Analysis and synthesis of allocations of authority and responsibility in novel air traffic concepts of operation

Abstract

The Next Generation Air Transportation System (NextGen) in the US and the Single European Sky Air Traffic Management (ATM) Research (SESAR) program in Europe are redefining ATM, allowing for transformative new concepts of operation that may radically re-allocate authority and responsibility between air and ground. There is a need for methods that can systematically incorporate innovative allocations of authority and responsibility in the design of novel concepts of operations to enable them to meet their specified performance and safety goals. This need translates to two objectives: 1) Create the methodology and tools for analysis of allocation of authority and responsibility in novel air traffic concepts of operation, and 2) Create the methodology and tools for synthesis of allocation of authority and responsibility in novel air traffic concepts of operation. This thesis first establishes concrete definitions of capability, authority and responsibility in the context of function allocations in the design of concepts of operations. Then, it addresses the first objective by proposing a computational modeling and simulation methodology to assess allocations of authority and responsibility with respect to the performance and safety goals of the concept of operations. Subsequently, it addresses the second objective by proposing a methodology based on network modeling and optimization to systematically synthesize allocations of authority under specified allocations of responsibility to meet performance and safety goals. The proposed methodologies are demonstrated on a case study designing of allocations of authority and responsibility in aircraft merging and spacing operations during arrival. The methodologies described and demonstrated in this thesis can be used by designers of concept of operations to both analyze and synthesize allocations of authority and responsibility. Further, the results of the case study can inform the design of similar concepts of operations.