s. Later on, airports started
changing the ownership and management structure through establishing autonomous entities
owned by the government. In many countries, airports still continue to be directly managed
by the government due to country’s security and safety concerns/polices. Further changes
were taking place globally and which tended to favour private participation from 1980s. The
first bidding of privatized airports was initiated in 1987 under the thatcher government and
eleven major airports were sold including 3 airports (Heathrow, Gatwick and Stansted) in
London area to BAA Plc., formerly (British Airports Authority) a 100% private sector firm .
Since then, many airports worldwide have started changing their strategic vision in the
process of privatization. Subsequently, a transforming global economy paved the way for a
free economy, and indirectly supported the idea to view airport infrastructure as enterprises
(rather than as public services) which are accepted to break-even.

This activated the growth of a new market in airport services including infrastructure
development, airport management systems and partial ownership or management contracts
in the areas of ground handling and retailing. Over the past few years, new airport investors
have entered the market and transport privatization is concentrated in two regions, viz…,
Latin America and Europe. But today the privatization process is being initiated everywhere,
for instance, in the Caribbean, south Africa, Russia, brazil, Asia and pacific airports. There
are about 120 countries that have completed the process of airport privatization and it is
projected that by 2010, another 120 airports would come under private sector management.

Different Forms of Airport Privatization Models- Worldwide

There are various forms of privatization models adopted by different countries

 Placement of Entire share holding - (Manchester International Airport)

 Management Buyout – (Belfast Airport)
 Flotation of shares (BAA, Malaysia’s Kula Lumpur International Airport)
 Partial Flotation –(Vienna Airport)
 Sale by public tender(Stewart / New York Airport)
 Privately negotiated sale –(Naples Airport)
 Joint venture by injecting Finance –(Birmingham Airport)
 Granting of management of contracts –(Pittsburgh Airport)
 Granting of leases (Australian Airports)

Causes for Airport Privatization

The basic behind deregulation of the civil aviation industry is that it would help to boost
the air traffic and provide stimulates for the growth of aviation market. Deregulation lead
to better quality services and promotes efficiency and market orientation. Therefore, the
governments are in favour of deregulation, because the airport infrastructure requires
massive investment, large expenditure on serving, replacement and renewals. Realizing
the need of the hour, public authorities are inviting domestic and foreign private investors
to participate in the development of international airports and the expansion of
infrastructural support at existing domestic airports. Besides this, revenue generation is
absolutely vital in airport economics. Today most of the advanced economies (US and
UK) and major Southeast and Northeast Asian international airports are generating
adequate revenue through commercialization, and better utilization of airport land in
terms of a market oriented approach. Airport investment is estimated to reach a total of
US $350 billion over the next 15 years, according to ICAO. Therefore, authorities have
devised innovative financial instruments to attract private capital for airport infrastructure
development.

Objectives of Airport Privatization

The basic objective of airport privatization is to increase competitiveness and

enhance ability to energize economic development by improving airport facilities and
attract additional air services. The private sector has increasingly come to realize that
airports are attractive investments; an airport serves a dynamic growth industry –
commercial aviation –and represents essential infrastructure with a near monopoly.
Qualified private airport operating companies have materialized and other will evolve,
while successful public airport operators are seeking to expand to provide airport
management services, generally as part of broader investor groups. As a result,
substantial numbers of airports will be operated by a worldwide network of airport
operators. These, global operators will engage in healthy competition with each other
to be efficient and offer superior services, and thus support the objectives of the
investor groups in which they participate. Private operators will try to utilize airport
land with maximum optimization in terms of a commercially oriented approach. To
illustrate the main objectives of privatizating airport infrastructure, the main features
are categorized as follows:
 Requires massive capital investment, so as to improve productivity and
efficiency.
 Customer Driven
 Business orientated approach