Compliance Summary Document - European Commission...SW FAB_EC Compliance Summary Document_v1.0.docx...

SW FAB_EC Compliance Summary Document_v1.0.docx

Compliance Summary Document

Demonstration of Compliance

With

Commission Regulation (EU) No 176/2011

21 June 2012

Document prepared by:

In collaboration with:

Released Issue

Edition: 1.0

Date: 21.06.2012

Released Issue / Date: 21.06.2012

SW FAB_EC Compliance Summary Document_v1.0.docx

DOCUMENT IDENTIFICATION SHEET

DOCUMENT DESCRIPTION

Document Title Compliance Summary Document

Objective This document provides the information required by the European Commission to demonstrate compliance of the SW FAB with Regulation (EU) No 176/2011 (“FAB Implementing Rule”).

Organization SW FAB Civil Aviation Authorities Supervisory WG

Audience European Commission, Single Sky Committee, EASA, other Member States, interested parties

Document reference SW FAB_EC Compliance Summary Document_v1.0.docx

Edition 1.0

Edition date 21.06.2012

DOCUMENT CHANGE RECORD

EDITION DATE REASON FOR CHANGES

0.1 22.05.2012 First draft not complete

0.2 07.06.2012 Second draft with complete sections

0.3 12.06.2012 Changes introduced from SW FAB parties

0.4 15.06.2012 Final version for reviewing

0.5 18.06.2012 Draft version including changes from Spanish stakeholders

1.0 21.06.2012 Released document for submission to EC

STATUS, AUDIENCE AND ACCESSIBILITY

STATUS INTENDED FOR ACCESIBLE VIA

Working Draft Restricted Intranet

Final Draft Internal Internet

Proposed Issue Public E-mail

Released Issue Confidential

POINTS OF CONTACT

NAME ORGANIZATION TELEPHONE E-MAIL

Luis Castillo DGAC +34 915 97 83 58 [email protected]

Paulo de Andrade INAC I.P. +351 218 42 35 68 (Ext: 1412) [email protected]

For more information about the SW FAB, please visit our website: www.swfab.eu

http://www.swfab.eu/


SW FAB_EC Compliance Summary Document_v1.0.docx of 62

TABLE OF CONTENTS

1 INTRODUCTION ....................................................................................................... 6

2 PURPOSE ............................................................................................................... 7

3 STRUCTURE OF THE DOCUMENT .............................................................................. 8

4 THE SW FAB FRAMEWORK .................................................................................... 9

4.1 SW FAB BACKGROUND ............................................................................................ 9

4.2 SCOPE AND OBJECTIVES ..........................................................................................10

4.3 SW FAB POINTS OF CONTACT .................................................................................11

4.4 SW FAB SPATIAL DESCRIPTION ...............................................................................12

4.5 LEGAL FRAMEWORK ................................................................................................13

4.5.1 State Level .............................................................................................................. 14

4.5.2 National Supervisory Authorities (NSA) Level ........................................................ 15

4.5.3 Air Navigation Service Provider (ANSP) Level ....................................................... 16

4.6 SW FAB GOVERNANCE ...........................................................................................17

4.6.1 At State Level: SW FAB Governance Board .......................................................... 17

4.6.2 At NSA Level: Supervisory Authorities Committee ................................................. 19

4.6.3 At ANSP Level: Operational Board ......................................................................... 19

4.6.4 Other Committees and Working Groups ................................................................ 20

4.7 DESIGNATION OF ANSPS IN SW FAB .......................................................................20

4.7.1 Joint Designation of ATS and MET Service Providers ........................................... 20

4.7.2 ATSPs without Certification i.a.w. Article 7(5) of Regulation (EC) 550/2004 ......... 20

4.8 CONCEPT OF OPERATIONS .......................................................................................21

4.8.1 Operational Requirements ...................................................................................... 22

4.8.2 SW FAB Operational Plan ...................................................................................... 23

4.8.3 Optimum Airspace Utilisation ................................................................................. 23

4.8.4 Operational Projects Implementation Plan ............................................................. 26

4.8.5 Consistency with The European Route Network (ERN) ......................................... 27

4.8.6 Smooth and Flexible Transfer of Responsibility for ATC ........................................ 29

4.8.7 SW FAB Airspace Configuration and Organisation ................................................ 32

4.9 SUPERVISION IN SW FAB .........................................................................................32

4.10 STAKEHOLDER CONSULTATION AND COMMUNICATION ...............................................33

4.11 SW FAB REGIONAL AGREEMENTS ...........................................................................34

4.11.1 Regional agreements concluded within the ICAO .................................................. 35

4.11.2 Regional agreements in existence ......................................................................... 35



5 SW FAB PERFORMANCE EXPECTATIONS .............................................................. 37

5.1 SAFETY ...................................................................................................................37

5.1.1 SW FAB Safety Case (SC) ..................................................................................... 37

5.2 OVERALL ADDED VALUE ..........................................................................................44

5.2.1 CBA Working Methodology .................................................................................... 44

5.2.2 CBA Scenarios ....................................................................................................... 45

5.2.3 Evaluation of Benefits ............................................................................................. 46

5.2.4 CBA Results ........................................................................................................... 48

5.3 ATM/CNS SYSTEMS COOPERATION .........................................................................49

5.4 CONSISTENCY WITH EU-WIDE PERFORMANCE TARGETS ............................................51

6 COMPLIANCE TABLES WITH EC FAB INFORMATION REQUIREMENTS ........................ 52

6.1 ANNEX PART I: GENERAL INFORMATION ....................................................................52

6.2 ANNEX PART II: REQUIREMENTS OF ART. 9(A) OF REGULATION (EC) NO 550/2004 .....54

7 ANNEXES ............................................................................................................. 61



1 INTRODUCTION

The establishment of a Functional Airspace Block (FAB) should be considered as the legal

process through which the participating Member States enhance air navigation operational

performance within the airspace under their responsibility regardless of national boundaries.

Member States must take the necessary measures to comply with the European

Commission (EC) requirements at the latest by December 4th, 2012 in accordance with the

service provision Regulation (EC) No 550/2004 as amended.

The Single European Sky (SES) introduced the legal obligation for EU Member States to

establish FABs based on operational requirements and on a more integrated management of

airspace regardless of national boundaries. Member States were required to reconfigure their

upper airspace into functional blocks, with a view to achieve maximum capacity and

efficiency of the Air Traffic Management (ATM) network whilst maintaining high levels of

safety.

“A functional airspace block means an airspace block based on operational requirements

and established regardless of States boundaries where the provision of air navigations

services and related functions are performance-driven and optimised with a view to

introducing, in each functional airspace block, enhanced cooperation among air navigation

service providers, or, where appropriate, an integrated provider.”

In accordance with Regulation (EC) No 550/2004 Article 9a, a FAB has to be established by

mutual agreement between the Member States concerned. In this regard, the civil aviation

authorities of Portugal and Spain signed on May 17th, 2012 a Joint Declaration on the SW

FAB Portugal-Spain initiative whereby agreement is reached in the text of the SW FAB State

Agreement titled “AGREEMENT ON THE ESTABLISHMENT OF THE SOUTH WEST

FUNCTIONAL AIRSPACE BLOCK (SW FAB) BETWEEN THE REPUBLIC OF PORTUGAL

AND THE KINGDOM OF SPAIN” (see Annex C) and action is initiated to deal with the

respective national procedures for its approval before of December 4th, 2012.

Before notifying the Commission of the establishment of the SW FAB, the SW FAB Member

States shall provide the Commission, the other Member States and other interested parties

with adequate information and provide them an opportunity to submit their observations.

The Annex to Commission Regulation (EU) No 176/2011 (FAB IR) sets out the information

that the SW FAB Member States have to jointly provide to the Commission by June 24th,

2012 to demonstrate compliance with the requirements of Article 9a of Regulation (EC) No

550/2004.

The Commission shall assess the fulfilment by the SW FAB of the requirements set out in

paragraph 2 of Article 9a of Regulation (EC) No 550/2004.

Further to this, the SW FAB Member States further have to take all necessary measures in

order to establish the SW FAB by December 4th, 2012.



2 PURPOSE

The purpose of this document is to provide information on the establishment of the SW FAB

and:

demonstrate compliance of the SW FAB with Article 9a of Regulation (EC) No

550/2004 and more specifically with the Annex to Commission Regulation (EU) No

176/2011;

to have a framework for the information provided by the SW FAB; and

to facilitate the assessment of the available SW FAB Information by the different

institutions and interested parties.

It must be highlighted that all the documentation provided is addressed to demonstrate

compliance with the EC requirements and, more importantly, the ability to “establish” the SW

FAB from a legal and organisational perspective by December 4th, 2012.

As far as “SW FAB implementation” is concerned the documentation supplied identifies the

necessary processes and arrangements, either already in progress or planned, as enablers

to put into operation the SW FAB as required by the SES legislation and the SW FAB

Agreements.



3 STRUCTURE OF THE DOCUMENT

The document uses a clear structure to facilitate review and assessment.

Section 4 provides the legal, organisational and operational framework where the SW FAB

has to evolve in order to meet the SES requirements for FABs.

Section 5 explains the SW FAB expectations in terms of performance improvements and

their consistency with the EU-wide performance targets.

Section 6 depicts how the SW FAB l information delivered to the EC is in compliance with the

specific requirements of Regulation (UE) No 176/2011.

Section 7 is completed by the list of Annexes, which provide evidence of the information

referenced in this "Compliance Summary Document".



4 THE SW FAB FRAMEWORK

4.1 SW FAB BACKGROUND

The joint collaboration towards the establishment of a FAB in the South West region of

Europe was initially promoted by the Portuguese and Spanish air navigation services

providers (ANSPs), respectively NAV Portugal and Aena. The initiative was launched

building upon historical collaboration between both organisations (e.g. Memorandum of

Understanding signed on May 16th, 2001 by NAV Portugal and Aena1) and with the main aim

of achieving an optimised air navigation service (ANS) provision in the South West of

Europe, in accordance with the requirements established in Regulations (EC) No 549/2004

(the Framework Regulation), No 550/2004 (the service provision Regulation) and No

551/2004 (the airspace Regulation).

In the light of the requirements of the Single European Sky legislation, a Letter of Intent (LoI)

(Annex G) was agreed and signed between Aena and NAV Portugal on February 29th, 2008

for a closer and more formal cooperation between the two organizations aiming to carrying

out the assessment of different options as for the establishment of a functional airspace

block in terms of benefits and efficiencies for the air navigation service performance.

During the year 2008 the main objective was to develop an assessment, from the Air

Navigation Service Provider’s (ANSP’s) point of view on the different possibilities for the

establishment of a FAB in the airspace of responsibility of Portugal and Spain.

In November 2008, NAV Portugal and Aena produced an initial report (SW Portugal/Spain

FAB Initiative Steering Committee Report v1.0; 17/Nov/08). The report summed up the

results from the work conducted and provided a high level picture in a possible Case for

Change regarding Portuguese and Spanish air navigation services. It was presented to

Portuguese and Spanish Aviation Authorities in order to facilitate the decision making

processes at State level, regarding the strategic direction and the identification of the key

areas that should provide additional value, and it was the main driver for the signature of the

Memorandum of Understanding (MoU) in March 2009.

On March 17th, 2009 Portuguese and Spanish civil aviation authorities (CAAs), national

supervisory authorities (NSAs) and ANSPs signed a Memorandum of Understanding (MoU)

establishing the strategic rationales, the primary arguments for establishing a closer

cooperation between NAV Portugal and Aena and defining how the organisations should

cooperate, what functional areas and business processes should be included in the

cooperation, and finally how the airspace should be improved to serve our customer needs.

The military authorities of both SW FAB Member States were involved in this process

through the creation of a Civil-Military Coordination Group with participation in the

development of the FAB technical and operational proposals.

1 See Annex F



On February 2010, INAC I.P. and AESA signed the Portuguese-Spanish Civil National

Supervisory Authorities (NSAs) Cooperation Agreement, for the carrying out of joint civil NSA

functions in the framework of the SES.

Since 2009 until now the work to progress in the establishment of the SW FAB following the

requirements laid down on the SES regulations has continued.

A report identifying potential operational projects was produced in May 2010 (“SW

Portugal/Spain FAB Initiative Operational Potential Projects 2012-2015”). This report

contained a coherent evaluation of the projects which could provide operational benefits

inside the whole airspace controlled by Portugal and Spain, their target implementation and

the impact in terms of flight efficiency and cost benefit analysis (CBA).

On October 18th, 2010 high level military representatives from the two SW FAB Member

States attended the 3rd meeting of the Joint Supervisory Board2 (JSB) held in Madrid where

the inclusion of military representatives within the top level FAB structure arrangements was

agreed.

The coordination with the respective Portuguese and Spanish Military was ensured through

an established Civil-Military Coordination Group during the definition and development phase

of the SW FAB project. The cooperation was constructive and gave the opportunity for the

parties to achieve a mutual understanding of the key issues and main principles of the

Flexible Use of Airspace (FUA) concept in particular regarding the military training and

operational requirements on the development of the “SW FAB Initiative”, knowing that the Air

Forces are both users and service providers.

Finally, on May 17th, 2012 a Joint Declaration has been signed by the Heads of the

Portuguese and Spanish Civil Aviation Authorities (CAAs). This Statement declares that both

CAAs have agreed on a State Agreement Draft and it allows starting the national

administrative processes to formalize the State Agreement for the establishment of the SW

FAB to be signed by the corresponding ministers of both countries before December 4th,

2012.

On the same date the NSA Cooperation Agreement to carry out the supervisory tasks in a

collaborative way within the SW FAB was signed by the Heads of the civil aviation NSA,

INAC I.P. and AESA.

4.2 SCOPE AND OBJECTIVES

The objectives of the SW FAB are to achieve:

a) increased cooperation at State level and among relevant aviation stakeholders, namely

the civil and military aviation authorities, NSAs and en-route ANSPs;

2 The Joint Supervisory Committee (JSB) was the high level Committee established under the MoU between

INAC I.P., DGAC, AESA, NAV Portugal and Aena of March 17th 2009 for managing and monitoring the tasks to

be developed during the definition and development phases for the establishment of the SW FAB Portugal-Spain.



b) optimised and more performance driven use of airspace and provision of air navigation

services, in terms of safety, capacity, operational efficiency, cost-efficiency and

reduced environmental impact aiming the consistency with the Community-wide

performance targets;

c) increased consistency with the European route network through a close collaboration

with the Network Manager (NM);

d) increased interoperability, supporting the timely sharing and exchange of information;

e) increased interoperability and harmonisation in technology, systems and their

associated support processes; and

f) improved mission effectiveness and training efficiency for the military aviation.

To achieve the objectives of the SW FAB, the SW FAB Member States commit to cooperate

and to take the appropriate measures, in accordance with their national procedures,

including but not limited to the following domains:

airspace;

harmonisation of rules, standards and procedures;

provision of air navigation services;

certification and oversight;

performance; and

civil-military cooperation.

4.3 SW FAB POINTS OF CONTACT

The point of contact will be appointed by the SW FAB Governance Board in the declaration

of the formal establishment of the SW FAB.

For the consultation period the contact persons are:

Mr Luis CASTILLO

Ministry of Public Works

Secretary of State for Infrastructure, Transport and Housing

General Secretariat of Transport

Directorate General of Civil Aviation

Paseo de la Castellana, 67

28071 Madrid - Spain

Phone: +34 91 597 83 58

e-mail: [email protected]

mailto:[email protected]



Mr Paulo de ANDRADE

Instituto Nacional de Aviação Civil, I.P.

Rua B, Edifício 4 - Aeroporto da Portela, 4

1749-034 Lisboa

Portugal

Phone: +351 21 842 35 68 (Ext: 1412)

e-mail: [email protected]

4.4 SW FAB SPATIAL DESCRIPTION

The SW FAB covers the airspace which is under Portugal and Spain’s responsibility within

the ICAO EUR region and in addition for Spain, the particularity of the airspace under its

responsibility within ICAO AFI region (Canary Islands).

Thus, the applicable airspace of each State to be included within the SW FAB (the “SW FAB

airspace”) is composed of the following FIRs/UIRs as depicted in Figure 1:

a) FIR Lisboa (FL245/UNL);

b) UIR Madrid (FL245/UNL);

c) UIR Barcelona (FL245/UNL); and

d) UIR Canary Islands (FL245/UNL).

The SW FAB has to be considered as one of the strategic FABs due to its geographical

situation, being one of the most important interconnection nodes for the American

transatlantic flights and the European northern-southern corridor.

mailto:[email protected]



Figure 1- Delineation of SW FAB airspace

With reference to the Santa Maria Oceanic FIR, belonging to the ICAO NAT Region, Portugal

will decide on its inclusion in the SW FAB Airspace before December 31st, 2014. The reason

for it is that the Santa Maria Oceanic FIR covers oceanic airspace out of the ICAO EUR

region and Portugal needs to analyse the implications of the integration of this FIR in the SW

FAB.

Notwithstanding the above, the ANSPs are encouraged to optimize capacity and efficiency

also with this FIR and all the flight levels of the SW FAB in the operational and technical

initiatives and also from an Air Traffic Management (ATM) point of view.

Taking in consideration the paragraph above, the referenced technical documents contained

in the Annexes were prepared and finalised considering Santa Maria Oceanic FIR as part of

the SW FAB. They will be amended after December 31st, 2014 if the decision of excluding

the FIR Santa Maria keeps in force.

4.5 LEGAL FRAMEWORK

Member States are under the obligations to establish FABs and are also subject to their

rights and obligations under the 1944 Chicago Convention on International Civil Aviation (the

Chicago Convention), as recognised by the framework Regulation.

In accordance with the Chicago Convention, Member States will remain ultimately

responsible for the services provided within the airspace over their territory.



4.5.1 STATE LEVEL

4.5.1.1 The State Agreement

With a view to achieving compliance with the SES regulations and in line with Article 9a of

Regulation (EC) No 550/2004 as amended, a SW FAB Joint Declaration (see Annex B)

was signed by the President of INAC I.P. and the Director General of the Spanish

DGAC on May 17th, 2012. This Declaration is the formal step for opening the national

legislative procedures which will culminate with the official signature of the State Agreement

(see Annex C) by the corresponding ministers of Portugal and Spain and will allow its

provisional entry into force before the established deadline of December 4th, 2012.

With the signature of the Joint Declaration both CAAs confirm the mutual agreement on the

State Agreement.

The aim of the State Agreement is to create an adequate high level FAB legal framework

enabling the necessary agreements and arrangements for implementation and day-to-day

operations in the SW FAB and to be used by the SW FAB partners for achieving the agreed

SW FAB objectives and expected benefits. The State Agreement covers inter alia, the legal

and institutional arrangements as well as the delineation of the airspace that makes up the

SW FAB airspace, the governance and organisational aspects and others arrangements

concerning harmonisation, safety oversight and air navigation service provision. This

Agreement takes into account in particular the need for continued coordination between the

SW FAB Member States and potential on-going development of the SW FAB further to its

establishment.

A SW FAB Governance Board is established to ensure the implementation and progress of

the State Agreement.

4.5.1.2 Civil-Military arrangements

Security and defence interest are preserved in Article 6 of the State Agreement and the SW

FAB Member States shall be entitled to safeguard its military operations and trainings

whenever this is required for efficient and safe performance.

The involvement of military authorities is essential to ensure civil-military cooperation with

respect to airspace management, airspace design policy and air traffic flow and capacity

management (ATFCM) processes. Taking this into account, military aviation representatives

are entitled to participate as members and express their positions at the sessions of the SW

FAB Governance Board as the high level body to facilitate civil-military interface therein.

Military authorities are also integrated as members in the Supervisory Authorities Committee

and the Operational Board.

Civil-military cooperation is assured by the application of articles 20 and 21 of the State

Agreement.

To further deepen, a Letter of Agreement (see Annex D) has been drafted to be signed in

due time by the military authorities of Portugal and Spain and NAV Portugal and Aena as en-

route Air Traffic Service Providers (ATSPs).



The Letter of Agreement (LoA) defines the coordination procedures to be applied between

civil air traffic services (ATS) Agencies and/or national Air Forces when providing services

(ATS and air defence/policing) to Operational Air Traffic (OAT) within airspace of sovereignty

in which the responsibility of provision of ATS has been delegated. Moreover, it defines how

to exchange flight plan data for ATS and military identification purposes in each sovereign

airspace.

4.5.2 NATIONAL SUPERVISORY AUTHORITIES (NSA) LEVEL

The SES regulations require that NSAs conclude appropriate cooperation arrangements,

including mutual recognition with regard to the cross-border provision of ANS.

As stated in article 11 of the SW FAB State Agreement, the Supervisory Authority Committee

is formally established. The Supervisory Authorities Committee shall be composed by one

representative of each NSA, including the military authorities if not established as NSA, and

the aeronautical meteorological supervisory authorities of the Contracting States.

In addition, civil NSAs of SW FAB Member States signed the NSA Cooperation Agreement

on May 17th, 2012 (see Annex E). The purpose of this Agreement is to set out the principles

and provisions governing the cooperation between the NSAs participating in the SW FAB.

This Agreement shall, in particular:

a) establish the cooperation of the NSAs;

b) identify the rights and obligations of the NSAs under the State Agreement and

develop related coordination procedures;

c) establish harmonised procedures for reporting, exchange and dissemination of

information, including safety-related information; and

d) establish coordination to support the development of harmonised rules and

procedures as provided in article 14 of the State Agreement.

The areas of NSA cooperation are:

supervision of the ongoing compliance with the common requirements for air

navigation services (ANS) of the ANSPs providing services in the SW FAB;

coordination of the NSAs annual inspection and audit programmes;

safety oversight of the ANSPs providing services in the SW FAB;

coordination of the notifications of SW FAB safety-related changes, their review and

acceptance;

supervision with regard to interoperability of systems and the capabilities of the

ANSPs to conduct the conformity assessment;

elaboration of national performance plans (NPPs) or, if so decided, of a SW FAB

performance plan and ongoing monitoring and supervision of the implementation of

the national plans or of the SW FAB plan, as the case may be; and



production of an annual report about the implementation of the SES legislation,

including annual safety reports.

4.5.3 AIR NAVIGATION SERVICE PROVIDER (ANSP) LEVEL

As stated in article 16 of the State Agreement, the SW FAB Member States shall encourage

close cooperation among ANSPs and entry into written agreements regarding operational

and technical arrangements of relevance for the provision of air navigation services within

the SW FAB.

To manage the technical and operational functioning of the SW FAB an Operational Board is

formally established (article 12 of the State Agreement).

As already mentioned in this document NAV Portugal and Aena first signed a MoU on May

16th, 2001 and then a revised Letter of Intent (LoI) for a closer and more formal cooperation

between the two companies on February 29th, 2008 with the purpose to enhance benefits

and efficiencies to the air navigation services and promote the assessment of options for the

establishment of a FAB.

Following the previous agreement, both parties have concluded a Framework Agreement

for the establishment of the SW FAB (see Annex H), signed on June 18th, 2012.

The purpose of this Agreement is to both establish and outline a collaboration and

programmatic framework and the associated working and funding arrangements which,

based upon the principle of fairness, reciprocal compensation and mutual benefit, enable the

cooperation between the ANSPs in the area of the air navigation services for the

establishment of a FAB facilitating the undertaking of joint collaborative programmes and

activities as well as the interchanging of knowledge and expertise, thus improving Europe-

wide ATM network operations within the SES and contributing to the achievement of

European Union-wide performance targets.

This is why NAV Portugal and Aena agree to jointly collaborate in the establishment,

implementation and operation of the SW FAB, regardless of existing boundaries and aiming

to achieve the required capacity and efficiency of the air traffic management network within

the SES while maintaining a high level of safety and a reduced environmental impact, in

fulfilment of the requirements stemming from Commission Regulations (EC) No 549/2004 to

551/2004 and particularly according to Article 9a of Regulation (EC) No 550/2004, as

amended and Commission Regulation (EU) No 176/2011.

The main areas of cooperation between NAV Portugal and Aena are fully described in the

article 3 of the ANSP Framework Agreement, including:

airspace activities;

Air Traffic Management/Communications, Navigation and Surveillance (ATM/CNS)

system activities;

planning activities; and

safety activities



Moreover as result of the deepening of the cooperation between Aena and NAV Portugal

within the working structure set towards the SW FAB establishment and after the SESAR

Joint Undertaking (SJU) Administrative Board decision on July 12th, 2010 about the

participation of NAV Portugal as an associate partner to Aena in the SESAR Project. NAV

Portugal signed with Aena a subcontract on November 18th, 2010 (see Annex I) to become

an associated partner to Aena, already a member and contributor in as many as 95 projects

of the whole programme of the SJU. According to that proposal NAV Portugal would

contribute in part to those projects.

4.6 SW FAB GOVERNANCE

As agreed in the article 8 of the State Agreement, Figure 2 shows the organisational

structure for governance and management established.

In parallel to the legal framework a three-level structure has been established.

Figure 2- SW FAB organisational structure

4.6.1 AT STATE LEVEL: SW FAB GOVERNANCE BOARD

The SW FAB Governance Board is established as a joint decision-making body for the

purposes of the implementation, operation and further development of the SW FAB. It is

composed by one representative from the authority responsible for civil aviation and one



representative from the authority responsible for military aviation from each State. Upon

invitation by the SW FAB Governance Board, representatives of the Supervisory Authorities

Committee and the Operational Board as well as other participants may attend the

Governance Board meetings as observers.

As included in article 10 of the State Agreement, the SW FAB Governance Board shall take

decisions, inter alia, to:

a) define the policy and strategic objectives for the development of the SW FAB, assess

the results achieved in terms of performance and take appropriate measures if

required;

b) ensure the implementation of the State Agreement and review the progress on the

fulfilment of the objectives of the SW FAB;

c) ensure that the SW FAB is established, developed and governed in accordance with

all applicable requirements laid down in the SES legislation and each State’s national

legislation;

d) define the development of the civil and military coordination;

e) define the modalities of the cooperation on the application of the concept of flexible

use of airspace (FUA);

f) support the harmonisation of relevant rules and procedures;

g) approve the SW FAB common safety policy proposed by the Supervisory Authorities

Committee;

h) agree on the common airspace management policy for the SW FAB airspace;

i) facilitate the joint designation process of the ANSPs setting the foundations for the

establishment of the joint designation mechanisms;

j) ensure the development and coordination of contingency plans within the SW FAB

airspace;

k) adopt its own rules of procedure and terms of reference and approve the rules of

procedure and terms of reference of the Supervisory Authorities Committee, the

Operational Board and the Stakeholders Consultation Forum;

l) ensure the coordination of the SW FAB with adjacent FABs;

m) coordinate the positions of the SW FAB Member States with regard to the application

of international agreements concerning the work of ICAO, Eurocontrol, the European

Commission, the European Aviation Safety Agency (EASA) and any other

international organisation in the field of air navigation services;

n) ensure the consultation with the SW FAB stakeholders where appropriate, through

the Stakeholders Consultation Forum;

o) propose amendments to the State Agreement;

p) approve the creation of Working Groups or any other body as set forth in articles 8,

11 and 12 of the State Agreement;



q) approve the proposals of the Committees and Working Groups established under the

State Agreement; and

r) approve the SW FAB annual report prepared by the Operational Board taking also

into consideration the views expressed by the Supervisory Authorities Committee in

relation to that draft annual report.

4.6.2 AT NSA LEVEL: SUPERVISORY AUTHORITIES COMMITTEE

In accordance with article 11 of the State Agreement, the Supervisory Authorities Committee

address all matters related to the supervision, performance and harmonisation of the SW

FAB and other tasks entrusted to it by the SW FAB Governance Board. It is composed by

one representative of each NSA, including the military authorities if not established as NSA,

and the aeronautical meteorological supervisory authorities of the SW FAB Member States.

Article 4 of the NSA Agreement defines the main tasks to be carried out by the Supervisory

Authorities Committee.

4.6.3 AT ANSP LEVEL: OPERATIONAL BOARD

The Operational Board is established to manage the technical and operational functioning of

the SW FAB. It is composed by the en-route designated ATSPs (NAV Portugal and Aena),

the appointed military representatives and the aeronautical meteorological service providers.

Upon approval by the Governance Board, other participants may also attend as observers.

The main responsibilities of the Operational Board are to:

a) ensure the implementation of the policies and objectives defined by the SW FAB

Governance Board;

b) ensure the cooperation between en-route ATSPs aiming at obtaining an improved

and increased cross border provision of air navigation services;

c) support the Network Manager in the development and on-going activities of the

Network Strategic Plan (NSP) and Network Operations Plan (NOP);

d) ensure the development of the civil and military coordination;

e) propose to the SW FAB Governance Board the modalities of the cooperation on

airspace management, including the application of the concept of FUA;

f) ensure the operational coordination of the SW FAB with adjacent FABs;

g) propose, develop and implement a Common Plan for Projects Development within

the scope of the SW FAB to be approved by the SW FAB Governance Board;

h) prepare and coordinate the SW FAB annual report;

i) propose and define a common management airspace policy to be further approved

by the SW FAB Governance Board;

j) assist the Governance Board on the implementation of the State Agreement and in

particular of its articles 15, 16, 17, 20 and 21; and



k) report to the SW FAB Governance Board about relevant issues for development,

management and operation of the SW FAB.

4.6.4 OTHER COMMITTEES AND WORKING GROUPS

Other Committees and Working Groups may be established by the SW FAB Governance

Board. On the basis of the proposal of the Supervisory Authorities Committee and the

Operational Board, the SW FAB Governance Board may also permit the creation of their

working groups and committees (see Figure 2).

4.7 DESIGNATION OF ANSPS IN SW FAB

In accordance with the article 8 of the Regulation (EC) No 1070/2009 amending Regulation

(EC) No 550/2004, and the article 19 of the State Agreement, the SW FAB Member States

shall:

specify the jointly designated ATSPs and Meteorological (MET) Service Providers, if

applicable, and their respective areas of responsibility; and

specify the providers of ATS providing services without certification and their

respective areas of responsibility.

4.7.1 JOINT DESIGNATION OF ATS AND MET SERVICE PROVIDERS

As stipulated in article 8 of the State Agreement, the SW FAB Member States will establish a

common mechanism for the joint designation of the ATSPs to provide services on an

exclusive basis within the airspace falling under their responsibility.

For the time being, the two en-route ATSPs in Portugal and Spain, i.e. NAV Portugal and

Aena, are to be jointly designated as ANSPs by the SW FAB Member States.

The processes for both ANSPs, namely certification and designation, are well established

within the SW FAB Member States and reported in the yearly report on SES Legislation

Implementation.

Concerning meteorological services the MET providers are currently designated at national

level. There is no intention for now to jointly designate MET services within the SW FAB.

4.7.2 ATSPS WITHOUT CERTIFICATION I.A.W. ARTICLE 7(5) OF REGULATION (EC) 550/2004

The Air Forces of Portugal and Spain are the only ATS providers without certification as it is

not required pursuant article 7.5 of Regulation (EC) No 550/2004 as amended.



4.8 CONCEPT OF OPERATIONS

The establishment of FABs is a key element of SES and it needs to be developed based on

operational requirements bearing in mind safety, airspace capacity, cost-efficiency

improvement objectives and environmental improvements through increased flight efficiency.

NAV Portugal and Aena established a framework of collaboration to produce a common

feasibility study, taking into account military requirements and enhancing civil-military

coordination, for the creation of a common cross-border SW FAB based on the guidance

material provided by Eurocontrol and the supporting material provided by the European

Commission.

During the year 2008 the main objective was to develop an assessment from an ANSP’s

point of view on the different possibilities for the establishment of a FAB in the airspace

under responsibility of Portugal and Spain. The main options subject to evaluation were:

increased cooperation on CNS services and other supporting services;

redesign of airspace boundaries in the Portuguese-Spanish border; and

redesign of upper airspace by studying a set of routes in order to better achieve

increased capacity, better flight efficiency and environmental improvements.

In this way, and according to the MoU defining the formal framework for cooperation in the

SW Portugal Spain FAB initiative, signed on March 17th, 2009 by the Portuguese and

Spanish CAAs, NSAs and ANSPs, an Operational Task Force (OTF) was established under

the SW FAB Steering Committee between NAV Portugal and Aena to deal with airspace

issues in the framework of the SW FAB. The military representatives also participate in this

Task Force.

The OTF recognises and supports the responsibilities and requirements of military airspace

users. In order that all airspace users gain benefit from the SW FAB, military airspace

planners were part of the planning process. An organised collection of military airspace

requirements was one of the specific elements that the concept of operations took into

consideration.

Firstly a document, “Airspace Organization and Classification” (see Annex O), was produced

to gain a deep knowledge of the Portuguese and Spanish airspace, airspace management

(civil and military) and a complete characterisation of current and forecasted traffic. The

document “Airspace Organization and Classification” presents the necessary information

about its organization and classification, the number of area control centres (ACCs) and

airspace sectors, their capacity, the number of configurations of every ACC, the airspace

management (civil and military coordination) and an overall characterisation of current traffic

demand and forecasted traffic in the next years managed to fulfil civil and military needs and

future traffic demand including general air traffic (GAT) and operational air traffic (OAT) by

ATS providers. The know-how experience of the airspace structure under consideration,

along with the full detailed information of the airspace, have permitted to make a high level

description of changes in the airspace configuration that could be introduced in the SW FAB,



demonstrating that the SW FAB airspace configuration is compatible with the network

configuration and taking into account the airspace configuration of all adjacent airspace.

Secondly, the SW FAB Operational Requirements (see Annex L) were defined.

Additionally, a SW FAB Operational Plan included in the SW FAB Optimum Airspace

Utilisation document (see Annex M) was created to allow a 10-year perspective in the

identification of the relevant parts of the airspace structures, consolidating current mature

proposals, and ensuring the new ones, especially free route operations, its alignment with

new strategies and compatibility with their future evolutions. This plan was divided by

timeframe in the following phases: short, medium (until 2015) and long term (until 2020).

4.8.1 OPERATIONAL REQUIREMENTS

The SW FAB Operational Requirements document describes the expected operational

scenario from the users’ perspective and the proposed operational improvements in the main

ATM areas: demand/capacity balancing (DCB), safety, flight efficiency, environment and

airspace organisation and management and national security and defence.

The methodological process for the SW FAB Operational Requirements (ORs) is a

collaborative process between civil and military partners by which the major traffic flows,

combined with major airspace elements (sectors, ATS routes, military areas etc.), constitute

the basic references for the creation of a new airspace structure independent of FIR

boundaries.

In line with the guidance material for FABs, and according to Article 9a of the Regulation

(EC) No 550/2004, this document presents a complete characterisation of traffic demand

accommodated in the airspace under the responsibility of NAV Portugal and Aena with

painstaking attention to numerous details of traffic demand impact in the airspace physical

structure (e.g. ATC delay, main interrelationship with boundary airspace, etc.).

As a second step, the main ORs of the SW FAB are identified with the main goal to point out

the airspace structure as a basis for extending the knowledge far downward to traffic demand

expectations/requirements.

The identification of the ORs and its operational proposals allows enhancing the performance

of the current SW FAB ATM system to achieve the European wide performance targets set

under the frame of the Regulation (EC) No 691/2010 on the performance scheme and the

European ATM strategies towards the creation of SES.

The SW FAB ORs are in line with a number of important Eurocontrol/EU initiatives regarding

airspace design, collaborative decision-making (CDM), FUA, and ATFCM.

The implementation of the defined ORs will increase the effective use of airspace and

provide the maximum freedom of movement for all airspace users for delivering significant

operational benefits. With this information the SW FAB Operational Plan has been

elaborated to satisfy the user’s expectations and to achieve the European wide performance

targets.



The SW FAB ORs document is expected to be a Master Plan from which successive SW

FAB ORs versions will be derived as soon as operational, technical or political requirements

are put in place.

The SW FAB ORs for airspace development will be compatible with future developments in

airspace management (ASM), ATFCM and SESAR.

4.8.2 SW FAB OPERATIONAL PLAN

To achieve the ORs the Operational Task Force developed the SW FAB Operational Plan

(see section 2 of Annex M) where it is possible to identify a complete characterisation of the

main traffic flows, along with the operational measures to overcome current inefficiencies of

the SW FAB ATM system.

The main objectives of the SW FAB Operational Plan are:

1. to increase airspace capacity;

2. to increase airspace efficiency, by offering route options that are closer to their

preferred trajectories;

3. to optimise the en route/Terminal airspace interface;

4. to enhance flexibility through the creation of new route options;

5. to optimise Air Traffic Control (ATC) sectorisation;

6. to develop an airspace structure independent of State boundaries; and

7. to optimise the creation and extension of military training areas.

The SW FAB Operational Plan contains the initiatives and proposals to be implemented in

the agreed timeframe and it will be updated with new proposals and projects on an annual

basis thereafter.

4.8.3 OPTIMUM AIRSPACE UTILISATION

The establishment of a FAB shall enable optimum use of airspace taking into account air

traffic flows. The new ATM network functions are in line with Article 6 of Regulation (EC) No

551/2004 in order to allow optimum use of airspace in the SES and ensure that airspace

users can operate preferred trajectories while allowing maximum access to airspace and air

navigation services.

Article 15 of the State Agreement provides the commitments and arrangements concerning

the design and management of the SW FAB airspace.

The SW FAB airspace management is based on the principle of civil–military co-ordination

between all parts, implemented at strategic, pre-tactical and tactical levels, through

agreements and establishment of procedures in order to increase safety and airspace

capacity, and to improve the efficiency and flexibility of air traffic in the SW FAB airspace.



The SW FAB airspace organisation is designed in a cooperative and iterative process aiming

at maximum utilisation, capable of greater flexibility and responsiveness. It will offer route

and level options closer to users’ preferred trajectories, support military use airspace

requirements and ensure efficient connectivity between the route network and terminal

airspace.

Annex M makes a brief description of the current airspace design and capacity planning

strategies which are taken into account by the SW FAB initiative to support its operational

concept.

Taking into account the appropriate drivers, the three main options for an enhanced airspace

management and design considered for the SW FAB Operational Plan are:

a) improvements of the route network: pre-determined direct route segments will be

added to the network compatible with the overall airspace structure. Long term

operational principles will permit to achieve a full free route airspace concept in a

significant area of the SW FAB;

b) new ATC sectorisation: to allow ATS routes to be more direct, SW FAB new

sectorisation will be established across national borders taking into consideration

main traffic flows. They will support the pre-defined direct routes. SW FAB proposals

will help to adapt the sectorisation to those main traffic flows.

c) efficient terminal/en-route interface: the terminal/en-route interface areas are

becoming the most critical factor for airspace capacity, as has been proven in the

South Airspace Block area. The SW FAB Operational Plan will invest in more efficient

structures to obtain operational efficiencies and ATC capacity increase.

According to the above, the airspace operational proposals to optimise the SW FAB airspace

utilisation are:

a) SW FAB New ATS Route Network Structure

The analysis of main traffic flows in the SW FAB airspace has served to identify some areas

of improvement. Potential projects to be implemented in the short-medium term to overcome

inefficiencies in the three main areas mentioned above are:

FIR/UIR Casablanca dualisation project;

Restructuration of the main interface between SW FAB/Marseille FIR;

New route option for NW traffic departing LEMG (UM-30); and

Restructuration of airway UN-733/A-33.

b) Free Route Airspace Concept

Reorganising the airspace of SW FAB putting in place operations under a full free route

concept can deliver significant benefits, but it will also be very time consuming initiative. The

projects to be carried out under this concept are:



Night direct ATS route network;

Santiago/Asturias free route airspace;

SW FAB free route airspace concept phase II; and

SW FAB free route airspace concept phase III.

c) ATC Sectorisation

In order to overcome the limitations of the current airspace design process still based on

airspace volumes built following the state boundaries through which ATS routes are

channelled, the SW FAB operational plan will allow ATS routes to be more direct and sectors

will be established across national borders. Projects to be developed are:

New cross border boundary limit definition;

New cross border sectorisation West and Central airspace Block3;

New airspace sectorisation in South airspace Block; and

New airspace sectorisation West and Central airspace blocks.

It is expected that the SW FAB Operational Plan will satisfy user needs as well as ensure, or

even increase, the established safety levels, the airspace capacity and environmental

performance through the improved ATS route network, the proposed sectorisation and the

optimised airspace structures with the introduction of the full free route airspace concept.

In order that the SW FAB can be prepared for the requirements of the airspace users, both

civil and military, it is critical that there is a clear understanding of the potential traffic

demands upon the airspace as a whole to provide an adequate airspace structure and

airspace capacity. This leads to an integrated airspace management and planning.

A coordinated traffic demand forecast for the SW FAB with Eurocontrol will be essential to be

able to allocate flexible airspace structures, from pre-validated scenarios, in an optimum

DCB.

A 5-year capacity plan will be produced by Aena and NAV Portugal that will be subject to an

annual revision and update, if and when needed.

The SW FAB common information management and sharing is also essential for an

optimum planning of ATFFCM to enable all airspace users to operate safely and cost-

effectively for any pre-validated scenario.

T The SW FAB airspace under consideration has been split into four operational airspace blocks:

• Atlantic area: West Operational Airspace Block; (for the time being, Santa María Oceanic FIR is out of the SW FAB airspace);

• Peninsular area:

Central Operational Airspace Block;

East Operational Airspace Block; • Canary area: South Operational Airspace Block.

For more details, please refer to the SW FAB ORs document (section 2.3).



The SW FAB Operational Plan provides solutions to identified demand/capacity imbalances

in an agreed collaborative process inside the SW FAB.

All these proposals are valid through the strategic planning phase and will be validated, after

their implementation, with a collaborative post-operations analysis. A post-operational

evaluation, with the involvement of all operational experts, will provide information of how

effective the Operational Plan measures are in meeting the demand. It will also be the basis

for a performance assessment of the SW FAB and an on-going driver for investments for

structural and functional improvements within the SW FAB. Any deviation from agreed KPIs

for safety, capacity, environment and cost-effectiveness will become visible in order to take

suitable action as early as possible.

A collaborative decision making process between the SW FAB civil and military partners

will permit to optimise the use of the airspace. System wide information management (SWIM)

will permit all partners inside the SW FAB, civil and military, to have a clear picture of the

past operations, current situation and forecast ATM scenarios which will facilitate the SW

FAB airspace design and capacity optimisation. For the investments, a CDM process

between the civil and military SW FAB partners will be also set up.

With regard to the SW FAB Real Time Coordination, it is necessary to harmonize real time

coordination between civil and military and military-military in both SW FAB Member States.

The civil-military coordination procedures and communication facilities shall allow real-time

activation, deactivation or reallocation of airspace allocated at FUA level 2 (pre-tactical level)

including potential cross-border areas to be established based on the arrangements

established between the military authorities. The military-military coordination procedures

and communication facilities shall allow the coordination of military operations and training

activities that require the segregation of specific areas of the SW FAB airspace covering both

Member States.

It is foreseen that the potential creation of cross-border areas and the increase demand of

cross-border operations will be a catalyst of this harmonization. At the same time the

adoption of common European rules such as Standardised European Rules of the Air

(SERA) and EUROAT4 on both SW FAB Member States will facilitate that harmonization.

The potential implementation of cross-border areas will be done in accordance with the

national legislations and the Eurocontrol Guidelines, “The ASM Handbook, Annex 9”.

The Letter of Agreement between Air Forces and ATS providers from Portugal and Spain

(Annex D) includes agreed coordination procedures in the SW FAB.

4.8.4 OPERATIONAL PROJECTS IMPLEMENTATION PLAN

The SW FAB Operational Projects Implementation Plan (see Annex N) describes the

activities to be carried out, the required resources, facilities, technical requirements,

operational requirements, a detailed plan as well as expected improvements to be achieved

by each operational project defined in the SW FAB.

4 Eurocontrol Specification for harmonised Rules for Operational Air Traffic (OAT) under Instrument Flight Rules

(IFR) inside controlled Airspace of the European Civil Aviation Conference (ECAC) Area – EUROAT.



At the same time, a detailed description of each project has been included in order to define

its scope and affectations on the current operation. Besides, the possible issues, risks and

opportunities that might arise during the implementation process defined in each

implementation schedule have been analysed. Close civil-military coordination is established

to accomplish all these projects. Thus, the military dimension is included in each project.

The project schedule considered by the SW FAB Operational Plan5 has been established

following a three-phase approach based on timeframe:

PHASE I - Short term

Restructuration of airway UN-733/A-33;

New route option for NW traffic from/to LEMG (UM-30);

New cross-border boundary limit definition;

Night direct ATS route network; and

SANTIAGO/ASTURIAS Free Route Airspace.

PHASE II - Medium term: until 2015

FIR/UIR Casablanca dualisation project; and

Restructuration of the main interface between SW FAB/Marseille FIR.

PHASE III - Long term: until 2020

SW FAB free route airspace concept phase II; and

SW FAB free route airspace concept phase III.

4.8.5 CONSISTENCY WITH THE EUROPEAN ROUTE NETWORK (ERN)

The design of the European airspace and of the SW FAB in particular, will have a significant

contribution in the context of the SES II performance requirements. Moreover, it is essential

to guarantee the consistency of the SW FAB Operational Plan proposals with the ERN

developed in the context of the ATM network functions under the responsibility of the NM.

As mentioned before the SW FAB Operational Plan has followed diverse Eurocontrol

Operational Concepts and airspace documentation thus ensuring the consistency with the

ECAC airspace network. The main reference documentation serving as the harmonised

approach to be considered in the SW FAB Operational Plan is:

the Advance Airspace Scheme (AAS);

the ATS Route Network version 7 (ARN v7); and

the Dynamic Management of the European Airspace Network (DMEAN) concept of

operations.

5 Nevertheless, according to the scope of the document, the SW FAB Operational Projects Implementation Plan is

focused on the PHASE I.



The SW FAB airspace design principles have been adopted from the airspace design

element of the AAS which proposes an airspace structure which includes direct routes and

sectorisation built on operational requirements without regard to FIR boundaries.

The airspace design projects related to the SW FAB contributions to the ARN v7 are related

to the overall development of new airspace projects within Spain. The implementation of

Free Route Operations within the entire Portuguese airspace completed the overall

improvements of the airspace structure in Portugal. Further developments in Portugal could

be expected in terms of sectorisation, depending on the evolution of the traffic demand.

Figure 3- Proposals of the SW FAB Operational Plan already included into the ARN v7

Besides, the SW FAB Operational Plan has considered the DMEAN as a valuable reference

due to its integrating and harmonizing vision of the strategies in the various domains, also

consistent with the SES mandates and with the overall SES framework.

According to the information contained in the DMEAN concept of operations it is expected

that SW FAB will be a keystone in the development of the DMEAN with the main goal of the

improvement of capacity planning, flexible airspace and sector design in accordance to the

definition of pre-determined scenarios.

In line with the operational requirements of the DMEAN concept of operations, the SW FAB

Operational Plan will offer:

sectors better adapted to meet traffic flows;



harmonised procedures;

improved preparations to meet traffic demand;

flexible sectorisation;

sector configurations as part of the pre-determined scenarios of the SW FAB and

simulated and trained prior to adoption; and

for the military, an increased flexibility to manage short term requests for airspace.

Participation of military partners inside the SW FAB airspace design process is essential and

will give advantages to both civil and military airspace users.

Annex M briefly explains the way the SW FAB Operational Plan ensures the optimum

airspace utilisation for the SW FAB and guarantees the consistency of the SW FAB

Operational Plan proposals with the European Route Network (ERN) developed in the

context of the ATM network functions.

The SW FAB 5-year capacity plan will be further consolidated, and reviewed on an annual

basis, into a 5-year European Capacity Plan with the main goal to have an integrated

overview of the capacity situation throughout the pan-European network.

The NM will be involved with those aspects of the SW FAB Operational Plan for which a

close coordination between the network management functions (NMF) and the SW FAB will

be necessary.

The SW FAB also intends to ensure the relationship with the NMF through the participation in

the development and maintenance of the "Network Strategy Plan" (NSP) and the

collaboration with the Network Manager in the preparation of the "Network Operations Plan"

(NOP). (See also article 12 of the State Agreement).

The NM shall ensure coherent integration of the SW FAB Operational Plan in the European

Route Network Improvement Plan (ERNIP), the document resulting from the D, European

Route Network Design (ERND) function. To guarantee this, SW FAB operational experts will

be involved in its elaboration and the NM shall develop appropriate working arrangements

with the SW FAB Governance Board to monitor and improve the performance of the network.

From an airspace design and capacity planning perspective, the transition to the NMF is

ensured. SW FAB civil and military operational experts will participate at the Eurocontrol’s

Network Operations Team (NETOPS) and mainly in the Route Network Development Sub-

Group (RNDSG) and the Capacity Planning Sub-Group (CaPlan SG).

The SW FAB initiative will be aware of the network situation through the Network

Management Board (NMB), together with the improvements in demand planning, flight data

and CDM, all of them essential pre-requisites for the full application of the DMEAN

operations.

SW FAB is represented alternately in the NMB by the Aena Air Navigation Director and the

NAV Portugal Director, one as representative and the other as alternate member, on a yearly

rotation basis.



4.8.6 SMOOTH AND FLEXIBLE TRANSFER OF RESPONSIBILITY FOR ATC

On the basis of the SES legislation FAB’s should be established with a view to ensure that

national airspace boundaries do not reduce the efficiency of air traffic flows.

The arrangements for cross-border provision of ATS involving Portugal and Spain are

included in the following table:

There are currently two projects going-on between the Portuguese and Spanish military

authorities related to the implementation of cross-border areas between Portugal and Spain.

These potential cross-border areas will take advantage of the possibility of using a larger

extension of airspace (continuum of airspace) for military operations and training though

these areas will not represent any additional airspace segregation. The management of

these potential cross-border areas needs a close civil-military cooperation and coordination.

The State Agreement (see article 17) includes the arrangements concerning cross-border

service provision and supervision to be established between the ANSPs and NSAs

respectively. Further to this the ANSP Agreement between NAV Portugal and Aena sets forth

the cross-border service provision arrangements.

With regard to the arrangements to enhance coordination, procedures between NAV

Portugal and Aena these may be found in the ANSP Framework Agreement.

Annex U includes the LoAs signed between NAV Portugal and Aena where the coordination

procedures to be applied by the involved ATS units have been defined.



Concerning the initiatives planned to enhance the coordination, a list of selected projects is

included in the SW FAB Operational Plan. However, it can be stated that the long term focus

of airspace planning, at a FAB level as distinct from individual State, has to be made with

common standards and procedures and the collective agreement on airspace design

solutions which will only be achieved if requirements of all parts have been properly

considered. Solutions must be justified and practical.

In other sense the SW FAB airspace design will be made in a collaborative process involving

all relevant actors, civil and military. In the context of this concept of operations, airspace

design refers to both the ATS Route Network and the ATC sectorisation.

The impact of the establishment of the SW FAB on neighbouring airspace is expected to be

minimal. Nevertheless an airspace continuum was adopted in the development of the SW

FAB ORs which will force SW FAB to regionally collaborate with its main neighbours: Office

National Des Aéroports (ONDA) Morocco and FAB Europe Central (FABEC) partners. To

take into account all these issues, a new point in the Joint AEFMP Plan (see Annex R)

related to SW FAB implementation will be included.

Also, to ensure the appropriate connectivity of the ERNIP the NM and the SW FAB shall

include third countries in the CDM process, as it is the case in the Casablanca FIR/UIR

dualisation project with ONDA Morocco as the main interface between the Iberian Peninsula

and South Airspace Block.

4.8.6.1 Civil-Military Coordination

Enhanced civil–military coordination will add flexibility and responsiveness in future civil-

military arrangements including the upgrading of the FUA concept and more efficient

management of segregated airspace on a collaborative basis.

Route activation/military airspace allocation will be made in a highly dynamic manner through

a CDM process supporting the different stakeholders’ roles and responsibilities.

This process should take into account civil traffic flows and be coordinated with reserved

airspace requests adjusted to match the military training and operational profile as required.

In this context, routes will be plannable options taking into account that the military allocated

airspace will be segregated when activated through a dynamic process.

Short notice requests for route activation and updates of military requests, significant

weather phenomena, unexpected ground or space infrastructure opportunities/limitations,

etc. will be also coordinated through these integrated functions allowing for quick decisions,

thus exploiting the airspace in a dynamic manner, minimizing the impact of any disruptions

and taking benefit of any opportunity. It also provides for improved ATM management

techniques in place to smooth traffic flows together with additional dissemination of

information flow between ATFM, ATC and airports.

Articles 20 and 21 of the State Agreement include the provisions concerning civil-military

coordination and FUA. Further to this the Letter of Agreement (LoA) between military



authorities and the two ATSPs in Portugal and Spain describes the coordination procedures

and arrangements.

4.8.7 SW FAB AIRSPACE CONFIGURATION AND ORGANISATION

Airspace classification in Portugal and Spain is fully compliant with ICAO regulations and will

be in line with the concepts of safety, continuity of services, human factors, availability of

information and co-participation included in the Operational Concept approved by ICAO in

2003 with the aim of providing the required capacity, improving safety and assuring

cooperative information practices.

Portugal and Spain are also engaged in the future implementation of the Standardised

European Rules of Air (SERA) Regulation. Once the regulation has been implemented in the

SW FAB it will facilitate harmonised application of the Rules of the Air, including the rules

applicable to airspace classification.

In the Airspace Organization and Classification document (see Annex O) there is a

description on how to achieve harmonised organisation and classification of different

airspace configurations within the SW FAB, including the principles for airspace classification

and organisation for the SW FAB and the changes of airspace configuration resulting from

the harmonisation within the SW FAB.

The changes of airspace configurations addressing an agreed and harmonised airspace

configuration are being implemented through the development of the Phase I Operational

Projects.

4.9 SUPERVISION IN SW FAB

As mentioned in section 4.5.2 of this document the civil NSAs of the SW FAB have signed an

NSA Agreement on May 17th, 2012 (see Annex E). This NSA Agreement complements the

State Agreement on supervision (article 18) with the necessary technical and procedural

details.

Section 3 of the NSA Agreement details the cooperation activities and in particular the

harmonisation of rules and procedures, the certification mechanisms of ANSPs, the oversight

of ANSPs providing cross-border services, the declarations of verification (DoV) of systems

and the safety oversight of changes.

Section 5 of the NSA Agreement includes the information exchange approach and describes

the incident and occurrences reporting method.

The NSA Agreement ensures effective and consistent oversight within the areas of

responsibility of the NSAs concerned, in conditions of transparency and mutual recognition of

the supervisory tasks and their results.



4.10 STAKEHOLDER CONSULTATION AND COMMUNICATION

Article 10 of Regulation (EC) No 549/2004 specifies that consultation mechanisms shall be

established for an appropriate involvement of stakeholders including professional staff

representative bodies, for the creation of the SES.

Following this legal pre-requisite the SW FAB Governance Board considers the stakeholder

consultation a contributing factor for a successfully implementation and operation of the SW

FAB.

During the SW FAB Development Phase a Stakeholder Consultation Forum (SCF) was

formally established as stated by the MoU signed in 2009. The SCF Terms of Reference

(ToRs) were agreed at the third Joint Supervisory Board (JSB/3). According to the ToRs the

SCF is a group for consultation and dissemination of information among the stakeholders of

the SW FAB, as well as with social agents.

To institutionalise the SCF, article 13 of the SW FAB State Agreement lays down provisions

on the SCF as consultative body of the SW FAB Governance Board.

Workshops and special meetings with the SW FAB stakeholders will be convened after the

establishment of the SW FAB as a way of informing and exchanging opinions about

progress, achievements, gaps, performance, social dialogue, etc.

The SW FAB is sensitive to the communication issues. A buy-in policy and active information

and reporting management of the SW FAB activities and progress is promoted.

SW FAB members are actively involved in many working groups and committees whose

remit includes FAB issues:

FAB Focal Point Group (FFPG);

Single Sky Committee (SSC);

Air Navigation Services Board (ANSB) of Eurocontrol;

Network Management Board (NMB)

SESAR Interim Deployment Steering Group (IDSG)

NSA Coordination Platform (NCP); and

other working groups and committees.

At institutional level SW FAB representatives have participated in different conferences and

meetings (FFPG, EU Conferences, bilateral meetings with EC and others) where the SW

FAB activities and developments have been presented (e.g. FFPG/6, EU High Level

Conference of Budapest).

As a means of communication stakeholders are informed by the SW FAB website at

www.swfab.eu. The website is updated on a regular basis and used as an information portal.

In addition, it is the technological platform for the written consultation processes.

http://www.swfab.eu/



Also, key stakeholders will be actively informed through information workshops and other

existing mechanisms. General interest stakeholders will be informed through suitable means

of communication, e.g. the internet, public reports, press releases, etc.

With regard to SW FAB cooperation with adjacent States and other FABs (inter-FAB

cooperation) due to the SW FAB situation the collaboration with the neighbouring states

through the AEFMP (Algeria, España, France, Morocco and Portugal) Agreement (see

section 4.11 below) whereby they are fully involved in some SW FAB projects should be

highlighted.

Similarly, the inter-FAB cooperation is being promoted with other FAB initiatives such as

FABEC and UK-IR FAB at the institutional level. This cooperation will bring benefits in terms

of flight efficiency, better connectivity with terminal areas and a better airspace management.

Currently the FABEC-SW FAB operational interaction is addressed through the SW FAB

Operational Task Force representatives in the AEFMP OPS working sub-group where it was

decided by all parts to establish a new point in the AEFMP agenda related to FAB

implementation.

Figure 4- Geographical situation of SW FAB and surrounding airspace

4.11 SW FAB REGIONAL AGREEMENTS

The requirements of Art 9a(2) of Regulation (EC) No 550/2004 as stipulated in sections 7

and 8 of the Part II of the Annex to the Commission Regulation (EU) No 176/2011 in mention

the need to provide the specific information on:



Regional agreements concluded within ICAO.

“The Member States concerned shall provide the list of existing regional agreements

concluded in compliance with the framework established by Annex 11 to the

Convention on International Civil Aviation which are of relevance with respect to the

establishment and operations of the functional airspace block.”

Regional agreements in existence.

“The Member States concerned shall provide a list of existing agreements concluded

by one or more of the Member States concerned, including those with third countries,

which are of relevance with respect to the establishment and operations of the

functional airspace block.”

A detailed assessment of the existing regional agreements within the ICAO and the existing

regional agreements in existence on December 4th, 2009 has been elaborated by INAC I.P.

and the Spanish DGAC. It can be concluded that the SW FAB agreements are not in conflict

with any of these other regional agreements.

4.11.1 REGIONAL AGREEMENTS CONCLUDED WITHIN THE ICAO

The SW FAB must comply with the conditions stemming from regional agreements

concluded within the ICAO. This covers regional air navigation agreements in accordance

with ICAO Annex 11 and approved by the ICAO Council. Therefore, the SW FAB State

Agreement will be registered with ICAO by virtue of Article 83 of the ICAO Chicago

Convention and in accordance with ICAO Doc 6685 - Rules for Registration with ICAO of

Aeronautical Agreements and Arrangements.

Both SW FAB Member States are signatories of the Convention of International Civil Aviation

(Chicago, December 1944) and members of the ICAO-EUR Region. They are also members

of the European Civil Aviation Conference (ECAC).

The SW FAB establishment is in accordance with the SES legislation and is currently not

subject to the process for amendment of the ICAO Regional Air Navigation Plans concerned.

4.11.2 REGIONAL AGREEMENTS IN EXISTENCE

Relevant agreements to which both SW FAB Member States are parties are:

Eurocontrol International Convention relating to Cooperation for the Safety of Air

Navigation of December 13rd, 1960, as amended by the Additional Protocol of July 6th,

1970, in turn amended by the Protocol of November 21st, 1978, all amended by the

Protocol of February 12th, 1981, and as amended and consolidated by the Protocol of

June 27th, 1997.

Multilateral Agreement relating to route charges of February 12th, 1981.

Euro-Mediterranean Aviation Agreement between the European Community and its

Member States and the Kingdom of Morocco (December 2006).



Joint AEFMP Plan (October 2002) as the result of the merging of the former EFP

(1991) and AEFMP (1996) Plans. This Plan is developed by the ANSPs of Algeria,

Spain, France, Morocco and Portugal. (Joint AEFMP Plan Achievements in Annex Q).

Several agreements between Portugal and Spain in relation with Air Defence and Military

Cooperation (including SAR) are:

Cooperation Protocol between the Minister of Defence of the Kingdom of Spain and

the Minister of Defence of the Republic of Portugal;

Technical Agreement of cooperation and mutual support between Air Defence

System of the Kingdom of Spain and the Republic of Portugal; and

Technical Agreement in relation with facilitation of mutual overflight and landing of

military aircraft.

Details of arrangements and LoAs concluded between Portugal and Spain in relation to

cross-border arrangements and for ATS provided by an ATSP certified by a State in the

airspace falling under the responsibility of another State are contained in section 14.2.3 of

the Portugal and Spain LSSIP6 (2011-2015) documents.

6 Local Single Sky ImPlementation



5 SW FAB PERFORMANCE EXPECTATIONS

5.1 SAFETY

Safety is considered a prerequisite of implementing the SW FAB and will be the basis for the

development of the operational concept and all the projects considered. Taking this in mind,

safety has been adequately considered at all phases of the SW FAB development and

properly addressed in the agreements signed between the SW FAB Member States, NSAs

and ANSPs.

The SW FAB safety management will become a systematic and structured process which will

be integrated in all operational aspects (airspace design) and technical support (advance

controller tools) for the implementation of operational measures.

Consequently, safety analysis will be essential prior to any of the operational proposals entry

into operation. In this line, every SW FAB project will have a safety assessment aligned with

the Safety Assessment Methodology (SAM) from Eurocontrol.

Comprehensive activities for the development of safety assurance for the establishment of

the SW FAB have been carried out and this is reflected in the Safety Case (Annex K). It

provides the justification, with extensive argument and evidence, for the overall safety claim:

“SW FAB safety management and oversight arrangements are sufficient and

appropriate to enable safe ANS provision”.

Article 7 of the State Agreement outlines the main provisions regarding the SW FAB safety,

including the development and establishment of a common safety policy in the SW FAB.

5.1.1 SW FAB SAFETY CASE (SC)

The decision to establish the SW FAB, together with possible physical changes to the ATM

infrastructure, requires that all practical measures shall be taken to minimize the impact on

the present safety level in the airspace. Therefore, a Safety Case (SC) is developed with the

objective to demonstrate that the proposed organizational, operational and technical changes

to the present ATM environment and infrastructure can be implemented safely.

The aim of this SC is to outline the structure for demonstrating that the SW FAB and the

transfer of operations from the current situation to the full operation of the SW FAB is

acceptably safe for operations and will remain acceptably safe.

The SC forms the basis for future changes. Changes will be managed according to

Commission Regulation (EU) No 1035/2011 of October 17th, 2011 laying down common

requirements for the provision of air navigation services and amending Regulations (EC) No

482/2008 and (EU) No 691/2010. It is a living document which will be revised and maintained

as necessary throughout the lifetime of the SW FAB.

As stated in the Annex of the Commission Regulation (EU) No 176/2011 (Part II-1) regarding

the FAB safety case, the SC shall refer (provide arguments and evidence) as a minimum to

the existence/plans to establish:



the common safety policy or plans to establish a common safety policy;

a description of the arrangements dealing with accident and incident investigation

and plans on how to address safety data collection, analysis and exchange;

a description of the way in which safety is being managed to avoid degradation in

safety performance within the functional airspace block;

a description of the arrangements clearly identifying and allocating the

responsibilities and interfaces with relation to the setting of safety targets, safety

oversight and the accompanying enforcement measures in regard to the provision of

air navigation services within the functional airspace block; and

documentation and/or statements that the safety assessment including hazard

identification, risk assessment and mitigation has been conducted before

introducing operational changes resulting from the establishment or modification of

the functional airspace block.

The SW FAB SC has three levels: State level, NSA level and ANSP level. The Goal

Structuring Notation (GSN) argumentation covers all 3 levels as well as the system elements

(airspace, equipment, procedure and human factors).

The information that will be provided to the European Commission should address the following:

Safety management arrangements at State, NSA and ANSP level;

Harmonisation/enhancement of ANSPs SMSs (SMS Roadmaps); and

Safety assessment of operational changes related to FAB establishment or

modification.

The SC provides assurance in the form of arguments and evidence to support the claim that:

“SW FAB safety management and oversight arrangements are sufficient and appropriate to

enable safe ANS provision”.

A high-level view of the safety argument structure is presented in the form of GSN.

The overall argument is structured as shown in Figure 5 below.



G 1 SW FAB has plans to establish a common

safety policy

G 0SW FAB safety managementand oversight arrangements

are sufficient and appropriateto enable safe ANS provision

Str 0Argue that FAB safety regulatory framework,

safety oversight and safety management arrangementsmeet the FAB safety case requirements of the FAB-IR

AssumptionsA01. Current ANS provision in SW FAB

airspace is safeA02. Be/remain safe = adequate

regulatory framework plus organisations, arrangements andprocesses are in place to overseeand manage safety

ContextSES legislation and in particularC01. EC Regulation 550/2004. Article 9aC02. EC Regulation 176/2011 (FAB-IR)

G 2Adequate arrangements exist

for reporting & investigation of

A & I, including data collection, analysis and exchange

G 3Safety is managed to

prevent degradation in

FAB safety performance

G 4Adequate arrangements exist

and responsibilities are

assigned for safety targetssetting and safety oversight

G 5Operational changes resulting from FAB establishment and modification are subject to adequate safety assessment

Diagram B1

Diagram B2 Diagram B3 Diagram B4

Diagram B5

Figure 5- Overall Argument Structure of the SW FAB Safety Case

G0, the top-level argument, is dependent on the following five-part argument comprising G1

to G5. These sub-arguments (G1 to G5) are the five SES requirements from Commission

Regulation (EU) No 176/2011 (Annex Part II 1) regarding the FAB safety case.



The following tables show the evidences of the safety arguments demonstrating their validity.

E1 Ref. to State/NSA/ANSP Safety

Policy Documents

E2 Ref. to NSA and ANSP manuals

E3 Ref. to State/NSA/ANSP

Agreements (as appropriate)

E4 Ref. to appropriate

State/NSA/ANSP documents

Argument Evidence Summary

G 1-1 Both Spain and Portugal have

published safety policies and

a process exist to modify their

safety policies

G 1-2 A process exist to establish

and modify SW FAB safety

policy

G 2-1 Safety investigation

Authorities (SIA) exist.

E5 Ref. To SIAs ToR


G 2-2-1 SIAs have documented

procedures for A & SI

investigation in compliance

with Annex 13 and Regulation

996/2010 requirements.

E6 Ref. to SIA manuals

E7 Ref. to FAB State Agreement

E8 Ref. to SIA manuals

E9 Ref. to FAB State Agreement

E10 Ref. to SIA documents


G 2-2-2 Documented notification

procedures and arrangements

for A & SI investigation exist for

the case of cross-border service

provision.

G 2-2-3 Plans /arrangements exist for

safety data collection, analysis

and exchange at State/SIA

level.



G 2-3-1 CAAs/NSAs have documented

procedures for dealing with A

& I reporting & investigation.

E11 Ref. to NSA manuals

E12 Ref. to NSA Agreement


E14 Ref. to NSA Agreement

E15 Ref. to NSA documents


G 2-3-3 Plans /arrangements exist for

safety data collection, analysis

and exchange at CAA/NSA

level.

G 2-3-2 Documented CAA/NSA

notification procedures and

arrangements exist for dealing

with reporting and

investigation of A & I, for the

case of cross-border service

provision.

G 2-4-1 ANSPs have documented

procedures for A & I reporting

and incident investigation.

E16 Ref. to ANSP SMMs



E20 Ref. to ANSP Agreement and/or

SMS Roadmap



notification procedures and

arrangements for incident

investigation, for the case of

cross-border service provision.

G 2-4-3 ANSPs have plans

/arrangements for safety data

collection, analysis and

exchange.

Ref. to ANSP Agreement and/or

SMS Roadmap

E17


E22 Ref. to ANSP certificats

G 3-1 SW FAB ANSPs have SMSs

compliant with the regulatory

requirements.


E23 Ref. to ANSPs CM procedure (SMSMs)

E24 Ref. to NSA manual

E25 Ref. to NSA audit reports

Evidence Summary G 3-2 Change management is applied

in compliance with Reg 1034/2011 & 1035/2011.

Argument



E26 Ref. to State/NSA/ANSP

agreements

E27 Ref. to the body’s ToR

E28 The FAB set of SPIs and SMS

Roadmap

E29 Ref. to FAB/State performance

plans

E30 Ref. to NSA agreemnt


E32 Ref. to ANSPs SMMs and perf.

plans

E33 Ref. to SP-related

documentation; SMS maturity


G 3-3-1 A monitoring body is

designated at FAB level.

G 3-3-2 Safety PI have been defined

and performance plans

established in line with

Regulation 691/2010.

G 3-3-3 NSAs have adequate safety

performance oversight

arrangements and procedures.

G 3-3-4 ANSPs have adequate safety

performance management

arrangements and procedures.

G 3-4 Safety management in SW FAB

will be harmonised and

enhanced.

E34 Ref. to FAB SMS Roadmap


E35 Ref. to NSA/ANSP

manuals/SMMs


plans


G 4-1 Responsibilities for safety

target setting in SW FAB are

identified and allocated.

E37 Ref. to FAB agreements and

FAB/State perf. plans

E38 Ref. to NSA/ANSP documents

/SMMs

G 4-2 Arrangements, processes and

the interfaces for safety target

setting are documented.

Evidence SummaryArgument

E39 Ref. to SSPs / NSPs


plans

G 4-3 Safety targets have been

defined at State and/or FAB

level.




E41 Ref. to NSA documents

E42 Ref. to State/NSA agreements





E47 Ref. to NSA/ANSP agreements

E48 Ref. to ANSPs SMMs

G 4-4-3 Arrangements, roles and

responsibilities for imposition

and follow up of enforcement

measures at FAB level are

defined.


procedures to support proper

oversight and implementation

of enforcement measures.

G 4-4-1 Responsibilities for safety

oversight in SW FAB are

defined and allocated.

G 4-4-2 Safety oversight arrangements

are adequate and documented.



E50 Ref. to the list of FAB ops

changes


E52 Ref. to NSA/ANSP manuals

E53 Ref. to relevant safety cases

E54 Ref. to implementation

documents




G 5-1 ANSPs apply documented

procedures for identification

and assessment of operational

changes.

Argument

G 5-2 Arrangements and process

exist for safety assessment of

operational changes having

cross-border impact.

G 5-3 Operational changes have been

assessed and appropriate

mitigation measures identified

and implemented.

G 5-4 Safety cases are subject to

adequate endorsement and

acceptance process.

Evidence Summary



5.2 OVERALL ADDED VALUE

This section summarises the Cost Benefit Analysis (CBA) that has been developed in order

to support the implementation of the SW FAB, providing evidence that it is justified by its

overall added value, including optimal use of technical and human resources, as stated in

Article 9a of Regulation (EC) No 550/2004 on service provision as amended by Regulation

(EC) No 1070/2009. This CBA has been developed by the main SW FAB ANSPs, NAV

Portugal and Aena, with the collaboration of the other SW FAB stakeholders.

The objective of the CBA is to analyse financial and non-financial benefits and costs in the

framework of the SW FAB, including effects to both civil ANSPs and other stakeholders such

as airspace users and the environment (externalities).

Nevertheless, it is important to point out that this CBA only reflects the collaboration among

SW FAB ANSPs, and in particular focuses on certain operational projects and on specific

collaboration in systems (FDP7 System for en-route and approach control) since these two

lines of action have a high degree of maturity, but this does not exclude the possibility of

progressively extending the foreseen collaboration in the near future under the auspices of

the SW FAB institutional framework. Consequently, the results of the CBA are to be

considered as highly conservative taking into account the global potentiality of the SW FAB.

Detailed information about the CBA is found in Annex P.

5.2.1 CBA WORKING METHODOLOGY

The CBA has been performed using the cash-flow principle and the discounted cash flow

analysis, determining the Net Present Value (NPV) over the considered timeframe. It is

based on current knowledge and assumptions regarding the scenarios, which will need to be

further detailed in next phases. The results at this stage will therefore be associated with

uncertainty as a simplified approach has been used for scenarios, in special there are some

specific uncertainties related to the calculation of potential savings from ATS optimization.

The results are based on the data received from the ANSPs and all assumptions are clearly

detailed, so data and estimates have been validated to the possible extent.

Detailed information about CBA hypothesis and assumptions is found in section 1.1.3.2 of

the CBA document.

The CBA is composed of the analysis of a number of concrete projects/initiatives in the

operational and systems domain, as the SW FAB implementation is planned as a successive

phased implementation of these projects/initiatives until 2020.

Regarding the operational projects, in order to evaluate the flight distance saving and/or the

capacity increase, a fast time simulation has been done for most of the considered projects.

The Eurocontrol Medium-Term Traffic (MTF) forecast published in February 2012 has been

used for traffic.

7 Flight Data Processing



5.2.2 CBA SCENARIOS

The analysis developed includes the method and results of a high level CBA considering two

scenarios (Scenario 1 -minimum- and Scenario 2) for SW FAB evolution in the period 2012-

2021. When it has been deemed necessary, a projection of the results has been made

assuming that the financial benefits and costs in these years will be proportional.

Costs and benefits of both scenarios are compared to a baseline scenario (working

hypothesis to develop the qualitative analysis of the benefits that the implementation entails),

that describes what the situation would be in 2012-2021 if the SW FAB were not established,

considering effects of on-going development strategies, as SESAR collaborative works and

planned ANSP’s investments.

Scenario 1 (minimum scenario)

Scenario 1 (minimum scenario) considers the extra effects if the SW FAB is implemented

following the next benefit realisation initiatives and timeframe:

Operations collaboration: scenario 1 considers the following three chronological phases for

the implementation of the identified operational projects:

PHASE I - Short term

PHASE II - Medium term: implementation in 2015; and

PHASE III - Long term: implementation in 2020

System collaboration: Scenario 1 considers a full joint collaboration of Aena and NAV

Portugal in the field of ATC systems from 2017 onwards.

Scenario 2

Scenario 2 considers the additional effects if the SW FAB is implemented following the next

benefit realisation initiatives and timeframe:

Operations collaboration: Scenario 2 considers the following three chronological phases

for the implementation of the identified operational projects, being the main difference with

Scenario 1 being the advancement of the date of implementation scheduled for Phase III:

PHASE I - Short term;

PHASE II - Medium term: implementation in 2015; and

PHASE III - Long term: implementation in 2018

System collaboration: Scenario 2 considers the same collaboration between NAV Portugal

and Aena as Scenario 1, but with an earlier implementation date from 2015 onwards.



5.2.3 EVALUATION OF BENEFITS

A qualitative and quantitative evaluation of benefits regarding SW FAB collaboration, both

operational and in the systems domain is developed in sections 5 and 6 of the CBA study,

distinguishing between Scenario 1 (minimum scenario) and Scenario 2.

5.2.3.1 Qualitative Assessment

a) SW FAB operations collaboration

An identification of the operational improvements to be achieved by each operational project

identified in the SW FAB framework, according with the SW FAB ORs, is shown in the Figure

6 below.

The estimated improvements for these projects are qualitative8 in accordance with the KPIs9

developed in the SW FAB Operational Requirements.

OPERATIONAL PROJECT (PHASE I) SAF CAP EF ENV NS&D ASM PM INT

RESTRUCTURING OF AIRWAY UN-733/A-33 H L M L - H L -

NEW ROUTE OPTION FOR NW TRAFFIC FROM/TO

LEMG - M H L - L M -

NEW CROSS BORDER BOUNDARY LIMIT

DEFINITION & NIGHT DIRECT ATS ROUTE

NETWORK

- - M M - H M -

SANTIAGO/ASTURIAS FREE ROUTE AIRSPACE - L H M - H M M

OPERATIONAL PROJECT (PHASES II & III) SAF CAP EF ENV NS&D ASM PM INT

FIR/UIR CASABLANCA DUALISATION PROJECT H M H M - H M -

RESTRUCTURING OF MAIN INTERFACE BETWEEN

SW FAB/MARSEILLE M M L L - M L M

SW FAB FREE ROUTE AIRSPACE CONCEPT PHASE II L L M M - H M -

SW FAB FREE ROUTE AIRSPACE CONCEPT PHASE III L L M M - H M -

Figure 6- Qualitative benefits vs. KPIs per operational project

8 Impact in the project: (-) not addressed; (L) Low impact; (M) Medium impact; (H) High impact.

9 The Key Performance Indicators (KPIs) are: Safety (SAF); Capacity (CAP); Flight efficiency (EF); Environment

(ENV); National Security & Defence requirements (NSD); Airspace organisation & management (ASM);

Performance management (PM) and Interaction with other FAB’s (INT).



b) SW FAB systems collaboration

A qualitative evaluation of benefits focused on the synergies between the investments in the

ATC systems is provided.

The global mark rating for each of the decisions which are is the object of the analysis will

result from the calculation of the average of the individual marks ratings of the characteristics

or aspects taken into account in such decision.

The following table summarizes the results obtained.

Synergy between the ATC systems

Aspect Rating10

INTEROPERABILITY 2

CAPACITY 2

SAFETY 2

PRODUCTIVITY 2

COST 0

QUALITY 1

ARCHITECTURE 1

INFLUENCE IN EUROPE 2

TRAINING AND PROCEDURES

2

CULTURAL AFFINITY 1

Average 1,50

5.2.3.2 Quantitative Assessment11

The main stakeholders in the quantitative analysis include the following parties:

Air Navigation Service Providers (ANSPs);

Airspace users (AUs); and

Externalities, which includes the environmental impact (CO2 and NOX emissions).

Figures 7 and 8 present a summary of the quantitative benefits per operational project and

main stakeholder in scenarios 1 and 2 in terms of incremental values with regard to a

baseline scenario.

10

Very positive effect (2); positive effect (1); neutral effect (0); negative effect (-1); very negative effect (-2) 11

Regarding the systems collaboration between AENA and NAV Portugal, only the qualitative benefits are evaluated in this CBA. The quantitative evaluation of benefits will be determined once both SW FAB Member States agree on the scope of collaboration in this area.



Figure 7- Stakeholder quantitative benefits per operational project (Scenario 1)

Figure 8- Stakeholder quantitative benefits per operational project (Scenario 2)

5.2.4 CBA RESULTS

Figure 9 summarizes the main CBA results regarding financial effects (expressed in

monetary terms) of both considered scenarios as compared to the baseline situation,

showing the overall added values of the SW FAB at large (for a timeframe between 2012 and

2021) and, taking into account that the SW FAB will be established by December 4th, 2012.

SW FAB Scenario 1 Scenario 2

ANSPs' savings

NPV (€)

-149.943 -180.410

Airspace users' savings 54.621.036 56.509.110

Externalities' savings 296.219 518.462

Savings in the period 2012-2021 considering all effects 54.767.312 56.847.162

Figure 9- Overview of financial effects in the period 2012-2021 (results expressed using NPV)



Both scenarios are characterized by substantial benefits for air navigation service providers,

airspace users and the environment however the table only reflects costs for ANSPs since

for the systems collaboration between NAV Portugal and Aena, the CBA has only assessed

qualitative benefits. The quantitative evaluation of benefits will remain to be determined until

both SW FAB Member States agree the scope of collaboration in this respect.

Regarding the operational projects, it is necessary relatively limited implementation costs for

ANSPs. The larger benefits comes from the implementation of Free Route Airspace (FRA),

so as the initial year of the projects “SANTIAGO/ASTURIAS Free Route Airspace” and “Night

Direct ATS route network” implies a high impact on the airspace users/externalities benefits,

the sooner the projects begin, the higher the benefits.

Considering the high costs associated with the development of ATM/CNS systems, there is a

high potential for cost reduction, even more considering that the current ATM systems of

both main SW FAB ANSPs are developed on different technological bases. This is the main

reason of the great added value for ANSPs that the planned collaboration in systems in the

SW FAB framework would represent.

5.3 ATM/CNS SYSTEMS COOPERATION

An objective of the SW FAB is to improve the CNS/ATM services for the provision of ATS

provided in the SW FAB airspace.

In order to carry out these aspects, several agreements and arrangements concerning the

collaboration for achieving harmonised and interoperable technical systems on a cost-

efficient deployment of infrastructure for the provision of ATM/CNS services have been

concluded by the two en-route ATSPs, NAV Portugal and Aena.

The ANSP Framework Agreement between NAV Portugal and Aena specify that for a close

cooperation in communications, navigation and surveillance (CNS) issues, the following

ATM/CNS system related activities will be developed:

a) optimization of the use of technical resources, increasing harmonised technology,

systems and their associated support processes therefore avoiding unnecessary

redundancies in technical ATM/CNS facilities and equipment while maintaining a high

level of safety in all operations;

b) increased interoperability in systems and procedures while supporting the timely

sharing and exchange of information, covering all phases of flight, and adapting

technical infrastructure to ensure a smooth and flexible transfer of responsibility for

ATC between ATS units;

c) alignment of both companies CNS development and deployment strategies,

identifying and using potential synergies between AENA and NAV Portugal in the

CNS fields; and

d) facilitate the introduction of new concepts and supporting technology.



Also they will cooperate to deal with planning activities from a strategic point of view, directly

linked with the European ATM Master Plan and focused on EU requirements, such as:

a) alignment of each company’s individual medium and long term development &

deployment plans, outlining respective strategic plans for the evolution of CNS

infrastructure, ATM Systems and ATM services, at the light of EU requirements, as

well as identifying areas in which both companies have the same converging

objectives (operationally, technologically, geographically, training and time-wise);

b) facilitation of the aggregation of Portuguese and Spanish national performance

targets, highlighting the consistency with the European Union-wide performance

targets;

c) support the European ATM Master Plan refinement and update processes; and

d) support SESAR development and deployment12.

An agreement on the Shared Use of Services and/or Facilities included as Annex II of the

Framework Agreement between Aena and NAV Portugal has also been reached (see Annex

J).

The purpose of this Agreement is to integrate the different existing agreements for the

sharing of different services and/or facilities owned and/or operated by the parties, therefore

establishing a collaboration framework based upon the principle of fairness and reciprocal

compensation and mutual benefit that will enable the co-operation between NAV Portugal

and Aena in air navigation services.

The scope of collaboration is to cover, but is not limited to, the following items:

Shared use of Surveillance Data;

Shared use of Common ICAO Data Interchange Network (CIDIN) connection; and

Shared use of On-Line Data Interchange (OLDI) services

Other agreements in other system domains are expected to be developed within the SW

FAB umbrella.

During the previous phase of preparatory work a set of deliverables has already been

produced:

Data Compilation CNS/ATM reports (see Annex T), which include an inventory of the

CNS/ATM system in NAV Portugal and Aena;

SW FAB RCIP (Regional Convergence and Implementation Plan) based on the

AEFMP RCIP (see Annex S) updated with SW FAB projects.

12

It is important to highlight the collaboration in the SESAR programme through to the Memorandum of Cooperation (MoC) for the SESAR Research Assistance Subcontract between Aena and NAV Portugal (see Annex I). Under this agreement, NAV Portugal participates in the SESAR Programme as Associate Partner of Aena (as SJU member).



CBA including a gross assessment of the expected impact of the collaboration on

CNS/ATM activities.

5.4 CONSISTENCY WITH EU-WIDE PERFORMANCE TARGETS

In accordance with the provisions of the Commission Regulation (EU) No 691/2010 the SW

FAB Member States decided to submit in June 2011 their national performance plans (NPPs)

individually (at national level only) with a common SW FAB section for the first reference

period (RP1: 2012-2014).

The two NSAs, INAC I.P. and AESA coordinated the work to produce their NPPs with the

other parties’ involved (military authorities, meteorological NSAs and meteorological services

providers and the two main ATSPs, NAV Portugal and Aena).

A meeting held on May 31st, 2011 in Lisboa was organised to present the NPPs of Portugal

and Spain to the stakeholders.

The aggregated performance targets highlighting the consistency with the European Union-

wide performance targets at FAB level, as specified in Article 5(3) of Regulation (EU) No

691/2010 were provided to the European Commission for its information in May 2012 on the

basis of NPPs submitted.

As stated in article 22 of the State Agreement the aim is to elaborate and adopt a joint

performance plan for the SW FAB consistent with the European Union-wide performance

targets and an appropriate incentive scheme, taking security and defence needs into

account. In such case, appropriate arrangements regarding elaboration, performance

elements and targets definition, adoption, implementation and monitoring of the performance

indicators and plan, taking into account the regional singularities of the different areas

pertaining to the SW FAB will be developed. The Supervisory Authorities Committee shall

address all matters related to the performance of the SW FAB and report to the SW FAB

Governance Board in particular on performance issues (article 11 of State Agreement).



6 COMPLIANCE TABLES WITH EC FAB INFORMATION REQUIREMENTS

6.1 ANNEX PART I: GENERAL INFORMATION

Requirement from Annex to Regulation (EU) No 176/2011 Availability of information in SW

FAB documentation Comments

Point 1. The Member States concerned shall specify:

(a) the point of contact for the functional airspace block. SW FAB Summary Compliance Document

(section 4.3)

(b) the defined dimensions of the functional airspace block.

SW FAB Summary Compliance Document

(section 4.4)

SW FAB State Agreement (article 4)-

Annex C

(c) the jointly designated air traffic service providers and meteorological

service providers, if applicable, and their respective areas of responsibility.


(section 4.7.1)


Annex C

(d) the providers of air traffic services providing services without certification

in accordance with Article 7(5) of Regulation (EC) No 550/2004 and their

respective areas of responsibility.


(section 4.7.2)

Point 2. The Member States concerned shall provide the following information on the arrangements concluded regarding the establishment or

modification of the functional airspace block, including:

(a) copy of the documents which reflect the mutual agreement of the Member

States concerned to establish the functional airspace block; SW FAB State Agreement - Annex C

The State Agreement Draft has

been agreed by the CAAs of

Portugal and Spain (INAC I.P. and

DGAC) through the Joint

Declaration on the establishment

of the SW FAB signed on May

17th

2012 (Annex B) as

Attachment 1.



(b) information on the arrangements between the national supervisory

authorities in the functional airspace block;

NSA Agreement between INAC I.P. and

AESA- Annex E

The NSA Agreement has been

signed by the NSAs of Portugal

and Spain (INAC, I.P. and AESA)

on May 17th, 2012.

(c) information on the arrangements between the air traffic service providers

in the functional airspace block;

Memorandum of Understanding between

Aena and NAV Portugal- Annex F

Revised Letter of Intent (LoI) between

Aena and NAV Portugal- Annex G

Framework Agreement between Aena and

NAV Portugal for the establishment of the

SW FAB- Annex H,

As annexes of this Agreement:

Subcontract with NAV Portugal to

become an associate member of Aena

in SESAR JU Projects- Annex I

SW FAB Agreement on the shared use

of services and/or facilities- Annex J

Letter of Agreement between military

authorities and civil en-route ATSP-

Annex D

Letters of Agreement (LoAs) between

Portugal and Spain in relation to cross-

border arrangements within the SW FAB

and for ATS provided by an ATSP

certified by a State.

SW FAB State Agreement- Annex C

The ANSP Framework Agreement

between Aena and NAV Portugal

for the establishment of the SW

FAB including its Annexes has

been signed on June 18th, 2012.

Letters of Agreement (LoAs)

between Portugal and Spain are

contained in section 14.2.3 of the

Portugal and Spain LSSIP (2011-

2015) documents.

(d) information on arrangements between competent civil and military

authorities in respect of their involvement in the governance structures of the

functional airspace block.


authorities and civil en-route ATSP -

Annex D

SW FAB State Agreement- Annex C



6.2 ANNEX PART II: REQUIREMENTS OF ART. 9(A) OF REGULATION (EC) NO 550/2004



1. Functional Airspace Block Safety Case.

The following information shall be provided:

(a) the common safety policy or plans to establish a common safety policy;

SW FAB Safety Case- Annex K


Annex C

(b) description of the arrangements dealing with accident and incident

investigation and plans on how to address safety data collection, analysis

and exchange;


SW FAB State Agreement (articles 24 and

25)- Annex C

NSA Agreement- Annex E

(c) description of the way in which safety is being managed to avoid

degradation in safety performance within the functional airspace block;



(d) description of the arrangements clearly identifying and allocating the

responsibilities and interfaces with relation to the setting of safety targets,

safety oversight and the accompanying enforcement measures in regard to

the provision of air navigation services within the functional airspace block;



Annex C


(e) documentation and/or statements that the safety assessment including

hazard identification, risk assessment and mitigation has been conducted

before introducing operational changes resulting from the establishment or

modification of the functional airspace block.






2. Optimum use of airspace, taking into account air traffic flows.

The Member States concerned shall provide the following information:

(a) description of the relations with the relevant network functions for

airspace management and air traffic flow management referred to in Article 6

of Regulation (EC) No 551/2004 of the European Parliament and of the

Council, including the coordination, arrangements and procedures to achieve

optimised use of the airspace

SW FAB Operational requirements -

Annex L;

Optimum Airspace Utilization- Annex M


Annex C



Annex D

(b) in respect of airspace management within the functional airspace block

not covered by the network functions referred to in Article 6 of Regulation

(EC) No 551/2004, information on:


Annex L;



Annex C



Annex D

- The arrangements for an integrated management of the airspace;

- The provisions for sharing of airspace management data;

- The arrangements for an effective cooperative decision making;

(c) in respect of real time coordination within the functional airspace block: SW FAB Operational requirements -

Annex L;


SW FAB State Agreement (articles 16, 17

and 21)- Annex C



SW FAB- Annex H



Annex D

- a description of how cross-border activities are managed if new areas are created resulting from the establishment or modification of the functional airspace block.





3. Consistency with the European route network.

The Member States concerned shall provide information to demonstrate that

route design and implementation for the functional airspace block is

consistent with, and completed within, the established process for overall

coordination, development and implementation of the European route

network referred to in Article 6 of Regulation (EC) No 551/2004.

SW FAB Operational requirements-

Annex L



Annex C

Note: Member States concerned may refer to information already provided to the Commission as part of the implementation of the single European sky.



4. Overall added value based on cost-benefit analyses.

The Member States concerned shall provide statements confirming that:

(a) the cost-benefit analysis was conducted according to industry standard

practice, using among others discounted cash flow analysis; Cost Benefit Analysis- Annex P

(b) the cost-benefit analysis provides a consolidated view of the impact of the

establishment or modification of the functional airspace block on the civil and

military airspace users;

Cost Benefit Analysis- Annex P

(c) the cost-benefit analysis demonstrates an overall positive financial result

(net present value and/or internal rate of return) for the establishment or

modification of the functional airspace block;

Cost Benefit Analysis- Annex P

(d) the functional airspace block contributes to a reduction of the aviation

environmental impact; Cost Benefit Analysis- Annex P



(e) values for costs and benefits, their sources and the assumptions made to

develop the cost-benefit analysis were documented; Cost Benefit Analysis- Annex P

(f) the main stakeholders were consulted and provided feedback on the costs

and benefit estimates which are applicable to their operations. Cost Benefit Analysis- Annex P



5. Ensure smooth and flexible transfer of responsibility for air traffic control between air traffic service units.

The Member States concerned shall provide information to demonstrate that the transfer of responsibility for air traffic control is smooth and flexible within

the functional airspace block. This shall include the following information on the changes introduced by the establishment or modification of the functional

airspace block:

(a) a description of the arrangements for cross border provision of air traffic

services;


Annex L;



Annex C



SW FAB- Annex H



Annex D

(b) the arrangements concluded to enhance coordination procedures

between the concerned air traffic service providers within the functional

airspace block and further planned initiatives to enhance coordination


Annex L;


SW FAB Operational Projects

Implementation Plan- Annex N

SW FAB State Agreement (article 20 and



21)- Annex C



SW FAB- Annex H



Annex D

Letters of Agreement between NAV

Portugal and Aena concerning

coordination procedures between ATS

units involved- Annex U

(c) a description of the arrangements concluded to enhance coordination

procedures between the concerned civil and military air traffic service

providers and further planned initiatives to enhance coordination in line with

the concept of flexible use of airspace;


Annex L;




SW FAB State Agreement (article 20 and

21)- Annex C



SW FAB- Annex H



Annex D

(d) a description of the arrangements concluded to enhance coordination

procedures with the concerned adjacent air traffic service providers, and

further planned initiatives to enhance coordination.


Annex L;






SW FAB- Annex H





6. Ensure compatibility between the different airspace configurations, optimising, inter alia, the current flight information regions.

The Member States concerned shall provide information on the available plans how to achieve harmonised organisation and classification of different

airspace configurations within the functional airspace block. The plans shall include:

(a) the principles for airspace classification and airspace organisation for the

functional airspace block;


Annex L;

Airspace Organization and Classification-

Annex O.

(b) the changes of airspace configuration resulting from the harmonisation

within the functional airspace block.


Annex L;

Airspace Organization and Classification-

Annex O.



7. Regional agreements concluded within the ICAO.

The Member States concerned shall provide the list of existing regional

agreements concluded in compliance with the framework established by

Annex 11 to the Convention on International Civil Aviation which are of

relevance with respect to the establishment and operations of the functional

airspace block.


(section 4.11.1)



Requirement from Annex to Regulation (EU) 176/2011 Availability of information in SW


8. Regional agreements in existence.

The Member States concerned shall provide a list of existing agreements

concluded by one or more of the Member States concerned, including those

with third countries, which are of relevance with respect to the establishment

and operations of the functional airspace block.


(section 4.11.2)

Joint AEFMP Plan Achievements- Annex

Q

Joint AEFMP Plan-Annex R

AEFMP Regional Convergence and

Implementation Plan (RCIP)- Annex S

CNS/ATM Data Compilation Reports-

Annex T

Joint AEFMP Plan (October 2002)

as the result of the merging of the

former EFP (1991) and AEFMP

(1996) Plans

The CNS/ATM Data Compilation

annex contains two reports: one

corresponds to the Aena inventory

and the other is the NAV Portugal

inventory.



9. European Union-wide performance targets.

The Member States concerned shall provide information on the

arrangements concluded in order to facilitate consistency with the European

Union-wide performance targets referred to in Article 11 of Regulation (EC)

No 549/2004.

SW FAB Summary Compliance Document (section 5.4)

SW FAB State Agreement (article 22)- Annex C

RP1 Performance Plans have

been individually elaborated by

Portugal and Spain and delivered

and revised by the EC.

SW FAB aggregated performance

data included in a common

section of NPPs.

Note: Member States concerned may refer to information already provided to the Commission under the provision of Article 5 of Commission Regulation

(EU) No 691/2010.



7 ANNEXES

Annex A: Cover Letter for Documentation Submission

Annex B: Joint Declaration between Instituto Nacional de Aviação Civil, I.P.

(INAC I.P.) and Dirección General de Aviación Civil (DGAC) on the SW FAB

Portugal Spain initiative, signed on May 17th 2012

Annex C: SW FAB State Agreement (proposed text to be signed by the

Ministers before December 4th 2012)

Annex D: Letter of Agreement between military authorities and civil en-route

ATSP of Portugal and Spain (proposed text for signature)

Annex E: NSA Agreement between Instituto Nacional de Aviação Civil, I.P.

(INAC I.P.) and Agencia Estatal de Seguridad Aérea (AESA), signed on May 17th

2012

Annex F: Memorandum of Understanding between Aena and NAV Portugal,

signed on May 16th 2001

Annex G: Revised Letter of Intent (LoI) between Aena and NAV Portugal,

signed on February 29th 2008

Annex H: Framework Agreement between Aena and NAV Portugal for the

establishment of the SW FAB, signed on June 18th, 2012

Annex I: Subcontract with NAV Portugal to become an associate member of

Aena in SESAR JU Projects, signed on November 18th 2010 (This agreement is

the Annex 2 of the MoU between NAV Portugal and Aena)

Annex J: SW FAB Agreement on the shared use of services and/or facilities

(This Agreement is the Annex 2 of the Framework Agreement between NAV

Portugal and Aena)

Annex K: SW FAB Safety Case

Annex L: SW FAB Operational Requirements

Annex M: SW FAB Optimum Airspace Utilization

Annex N: SW FAB Operational Projects Implementation Plan



Annex O: SW FAB Airspace Organization and Classification

Annex P: Cost Benefit Analysis

Annex Q: Joint AEFMP Plan Achievements

Annex R: Joint AEFMP Plan

Annex S: AEFMP Regional Convergence and Implementation Plan (RCIP)

Annex T: CNS/ATM Data Compilation Reports

T-1: Aena Report

T-2: NAV Portugal Report

Annex U: Letters of Agreement between NAV Portugal and Aena concerning

coordination procedures between ATS units involved

U-1: LoA between Madrid ACC (LECM) and Lisboa ACC (LPPC)

U-2: LoA between FARO TWR and Sevilla ACC

U-3: LoA between Santa María OAC and Madrid ACC (LECM)

U-4: LoA between Canarias ACC and Santa María OAC

U-5: LoA between Lisboa ACC and Canarias ACC

U-6: LoA between Lisboa ACC and Sevilla ACC

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