SMR4 Attachment J-17 - ASDE-3 SMR Replacement PSP - Extracted from Portfolio Final.pdf

SIR 693KA7-25-R-00001

Surface Movement Radar Model 4 (SMR4)

Section J, Attachment J-17

Surveillance and Broadcast Services (SBS)

Program Office

Program Safety Plan (PSP) For

Surface Surveillance Portfolio Sustainment 1 (SSPS1)

SBS-150, Revision 02

Extracted ASDE-3 SMR Replacement Sections

June 17, 2024

Federal Aviation Administration

600 Independence Avenue, SW Washington, DC 20591

Revision History for Surface Surveillance Portfolio Sustainment 1

SBS-150, Revision 02

Revision Number

Description Document Date

01 SBS-150, CM Baseline Version, ASDE Sustainment March 19, 2018

02 DCR-PMO-202: Revised baseline and scope of effort to include all surface surveillance applications (ASDE-X, ASSC, and RWSL)

January 15, 2020

1 Introduction Effective operation of the National Airspace System (NAS) relies on accurate and timely situational awareness of airport surfaces supported by surveillance capabilities. The original Airport Surface Detection Equipment (ASDE) Sustainment Program was established to address aging systems and end of lifecycle issues, along with compliance issues, depleting inventory levels, and necessary technological updates.

The SSPS1 program is aligned with the FAA Strategic Initiatives and Goals of enhancing runway safety while maximizing operational efficiency and ensuring airport capacity. It addresses aging systems and sensor obsolescence issues, compliance issues, depleting inventory levels, and necessary technological updates that meet “Tech Refresh” criteria. The Surface Surveillance Portfolio was officially designated by the Acquisition Executive Board (AEB) as Tech Refresh Portfolio 1 (TRP1) on March 7, 2019. These systems provide essential Air Traffic situational awareness of the surfaces where they reside.

An Operation Safety Assessment (OSA) was conducted for ASDE Sustainment on February 1st, 2018 to evaluate the impact on safety of the original ASDE Sustainment Program. An ASDE Sustainment OSA SRMD was approved on June 29, 2018.

1.1.3 Surface Movement Radars (SMR-R), (SMRi), and ASDE-3

SSPS1 will address obsolescence issues associated with the three SMRs used in the ASDE- X and ASSC systems. The three types of SMRs being addressed are the Airport Surface Detection Equipment Model 3 (ASDE-3), the Surface Movement Radar-Raytheon (SMR-R), and the Surface Movement Radar-improved (SMRi). SSPS1 includes 50 SMRs located at 44 airports (35 ASDE-X airports and 9 ASSC airports), and two additional support systems.

1.2 Mission Need

The Federal Aviation Administration (FAA) is dedicated to the goal of enhancing runway safety while maximizing operational efficiency and ensuring airport capacity. The reduction of runway incursions has been identified as one of the most important aviation safety initiatives and is crucial for the improvement of runway safety.

The ASDE-X and ASSC, and RWSL systems are in constant need of maintenance and updates due to parts obsolescence and changes in technology. In the case of the SMRs, the current FAA SMR subsystems have been operational for 15-25 years. Age has contributed to increased parts obsolescence and has caused the SMRs to reach the end of their useful life.

1.3 Program Safety Plan Integration

The degree of safety in any system depends upon the emphasis placed on safety program management. Therefore, it is essential that the FAA management and associated contractors emphasize the importance of safety and enforce safety risk management procedures throughout the SSPS1 lifecycle. The outcome of such an effort is a formal safety program that performs safety risk management (SRM) to support various program activities. The Surveillance and Broadcast Services (SBS) safety team has been given the responsibility of determining the safety effects of any changes made by the SSPS1 program. Any requirement changes that are identified during the execution of this Program Safety Plan (PSP) will be addressed via the existing NAS Configuration Control Board (CCB). It is the responsibility of the SSPS1 Program Manager and the SBS safety team to ensure that system safety is incorporated in all subsequent program documents.

The SBS safety team will support the efforts of the FAA and program contractors to ensure that the standards set forth in this PSP are achieved. The safety program described herein is the tool for meeting the program safety objectives and maintaining management oversight.

Appropriate SRM documentation will be prepared and submitted for approval throughout the program’s lifecycle, including hazard/risk analysis. A program schedule will be prepared that allows for document preparation, peer review process, coordination with other lines of business as needed, and document approval.

This PSP was prepared in accordance with the requirements identified in the June 2018 version of the Safety Risk Management Guidance for System Acquisitions (SRMGSA) manual.

Execution of this plan also ensures compliance with the provisions of the April 2019 version of the Air Traffic Organization (ATO) Safety Management System (SMS) manual.

1.4 Program Safety Plan Scope

This PSP is an integration management tool that defines the roles and responsibilities of the ASDE-X and ASSC, and RWSL sustainment team members as they integrate system safety requirements into the various portfolio programs. The plan describes the safety program necessary to support various portfolio activities, and the safety responsibilities of its subcontractors and the SBS safety team to support implementation. The scope of this PSP covers the safety analyses to be performed by the SBS safety team for the SSPS1 portfolio projects identified in Section 2.

Figure 1-1 is an illustration of the Acquisition Management System (AMS) lifecycle. The SSPS1 program is currently in the investment analysis phase leading to the Investment Analysis Readiness Decision (IARD) planned for March 2020.

Figure 1-1: FAA Acquisition Management System Lifecycle

1.5 Program Safety Plan Objectives

This PSP defines the safety documentation required by the AMS lifecycle to support the operational implementation of the various SSPS1 projects identified in Section 2. Specifically, the PSP will:

• Ensure that an acceptable level of safety risk is considered during the implementation of the various SSPS1 projects

• Establish a disciplined approach to implementing safety requirements specified for the various SSPS1 projects, when applicable

• Ensure that the SSPS1 projects meet contractual safety requirements

1.6 Program Stakeholders

Program stakeholders play a supporting role in identifying and tracking SSPS1 safety hazards and hazard risks. When necessary, these stakeholders (air traffic operations, technical operations, and second level engineering) and other relevant subject matter experts will participate in safety panel meetings, design reviews, safety analyses reviews and audits, and other technical interchange meetings. Upon completion of all project implementations, relevant SSPS1 stakeholders will be expected to participate in the development of the System Safety Assessment Report (SSAR).

2. Surface Surveillance Portfolio Sustainment Overview

The Surface Surveillance Portfolio is designed to keep the ASDE-X, ASSC, SMRs, and Runway Status Lights (RWSL) systems maintained, sustained, and operational. The SSPS1 programs provide essential Air Traffic situational awareness of the airport surface where they’re installed.

It is aligned with the FAA Strategic Initiatives and Goals of enhancing runway safety while maximizing operational efficiency and ensuring airport capacity. The reduction of runway incursions has been identified as one of the most important aviation safety initiatives and is crucial for the improvement of runway safety.

ASDE-X and ASSC are surface surveillance systems that use radar, multilateration, and ADS- B to track aircraft and vehicles. The ASDE/ASSC programs will address:

• Aging non-cooperative surveillance sensors

• ASDE-X/ASSC processors, remote units and ancillary equipment

• Obsolescence and compliance issues

• Depleting inventory levels

• Necessary technological updates (Tech Refresh Criteria) RWSL integrates runway lighting equipment with ASSC and ASDE-X to provide a visual signal to pilots and vehicle operators indicating when it is unsafe to enter, cross, or takeoff from a runway.

2.1 ASDE-X and ASSC Systems Description

The operational concept of ASDE-X and ASSC is to provide situational awareness for the airport surface movement area and safety alerting for aircraft and vehicles. The main functions performed by ASDE-X and ASSC are detection of non-cooperative and cooperative targets, processing the signal, and performing maintenance. The ASDE-X and ASSC solution will process the signal to convert the digital data to track data (Figure 2-2). This data will then be sent to a processor which fuses the non-cooperative surveillance information with cooperative sensor data (including multilateration data, ADS-B, and secondary surveillance radar data) into a common surveillance state for the surveillance coverage area. The ASDE-X/ASSC solution tracks the aircraft and ground vehicles within the surface surveillance coverage area.

Figure 2-2: ASDE-X/ASSC Subsystem Diagram

Aircraft without operating radar beacon transponders and vehicles without vehicle ADS-B transmitters are considered non-cooperative targets that can only be detected by an SMR. The operation of vehicles on the airport movement area requires ATC clearance and control. Letters of Agreement (LOAs) and local procedures provide direction on the operation of vehicles on the airport movement area. Typically, the LOAs and procedures require radio contact between the operators and controllers to request controller permission to enter the movement area and/or cross runways. In some cases (e.g., certain portions of the movement area defined in the LOA), vehicles can operate without special air traffic controller guidance. ASDE-X - and ASSC system-derived information may be used by ATC to:

• Formulate clearances and control instructions to aircraft and vehicles on the movement area

• Position aircraft and vehicles within the movement area

• Determine the exact location of aircraft and vehicles, or spatial relationship to other aircraft/vehicles on the movement area

• Monitor compliance with control instructions by aircraft and vehicles on taxiways and runways

• Confirm pilot reported positions

Transceiver Radar Data Processor Multi-sensor Data

Processor

(MSDP)

Display Processors

(DP)

Maintenance Data Terminal

(MDT)

An te nn a/

Pe de st al

Video Status and Control

Plots and Tracks

Status and Control

1-Bit Video

ASDE-X/ASSC

• Provide directional taxi information, as appropriate, (e.g., PHRASEOLOGY− TURN (left/right)

ON THE TAXIWAY/RUNWAY YOU ARE APPROACHING)

The objectives of the non-cooperative surveillance sensors addressed by ASDE-X and ASSC are as follows:

• Detect aircraft and vehicles on the airport surface

• Simultaneously process a combination of 200 targets

• Provide coverage to all runways and taxiways

• Operate during periods of restricted visibility and in the event of a Global Navigation Satellite System (GNSS) outage

After the non-cooperative ASDE-X/ASSC data is fused with the cooperative data in the Multi- Sensor Data Processor (MSDP) subsystem, the resulting surveillance information is displayed to ATC. This data is also used by the conflict alerting (Safety Logic) function and allows the Air Traffic Specialists to monitor the airport surface and provide corrective direction to mitigate potentially hazardous situations.

Site level maintenance activities will be performed on the equipment installed in its operating environment and will include periodic, preventative, and corrective maintenance, certification, and installation of authorized system support modifications. The maintenance concept relies on line replaceable units (LRU), built-in tests, built-in test equipment, and built-in self-test/fault isolation testing. Site support will always be provided by first level field support technical specialists located at each site and second level engineering support.

Second-level engineering support will be a responsibility of the FAA. This support includes life cycle support for hardware, software, and firmware for the ASDE-X/ASSC programs. This support also includes hardware/software modification engineering, software maintenance, documentation maintenance and engineering technical support including optimization updates as the airport configuration changes.

The ASDE-X/ASSC portfolio projects will adopt the same maintenance concepts currently being utilized on the ASDE-X and ASSC systems.

2.2 Surface Movement Radars – (SMR-R), (SMRi), and ASDE-3 Systems Description

The three types of SMRs in use today are ASDE-3, SMR-R, and SMRi. The ASDE-3 is a high-resolution, ground surveillance radar system used to detect and display ground-based targets such as aircraft, vehicles, and other objects to air traffic controllers. Eighteen of the thirty-five ASDE-X airports use the ASDE-3 SMR {some have multiple SMRs). All ASSC airports use the

ASDE-3 SMR.

The ASDE-3 radar was designed by Norden Systems in the late 1980s, and the first system was commissioned in the early 1990s. It operates in the Ku band between 15.7 to 16.2 GHz. It can detect a 3 square meter Radar Cross Section {RCS) target with a performance spec to 12,000 feet and a max range to 24,000 feet distance. Fully redundant transceivers are used to achieve high availability. The ASDE-3 used with ASDE-X and ASSC systems is comprised of three major subsystems: (1) Transceiver, (2) Antenna System Controller, and (3) Antenna Subsystem. The Transceiver underwent a service life extension program in the early 2000's and only the analog portion of the original Transceiver was retained for use with ASDE-X/ASSC.

Signal processing is performed by the Radar Data Processor (RDP)-3X processor, which is part of the ASDE-X/ASSC equipment, to extract plots from the received radar data. A radar interface unit was added to convert the analog data to digital format for transmission to the RDP-3X.

The Raytheon SMR-R is an X-band radar and was first deployed in 2003. It operates in the X band between 9.0 to 9.2 GHz. It was modified to provide better resolution at the expense of shorter range. It can detect a 3 square meter RCS target with a performance spec to 7,000 feet and a maximum range of 14,000 feet. Redundant transceivers are used to. enhance availability.

The SMR-R also has redundant RDPs. This provides independent redundancy of the transceivers and RDPs. The RDPs perform plot extraction and provide plot data to the ASDE- X equipment. Nine of the thirty-five ASDE-X airports use the SMR-R.

The Sensis SMRi was developed in the mid 2000's as a replacement for the Raytheon SMR-R and has additional features to improve performance and reliability. The transmitter is composed of four solid state power amplifier modules. Because only three of the four modules are needed to meet performance requirements, graceful degradation is inherent in the design. Full redundancy is also implemented in the receiver and data processors. The SMRi was designed to have features like the ASDE-3. The SMRi operates in the same 9.0 to 9.2 GHz band as the Raytheon SMR-R and has a max range out to 14,000 feet. Digital pulse compression techniques are used which allow for better resolution of closely spaced large targets. Eight ASDE-X airports are using the SMRi.

3. System Safety Program

The SSPS1 program requires a planned approach to meet AMS lifecycle objectives. This PSP identifies resources and tasks needed to meet these objectives. The SBS safety team will lead this effort to complete the tasks required to document that the stated objectives have been met.

The SSPS1 safety team resolves program-related system safety issues, coordinates program safety risk assessments, and provides the resources necessary to implement an integrated system safety program.

3.1 System Safety Program Objectives

The objective of this PSP is to support the design, development, deployment, and operation of the SSPS1 portfolio projects identified in Section 2. The safety team will support this objective with the following:

• Identify hazards, abnormal conditions, or situations that can compromise the system safety of the program and be proactive in resolving them

• Analyze hazard risks by identifying existing controls and determining severity and likelihood of hazard outcome

• Assess risk level of the hazards, abnormal conditions, or identified situations

• Develop a monitoring plan that includes performance targets that must be met to treat and manage risk

• Document results of hazard findings and risk in the relevant phase of the AMS lifecycle (i.e., SRM documents that include subsystem hazards analyses (SSHA), system hazard analysis (SHA), SSAR, as applicable

Through the implementation of the processes described in this PSP, the objective of ensuring that safety activities within the SSPS1 program are identified and implemented will be achieved.

If any safety deficiencies that pose an unacceptable level of safety risk are identified, the SBS PO will task the appropriate contractor, SBS PO personnel, or the appropriate FAA offices to identify and implement corrective measures.

3.2.2 Program Safety Lead

The Safety Leads will organize the safety assessments of the various portfolio projects and work closely with the Air Traffic Organization Safety and Technical Training (AJI) Safety Case Lead (SCL) to validate and verify applicable safety requirements. The Safety Lead works closely with the Systems Engineering Team to monitor data regarding the effectiveness of safety risk mitigations.

3.2.3 Contractors and Subcontractors, and/or Vendors

Contractors, subcontractors, and/or vendors play a critical role in identifying safety risk and determining the most cost-effective mitigation actions. Although the contractors, subcontractors, and/or vendors have not been identified for the various project taskings, those selected to work on the SSPS1 projects will be responsible for conducting required safety analyses to support the objectives of this PSP. When applicable, contractors, subcontractors, and/or vendors will be required to participate in hazard risk assessments, risk mitigation, safety requirements definition, hazard tracking, verification monitoring, and operations and maintenance assessments as defined by their contract. The SSPS1 safety team will not participate in contractor/subcontractor/vendor SRM panels. The contractor will deliver safety artifacts in accordance with contract requirements.

5. Risk Analysis

Risk analysis is the process of examining a system throughout its lifecycle to identify inherent safety-related hazards. It is completed at different stages of the lifecycle and at different levels of the system to identify and capture potential hazards and document their risk mitigations.

During each phase of portfolio project implementation, a Safety Risk Management Panel (SRMP) may be convened to conduct a safety assessment in accordance with the SMS and SRMGSA manuals. Results of these assessments will be documented and distributed by the program office to all stakeholders affected by this change. These results will also be entered into the FAA’s Safety Management Tracking System (SMTS) for future tracking purposes.

5.1 Analysis Already Performed

An ASDE Sustainment Operational Safety Assessment (OSA) was completed and signed on June 29, 2018. The OSA assessed the change and documented safety requirements associated with obsolescence issues for the three SMR types at ASDE-X and ASSC airports.

The results of this analysis are captured in the Safety Risk Management Document (SRMD) Operational Safety Assessment (OSA) for Airport Surface Detection Equipment (ASDE) Sustainment, SBS-149, Rev 01.

5.2 Analysis to be Performed

The SBS Safety Team will conduct a safety assessment of SSPS1 portfolio projects. As the portfolio matures, projects will be reviewed to determine if further SRM assessments are necessary. This may involve convening safety panels with participation from various stakeholders, contractors, and other relevant subject matter experts to identify project hazards, hazard effects, and hazard risks. Projects may be determined to be a tech refresh with no change to form, fit, or function. Results of these safety assessments will be documented in accordance with SMS Policy.

5.3 Solution Implementation Requirements

An SSHA/SHA may be required for the solution implementation (SI) decision to support operational readiness. If hazards and risk mitigation are identified, an SSAR will be required to show that the overall safety risk is acceptable and that all safety requirements have been validated and verified.

The Safety Lead will prepare the SSHA/SHA, if necessary, and SSAR with input from the prime contractor, subcontractors, and the SBS PO. System engineering and second level engineering will gather performance data on any changes made to surveillance automation necessary to support the SSPS1 program.

6. Hazard Tracking and Monitoring

Hazard monitoring parameters may be identified in the documentation created during the lifecycle of the SSPS1 program. Safety analyses developed for the various portfolio projects will show the correlation between these parameters and identified hazards. System outages, problem reports, and procedural issues will be reviewed to evaluate SSPS1 system performance and the effectiveness of existing procedural mitigations. Current direction from AJI-3 for acquisitions is that the monitoring of key performance requirements is sufficient to meet the intent of safety performance targets. Any hazards identified during these safety assessments will be included in the SMTS database, as required per SMS. All safety issues affecting the SSPS1 projects that are not under the PO’s control will be addressed and tracked by the appropriate stakeholders until verification is received that the safety issue has been resolved.

The SSPS1 PO understands that the SSPS1 PSP is to be implemented per the agreed-upon schedule and is subject to revision under certain circumstances. The SSPS1 PO must inform the AJI safety case lead of any significant deviations from the plan. The SSPS1 PO must ensure status inputs are entered into SMTS as a tool to enhance AJI monitoring of the safety program.

The AJI safety case lead will monitor the safety program on a regular basis, particularly as JRC milestones approach and as certain required documentation must be approved.

7. Acronym List

ACE Advanced Control Equipment

ADS-B Automatic Dependent Surveillance Broadcast

AEB Acquisition Executive Board

AJI Air Traffic Organization Safety and Technical Training

AMA Airport Movement Area

AMS Acquisition Management System

ASDE Airport Surface Detection Equipment

ASDE-3 Airport Surface Detection Equipment – Model 3

ASDE-X Airport Surface Detection Equipment – Model X

ASR Airport Surveillance Radar

ASSC Airport Surface Surveillance Capability

ATC Air Traffic Control

ATCT Air Traffic Control Tower

ATO Air Traffic Organization

AXSL ASDE-X Safety Logic

CCB Configuration Control Board

CCP Cab Control Panel CCR Constant Current Regulator CLT Charlotte Douglas International Airport COTS Commercial off-the-shelf

ERC Equipment Rack Computer

FAA Federal Aviation Administration

FLS Field Lighting System

FTI Federal Telecommunications Infrastructure

GNSS Global Navigation Satellite System

HAW Hazard Analysis Worksheet

IARD Investment Analysis Readiness Decision

ILC Individual Light Controller

ISS Information System Security

IT Information Technology

JRC Joint Resources Council

LC Lighting Computer

LOA Letters of Agreement

LRU Line Replaceable Unit

MSDP Multi-Sensor Data Processor

NAS National Airspace System

MLAT Multilateration

MLC Master Light Controller

OSA Operational Safety Assessment

PHA Preliminary Hazard Analysis

PM Project Manager

POA&M Plan of Action and Milestones

PO Program Office

PSP Program Safety Plan

RCS Radar Cross Section

RDP Radar Data Processor

REL Runway Entrance Lights

RWSL Runway Status Lights

SBS Surveillance and Broadcast Services

SCL Safety Case Lead

SI Solution Implementation

SHA System Hazard Analysis

SMR Surface Movement Radar

SMRi Surface Movement Radar- improved

SMR-R Surface Movement Radar – Raytheon

SMS Safety Management System

SMTS Safety Management Tracking System

SRM Safety Risk Management

SRMD Safety Risk Management Document

SRMGSA Safety Risk Management Guidance for System Acquisitions

SRMP Safety Risk Management Panel

SSAR System Safety Assessment Report

SSHA Subsystem Hazard Analysis

SSPS1 Surface Surveillance Portfolio Sustainment 1

STARS Standard Terminal Automation Replacement System

THL Takeoff Hold Lights

TRP1 Tech Refresh Portfolio 1

UAT Universal Access Transceiver