COMMISSION OF THE EUROPEAN COMMUNITIES
Brussels, 26.11.2002
COM(2002) 658 final
2001/0060 (COD)
2001/0235 (COD)2001/0236 (COD)2001/0237 (COD)
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
laying down the framework for the cr eation of the Single European Sky
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the provision of air navigation services in th e Single European Sky
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the organisation and use of the ai rspace in the Single European Sky
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the interoperability of the Europe an Air Traffic Management network
(presented by the Commission pursuant to Article 250 (2)
of the EC-Treaty)
2EXPLANATORY MEMORANDUM
1. PRINCIPLES
1.1. In October 2001 the Commission submitted four  legislative proposals for the creation
of the Single European Sky1 with a view to their adoption under the codecision
procedure provided for in Article 251 of the Treaty establishing the European
Community. On 15 May 2002, the Committee of the Regions delivered a favourableopinion. On 17 July 2002, the Economic and Social Committee delivered afavourable opinion.
On 3 September 2002 the European Parliame nt adopted a number of amendments at
its first reading and approved the Commission proposals as amended. TheCommission then indicated its position on each amendment, specifying whichamendments it could accept and which it could not.
Subsequently the Commission drafte d the following amended proposals.
1.2. The modifications incorporate the amendments accepted as such by the Commission,
as well as the new provisions resulting from the amendments which were accepted inprinciple though worded differently or partially accepted.
Pursuant to Article 250(2) of the EC Treaty, the Commission amends the proposals
as described below.
The amendments to the Commission’s initial proposals are shown as follows: deleted
passages are struck through and new or amended passages are indicated in bold andunderlined characters.
2. A
MENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE COUNCIL LAYING DOWN THE FRAMEWORK FOR THE CREATION OF THE SINGLE
EUROPEAN SKY (2001/0060 (COD))
2.1. Amendments accepted as such
• Amendments 4 and 30
The purpose of these amendments is to in troduce an effective sanctioning mechanism
against the operators that breach the rules. The current system is open to misuse and
                                                
1Proposal for a Regulation of the European Parliament and of the Council laying down the framework
for the creation of the Single European Sky (COM(2001) 123 final/2 of 30/11/2001 – 2001/0060(COD).Proposal for a Regulation of the European Parliament and of the Council on the provision of air
navigation services in the Single European Sky (COM(2001) 564 final/2 of 11/12/2001 – 2001/0235
(COD).Proposal for a Regulation of the European Parliament and of the Council on the organisation and use ofthe airspace in the Single European Sky (COM (2001) 564 final/2 of 11/12/2001 – 2001/0236 (COD).
Proposal for a Regulation of the European Parliament and of the Council on the interoperability of theEuropean Air Traffic Management network (COM(2001) 564 final/2 of 11/12/2001 – 2001/0237
(COD).
3to risk of abuse, in particular with re gard to air traffic flow management. The
Commission accepts these amendments.
• Amendments 7, 8, 15, 16, 17, 18, 20, 21 and 32These amendments clarify or improve the text of the regulation by reinforcing the
reference to the consultation of social st akeholders (7), national defence needs (8),
capacity needs (15), flight efficiency ( 16), performance indicators (18), safety (20,
21) and progress reporting (32). The Commission accepts these amendments.
2.2. Amendments accepted in principle but not as regards the wording
• Amendment 3
This amendment affirms the nature of public service of air navigation services.
Nevertheless this nature primarily belong to air traffic control. Thus the Commissioncan accept this principle if referred to this function.
• Amendment 9This amendment refers to the co-operati on between the Community and Eurocontrol.
The relationship between the Community a nd Eurocontrol is addressed through the
imminent accession of the Community to this organisation. The principle ofdeveloping “the highest level of co-operation” between the two organisations will bea consequence of this event, as en shrined in the protocol of accession
2. Parallel
references to this cooperation in a Co mmunity measure are superfluous and create
confusion. The Commission can accept to reca ll this principle in a recital and to
introduce a provision referring to its co-operation with the executive body ofEurocontrol, namely the Eurocontrol Agency, which will develop on a purelyadministrative basis. However, the wording of such a provision shall comply with theinstitutional principles concerning the performance of the duties of the Commission.
• Amendment 10This amendment clarifies that simply adopting the legislative package consisting of
the framework regulation and the three specific regulations will not be sufficient forthe early implementation of the Single European Sky. Additional measures arenecessary within the agreed term (end 2004). The Commission will adopt suchmeasures pursuant to the procedures set up in the legislative package. TheCommission accepts this principle.
• Amendment 12The purpose of this amendment is to affirm the role of States in deciding the statute
and structure for providers and the nature of  public interest of air navigation service
providers, which is particul arly relevant for air traffic control. The Commission can
accept this principle subject to rewording.
                                                
2“Whereas the purpose of the accession of the European Community to the Convention  is to assist the
European Organisation for the Safety of Air Navigation, hereinafter referred to as “EUROCONTROL”,in achieving its objectives as set out in the Convention, notably that of being a single and efficient body
for Air Traffic Management policy making in Europe”.
4• Amendment 14
The amendment aims at clarifying the scope of application of the Single European
Sky. The term “jurisdiction” would implicitly refer to the airspace over internationalwaters. However, the scope of applica tion of the regulation cannot be enlarged
beyond the scope of the Treaty. Therefore it is preferable to refer to “the airspace
under the responsibility of Member States”.
• Amendments 22 and 23These amendments aim at clarifying that the development and implementation of
technical and operational c oncepts shall be done within programmes involving all
parties and taking into account of in ternational standards. The Commission can
accept this principle.
• Amendment 26The amendment refers to the rules of procedures of the Committee but it does not
comply with the drafting practices. Thus the Commission can accept it in principle.
• Amendment 33The amendment extends the scope of safegu ards for security and defence reasons, to
cover the prompt availability of airspace for the rapid reaction of armed forces. Thetext of the article has been worded as cl osely as possible to Article 297 of the Treaty.
It refers to exceptional situations. The amendment refers to operational situations(conditions necessary for the rapid mobilisation of armed forces). Thus it wouldintroduce a too generous leeway to waiv e the application of the regulation. The
Commission can accept the principle of ensu ring the Member States capability of
maintaining and improving the availability of armed forces. However this principleshould not result in unilateral exemptions from the application of the regulation. If
so, the efficient management of airspace would be affected.
2.3. Amendments accepted in part w ith or without wording changes
• Amendment 5
Requirements for consultation of social pa rtners under the Single European Sky may
or may not fall within the sc ope of Article 138 of the Trea ty. The formulation of such
requirements should be defined in a more  flexible way. Hence the Commission can
only accept to reinforce the first sentence of the recital.
• Amendments 6 and 28Amendment 28, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.The Commission agrees on the need for the interested parties to contribute to theimplementation of the reform. Hence the Commission can accept to express theprinciple of consultation of industry in a rec ital. This principle is also provided for in
more detail in the proposal for a regulation on the interoperability of the air traffic
management networ k under article 14.
5• Amendment 11
The Commission can partially accept this amendment. The reference to radar would
unacceptably restrict the scope of the surveillance infrastructure, which can also relyupon other technical means (suc h as satellite or datalink).
• Amendment 31The Commission can accept this amendment provided that the reference to the
European Union is amended to refer to the Community.
2.4. Rejected amendments
• Amendment 1
This amendment recalls the Member States obligations under the ICAO and
Eurocontrol Conventions. The Community is not yet member of these twointernational organisations, though in th e process of adhering to Eurocontrol.
Obligations stemming from the membership of the two organisations at present onlybind Member States. Thus, for the moment, the Commission can not accept thisamendment.
• Amendments 2 and 13These amendments eliminate the reference to economic aspects in recital 8 and in
article 13. This reference is addressing the charging system, which is covered by the
provisions of chapter III in the relevant proposal. Hence elimination of this reference
is not acceptable.
• Amendment 19This amendment restricts the decision-maki ng process to one stakeholder (airspace
users) and makes it dependent upon a speci fic requirement (interoperability). The
introduction of new services  relies upon all stakeholders  concerned and depends on
various requirements. Hence this amendment is not acceptable.
• Amendments 24 and 27These amendments do not comply with the drafting rules adopted to implement the
Decision concerning comitology (Decisi on of the Council 1999/468/CE). The nature
of the Committee cannot be established “a priori” but it will depend upon the
measures to be adopted. With regard to th e Eurocontrol participation in the work the
Committee, it would be desirable to decide so within the rules of procedures of theCommittee. Therefore the Commission can not accept these amendments.
• Amendment 29This amendment impacts on the right of initiative of the Commission. Hence it is not
acceptable.
6• Amendment 34
This amendment states the obvious and it is therefore superfluous. Furthermore a
Community measure can not reiterate the obligations of Member States stemmingfrom existing international treaties.
3. A
MENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE COUNCIL ON THE PROVISION OF AIR NAVIGATION SERVICES IN THE SINGLE
EUROPEAN SKY (2001/0235(COD))
3.1. Amendments accepted as such
• Amendments 1, 2, 4, 7, 9, 11, 15, 17, 19, 24, 25, 31, 33 and 34
These amendments clarify or improve the text of the regulation by reinforcing the
reference to safety (1, 9, 11, 19, 31), qualifi cation of recognised organisations (2, 15,
33, 34), recruitment of controllers (4), in ternational standards (7), co-operation
between service providers (17), co-operation between civil and military authorities(24), use of data (25). The Commission accepts these amendments.
• Amendment 3The purpose of this amendment is to introdu ce a recital reflecting the provision of the
second paragraph of article 5 concerning the future role and responsibilities of the
European Aviation Safety Agency. Hence the amendment is acceptable.
• Amendment 5The purpose of this amendment is to call for the Commission’s action to help solving
the problem of the lack of controllers. The Commission is already active in this fieldand it has recently launched a study in conjunction with social parties. The
Commission accepts this amendment.
• Amendment 23This amendment states the prime responsibility of Member States with regard to the
relations between their ci vil and military authorities. The Commission accepts this
amendment.
3.2. Amendments accepted in principle but not as regards the wording
• Amendments 6 and 18
These amendments specify a period of durati on of authorisations. Authorisations are
not meant to be licenses but rather certifications of suitability of the serviceproviders. The period of validity of such authorisations will be defined within thecontext of the definition of harmonised conditions (refer to Annex III to the
Regulation). Thus the Commission can accept the principle the amendment putsforwards.
7• Amendments 20 and 21
The amendments introduce two new re quirements for defining harmonised
conditions attached to authorisati ons. The Commission can agree on these
requirements but it belie ves that they should eventually  appear as conditions for the
operation of air navigation services. These conditions will be further detailed throughcomitology.
• Amendment 22The amendment clarifies that, notwithstanding the right given to existing air traffic
service providers to carry out their operations after the entry into force of thisregulation, these should be subject to an  obligation of con tinued and increased
performance in terms of safety and efficiency. The Commission can accept thisprinciple provided that this obligation is clearly spelt out.
Amendment 28The amendment would make the proposed ch arging scheme fully dependent upon the
route charging system laid down in the multilateral agreement of Eurocontrol. Theproposed charging scheme would not only apply to route charges (as is the case forthe multilateral agreement) but also to terminal and approach charges (whereEurocontrol has no competence). Furthe rmore the Eurocontrol scheme leaves
margins of interpretation and the Commission intends to come to harmonised andbinding rules within the Community. Therefore the amendment could be acceptedprovided that it does not restrict the sc ope of Community action in this field.
• Amendment 29The principle puts forward by this amendment is already in force and it will not be
modified by the present regulation. Member  States remain responsible for setting
unit rates of charges. Hence the Commission can accept this amendment in principle.
• Amendment 32Amendment 32, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.The Commission agrees on the need for the interested parties to contribute to theimplementation of the reform. Hence the Commission can accept to express theprinciple of consultation of industry in a rec ital. This principle is also provided for in
more detail in the proposal for a regulation on the interoperability of the air traffic
management networ k under article 14.
3.3. Amendments accepted in part w ith or without wording changes
• Amendment 8
The Commission can partially accept this amendment. The reference to radar would
unacceptably restrict the scope of the surveillance infrastructure, which can also relyupon other technical means (suc h as satellite or datalink).
8• Amendment 10
The purpose of this amendment is to justify a review of the charging system to
introduce more flexibility in the definition of the cost-base. This flexibility would beused to cope with sudden downturns of air traffic which cause immediate rises in
charges. The Commission can partially accept this amendment. Its last sentenceaffects the right of initiative of the Commission. Thus it is not acceptable.
• Amendment 16The purpose of this amendment is to specify  in detail the fields of action to counter
the problem of the lack of human resource s. However, as it stands it would impinge
upon the right of initiative of the Commission. Hence only its first part can beaccepted.
• Amendment 27The purpose of this amendment is to bette r specify conditions for the exchange of
operational data. While the Commission can accept the first part of this amendment,confidentiality conditions will be defined, at a later stage, under the relevantimplementing rules. Furthermore some identification would be impossible to avoidfor operational reasons. Therefore the Co mmission can not accept the second part of
this amendment.
• Amendment 30The Commission can accept the first part of this amendment where it is recalled that
improvements to economic efficiency s hould not jeopardise safety levels. With
regard to cross-subsidies, the characteristics of the sector do not allow the exclusion,in principle, of cross-subsides when  justified by technical and operational
circumstances. Thus, the second part of the amendment can not be accepted.
• Amendment 35The Commission can accept the first part of this amendment. The reference to
Eurocontrol safety requirements in th e second part of the amendment is not
appropriate and it can  not be accepted.
3.4. Rejected amendments
• Amendment 12
The Commission can not accept this amendment. The reference to radar would
unacceptably restrict the scope of the surveillance infrastructure, which can also relyupon other technical means (suc h as satellite or datalink).
9• Amendment 13
This amendment introduces the principle of a strict (structural) separation between
national supervisory authorities and air navigation service providers. While theCommission is not against this principle, it considers that its application should be
gradual and proportional to take account of current circumstances. Therefore we
consider that Member States should have  the opportunity to choose the functional
separation as a first step. Thus this amendment is not accepted.
• Amendment 14This amendment introduces an appeals me chanism in the case of dispute between
airspace users and Member States. Arrangements for allowing this are alreadyavailable at national and Co mmunity level. Thus the Commission can not accept this
amendment.
• Amendment 26This amendment establishes the principle of commercial value of operational data.
However, commercial conditions, if any, re lating to the exchange of data should be
defined in the relevant implementing measures. They may require free exchanges ina number of cases. Hence the Commission can not accept this amendment.
• Amendments 87, 88, 89 and 99
The purpose of these amendments is to affirm the principle of the integrity of air
navigation services, the need to have them  provided within a single organisation. The
Commission can not accept these amendments for a number of reasons:
– Currently, most of the “ancillary” services are usually fully integrated in the
same organisation, which provides air tra ffic services. However, some specific
functions are already today usually not pe rformed by the providers of air traffic
services (e.g. ground-ground telecommuni cations and air ground data link). In
these cases, services are used on a commercial contractual basis. Some serviceproviders are also developing new co-operative approaches to service
provision, which lead to the removal of fragmentation and to service
unbundling. The main reason for doing this is the provision of regionalservices. Examples of these ventur es are the EAD (European aeronautical
information services) or the EAN (European aeronautical telecommunicationnetwork). Another example of unbundled  service for navigation is Galileo.
– The aim of the regulation is to introduce a framework, which allows and
facilitates individual service providers – at thei r own discretion and under the
State control – to separate the “ancillary” services from the core function of airtraffic services. This would give a conc rete opportunity to service providers to
establish regional services and it would facilitate removing existingfragmentation and promoting consolidati on (the current infrastructures have
been established at national level and there is a strong need to design andimplement them at regional level). This could be achieved through jointventures and strategic alliances where service providers could obtain better useof services by optimising the allocation of resources on larger scales thusleading to cost-savings and integration of the air traffic management systems.
10– The creation of functional airspace bloc ks requires flexibility in the provision
of supporting services. The current Nordic  experience (creation of an airspace
block involving the upper airspace of Denmark, Sweden, Finland and Norway)
is an example (but also Maastricht UAC). These entities for the provision of airtraffic services at regional level rely on the services already provided bycurrent service providers (in particular with regard to the infrastructure:communication, navigati on and surveillance).
– The requirement of having air navigation services organised by an integrated
body would freeze the existing situation and hamper progress in thedevelopment and deployment of new tec hnologies. Most of these are of cross-
border nature and associate with regi onal rather than national services.
Preventing this by stipulating the concept of “an integrated body” woulddeprive the Community of a concrete oppo rtunity to become a leader in the
market of air traffic management technologies.
– Any concern about a possible impact on sa fety of unbundling is unjustified. If a
service provider wants to use the services  of another provider it will define and
control the “ancillary” services it will rely upon through the specification of
technical and operational conditions and quality control. Furthermore this will
be under the strict control of the nationa l supervisory authority. Finally, since
supporting services (such as communi cation, navigation and surveillance)
should also be authorised, this will allow to survey of the application of safety
standards.
4. A
MENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE COUNCIL ON THE ORGANISATION AND USE OF THE AIRSPACE IN THE SINGLE
EUROPEAN SKY (2001/0236(COD))
4.1. Amendments accepted as such
• Amendments 38, 44, 45, 52, 53, 54 and 62
These amendments clarify or improve the text of the regulation by reinforcing the
reference to operational conditions (38, 44, 54, 62) and safety (45, 52, 53). The
Commission accepts these amendments.
4.2. Amendments accepted in principle but not as regards the wording
• Amendment 36
This amendment introduces a reference to the need of a proper interface of the air
traffic management network between the Community and adjacent countries. This
principle can be accepted provided that it doe s not lead to an exclusive requirement.
• Amendment 42This amendment qualifies safety standards by using the word “maximum”. This
would pose a question of interpretation sin ce safety standards should be set at an
adequate level. Thus the Commission can accept this amendment subject toredrafting.
11• Amendment 48
This amendment fixes a term of five year s for the extension of the concept of the
single Flight information region to th e lower airspace. The Commission prefers to
retain a period of three years but it can accept to link this period to the results ofapplication of this concept in the upper airspace.
• Amendment 49The purpose of this amendment is to reflect the situations stemming from the
mandates of ICAO to States to manage airspace over international waters. TheCommission can accept the amendment subject to drafting changes.
• Amendment 64This amendment, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.The Commission agrees on the need for the interested parties to contribute to theimplementation of the reform. Hence the Commission can accept to express theprinciple of consultation of industry in a rec ital. This principle is also provided for in
more detail in the proposal for a regulation on the interoperability of the air traffic
management networ k under article 14.
4.3. Amendments accepted in part w ith or without wording changes
• Amendment 37
This amendment specifies the role of Euro control in the creati on of functional blocks
of airspace. The principle of Eurocontrol ac ting as an interface and an advisor in the
process of definition of functional airs pace blocks is not under question. However
this role can not go as far as dictating solutions but it should take into account theresponsibilities of the va rious parties involved.
• Amendment 39, 43 and 55The purpose of these amendments is to clarify the principles guiding the definition of
the route network. The Commission can accept these principles. With regard toamendment 55, the reference to Eurocont rol is not appropriate, as it puts an
obligation on an international organisation which is outside the jurisdiction of the
Community. Thus the Commission can not support this reference.
• Amendment 40The purpose of this amendment is to refe r to civil-military c ooperation at national
and international leve l. With regard to the latter the Commission favours a reference
to the European Union to mean that adequate solutions could be found under theprovisions of the 2
nd pillar.
12• Amendment 41
This amendment stresses the role of Eurocontrol, namely the Central Flow
Management Unit, in the process of flow management. The Commission can accepta wording more focussed on the operational nature of this Unit. With regard tosanctions, they are already foreseen in th e proposal for a regulation laying down the
framework for the creation of the Single European Sky.
• Amendment 47The purpose of this amendment is to ma ke the division level between upper and
lower airspace dependent upon operationa l requirements. The Commission believes
that a common division level is required to  harmonise and coordi nate procedures. It
can however accept that operational require ments could suggest marginal deviations
from such a common level.
4.4. Rejected amendments
• Amendment 46
This amendment establishes a deadline for the creation of the European Upper Flight
Information Region (EUIR). The creation of  the EUIR should start after adoption of
this regulation and is indepe ndent of the creation of the functional airspace blocks.
Thus the Commission can not accept this amendment.
• Amendment 50This amendment is superfluous since it reitera tes criteria, which are already specified
in article 5(2). Hence the amendment is not acceptable.
• Amendment 51This amendment aims at introducing a di spute settlement mechanism in the case
where Member States disagree on the defi nition of (cross-border) functional airspace
blocks. Arbitration between States on such a definition will eventually occur withinthe comitology procedure. Thus this amendment is not acceptable.
• Amendment 56This amendment suggests that the airspace de sign process is developed at a central
level. In reality the process of definiti on of airspace configuration and planning of
routes is usually developed at a local leve l and coordinated centrally. Therefore, the
Commission can not accept this amendment.
• Amendments 57 and 59These amendments reinforce the provisions concerning civil-military co-operation.
However the suggested wording is too prescriptive and it may impact on thecompetence of Member States as far as defence matters are concerned. Hence theseamendments are not acceptable.
13• Amendment 58
This amendment makes the concept of the flexible use of airspace subject to air
traffic flow management rules. The Commission can not accept this amendment.
• Amendments 60, 61 and 63The purpose of these amendments is to introduce references to the Eurocontrol
organisation. While the Commission looks  forward to the involvement of
Eurocontrol in the implementation of the Single European Sky, these references toEurocontrol are not appropriate as it puts an obligation on an international
organisation. With regard to amendment 61, it has to be stressed that, at present, no
rules exist at the Eurocontrol level c oncerning flow management. Thus the
Commission can not support this reference.
5. A
MENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE COUNCIL ON THE INTEROPERABILITY OF THE EUROPEAN AIR TRAFFIC
MANAGEMENT NETWORK (2001/0237(COD))
5.1. Amendments accepted as such
• Amendments 65, 67, 68, 69, 70, 71, 72 and 74
These amendments clarify or improve the text of the regulation by reinforcing the
reference to safety and the need for c onsultation of interested parties. The
Commission accepts these amendments.
5.2. Amendments accepted in principle but not as regards the wording
• Amendment 73
This amendment, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.The Commission agrees on the need for the interested parties to contribute to theimplementation of the reform. Hence the Commission can accept to express theprinciple of consultation of industry in a rec ital. This principle is also provided for in
more detail under artic le 14 of this proposal for a regulation.
• Amendment 76This amendment stresses the need for the systematic analysis of incidents. The
Commission can support this principle. However, it is misplaced in the text of theregulation. It should eventually appear in the implementing rules and related
standards.
145.3. Rejected amendments
• Amendment 66
This amendment makes reference to the European Aviation Safety Agency. The role
of this Agency will be to complement interoperability requirements, defined bymeans of this regulation, by issuing safe ty requirements with regard to airborne
equipment. Thus the Commission can not accept this amendment.
• Amendment 75The purpose of this amendment is to ensure  the involvement of system users in the
definition of systems. However, some of  these users (such as controllers) are not
appropriate to contribute to all the phases of the devel opment process. For example
the design phase pertains to engineers on the basis of requirements formulated by
controllers. Thus the Commission can not accept this amendment.
• Amendment 77, 78 and 79These amendments are not necessary since they replicate essential requirements
already provided for in Annex II, Part A, point 3. Thus the Commission can notaccept this amendment.
152001/0060 (COD)
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
laying down the framework for the cr eation of the Single European Sky
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article
80(2) thereof,
Having regard to the proposal from the Commission3,
Having regard to the opinion of the Economic and Social Committee4,
Having regard to the opinion of the Committee of the Regions5,
Acting in accordance with the procedur e laid down in Article 251 of the Treaty6,
Whereas:(1) Implementation of the common transport policy requires an efficient air transport
system allowing safe, regular operation of air transport services and, consequently,
facilitating the free movement of  goods, persons and services.
(2) At its Extraordinary Meeting in Lisbon on 23 and 24 March 2000, the European
Council called on the Commission to put forwar d proposals on airspace, air traffic and
flow management, based on the work of th e High Level Group on the Single European
Sky set up by the Commission. This Group, ma de up largely of the civil and military
air navigation authorities in the Member States, submitted its report in November2000.
(3) Smooth operation of the air transport system  requires air navigation services allowing
optimum use of Europe's airspace and a consistent, high level of safety in air travel, inkeeping with the duty of general economic interest of the ai r navigation service
providers.
(4) Air navigation services should be develope d in line with the general safety and
performance objectives, in accordance with the principles laid down by theConvention on International Civil Aviation signed at Chicago on 7 December 1944.
                                                
3OJ C
4OJ C
5OJ C
6OJ C
16(5) For all these reasons, and with a view to ex tending the Single European Sky to include
a larger number of European States, the Community should, while taking into accountthe developments occurring- within the European Organisation for the Safety of AirNavigation (Eurocontrol), lay down common objectives and an action programme to
mobilise the efforts by the Community, th e Member States and the various economic
stakeholders in order to create a single European airspace: the Single European Sky.
(6) The closer co-operation between civil a nd military bodies, which is essential for
efficient use of the airspace, should be pursued, using where possible existing co-
operation frameworks and making use of a ll appropriate instruments for any matter
concerning air traffic and air navigation services for exclusively military purposes.
(7) The establishment of rules at Community level should permit the optimal use of the
airspace as a whole and the performan ce of the air navigation services.
(8) These rules should cover organisation a nd use of the airspace and the relevant
procedures, provision of air navigation serv ices, including the economic aspects, and
air navigation equipment and system s and the associated procedures.
(9) Air traffic control is a service of general interest with the aim of protecting both
air transport users and residents affected by over-flying aircraft. It should
therefore be carried  out to the highest standards of responsibility and
competence.
(10) Use of the airspace should be organised and managed efficiently and in total safety, to
meet the needs of both civil and military us ers and allow equitabl e, non-discriminatory
allocation of the resour ces between all users.
(11) The air navigation services provided should en sure uniform, high safety standards for
the air traffic which depends on these serv ices. Provision of these services should be
optimised to guarantee the best use of Europe's airspace resources.
(12) The technical and operational solutions should secure and raise safety standards, the
overall capacity of the system, and full, efficient use of the capacity available.
(13) Some of the measures necessary for creating the Single European Sky call for the
Commission to exercise the impleme nting powers under Council Decision
1999/468/EC of 28 June 1999 laying down the procedures for the exercise ofimplementing powers conferred on the Commission
7, for the sake of efficiency and
speed. Creation of the Single European Sky therefore necessitates the establishment ofa mechanism for co-operation with the Member States by the setting-up of acommittee of representatives from the Member States which permits consideration ofboth civil and military interests and which allows the participation of outside experts.
(14) In the process of creating the Single European Sky, the Community should,
where appropriate, develop the highest level of cooperation with Eurocontrol in
order in particular to ensure regulatory synergies and consistent approaches, and
to avoid any duplication betw een the two organisations.  Pending the outcome of
negotiations for the accession of the Community to Eurocontrol, which remains an
important component in the creation of a pan-European airspace, the Commission and
                                                
7OJ L 184, 17.7.1999, p. 23.
17Eurocontrol may conclude appropriate arrangements to enable Eurocontrol to
contribute to the preparati on of Community legislation.
(15) It is desirable to extend the Single Euro pean Sky to non-Community countries, either
within the framework of participation by the Community in the work of Eurocontrol,
subject to accession by the Community to th at international organisation, or by means
of agreements concluded by the Community with the non-Community countries.
(16) It is necessary to make provision for procedures for assisting the Commission in its
task of supervising and monitoring the cr eation of the Single European Sky in an
efficient and regular fashion, notably by drawing on the expertise of the MemberStates and of Eurocontrol.
(17) The performance of the air navigation services system as a whole at European level
need to be constantly assessed to check th e effectiveness of the measures adopted and
to propose further measures.
(18)      In the general interest of safety of operations and in order to guarantee the
enforcement of this regulation, there should be a scale of effective, proportionate
and dissuasive penalt ies against airlines and servi ce providers that  breach the
provision of this Regulation.
(19) The social partners may  should  be informed and consulted in an appropriate way  on
all measures having significant social implications. The Sectoral Dialogue Committee
set up under Commission Decision 1998/500/EC of 20 May 1998 on the establishmentof Sectoral Dialogue Committees promoting the Dialogue between the social partnersat European level
8 may also be consulted.
(20)      The associations of airspace us ers, of air navigation service providers and of
manufacturing industry should be informed and consulted on all measures
concerning the technical aspects of the implementation of the Single European
Sky.
(21) The drafting of the measures necessary in order to create the Single European Sky
requires broad-based c onsultations with the industrial partners  all the economic and
social stakeholders  concerned.
(22) The impact of the measures taken to apply this Regulation should be evaluated in the
light of reports to be submitted regularly by the Commission.
(23) Since the objective of th e action envisaged, namely  the laying-down of the framework
for the creation of the Single European Sky, cannot be sufficiently achieved by the
Member States, by reason of the transnati onal scale of the action, and can therefore be
better achieved by the Community, while allowing for detailed implementing rulesthat take account of specific local c onditions, the Commission may take measures in
accordance with the subsidiarity principle set out in Article 5 of the Treaty. Inaccordance with the principle of proporti onality as set out in that Article this
Regulation does not go beyond what is necessary in order to achieve the objectivespursued,
                                                
8OJ L 225, 12.8.1998, p. 27.
18HAVE ADOPTED THIS REGULATION:
Article 1
Objective
The objective of this Regulation is to create , by 31 December 2004 at the latest, a European
airspace, conceived and managed as a single ai rspace, offering optimum safety conditions and
overall efficiency for air traffic in the Community and ensuring a level of capacity meetingthe requirements of civil and military users. This single airspace is hereinafter referred to asthe "Single European Sky".
This Regulation lays down the general lines  of approach governing creation of the
Single European Sky and identifies the fields for action by the Community and themeans necessary, in terms of structures, pro cedures and resources, in order to create the
Single European Sky, while taking into account the Member States’ defence needs and
Eurocontrol’s task of establishing a pan European airspace.
The measures taken to apply the lines of appr oach referred to in the second paragraph shall
take the form of implementation of common sa fety and performance rules for air navigation
services, by means of mechanisms allowing optimum use of airspace at Community level andthe involvement of all economic a nd social stakeholders concerned.
The decisions on measures to create the Single European Sky shall be adopted without
delay in order to derive  the first beneficial effects before the end of 2004.
Article 2
Definitions
For the purposes of this Regulation:(a) "air navigation services" means all air traffic control services, including ancillary
services providing communication, air navigation and surveillance infrastructure
and functions , meteorological services for airspace users, search and rescue services
and aeronautical information services, all those services being provided to airspace
users during every phase of the flight;
(b) "air navigation service providers" means any public or private entity , in accordance
with the Member State choice thereof,  responsible for operating and managing air
navigation services in the discharge of missions of general interest that have been
assigned to them ;
(c) "air traffic" means all movements of civil and State aircraft, including military,
customs and police aircraft;
(d) "airspace users" means all civil and St ate aircraft, including military, customs and
police aircraft;
19(e) "Eurocontrol" means the European Organisation for the Safety of Air Navigation set
up by the International Convention of 13 December 1960 relating to Cooperation for
the Safety of Air Navigation9.
Article 3
Fields for action by the Community
1. The measures necessary in order to create the Single European Sky shall be
established in the following fields, whilst ensuring maximum safety standards for airnavigation:
(a) organisation and use of the airspa ce and the relevant procedures;
(b) provision of air navigation services , including the economic aspects;
(c) air navigation equipment and system s and the associated procedures.
2. The measures set out in paragraph 1 sha ll aim to define the objectives and, where
appropriate, the means of attaining these objectives in such a way as to safeguard thepublic interest.
Article 4
Organisation and use of the airspace
Measures on the organisation and use of airspace shall be such that:(a) the airspace above the territory of the Community
 under the responsibility of
Member States  is treated as a common resource constituting a continuum;
(b) use of the airspace is flexible, with  no permanent segregation and optimising the
duration of any temporary segregation for military purposes;
(c)          sufficient capacity  is made available to accommodate demand;
(d) most flights take a straight line between the points of departure and destination or
take the route closest to this straight line, and can operate at their optimum flight
level,  subject to compliance with the demands of safety, defence, energy-saving,
environmental protection and greater effectiveness in  the management of air traffic;
(e) the airspace is divided into air traffic c ontrol sectors giving priority to operational
requirements;
(f) air traffic flow planning and management  allow smooth, flexible air traffic making
optimum use of the capacity available.
                                                
9Convention as amended by the Protocol of 12 February 1981, and revised by the Protocol of
27 June 1997.
20Article 5
Provision of air navigation services
Measures relating to the provision of air navigation services shall be such that:
(a) definition and monitoring of a pplication of the rules referred to in Article 1 are kept
separate from operation of the air naviga tion services subject to these rules;
(b) air navigation service providers hold regula r, formal consultations with airspace
users on the arrangements and costs for air navigation services to ensure that theseusers' needs are taken into account in definition of
, while providing  these services;
(c) air navigation service providers ensure a ppropriate transparency in air navigation
services, in the form of publication of  financial accounts and annual reports, and
performance indicators,  and regularly undergo an independent audit;
(d) operation of air navigation services is harmonised to ensure integration and
consistency of the operations of air navi gation service providers, airspace users and
airports;
(e) co-operation between civil air navigation serv ice providers is reinforced, in particular
by facilitating the establishment of grouping s of two or more service providers ;
(f) co-operation between civil and military air navigation service providers is
encouraged;
(g) new services are established at the same time for all interested parties in the Member
States concerned;
(h) air navigation service providers exchange a ll data on the situation of flights during
every phase of the flight in order to facilitate operation of air navigation services;access to these data shall be open to all concerned on a non- discriminatory basis,
without prejudice to safety requirements;
(i) the economic regulations favour more effi cient provision of air navigation services
and provision of services releasing capacity meeting Europe's needs;
(j) mechanisms providing performance incentives are developed to stimulate new
investment in this sector and to reward timely provision of high-quality servicesmeeting high safety and quality standards and  the demand from airspace users.
Article 6
Air navigation equipment and systems
Measures on air navigation equipment and systems shall be such that:
(a) the technical and operational solutions allo w uniform planning and operation of the
European system, including interoperability;
21(b) creation of the Single European Sky fa vours the introduction of  new technical and
operational solutions for air navigation where these improve safety, efficiency
and/or capacity ;
(c) the development and validation of technical and operational solutions conform to
programmes on the basis of ad vanced international standards,  meet airspace
users' common needs and take account of th e demand from such users with regard to
choice of routes and flight profiles;
(d) regulations are developed relating to on-board equipment in order to meet the
implementation date.
Article 7
Single Sky Committee
1. A committee, hereinafter referred to as “the Single Sky Committee", is hereby set up,
composed of the representatives of the Member States and chaired by therepresentative of the Commission.
2.            The Single Sky Committ ee shall establish its own rules of procedures.
3. Each Member State shall appoint two representatives and two alternates.
4. Non-Community States committed to air transport agreements with the Community
shall be associated with the work of the committee, in accordance with the
arrangements laid down in the agreements.
Article 8
Relations with third countries
When drafting the measures taken to impleme nt this Regulation, the Commission shall keep
open the possibility of extending the Single  European Sky to countries which are not
members of the Community, whether under bila teral agreements concluded with the non-
member countries or within the framework of Eurocontrol.
Article 9
Relationship between the Commission and Eurocontrol
When drafting implementing rules for the measures referred to in Article 3, the
Commission shall, where appropriate, endeavou r to obtain the technical basis for these
rules from Eurocontrol, for subjects where this organisation has relevant expertise.
22Article 9 10
Supervision and monitoring
1. The measures adopted pursuant to Article 3 shall define appropriate mechanisms for
assisting the Commission in its responsib ilities for supervising and monitoring
application of those rules, including the creation of civil and military technicalexpertise.
2. The supervision and monitoring methods sh all be based on the submission of regular
reports by air navigation service provi ders on implementation of the measures
adopted.
Article 11
Penalties
Member States shall lay down a system of pena lties for breaches of the provisions of this
Regulation and shall take all the measures necessary to ensure that these penalties are
applied. The penalties thus provided for, shall be effective, proportionate and dissuasive.
Article 10 12
Performance review
The Commission shall ensure the examination a nd comparison of air navigation performance
involving, in particular, Eurocont rol's Performance Review Commission.
The Commission shall ensure the dissemination of best practice at the Community level.
Article 11 13
Impact assessment
Every five years after the entry into force of this Regulation and for the first time no later than
30 June 2005, the Commission shall submit to the European Parliament and to the Council a
report assessing the measures taken to create the Single European Sky.
For the purposes of drafting this report, the Commission may request the opinion of the
Single Sky Committee.
The report shall contain an evaluation of the re sults achieved by the measures taken pursuant
to this Regulation in the various fields of action  including appropriate information about
the developments in the sector, in particul ar concerning economic, social, employment
and technological aspects, as well as quality of service, and  in the light of the original
objectives and of future needs.
23Article 12 14
Safeguards
This Regulation shall not prevent Member St ates from adopting or applying measures
warranted by serious internal disturbances af fecting the maintenance of law and order, in
the event of war, serious international tension constituting a threat of war, or in order tocarry out obligations they have accepted for the purpose of maintaining peace andinternational security.
Article 13
15
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities .
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament For the Council
The President The President
242001/0235 (COD)
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the provision of air navigation services in th e Single European Sky
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission10,
Having regard to the opinion of the Economic and Social Committee11,
Having regard to the opinion of the Committee of the Regions12,
Acting in accordance with the procedur e laid down in Article 251 of the Treaty13,
Whereas:(1) Member States have restructured, to vary ing degrees, their national air navigation
service providers by increasing their level of autonomy and freedom to provide
services. It is increasingly necessary to ensure that minimum public interestrequirements are satisfied und er this new environment.
(2) The report of the High Level Group on the Single European Sky has confirmed the
need for rules at Community level to distinguish between regulation and serviceprovision and to introduce a system of authorisation to preserve public interest
requirements, most notably in terms of safety,  and a charging mechanism to
stimulate cost-effectiveness.
(3) Regulation (EC) No XXX/XX of the Euro pean Parliament and of the Council14 lays
down the framework for the creation of the Single European Sky.
(4) In order to create the Single European Sky, measures should be adopted to ensure the
safe and efficient provision of air navigation services consistent with the organisation
and use of airspace as provided for in Regulation (EC) No XXX/XX of the European
Parliament and of the Counc il of … 2001 [on the organisation and use of the airspace
                                                
10OJ C
11OJ C
12OJ C
13OJ C
14OJ L
25in the Single European Sky]15. The establishment of a harmonised organisation of the
provision of such services is important  to respond adequately to the demand of
airspace users and to operate ai r traffic safely and efficiently.
(5) The verification of compliance by air navi gation service providers  and other relevant
operators with Community requirements is predominantly a task for the MemberStates. It means that the authorities performing such verifications should be
sufficiently independent of ai r navigation service providers.
(6) Member States s hould be permitted to
 entrust to recognised and technically
experienced  organisations the verification and certification of compliance of air
navigation service providers and othe r relevant operators with Community
requirements.
(7) Smooth operation of the air transport syst em also requires uniform, high safety
standards of air navigation service providers. The implementation of such safety
requirements is without prejudice to the role and responsibilities of the European
Safety Agency which, with regard to the creation of the Single European Sky,
should have to be more clearl y defined in the longer term.
(8) Arrangements should be proposed to overc ome the lack of controllers, through the
improvement and harmonisation  of the procedures for selection,  training
authorisation, rating  and licensing, and through the harmonisation of such
procedures at Community level  the mutual recognition of licences, and the
development of recruitment programmes .
(9) The Commission should monitor the development of recruitment programmes by
Member States to determine whether it will be necessary to provide Community
support for the development of these programmes.
(10) Whilst guaranteeing the continuity of service provision, a common system should be
established for authorising air navigation services which constitutes a means for
defining the rights and obligations of air navigation service providers.
(11) The authorisation system should provide for the means to control access to the
activity. It should take into account the need to facilitate th e introduction of new
services as well as new rules for service provision. Accordingly, authorisations should
provide for the most adequate control compatible with the fulfilment of applicablerequirements. It is also important to define non-discriminatory requirements in relationto the location and surveillance of a service provider, in particular of air trafficservices, applying for authorisation.
(12) Conditions attached to authorisations are necessary in order to attain public interest
objectives for the benefit of airspace us ers and the air transport passengers. They
should be objectively justified and should be non-discriminatory,  proportionate and
transparent and compatible with applicable, internationally standards .
(13) The harmonisation of conditions attached to authorisations and of the procedures for
the granting of authorisations should sign ificantly facilitate the provision of air
navigation services in the Community.
                                                
15OJ L
26(14) Existing air navigation service providers  should be allowed a reasonable period of
time within which to adjust to the requirements of the new system of authorisation,
(15) The authorisations should be mutually reco gnised by all Member States in order to
allow air navigation service providers to provi de services in a Member State other than
where they obtained their authorisations, within the limits of the requirements ofsafety.
(16) In the interest of facilitating the safe hand ling of air traffic across the boundaries of the
Member States for the benefit of the airspace users and their passengers, the system of
authorisation should provide for a framework to enable Member States to designate
service providers for providing  air traffic services, regardless of where they have been
authorised.
(17) The provision of ancillary services  communication servi ces, air navigation and
surveillance services , meteorological services and ae ronautical information services
should be organised under mark et conditions whilst taking into account the special
features of such services  and simultaneously maintaining a high level of safety .
(18) Cooperation between service providers, airs pace users and other operators should be
enhanced on a contractual basis.
(19) Air navigation service providers should esta blish and maintain cl ose cooperation with
military authorities responsible  for activities that may affect air traffic, through
appropriate arrangements.
(20) The accounts of all air navigation servi ce providers should provide for maximum
transparency: to this end, the accounts should be separated for each service and control
centre.
(21) The introduction of harmonised principles and conditions for access to operational
data should facilitate the pr ovision of air navigation serv ices and the operations of
airspace users and airports under a new environment.
(22) Charging conditions applying to airspa ce users should be fair and transparent.
(23) User charges should provide remuneration for the facilities and services provided by
air navigation service providers. Such servic es and facilities can, by their nature, only
be provided by air navigation service provide rs themselves; in view of this monopoly
situation, the level of user charges should be  proportionate to the costs incurred in the
provision of such facilities and services, taking into consideration the objective ofeconomic efficiency , while maintaining a high level of safety .
(24) There should be no discrimination between  airspace users for the provision of
equivalent air navigation services.
(25) Air navigation service providers offer a certain number of facilities and services
directly related to the operation of aircraft , the costs of which they should be able to
recover according to the “user pays” principle, which is to say that airspace usersshould pay for the costs they impose at, or as close as possible to, the point of use.
27(26) It is important to ensure the transparency of the costs to which such services or
facilities give rise. Accordingly, any changes made to the system or level of charges
should be explained to airsp ace users; such changes or investment proposed by air
navigation service providers shoul d be explained as part of an exchange of information
between their management bodies and airspace users.
(27) There should be scope for modulating charge s that contribute to maximising system-
wide capacity. Financial incentives are a us eful way of accelerating the introduction of
ground-based or airborne equipment that  increases capacity, of rewarding high
performance or of offsetting the inconvenien ce of choosing less desirable routings.
(28)      In the context of revenues raised to provide a reasonable return on assets, and in
direct correlation with the saving made from efficiency improvements, it should
also be possible to allow the establis hment of a reserve to avoid a sudden increase
in charges to airspace users at ti mes of reduced levels of traffic.
(29) The Commission should examine the feasibility of organising a temporary financial
aid for measures to increase the capacity of Europe's air traffic control system as a
whole.
(30) The establishment and imposition of charge s on airspace users should be constantly
reviewed by the Commission, in collaboration with the European Organisation for the
Safety of Air Navigation (“Eurocontrol” ), and in coopera tion with national
supervisory authorities and airspace users.
(31) The performance of the air navigation services system as a whole at European level
needs to be constantly examined , with due regard to the maintenance of a high
level of safety,  to check the effectiveness of the measures adopted and to propose
further measures.
(32) Owing to the particular sensitivity of information concerning service providers,
national supervisory authorities should not disclose information covered by the
obligation of professional se crecy, without prejudice to the organisation of a system
for monitoring and publishing the performance of service providers,
(33)      The associations of airspace us ers, of air navigation service providers and of
manufacturing industry should be informed and consulted in an appropriate way
on all measures concerning the technical aspects of the implementation of the
Single European Sky.
(34) Since the objectives of the proposed action, namely to promote the safe and efficient
provision of air navigation services, cannot be sufficiently achieved by the Member
States, by reason of the transnational scale of this action, and can therefore be betterachieved at Community level, whilst ensuring that the implementing procedures takeaccount of the specific local conditions, the Community may a dopt measures in
accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In
accordance with the principle of proportionality, as set out in that Article, this Regulationdoes not go beyond what is necessary in order to achieve those objectives.
28(35) Since most of the measures necessary for the implementation of this Regulation
are measures of general scope within  the meaning of Article 2 of Council
Decision 1999/468/EC of 28 June 1999 laying dow n the procedures for the exercise of
implementing powers conferred on the Commission16, they should be adopted by use
of the regulatory procedure provided for in  Article 5 of that Decision. However, in
accordance with Article 2(c) of that D ecision, some measures should be adopted by
use of the advisory procedure provide d for in Article 3 of that Decision,
HAVE ADOPTED THIS REGULATION:
Chapter I
GENERAL
Article 1
Scope
This Regulation shall apply to the provision of  air navigation services for civil aviation,
including air traffic services, meteorological services, search and rescue services and ancillaryservices providing communication, navigati on and surveillance infrastructure and
aeronautical information services as specified in Annex I, in accordance with and within thescope of Regulation (EC) No XXX/XX [laying down the framework for the creation of theSingle European Sky].
Article 2
Definitions
For the purposes of this Regulation the definitions set out in Article 2 of  Regulation (EC)
No XXX/XX [laying down the framework for the creation of the Single European Sky]shall apply.
The following definitions shall also apply:(a) “national supervisory authority” m eans the body or bodies, appointed by a
Member State for the supervision of  air navigation service providers;
(b) "recognised organisation” means a privat e or public body, recognised in conformity
with Article 4, carrying out assessment wo rk for a national supervisory authority;
(c) “authorisation” means a permission which is granted by a Member State and
which certifies that an air navigation se rvice provider is suitable for providing a
specific service;
(d) “bundle of services” means two or more ai r navigation services as listed in Annex I;
                                                
16OJ L 184, 17.7.1999, p. 23.
29(e) “air traffic services” means all flight information services, alerting services, air
traffic advisory services and air traffic control services, including area controlservices, approach control services and aerodrome control services as defined in
Annex I;
(f) “designation” means an appointment by  a Member State or Member States in
accordance with this Regulation, giving a service provider the responsibility forproviding air traffic servic es on an exclusive basis;
(g) “ancillary services” means communicati on, navigation and surveillance services as
further defined in Annex I;
(h) “airspace block” means an  airspace of defined dimens ions, above land or waters,
within which air navigation services are provided;
(i) “functional airspace block” means an  airspace block of optimally defined
dimensions;
(j) “operational data” means information and/ or data used by air navigation service
providers and airspace users during the execution of their operational activities;
(k) “charges” means the price related to the operating and investment costs of air
navigation services and related facilities.
Article 3
National supervisory authorities
1. A national supervisory author ity shall be established by each Member State in order
to assume the relevant re sponsibilities and obligations unde r the requirements of this
Regulation. The national supervisory author ities shall be indepe ndent of the air
navigation service providers. This independ ence shall be achieved through adequate
separation, at the functiona l level at least, betwee n the national supervisory
authorities and such providers.
2. The national supervisory authority sha ll ensure the appropriate oversight and
enforcement of this Regulation, in particular  with regard to the safe and efficient
operations of air navigation service provide rs. To this end, the national supervisory
authority shall perform proper inspections and surveys to verify compliance with therequirements of this Regulation.
3. Member States shall inform the Commission of the names and addresses of the
national supervisory aut horities and of the measures undertaken to ensure
compliance with the provisions of paragr aph 1. Member States may conclude an
agreement on the supervisory role provided fo r in this Article in respect of regional
service providers.
4. Member States shall notify any changes to the information supplied under
paragraph 3, within one m onth of their introduction.
30Article 4
Recognised organisations
1. National supervisory authorities may decide with respect to air navigation service
providers that operate under their re sponsibility to instruct recognised and
technically experienced  organisations to undertake fully or in part the inspections
and surveys.
2. Member States may only recognise those organisations which fu lfil the requirements
laid down in paragraph 4 and which have submitted to the national supervisoryauthorities a request for recognition.
3. A recognition granted by a national supervisory authority shall be valid within the
Community. National supervisory authorities may instruct any of the recognisedorganisations located in the Community to undertake the inspections and surveys
under Article 3(2).
4. Recognised organisations shall comply with the minimum requirements set out in
Annex II together with any further measures defined in accordance with theprocedure referred to in Article 19(2), including the procedures for the granting of
recognition, their monitoring and the work ing relationship and the liability between
recognised organisations and the national supervisory authorities.
Article 5
Safety requirements
1. The Eurocontrol Safety Regulatory  Requirements (ESA RRs) and subsequent
amendments to those requirements shall be  identified and adopted in accordance with
the procedure referred to in Article 19( 2). Publication shall take the form of
references to such ESARRs in the Official Journal of the European Communities .
2. Paragraph 1 shall be without prejudi ce to Article 1(2) of Regulation (EC)
No XXX/XX of the European Pa rliament and of the Council
17 [on establishing
common rules in the field of civil aviation and creating a European Aviation SafetyAgency].
Article 6
Licensing and training of controllers
The mobility of air traffic controllers together  with enhanced training conditions shall be
developed On the basis of a Commission proposal  by the European Parliament and of  the
Council, on the basis of a Commission proposal  shall, where appropriate, adopt measures
to overcome the lack of controllers and air traffic management personnel .
                                                
17OJ L
31Chapter II
RULES FOR THE PROVISION OF SERVICES
Article 7
System of authorisation
1. The provision of air navigation services shall be subject to a system of authorisation
certifying the suitability of service providers to provide such services and enabling
co-operation between service providers .
2. Member States shall issue and monitor au thorisations for air navigation services.
Authorisations may be granted for each se parate air navigation service as listed in
Annex I or for a bundle of such services.
3. Member States shall accept any authorisation granted in the Community according to
the requirements of this Article. Without prejudice to international agreements and
conventions to which the Community is a c ontracting party, providers of air traffic
services shall be owned a nd continue to be owned directly, or through majority
ownership, by Member States and/or nationa ls of Member States. They shall at all
times be effectively controlled by such Member States or such nationals.
4. Air navigation service providers mee ting the requirements of the system of
authorisation shall be entitled to an authorisation for the purpose of providing airnavigation services. To that end, air naviga tion service providers shall apply to the
national supervisory authority of the Member  State where they have their principal
place of operation and, if an y, their registered office.
5. Authorisations shall specify the conditions in terms of rights and obligations of air
navigation service providers , with particular regard to safety,  that are objectively
justified in order to meet the objectives of  this Regulation. The conditions attached to
authorisations and the proce dures for their grant shall:
(a) comply with the general lines of  approach set out in Annex III;
(b) be non-discriminatory, propo rtionate and transparent,
(c) avoid any conflict of interest in the management or operation of air navigation
services and ensure fair access by all airspace users,
(d) reflect the public interest na ture of air navigation services.
6. The authorisation system, including harm onised conditions in respect of the various
air navigation services and the relevant c onditions and procedures for the granting of
authorisations, shall be established in accordance with the procedure referred to inArticle 19(2).
7. Providers of air navigation services at the time of entry into force of this Regulation
shall be authorised to continue to do so, pr ovided that they comply with paragraphs 1
to 5 within a period of six months of  the adoption of implementing rules for
authorisations in accordance with paragraph 5.
328. No air navigation service provider established in the Community shall be permitted
to operate within the Community unle ss it has been granted the appropriate
authorisation.
Article 8
Designation of service providers
1. The provision of air traffic services sha ll be subject to a system of designation
allowing the service provider to operate  on an exclusive basis within specific
airspace blocks and defining the oblig ations and requireme nts of the operation.
Member States shall designate service provi ders to provide air traffic services in
respect of the airspace over their territory. For this purpose, Member States maydesignate any service provide rs holding a valid authorisation within the Community.
2. Air traffic services that are, at the time of entry into force of this Regulation,
operated by an air navigation service provi der in respect of specific airspace blocks
shall entitle that service provider to be designated for the same services in the sameairspace blocks for a maximum period of  three years without prejudice to the
application of the provisions of Ar ticle 5 of Regulation (EC) No XXX/XX
[airspace regulation ]. Air navigation service providers shall be subject to
continuous operational and safety improvements .
3. With regard to ancillary services, meteorological services and aeronautical
information services, the granting of authorisations confers to service providers theright of providing such services within the Community, subject to their notificationto the relevant national supervisory authorities of the Member States and to theCommission of the airspace blocks in re spect of which such services will be
provided.
4. Air navigation service providers shall provide their services in an open, non-
discriminatory and transparent manner. Such services shall be delivered inaccordance with the terms of the relevant  authorisations and, where appropriate, of
the relevant designations.
5. In respect of functional airs pace blocks as laid down in accordance with Article 5 of
Regulation (EC) No XXX/XX [ airspace regulation ] and when the configuration of
such functional airspace blocks differ from that of airspace blocks assigned on thebasis of paragraphs 1 and 2 of this Article, Member States shall designate service
providers to deliver air traffic services  in functional airspace blocks. When a
functional airspace block extends over the te rritory of more than one Member State,
the Member States concerned shall, within one month of the establishment of thefunctional airspace block, jointly designate the service providers.
Such service providers shall be immediately notified to the Commission.
33Article 9
Relations between service providers
Air navigation service providers may avail them selves of the services of other service
providers, in particular for ancillary services, meteorological services and aeronauticalinformation services. In such cases, air navi gation service providers shall formalise their
working relationships by means of written agreements or equivalent legal arrangementssetting out the specific duties and functions assumed by the providers. Those arrangementsshall comply with the relevant  provisions of this Regulation.
Article 10
Relations with military authorities
1. Air navigation service providers
 Member States  shall take the necessary steps with
a view to entering  to ensure that air navigation service providers enter  into
written agreements or equivalent legal arrangements with military authorities for the
blocks of airspace where they are designated. Those arrangements shall set out thespecific obligations of each party, includi ng the scope and procedures for exchanging
data and for the transfer of control followi ng the adoption of the measures referred to
in Article 12 of Regulation (EC) No XXX/XX [ framework regulation ]. Those
arrangements shall comply with the relevant provisions of this Regulation.
2. As long as Member States have separate entities to provide air traffic services to civil
and military air traffic, they shall keep  inform
 the Commission informed  of the way
in which the cooperation betwee n such entities is organised and the actions taken to
enhance this cooperation or, where possible, to integrate such entities with one
another .
Article 11
Unbundling of accounts
1. Air navigation service providers, whatever their system of ownership or legal form,
shall draw up, submit to audit and publis h their annual accounts in accordance with
International Accounting Standa rds adopted by the Community.
2. When providing a bundle of services, air na vigation service providers shall, in their
internal accounting, keep separate accounts for each service as listed in Annex I, and,
where appropriate, shall keep consolidat ed accounts for other, non-air navigation
services, as they would be required to do if  the services in question were carried out
by separate undertakings. When providers of air traffic services operate within
functional airspace blocks, they shall, in their internal accounting, keep separateaccounts for each control centre  responsible for that block.
3. Service providers shall inform the Commission of the rules for the allocation of
assets, liabilities, expenditure and income which service providers follow in drawingup the separate accounts refe rred to in paragraph 2.
344. Member States or any competent authority which they designate, as well as the
Commission, shall have a right of access to the accounts of service providers.
Article 12
Access to and protection of data
1. Operational data shall be exchanged in real-time between service providers and
between such service providers and airsp ace users to facilitate the operational needs
of both. It shall only be used for operational purposes.
2. Access to operational data sh all be granted to all authorised air navigation service
providers, airspace users and other opera tors concerned on a non-discriminatory
basis.
3. Each service provider shall establish sta ndard conditions of access to its operational
data from other service providers and airs pace users. National supervisory authorities
shall approve such standard conditions and take the necessary measures to ensure
that this data is only us ed for operational purposes . Detailed rules relating to such
conditions shall be established, where appropriate, in accordance with the procedure
referred to in Article 19(2).
Chapter III
CHARGING SCHEMES
Article 13
General
A charging scheme for air navigation services shall be established, in accordance with the
requirements of Artic les 14 and 15, that contributes to the achievement of greater
transparency with respect to the determin ation, imposition and enforcement of charges to
airspace users. This charging scheme shall also  be consistent with th e provisions of Article 15
of the 1944 Chicago Convention on International Civil Aviation and, where relevant, with
Eurocontrol’s Multilateral Agreement relating to Route Charges .
Article 14
General principles
1. The charging scheme shall proceed by the account of costs for air navigation services
incurred by service providers on behalf of airspace users.
It shall allocate the costs of air naviga tion services among categories of users and
shall develop a charging policy.
352. The following principles shall be applied when establishing the cost-base for
charges:
(a) The cost to be shared among airspace  users shall be the full cost of providing
air navigation services, including appr opriate amounts for interest on capital
investment and depr eciation of assets, as well as the costs of maintenance,
operation, management and administration.
(b) The cost to be taken into account  shall be those a ssessed in relation to
the facilities and services, provided fo r and implemented under the 24th edition
of 1998 of the ICAO Regional Air Navigation Plan, European RegionDoc No 7754.
(c) The cost of different air navigation se rvices shall be identified separately as
provided for in Article 11.
(d) Cross-subsidy between different air navigation services shall be clearly
identified.
(e) Costs that are external to the operation of facilities and of services to airspace
users, such as environmental costs, sh all become a component of user charges
in whichever way is  most appropriate.
(f) Air navigation services may produce su fficient revenues to exceed all direct
and indirect operating costs and to provide  for a reasonable return on assets to
contribute towards necessa ry capital improvements.
3. As far as charges are concerned, the followi ng principles in pa rticular shall apply:
(a) Charges shall be set for the availa bility of air navigation services under
non-discriminatory conditions. No distinc tion shall be made between charges
imposed on different airspace users for the use of the same service in relationto the nationality or category of the airspace user.
(b) Charges shall reflect the cost of air navigation services and facilities used by
airspace users who generate them.
(c) Transparency of the cost-base for char ges shall be guarant eed. Standards shall
be set for the provision of informati onby the service providers in order to
permit reviews of the provider’s fo recasts, actual costs and income.
Information shall be regularly exchan ged between the national supervisory
authorities, service providers, airspace users, the Commission and Eurocontrol.
(d) Charges shall encourage
 allow for  the safe, efficient and effective provision of
air navigation services at the lowest possible cost compatible with the
maintenance of a high level of safety  and shall stimulate integrated service
provision. They may provide incentives and deterrents consisting of financial
advantages and disadvantages which a pply to air navigation service providers
and/or airspace users. They may also  provide revenues to  benefit projects
designed to assist specific categories of users and/or air navigation service
providers in order to improve collectiv e air navigation infrastructures, the
provision of air navigation services and the use of airspace
364. The implementing rules in the fields c overed by paragraphs 1, 2 and 3 shall be
established in accordance with the procedure referred to in Article 19(2).
Article 15
Review of charges
1. The Commission shall provide for the ong oing review of compliance with the
principles and rules referred to in Artic le 13 and 14, acting in collaboration with, in
particular, national supervisory authorities. The Commission may also establish thenecessary mechanisms for making  use of Eurocontrol expertise.
2. At the request of one or more Member Stat es which consider that the principles and
rules have not been properly applied, or on its own initiative, the Commission shallcarry out an investigation on any allega tion of non-compliance or non-application of
the principles by service providers. Within two months of receipt of a request andafter consulting the “Single Sky Committ ee” in accordance with the procedure
referred to in Article 19(3), the Commission shall take a decision on the applicationof Articles 13 and 14 and sha ll decide whether the service provider may continue to
apply the principle or rule concerned.
3. The Commission shall communicate its decision to the Member States and to the
service provider concerned. Any Member State may refer the Commission’s decision
to the Council within one month. The Counc il, acting by a qua lified majority, may
take a different decision within a period of one month.
Chapter IV
F
INAL PROVISIONS
Article 16
Performance regime
Detailed rules for the submission of info rmation required pursuant to Article 10 of
Regulation (EC) No XXX/XX [ framework regulation ] shall be established in accordance
with the procedure referred to in Article 19(2 ) of this Regulation, with a view to allowing
the comparison and improvement of air naviga tion service provision within the Single Sky.
The submission of this information shall:
(a) promote the wide performance of a ne twork of air navigation service providers
within the Community;
(b) offer a prospect of enabling air navigati on service providers to deliver the required
services;
(c) improve the consultation process between airspace users and air navigation service
providers;
37(d) allow the identification and the promotion of best practice , in particular by means
of a set of safety indicators .
Article 17
Adjustment to technical progress
1. In order to make adaptations to techni cal developments, adjustments may be made,
in accordance with the procedure referred to in Article 19(2), to:
(a) the Annexes;(b) the reference to the ICAO Regiona l Air Navigation Plan contained in
Article 14(2).
2. The Commission shall publish implementin g rules adopted on the basis of this
Regulation in the Official Journal of the European Communities .
Article 18
Confidentiality
National supervisory authorities shall not disclose information covered by the obligation of
professional secrecy, in  particular information about serv ice providers, their business relations
or their cost components.
The first paragraph shall be without prejudice to  the right of national supervisory authorities
to mandate disclosure where it is essential for the purposes of fulfilling their duties, in whichcase such disclosure shall be proportionate and shall have regard to the legitimate interests ofservice providers in the protec tion of their business secrets.
Moreover, the first paragraph shall not precl ude publication of information on the conditions
and performance of service provision which does  not include information of a confidential
nature as required by Article 16.
Article 19
Committee procedures
1. The Commission shall be assisted by the “Single Sky Committee” instituted by
Article 7 of Regulation (EC) No XXX/XX [ framework regulation ].
2. Where reference is made to this paragr aph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/ EC shall apply, in comp liance with Article 7 and
Article 8 thereof.
The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
3. Where reference is made to this paragraph, the advisory procedure laid down in
Article 3 of Decision 1999/468/ EC shall apply, in comp liance with Article 7 and
Article 8 thereof.
38Article 20
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities .
This Regulation shall be binding in its entirety and directly applicable in all Member States.Done at Brussels,
For the European Parliament For the Council
The President The President
39ANNEX I
AIR NAVIGATION SERVICES
Air traffic services
(1) Area control services , means air traffic control for controlled flights in control
areas. Air traffic control is a service provided for the purpose of preventing collisionsbetween aircraft, and on the manoeuvring area  between aircraft and obstructions, and
expediting and maintaining an orderly flow of air traffic.
(2) Approach control services , means air traffic control service for arriving or
departing controlled flights.
(3) Aerodrome control services , means air traffic control service for aerodrome traffic.
Other services
(4) Search and rescue services , means a service to provide assistance to aircraft in
distress and to survivors of aircraft accidents.
(5) Meteorological services , means a service to supply operators, flight crew members,
air traffic services units, search and re scue services units, airports and other
concerned with the conduct or development of air navigation with the meteorological
information necessary for the performance of their respective functions.
(6) Aeronautical information services , means a service provided for the purpose of
ensuring the flow of information necessary for the safety, regularity, and efficiencyof international air navigation.
Ancillary services
(7) Communication services , means a communication service provided for any
aeronautical purpose.
(8) Navigation services , means a navigation service provided for any aeronautical
purpose.
(9) Surveillance services , means a surveillance service provided for any aeronautical
purpose.
40ANNEX II
MINIMUM REQUIREMENTS FOR RECOGNISED ORGANISATIONS
The recognised organisation must:– be able to document extensive experience in assessing public and private entities in
the air transport sectors, in particular ai r navigation service providers, and in other
similar sectors in one or more of the fields covered by this Regulation;
– have comprehensive rules and regulations  for the periodic survey of the above
mentioned entities, publishe d and continually upgrad ed and improved through
research and deve lopment programmes;
– not be economically linked to or  controlled by air naviga tion service providers, or
be economically linked to or controlled  by others engaged commercially in the
provision of air navigation services  or in air transport services;
– be established with a significant and qualified  technical, managerial, support and
research staff commensurate with the tasks to be carried out;
– be managed and administered in such a way as to ensure the confidentiality of
information required by the administration;
– be prepared to provide relevant informati on to the national supervisory authority and
to the Commission;
– have defined and documented its policy and objectives for, and commitment to,
quality and has ensured that this policy is understood, implement ed and maintained
at all levels in the organisation;
– have developed, implemented and maintains an effective internal quality system
based on appropriate parts of  internationally recognised quality standards and in
compliance with EN 45004 (inspection bodies ) and with EN 29001, as interpreted by
the IACS Quality System Certification Scheme Requirements;
– be subject to certification of its quality system by an independent body of auditors
recognised by the administration of the Member State in which it is located.
41ANNEX III
CONDITIONS WHICH MAY BE ATTACHED TO AUTHORISATIONS
1. General information relating to
– the recipient of the authorisation;
– a general description of the purpose of the authorisation;
– confirmation of the authority of the issuing body to issue the authority;
– comprehensive references to the go verning legislation under which the
authorisation is issued a nd under which it will operate;
– a clear specification of the period for which the authorisation is to run;
– the notice period required for the authoris ed service provider to surrender the
authorisation or for the national supervisory authority to revoke it;
– a definition of terms referred to in the authorisation.
2. Conditions relating to:
– the organisational structure and owners hip of the service provider, including
the prevention of conflict of interest;
– the financial strength of the service provider and insurance in respect of
liability risks;
– the suitability of the holder of the authorisations, particularly in terms of past
experience and credibility, safety and quality management systems andprocesses, human resource policies and adequate staffing plans for all
categories of air traffic management personnel ;
– the provision of information reasona bly required for the verification of
compliance with applicable conditions, including the regular publication by theservice providers of business plans, fi nancial and operati onal data and the
reporting of safety occurrences;
– the management of assets relevant to the provision of the authorised service,
including capital and human resources;
– the non-discriminatory access to services  from airspace users and the required
level of performance of such service, including safety and interoperabilitylevels;
– ring-fencing or restriction of operati on of business other than those related to
the provision of air navigation services;
– any other legal conditions which are not  specific to air navigation services;
42– measures taken by Member States in accordance with public interest
requirements recognised by the Treaty specifically in relation to publicmorality, public security, including the investigation of criminal activities, andpublic policy.
432001/0236 (COD)
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the organisation and use of the ai rspace in the Single European Sky
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission18,
Having regard to the opinion of the Economic and Social Committee19,
Having regard to the opinion of the Committee of the Regions20,
Acting in accordance with the procedur e laid down in Article 251 of the Treaty21,
Whereas:(1) The creation of the Single European Sky requires a harmonised approach for
regulation of the organisation and the use of airspace.
(2) The report of the High Level Group on the Single European Sky
(hereinafter: “the High Level Group”) has confirmed the need for rules at Community
level to design, regulate and strategicall y manage airspace on a European basis and
enhance air traffic flow management.
(3) The Communication of the Commission on the creation of the Single European Sky
22,
calls for structural reform to permit the creation of the Single European Sky by way ofintegrated management of airspace a nd the development of new concepts and
procedures of air traffic management.
(4) Regulation (EC) No XXX/XX of the Euro pean Parliament and of the Council
23 lays
down the framework for the creation of the Single European Sky,
                                                
18OJ C
19OJ C
20OJ C
21OJ C
22COM(2001) 123 final.
23OJ L
44(5) Airspace is a common resource and needs to be used flexibly, ensuring fairness and
transparency for all users whilst taking in to account security and defence needs of
Member States and their commitments in international organisations.
(6) Efficient airspace management is fundamental  to increasing the capacity of the air
traffic services system, to providing  the optimum response to various user
requirements and to achieving the most flexible use of airspace.
(7) The activities of the European Organisation for the Safety of Air Navigation
(“Eurocontrol”) confirm that the rout e network and airspace structure cannot
realistically be developed in isolation, as each individual Member State is an integral
element of the European Air Traffic Management network. Therefore it is important
that this regulation also takes due account of the European Air Traffic
Management network beyond the Community.
(8) A single airspace should be established fo r en-route air traffic in the upper airspace;
the interface between such airspace and the lower, that is regional and local, airspaceshould be identified accordingly.
(9) The delineation of airspace wherein air tra ffic services are to be provided should be
related to the need for efficient serv ices, rather than to national boundaries. The plan
for creating functional airspace blocks should take into account, whenever
possible and appropriate, the recommendations of Eurocontrol.
(10) Airspace users face disparate conditions of access to, and freedom of movement
within, the Community airspace. This is due to t  The lack of harmonisation in the
classification of airspace has an impact on its opti mal operational organisation .
(11) Constraints in the definition of the route network cause concentr ation of air traffic
flows at fixed crossing points or junc tions of airways whilst the principle  introduction
of direct  optimised  routings , subject to the maintenance of a high level of safety,  is
the preferred, economical and ecologi cal way to use Community airspace.
(12) It is essential to achieve a common, harmonise d airspace structure, to base the present
and future allocation of airspace on common principles, and to design and manageairspace in accordance with harmonised rules.
(13) It is desirable to extend that harmonise d airspace structure to the lower airspace.
(14) Variations in the organisation of civil-military cooperation in the Community prevent
uniform and timely airspace management and the implementation of changes. Thesuccess of the Single European Sky is  dependent upon an effective cooperation
between civil and military authorities , at national level an d within the European
Union .
(15) There should be an effective functioning of the flexible use of airspace concept and
collaborative management to smoothly adapt military training with civil air traffic; it isnecessary to optimise the location, size a nd time periods of usage of sectors of
airspace allocated to military needs, especially during peak periods for civil air trafficand in high-density airspace.
(16) Military operations should be safeguarde d whenever the application of common
principles and criteria is detrimental to  their safe and efficient performance.
45(17) Adequate measures should be introduced to improve the effectiveness of air traffic
flow management , in order to assist existing operational units , including, where
appropriate, the Eurocontrol Central Flow Management Unit, to ensure efficient
flight operations .
(18) In accordance with the conclusions of the High Level Group, Eurocontrol is the body
that has the appropriate expertise to suppor t the Community in its role as regulator.
Accordingly, Eurocontrol should be pe rmitted to develop draft measures, under
appropriate arrangements subject to the obs ervance by Eurocontrol of the conditions to
be included in a framework of coopera tion between the Commission and Eurocontrol.
(19)      The associations of airspace us ers, of air navigation service providers and of
manufacturing industry should be informed and consulted in an appropriate way
on all measures concerning the technical aspects of the implementation of the
Single European Sky.
(20) Since the objectives of the proposed action, na mely to establish a European airspace as
a single operating airspace, cannot be suffi ciently achieved by the Member States, by
reason of the transnational scale of this action, and can therefore be better achieved at
Community level, whilst ensuring that th e implementing procedur es take account of
the specific local conditions, the Community  may adopt measures in accordance with
the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with theprinciple of proportionality, as set out in  that Article, this Regulation does not go
beyond what is necessary in order to achieve those objectives.
(21) Since the measures necessary for the implementation of this Regulation are measures
of general scope within the meaning of  Article 2 of Council Decision 1999/468/EC of
28 June 1999 laying down the procedures for the exercise of implementing powers
conferred on the Commission24, they should be adopted by use of the regulatory
procedure provided for in Article 5 of that Decision,
HAVE ADOPTED THIS REGULATION:
Chapter I
GENERAL
Article 1
Scope
1. This Regulation concerns the organisation and the use of airspace in accordance
with, and within the scope of, Regu lation (EC) No XXX/XX [laying down the
framework for the creation of the Single European Sky].
2. This Regulation shall apply to the airspace where Member States designate air
navigation service providers as provide d for in Article 8 of Regulation (EC)
No XXX/XX of the European Pa rliament and of the Council25 [service provision ].
                                                
24OJ L 184, 17.7.1999, p. 23.
25OJ L
46Article 2
Objective
The objective of this Regulation is to establish a Community airspace as a single operating
airspace where common procedures for design, pl anning and management ensure the efficient
and safe performance of air traffic management.
The use of Community airspace shall support the operation of the air navigation services as a
coherent and consistent whole in accord ance with the provisions of Regulation (EC)
No XXX/XX [ service provision ].
Article 3
Definitions
For the purposes of this Regulation the defin itions set out in Article  2 of Regulation (EC)
No XXX/XX [ framework regulation ] shall apply.
The following definitions shall also apply:(a) “single operating airspace” means an airspace in which  uniform airspace
management procedures and common  safety standards are applied to ensure the
efficient and safe  in the  provision of Air Traffic Control;
(b) “airspace design” means an appropriate, efficient and effective process for
structuring, dividing and categorising airspace together with the planning of routesand airspace;
(c) “flight information region” means an airs pace of defined dimensions within which
flight information services a nd alerting services are provided;
(d) “division level” means the boundar y between upper and lower airspace;
(e) “upper airspace” means the airspa ce above a certain flight level;
(f) “lower airspace” means the airspace below a certain flight level;(g) “flight level” means a surface of constant atmospheric pressure which is related to
specific pressure datum 1013.2 hectopascal s and is separated from other such
surfaces by specific pressure intervals;
(h) “airspace block” means an  airspace of defined dimens ions, above land or waters,
within which air navigation services are provided;
(i) “functional airspace block” means an  airspace block of optimally defined
dimensions;
(j) "area control centre" means an operationa l unit established to provide air traffic
control services to air traffic in a block of airspace under its jurisdiction;
47(k) “airspace classification” means the International Civil Aviation Organisation (ICAO)
classification of airspaces alphabetically designated as classes A to G, as specified inAppendix 4 to the twelfth edition of July 1998 of Annex 11 to the 1944 ChicagoConvention on International Ci vil Aviation, also defined as airspaces of defined
dimensions, alphabetically de signated, within which specific types of flight may
operate and for which air traffic servic es and rules of operation are specified;
(l) “direct
 optimised  routing” means an aircraft operati on allowing an aircraft in flight
to proceed directly between two points outside the scheme of routes  provided that
technological means exist to support this operation ;
(m) “route network” means a network of specified routes for channelling the flow of air
traffic as necessary for the provision of air traffic services.
(n) “sector” means a subdivision of  the totality of control tasks  the airspace block  into
manageable airspace portions at which th roughput and capacity can be measured;
(o) “flexible use of airspace” means an airspace management concept applied in the
European Civil Aviation Conference area, as specified in the first edition of5 February 1996 of the “Airspace Manageme nt Handbook for the application of the
Concept of the Flexible Use of Airspace” issued by Eurocontrol;
(p) “airspace management” means a planning function with the primary objective of
maximum utilisation of available airspace by  dynamic time-sharing and, at times, the
segregation of airspace among various categories of airspace users based on
short-term needs;
(q) “air traffic flow management” means a service established with the objective of
contributing to a safe, orderly and expeditious flow of air traffic by ensuring that air
traffic control capacity is utilised to the maximum extent possible
 in a safe and
efficient way , and that traffic volume is compatible with the capacities declared by
the appropriate air traffic services providers;
(r) “collaborative decision making” means a process for exchanging information
between air traffic service providers, airp ort operators, air traffic flow management
providers and airspace users to instil more flexibility in slot/route allocation andflight coordination processes in order to optimise utilisation of scarce capacity.
Chapter II
A
IRSPACE ARCHITECTURE
Article 4
Creation of a European Upper Flight Information Region
1. Taking due account of ICAO requirements,  as specified in the twelfth edition of
July 1998 of Annex 11 to the 1944 Chicago Convention on International CivilAviation, a single European Upper Flig ht Information Region (EUIR) shall be
established in the upper airspace.
482. The division level between upper and lower airspace shall be set at flight level 285
subject to marginal deviations decided in accordance with the procedure
referred to in Article 16(2) and that are justified by a safe, orderly, efficient and
expeditious flow of air traffic and an optimal provision of air traffic services .
3. Within three years after the establishment of the EUIR and in the light of progress
achieved , the European Parliament and the C ouncil shall, on the basis of a proposal
from the Commission, extend the concept referre d to in paragraph 1 to include the
creation of a European Flight Inform ation Region in the lower airspace.
4. The Commission shall take the necessary measures in order to have the EUIR
recognised by ICAO as required by the tenth edition of July 1997 of Annex 15 to the1944 Chicago Convention on International Civil Aviation. The Commission, incollaboration with Eurocontrol, shall al so organise the publication of a single
aeronautical information relating to the EUIR through the consolidation ofexisting national aeronautical information. This publication shall incorporate all
changes to requirements and procedures introduced by the implementation of the
Single European Sky.
5.            In the performance of its tasks, the Commission shall take account of the
obligations stemming from regional agreements concluded within ICAO in
relation to airspace where the provision of air traffic services is entrusted to
Member States.
Article 5
Reconfiguration of the upper airspace
1. The EUIR shall be reconfigured into f unctional airspace blocks of minimum size on
the basis of safety and efficiency. The borders of such functional airspace blocks donot need to coincide with national bounda ries. Functional airspace blocks shall be
created to support the provision of air traffi c services within area control centres
responsible for an optimal size of airspace in the EUIR.
2. Functional airspace blocks shall be defined in accordance with the procedure referred
to in Article 16(2). The definition of such functional airspace blocks shall:
(a) support safely and  efficiently the existing and future pattern of air traffic;
(b) ensure that each airspace block is designed to maximise the efficiency of
European airspace as a whole with due regard to the maintenance of a high
level of safety ;
(c) take into account the human and capita l resources of various air navigation
service providers;
(d) minimise the transaction costs  optimise coordination  between various area
control centres;
(e) ensure coherence between the config urations of upper and lower airspace.
49Article 6
Airspace classification
The EUIR shall be designated in accordance with a harmonised airspace classification to
ensure the seamless provision of air navigati on services throughout the Community and to
establish a single category of environment within  which all air traffic is known to providers of
air traffic services, both with pos ition and with flight intentions.
This classification shall be established on a common and s implified application of the
classification of airspace currently prescribed  in chapter 2 of twelfth edition of July 1998 of
Annex 11 to the 1944 Chicago Conventi on on International Civil Aviation.
The necessary implementing rules in the fields  covered by the first and second paragraphs
shall be prescribed in accordance with the procedure referred to in Article 16(2) ofthis Regulation.
Article 7
Direct
 Optimised routing in the upper airspace
Subject to safety analysis and taking account of overall capacity aspects , air navigation
service providers shall organise the phased implementation of direct  optimised  routings in the
EUIR as the optimum economic and environmenta lly friendly usage of Community airspace.
Service providers shall regularly report to the Commission on this implementation.
Article 8
Uniform airspace design
The structuring, division and categorising of ai rspace together with the planning of routes
shall rely on a uniform, efficient and effective design process within the agreed concept ofoperation. To this end, airspace rules, common principles and criteria for sector design,
especially the design of cross-border sectors,  and route design sha ll be established on the
basis of the “Concept and Criteria for Medi um Term EUR Route Network and Associated
Airspace Sectorisation”, EATMP ARN Versi on 4 issued by Eurocontrol on 1 April 2001.
The implementing rules in the fields covered by the first paragraph shall be adopted in
accordance with the procedure referred to in Article 16(2).
Article 9
Consistency with the design for lower airspace
On the basis of the criteria specified in Article 5(2), as regards the concept of functional
airspace blocks, the planning and design of lower airspace shall be harmonised to be
consistent with upper airspace and shall take account of the environment at and around
airports in accordance with the procedure referred to in Article 16(2). The concept shall beextended to establish similar blocks in the lower airspace, particularly to address cross borderproblems for short to medium flights.
50Air navigation service provide rs shall harmonise operations  and practices concerning
approaches and departures of aircraft to/from airports and their movement on the airport
surface. A common procedure for the definition of such practices shall be laid down in
accordance with the procedure referred to in Article 16(2), including risk assessment methods
to verify the local feasibility of the procedures.
Chapter III
CIVIL-MILITARY COORDINATION
Article 10
Civil-Military Cooperation
1. Member States shall ensure an efficient allocation and use of airspace by civil and
military airspace users through the uniform and full application of the concept of theFlexible Use of Airspace.
2. Member States shall facilitate the organisation of civil-military cooperation
particularly in all aspects of airspace management and air-traffic flow management.Civil and military providers of air navigati on services shall exchange data under the
agreements provided for in Article 10 of Regulation (EC) No XXX/XX [on theprovision of air navigation services  in the Single European Sky].
3. Taking into account the general conditi ons for air traffic flow management, as
defined under Article 13, criteri a shall, in accordance with the procedure referred to
in Article 16(2), be established:
(a) for the use of segregated airspace, including factors for the determination of
horizontal and vertical extensions, the location of such airspace, and its sub-division into functional elements to  be activated according to demand;
(b) for the application of the conc ept of flexible use of airspace.
The criteria shall implement the principles provided for in Article 4 of Regulation
(EC) No XXX/XX [ framework regulation ].
4. Member States shall encourage the full integration of air defence in airspace
management ensuring full exploitation of  airspace under certain agreed conditions
and arrangements, taking into acc ount national security requirements.
5. Without prejudice to international agr eements and conventions to which the
Community is a contracting party and in order to ensure the safety of civil aviation,Member States may require submission of a flight plan for any military flightentering the airspace where they have designated air traffic services providers inaccordance with Article 8 and 9 of Regulation (EC) No XXX/XX [on the provisionof air navigation services in the Single Eu ropean Sky], regardless of the origin and/or
the destination of the flight.
51Article 11
Temporary exemption for adjustments
In the event of serious disturbance of military operations, one or more Member States may
request the Commission to propose adjustments to the criteria defined in accordance with
Article 10(3) in their territory. Pending the drafting of such adjustments the Commission shallexempt on a temporary basis the Member States from the application of these criteria.
Article 12
Information disclosure
Pursuant to Article 10 of Regulation (EC) No XXX/XX [ framework regulation ],
Member States shall submit to the Commission the necessary information on the demand and
actual use of airspace prohibited, closed, or restricted for military reasons, for further analysisand publication.
Chapter IV
F
LOW MANAGEMENT
Article 13
Air Traffic Flow Management
Rules for air traffic flow management shall be established in order to optimise
available capacities in the use of airspace and to enhance flow management processes.
These rules shall be based on transparency and efficiency ensuring that capacity isprovided flexibly and in a timely manner. Th ey shall support a framework for operational
decisions by air navigation service providers, airport owners and airspace users, based on
Collaborative Decision Making. These rules shall cover:
(a) a consistent route and tr affic orientation policy defi ned in a single publication;
(b) consistency between airport slots and slots assigned in the management of air traffic
flows;
(c) inconsistencies in  flight planning;
(d) options for diversion of air traffic from co ngested areas into routes in less congested
areas;
(e) priority rules in access to airspace, particularly during periods of congestion
and crisis , that allow the safe and orderly flow of traffic .
The implementing rules shall be laid down in accordance with the procedure referred to in
Article 16(2).
52Chapter V
FINAL PROVISIONS
Article 14
Procedures
When drafting implementing ru les covered by this Regulation, the Commission may, where
appropriate, ask Eurocontrol to draw up draft measures on the basis of a work programme laid
down by the Commission.
Article 15
Review of measures
1. In order to make adaptations to technical developments adjustments may be made, in
accordance with the procedure referred to in Article 16(2), to:
(a) the flight level referred to in Article 4(2) of this Regulation;(b) references to ICAO and Eurocontrol docum ents as referred to in Articles 3, 4, 6
and 8.
2. The Commission shall publish implementin g rules adopted on the basis of this
Regulation in the Official Journal of the European Communities .
Article 16
Committee Procedures
1. The Commission shall be assisted by the “Single Sky Committee” instituted by
Article 7 of Regulation (EC) No XXX/XX [ framework regulation ].
2. Where reference is made to this paragr aph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/ EC shall apply, in comp liance with Article 7 and
Article 8 thereof.
3. The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
53Article 17
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities .
This Regulation shall be binding in its entirety and directly applicable in all Member States.Done at Brussels,
For the European Parliament For the Council
The President The President
542001/0237 (COD)
Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
on the interoperability of the Europe an Air Traffic Management network
(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission26,
Having regard to the opinion of the Economic and Social Committee27,
Having regard to the opinion of the Committee of the Regions28,
Acting in accordance with the procedur e laid down in Article 251 of the Treaty29,
Whereas:(1) In order to create the Single European Sky, measures should be adopted in relation to
equipment, systems and associated procedures with the objective of ensuring seamlessoperations of the air traffic management ne twork consistent with the provision of air
navigation services as provided for in Re gulation (EC) No XXX/XX of the European
Parliament and of the C ouncil of … 2001 on the provision of Air Navigation Services
in the Single European Sky
30 and the organisation and use of airspace as provided for
in Regulation (EC) No XXX/XX of the Eur opean Parliament and of the Council of …
2001 [on the organisation and use of the airspace in the Single European Sky]31.
(2) The report of the High Level Group on the Single European Sky (hereinafter referred
to as: “the High Level Group”) has conf irmed the need to establish technical
regulation on the basis of the "new approach" in accordance with the Councilresolution of 7 May 1985 on a new approach to technical harmonisation andstandards
32 where essential requirements, rules and standards are complementary and
consistent.
                                                
26OJ C
27OJ C
28OJ C
29OJ C
30OJ L
31OJ L
32OJ C 136, 4.6.1985, p. 1
55(3) Regulation (EC) No XXX/XX of the Euro pean Parliament and of the Council33 lays
down the framework for the creation of the Single European Sky.
(4) The air traffic management network is a complex, highly interactive structure
involving large numbers of systems and components on the ground, in the air and in
space including facilities, equipment, and co mputer hardware and software as well as
the people that operate them.
(5) The report of the High Level Group has conf irmed that even though progress has been
realised during the last few years towards a seamless operation of the air trafficmanagement network in Europe, the situation still remains unsatisfactory with a lowlevel of integration between national air tr affic management systems and a slow pace
in the introduction of new concepts of ope ration and technology necessary to deliver
the additional required capacity.
(6) This low level of integration at Community level results in a number of severe
inefficiencies and additional costs for procurement and maintenance and in difficultiesin operational coordination.
(7) The predominance of national technical speci fications used in procurement, often
developed between the air navigation serv ice provider and the national manufacturing
industry, has led to fragmentation of ma rket equipment and doe s not facilitate the
industrial cooperation at Communi ty level; as a result industr y is particularly affected
since it needs to considerably adapt its products for each national market; these
practices render development and impleme ntation of new technology unnecessarily
difficult and slow down the introduction of ne w operational concepts that are required
to increase capacity.
(8) It is therefore in the interest of all t hose involved in the air traffic management to
develop a new partnership approach allo wing the balanced involvement of all,
stimulating creativity and the sharing of knowledge, experience and risks; such
partnership should aim at defining, in coop eration with the manufacturing industry, a
coherent set of Community specifications th at can fulfil the widest possible range of
needs from which an air navigation service provider can choose the elements that best
suit its circumstances and limit the local adaptations as much as possible .
(9) It is therefore appropriate to define essential requirements which will apply to the
systems and constituents of the air traffic management network; in view of thecomplexity of the air traffic management network it has proven ne cessary to break it
down to a number of systems.
(10) The development and adoption of Community specifications concerning the air traffic
management network, its systems and constituents is an appropriate means of definingthe technical and operational conditions necessary to achieve the essential
requirements; compliance with these Co mmunity specifications should create a
presumption of conformity with  the essential requirements.
                                                
33OJ L
56(11) For some systems that are important to the fulfilment of the essential requirements of
this Regulation, imple mentation rules should be adopt ed; implementation rules should
also be adopted to facilitate the coordina tion and introduction of new concepts in air
traffic management; compliance with the imp lementation rules s hould be permanently
maintained; these implementa tion rules should rely on rule s and standards developed
by international organisations such as Eurocontrol or ICAO.
(12) In accordance with the conclusions of the High Level Group, Eurocontrol is the body
that has the appropriate expertise to suppor t the Community in its role as regulator.
Accordingly, Eurocontrol should be pe rmitted to develop draft measures, under
appropriate arrangements subject to the obs ervance by Eurocontrol of the conditions to
be included in a framework of coopera tion between the Commission and Eurocontrol.
(13) In order to ensure separation between the rule-making and standardisation
functions, Community specifications shoul d predominantly be developed by the
European standardisation bodies in conj unction with the European Organisation
for Civil Aviation Equipment (“Euro cae”) and should take the form of
European standards.
(14) Eurocae is a non-profit making organisation in  charge of preparing drafts of technical
specifications for civil aviation equipment; its membership is open to all aviationstakeholders including, in particular, air navigation service providers, airspace users
and manufacturing industry; Eurocae must establish formal relationships with the
European standardisation bodies so that  its specifications can be recognised
as European standards according to the procedures set out by theEuropean standardisation organisations.
(15) Eurocontrol should also be permitted to develop, where necessary, Community
specifications, subject to compliance with the principles of the Council Resolution of
7 May 1985 and in accordance with general Community standardisation procedures;such procedures should include as a min imum the observance of the principles of
openness, transparency, impartiality, consensus, maintenance, public access tospecifications, efficiency, ac countability and coherence; detailed provisions to that
effect will be included in a document forming the framework of cooperation withEurocontrol.
(16) The procedures governing the assessment of conformity or suitability of use of
constituents should be based on the us e of the modules covered by Council
Decision 93/465/EEC of 22 July 1993 concerni ng the modules for the various phases
of the conformity assessment procedures and the rules for the affixing and use of theCE conformity marking, which are intended to  be used in the technical harmonisation
directives
34; as far as necessary these modules should be expanded to cover specific
requirements of the industries concerned.
(17) The market concerned is of small size and consists of systems and constituents of an
almost exclusive use to air traffic mana gement purposes and not destined to the
general public; it would be therefore excessive to affix the CE mark to constituents as,on the basis of the assessment of conformity and/or suitability for use, themanufacturer's declaration of conformity is  sufficient; that should not affect the
                                                
34OJ L 220, 30.8.1993, p. 23.
57obligation on manufacturers to affix the CE mark to certain constituents in order to
certify their compliance with other Community provisions relating to them.
(18) The putting into service, renewal or upgrading of air traffic management systems,
should be subject to verification of complia nce with the essential requirements; this
compliance is based on impleme ntation rules; use of Comm unity specifications should
create a presumption of conformity to the essential requirement s; depending on the
system, the intervention of a notified body should be deemed necessary in particular
for safety reasons.
(19) In accordance with the conclusions of the report of the High Level Group, the
Commission should consult industry with a vi ew to facilitating the establishment of a
coherent strategic management  programme for the introducti on of new concepts in air
traffic management.
(20) The full application of the provisions of th is Regulation should be done according to a
transition strategy which s hould endeavour to maintain the objective of the seamless
operation of the air traffic management ne twork while not creating unjustified cost-
benefit barriers to the preservation of the existing infrastructure.
(21) Since the objectives of the proposed action, namely to achieve in teroperability within
the Community air traffic management networ k, cannot be sufficiently achieved by the
Member States and can therefore, by reason of its wide scale, be better achieved atCommunity level, the Community may a dopt measures, in accordance with the
principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with theprinciple of proportionality, as set out in  that Article, this Regulation does not go
beyond what is necessary in order to achieve those objectives.
(22) Within the framework of the relevant Co mmunity legislation, due account shall be
taken of the need to ensure harmonised conditions with regard to the availability andefficient use of radio spectrum necessary for the implementation of the SingleEuropean Sky, including electromagnetic compatibility aspects; an efficient andappropriate use of frequencie s exclusively allocated to and managed by the aviation
sector shall be ensured.
(23) Council 
Directive 93/65/EEC of 19 July 1993 on the definition and use of compatible
technical specifications for the procuremen t of air-traffic-management equipment and
systems35, is limited to obligations of awarding entities; the present Regulation is more
comprehensive in that it addresses obligati ons of all actors, including air navigation
service providers, airspace users, manufactur ing industry and airports, and allows both
for stipulating rules applicable to all, as well as adoption of Community specificationswhich, while being of voluntary use, give pr esumption of conformit y to the essential
requirements. Therefore Directiv e 93/65/EEC should be repealed.
(24) Since Commission 
Directive 97/15/EC of 25 Ma rch 1997 adopting Eurocontrol
standards and amending Council Directive 93/65/EEC on the definition and use of
compatible technical specifications for the procurement of air-traffic managementequipment and systems
36 has become obsolete, it should be repealed.
                                                
35OJ L 187, 29.7.1993, p. 52.
36OJ L 95, 10.4.1997, p. 16.
58(25) The measures for the application of Direc tive 93/65/EEC as set out in Annexes I, II
and III to Commission Regulation (EC) No 2082/2000 of  6 September 2000 adopting
Eurocontrol standards and amending Di rective 97/15/EC, adopting Eurocontrol
standards and amending Council Directive 93/65/EEC37 are compatible with the
provisions of this Regulation.
(26) Since most of the measures necessary for the implementation of this Regulation
are measures of general scope within  the meaning of Article 2 of Council
Decision 1999/468/EC of 28 June 1999 laying dow n the procedures for the exercise of
implementing powers conferred on the Commission38, they should be adopted by use
of the regulatory procedure provided for in  Article 5 of that Decision. However, in
accordance with Article 2(c) of that D ecision, some measures should be adopted by
use of the advisory procedure provide d for in Article 3 of that Decision,
HAS ADOPTED THIS REGULATION:
Chapter I
GENERAL PROVISIONS
Article 1
Scope
1. This Regulation shall apply to equipment, systems and associated procedures for the
establishment of the air traffic manageme nt network and its concept of operation in
accordance with and within the scope of Regulation (EC) No XX/XXX [laying downthe framework for the creation of the Single European Sky].
2. General conditions that are linked to the rights and obligations of air navigation
service providers in the sense of Regu lation (EC) No XXX/XX [on the provision of
Air Navigation Services in the Single European Sky] shall be excluded from thescope of this Regulation.
Article 2
Objectives
The main objective of this Regulation is to define the conditions to be met in order to achieve
interoperability within Community territory between the different systems and constituents ofthe air traffic management network, including their safe and  seamless operation and
development and upgrading to new technology , without prejudice to the ultimate aim of
achieving global interoperability .
In the pursuit of the objective referred to in  the first paragraph, this Regulation shall also
contribute to the progressive creation of the internal market in equipment, systems andassociated services.
                                                
37OJ L 254, 9.10.2000, p. 1.
38OJ L 184, 17.7.1999, p. 23
59Article 3
Definitions
For the purposes of this Regulation the defin itions set out in Article  2 of Regulation (EC)
No XX/XXX [laying down the framework for the creation of the Single European Sky]shall apply.
The following definitions shall also apply:(a) "air traffic management network" mean s a system comprising ground elements and
airborne elements, enabling the provision of air navigation services, with the
objective of allowing airspace users to m eet their planned times of departure and
arrival and adhere to their preferred f light profiles with minimum constraints,
without compromising agreed levels of safety;
(b) "systems" means that the air traffic management network consists of systems as
described in Annex I, for which essential requirements must be laid down; eachsystem is made up of a number of constituents and has interfaces with other systems;the concept of a "constituent" covers both tangible objects and intangible objectssuch as software or procedures;
(c) "concept of operation" means the specification of the criteria for the operational use
of air navigation equipment and systems;  it provides information concerning the
operational elements involved, the require ments of all those involved in their
operational use, ground and airborne e quipment functionality and the measures
needed to ensure continued safe a nd efficient air traffic management;
(d) "seamless operation" means the operation of the whole system in such a manner that
from the user's perspective it functions as if it were a single system;
(e) "essential requirements" means all the conditions set out in Annex II which must be
met by the air traffic management network, its systems and their constituents;
(f) "Community specification" means a European standard within the meaning of
Article 1 of Directive 98/34/EC of the European Parliament  and of the Council
39 or a
Eurocontrol technical specification whose references have been published in the
Official Journal of the European Communities;
(g) "implementation rules" means the rules by which a system or part of a system is
covered in order to meet the essential requirements and ensure the seamlessoperation of the air traffic management network, including its interoperability;
(h) "national supervisory authority" means the body or bodies, appointed by a
Member State for the supervision of  air navigation service providers;
(i) "upgrading" means any major modificati on work on a system or part of a system
which requires the drawing up of a declaration of verification;
                                                
39OJ L 204, 21.7.1998, p. 37
60(j) "renewal" means any major substitution work on a system or part of a system which
requires the drawing up of a declaration of verification
Chapter II
ESSENTIAL REQUIREMENTS , COMMUNITY SPECIFICATIONS  AND IMPLEMENTATION RULES
Article 4
Essential requirements
The European Air Traffic Management network, its systems and their constituents shall meet
the essential requirements described in Annex II.
Article 5
Community specifications
1. Compliance with the essential requireme nts referred to in Annex II shall be
presumed in relation to systems or constituents that meet the relevant Communityspecifications or parts thereof whose refe rence numbers have been published in the
Official Journal of the European Communities .
2. Where a Member State or the Commission considers that conformity with a
Community specification does not ensure compliance with the essential requirementsreferred to in Annex II which the said Community specification is intended to cover,the procedure referred to in Article 16(3) shall apply.
3. In the case of shortcomings of Europ ean standards with respect to essential
requirements, partial or total withdraw al of the standards concerned from the
publications containing them, or th eir amendments, may be decided upon in
accordance with the procedure laid down in Article 5 of Directive 98/34/EC.
4. In the case of shortcomings of technical specifications drawn up by Eurocontrol with
respect to essential requirements, partial or total withdrawal of the specificationsconcerned from the publications containi ng them, or their amendments, may be
decided upon in accordance with the procedure referred to in Article 16(3).
Article 6
Implementation rules
1. Implementation rules shall be drawn up:
(a) for systems which are essential to achieve the objectives of this Regulation;(b) to support the coordinate d and rapid introduction of new concepts of operations
or technology in air traffic management.
2. Where necessary, especially for treating categories of systems or to solve certain
problems as a matter of priority or to re flect the evolutionary introduction of new
technology, a system, or part of a sy stem, may be covered by more than one
implementation rule. Inversely, achieveme nt of particular operational performances
61in parts of the network might imply the drawing up of rules that impose requirements
on more than one system.
3. Systems, or parts thereof, shall comply with the relevant implementation rules; this
compliance shall be permanently maintained while each system is in use.
4. To the extent necessary to achieve the objectives defined in Article 2, each
implementation rule, shall:
(a) determine any specific requirements for seamless operations, including
interoperability, safety or performance that are essential to achieve theobjectives of this Regulation;
(b) state in each case under considera tion which of the modules defined in
Decision 93/465/EEC or where appropriate which specifi c procedures are to be
used in order to assess either the conformity or the suitability for use of theconstituents essential for seamless operation, safety or performances as well as
the verification of systems.
5. Where a Member State or the Commission considers that conformity with an
implementation rule does not ensure compliance with the essential requirementsreferred to in Annex II which the said implementation rule is intended to cover, theprocedure referred to in Article 16(2) shall apply.
6. In the case of shortcomings of implementation rules with respect to essential
requirements, partial or total withdrawal of the rules concerned from the publicationscontaining them, or their amendments, may be decided upon in accordance with the
procedure referred to in Article 16(2).
Chapter III
P
ROCEDURES
Article 7
Community specifications
1. Community specifications shall cons ist of European standards drawn up by
the European standardisation bodies in  cooperation with Eurocae under a
mandate from the Commission in accordance with the provisions of Article 6(4) ofDirective 98/34/EC.
In certain specialised fields, in particular  on matters of intern al coordination between
air navigation service providers, such as procedures, the Commission may requestEurocontrol to draw up technical specifications within a list to be established inaccordance with the procedure referred to in Article 16(3).
2. The Commission shall publish the references to the European standards referred to in
paragraph 1 in the Official Journal of European Communities .
3. The references to the Eurocontrol technical specifications, referred to in paragraph 1
shall be published in the Official Journal of European Communities , in accordance
with the procedure referred to in Article 16(3).
62Article 8
Implementation rules
1. When preparing for implementation rules referred to in Article 6, the Commission
may request, where appropriate, Eurocontrol to draw up draft measures on the basis
of a work programme laid down by the Commission. Implementation rules shall beadopted and reviewed by the procedure set out in Article 16(2). They shall be
published in the Official Journal of the European Communities.
2. The preparation, adoption and review of implementation rules sh all take into account
the estimated cost of technical solutions by which they may be met, with a view todefining the most viable solution , with due regard to the maintenance of a high
level of safety . To this end, an assessment of the costs and benefits of those solutions
for all stakeholders concerned as well as  for the European Air Traffic Management
network shall be attached to each draft implementation rule.
3. When each implementation rule  is adopted, the date of en try into force shall be laid
down in accordance with the procedure referred to in Article 16(2). Wheresimultaneous actions of the different st akeholders are required to achieve the
objectives of this Regulation, the date of entry into force can
 shall, where
appropriate,  be also a target date by whic h all stakeholders have to equip
themselves with systems compliant to the relevant implementation rule.
Chapter IV
VERIFICATION OF COMPLIANCE
Article 9
EC declaration of conformity or suitability to use of constituents
1. Compliance with the essential requirements of this Regulation shall be presumed in
relation to those constituents that bear the EC declaration of conformity or suitabilityfor use the components of which are set out in Annex III.
2. In order to draw up the EC declaration of conformity or suitability of use, the
manufacturer, or its authorised representative established in the Community, mustapply the provisions laid down in the relevant implementation rules. Where sorequired by the implementation rule, the assessment of the constituent shall beappraised by the notified body referred to in Article 12, with which the manufacturer
or his authorised representative has lodged the application.
3. Where constituents are the subject of other Community provisions covering other
aspects, the EC declaration of conformity or suitability for use shall state that theconstituent also meets the requirements of those other provisions.
63Article 10
EC declaration of verification of systems
1. The putting into service, renewal and upgrading of those systems constituting the
Community air traffic management network shall be subject to verification with a
view to ensuring that these systems are designed, developed, in stalled and operated
in such a way as to meet the essential requirements concerning them when integratedinto the European Air Traffic Management network.
2. Prior to the putting into service, the air navigation service provider shall send to the
national supervisory authority concerne d, an EC declaration of verification
confirming compliance to the essential requirements, accompanied by a technicalfile, the components of which are set out in  Annex IV. This technical file will include
results of verification by a notified body re ferred to in Article 12, when so required
by the applicable implementation rule(s).
3. In the event of upgrading involving ai rborne components the airspace users shall
declare conformity with the provisions of this Regulation at the same time theyrequest a safety approval by th e national supervisory authority.
Article 11
Safeguard clause
1. Where the national supervisory authority finds that a constituent bearing the
EC declaration of conformit y or suitability of use or a system accompanied by the
EC declaration of verification is likely, when used as intended, not to meet the
essential requirements it shall take all necessary measures to restrict its area ofapplication, prohibit its use or  withdraw it from the market.
The national supervisory authority shall immediately inform the Commission of any
such measures, indicating its reasons and in particular, whether non-compliance is
due to:
(a) failure to meet the essential requirements referred to in Annex II;(b) incorrect application of the implement ation rules or Community specifications;
(c) shortcomings in the implementation rules or Community specifications.
2. The Commission shall enter into consultati on with the parties concerned as soon as
possible  forthwith . Where following the consultation, the Commission establishes
that the measure is justified, it shall forthwith so inform the Member State that has
taken the initiative and the other Member States. Where the decision referred to inparagraph 1 is justified by shortcomings in the implementation rules or Communityspecifications, the procedure referred to in Articles 5 and 6 shall apply. Where
following the
 this consultation the Commission establishes that the measure is
unjustified, it shall forthwith so inform the Member State that has taken the initiative
and the manufacturer or its authorised representative established within theCommunity.
643. Where a constituent bearing the EC declaration of conformity or suitability for use or
a system accompanied by the EC declarati on of verification, fails to comply, the
Member State shall take appropriate ac tion against whomsoever has drawn the
EC declaration of conformity or suitability for use or the EC declaration ofverification.
Article 12
Notified bodies
1. Member States shall notify to the Commission and the other Member States the
bodies responsible for carrying out the pro cedure for the assessment of conformity or
suitability for use referred to in Article 9 and the verification procedure referred to inArticle 10, indicating each body's area of  responsibility, and the identification
numbers obtained in advance from the Commission.
The Commission shall publish in the Official Journal of the European Communities
the list of bodies, their identification numbe rs and areas of responsibility, and shall
keep the list updated.
2. Member States shall apply the criteria provided for in Annex V for the assessment of
the bodies to be notified. Bodies meeting the assessment criteria provided for in the
relevant European standards shall be deemed to meet the said criteria.
3. A Member State shall withdraw approv al from a body which no longer meets the
criteria referred to in Annex V.
It shall forthwith inform the Commission and the other Member States thereof.
4. Without prejudice to the requirements referred to in paragraphs 1, 2 and 3,
Member States may decide to notify as notified body(ies) the organisation(s)recognised in conformity with Article  4 of Regulation (EC) XX/XXX [on the
provision of Air Navigation Services in the Single European Sky].
Chapter V
F
INAL PROVISIONS
Article 13
Revision of annexes
In order to make adaptations to technical developments, in particular progress in the definition
of the concept of operations referred to in Ar ticle 14, adjustments may be made to Annexes I
and II in accordance with the proce dure referred to in Article 16(2).
65Article 14
Introduction of new technology and industry consultation process for consulting interested
parties
1. The Commission shall work on the concept of operations to be  implemented under
this Regulation with a view to achieving safe and efficient airspace use for all phasesof flight.
2. To support the timely introduction of the future  concept of operation referred to in
paragraph 1, the Commission shall consult stakeholders, including air navigation
service providers, professional associations, airspace users , users of air navigation
systems  and manufacturing industry with th e objective of establishing a widely
supported strategic manageme nt programme for the in troduction of new concepts
and technologies in the Community air traffic management network.
3. In the accomplishment of its tasks, the Commission may take the advice of industry
through the process referred to in paragraph 2 so as to ensure the feasibility,proportionality and cost-effectiveness of  implementation ru les and Community
specifications proposed for adoption under this Regulation.
Article 15
Transitional arrangements
1. Starting from 1 January 2003 the essential requirements of Anne x II shall apply to
the putting into service, renewal and upgrading of systems and constituents of the airtraffic management network.
2. Compliance with the essential requirement s of Annex II shall be required for all
systems and constituents in operation by 1 January 2009.
Article 16
Committee Procedures
1. The Commission shall be assisted by the “Single Sky Committee” as provided for in
Article 7 of Regulation (EC) No XXX/XX [laying down the framework for thecreation of the Single European Sky].
2. Where reference is made to this paragr aph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/ EC shall apply, in comp liance with Article 7 and
Article 8 thereof.
The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
3. Where reference is made to this paragraph, the advisory procedure laid down in
Article 3 of Decision 1999/468/ EC shall apply, in comp liance with Article 7 and
Article 8 thereof.
66Article 17
Repeal
Directives 93/65/EEC and 97/15/ EC are hereby repealed.
References to the repealed Directives shall be construed as references to this Regulation.
Article 18
Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities .
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament For the Council
The President The President
67ANNEX I
LIST OF AIR NAVIGATION SYSTEMS
For the purpose of this Regulation the air traffi c management network is  subdivided in seven
systems.
When so required, the system is meant to include not only the ground part but also the
airborne equipment and proce dures related to air traffic management operations and the
airport equipment and procedures relate d to air traffic management operations.
1. Equipment and procedures used for flow management.2. Equipment and procedures used for airspace management.3. Equipment and procedures for air traffic control, in particular for flight data
processing systems, surveillance data processing systems and human-machineinterface.
4. Communications equipment and procedur es for ground-to-ground, air-to-ground and
air-to-air communications.
5. Navigation equipment and procedures.6. Surveillance equipment and procedures.7. Equipment and procedures for aerona utical information and meteorological
information.
68ANNEX II
ESSENTIAL REQUIREMENTS
Part A: General requirements
1. Seamless operation
Air traffic management systems and their constituents shall be designed, built,
maintained and operated in such a way so as to ensure the seamless operation of theair traffic management network throughout  the Community at all times and for all
phases of flight. Seamless operation can be  expressed, in par ticular, in terms of
information exchange, common understa nding of information, comparable
processing performances and the associated procedures enabling commonoperational performances agreed for the whol e or parts of the air traffic management
network.
2. Support to new concepts of operation
The air traffic management network, its sy stems and their constituents shall support,
on a coordinated basis, new agreed concep ts of operation that improve the quality of
air navigation services, in particular in terms of safety and capacity, taking due
account of technology development and of their safe introduction.
3. Safety
Evolution of systems and operations of th e air traffic management network shall
achieve agreed high levels of safety. Ag reed safety management methodologies shall
be established to achieve this. A harmoni sed set of safety requirements for the
systems and their constituents shall be defined with a view to achieving the agreedsafety levels.
4. Integrated civil/military operation
The air traffic management network, its sy stems and their constituents shall support
integrated civil/military operati ons, to the extent necessary for the efficient use of
airspace
5. Environmental constraints
The evolution of systems and operations of the air traffic management network shall
minimise environmental impact in compliance to safety requirements and in
accordance with applicable Community legislation.
6. System construction principles
Systems shall be designed, built and maintained on the grounds of sound engineering
principles, in particular those relating to high ava ilability, redundancy and fault
tolerance of critical constituents.
69Part B: Specific requirements
1. Equipment and procedures used for airspace management
1.2. Seamless operation
Information relating to pre-tactical and tac tical aspects of airspace availability shall
be provided to whomever concerned in a correct and timely way so as to ensure anefficient allocation and use of airspace by all airspace users. This should take into
account national security requirements.
1.3. Safety
The design, implementati on, maintenance and opera tion of equipment and
procedures for airspace management shall be compliant with the safety requirementsin force for the relevant parts of the netw ork (or the relevant volumes of airspace).
1.4. Integrated civil/military operation
Equipment and procedures used for airs pace management shall support and facilitate
the gradual implementation of integrated civil/military operations, in particular theFlexible Use of Airspace.
2. Equipment and procedures used for flow management2.1 Seamless operation
Equipment and procedures shall support th e bi-directional exchange of correct,
coherent and relevant strate gic and pre-tactical flight information and offer dialogue
capabilities in view of an optimised use of airspace.
Provision of accurate and relevant tactical flight information covering all phases of
flight shall be ensured to further optimise the use of airspace.
2.2. Safety
In order to ensure that the network load  remains within the boundaries dictated by
separation and safety standards, equipmen t and procedures sh all match demand for
airspace use with available airspace capacity while providing an optimised use ofairspace.
2.3. Integrated civil/military operation
Equipment and procedures shall support a nd facilitate the gra dual implementation of
integrated civil/military operation, in partic ular the Flexible Use of Airspace.
3. Equipment and procedures  for air traffic control
3.1. General requirements
703.1.1. System construction principles
Systems shall be designed, built and maintained on the grounds of sound engineering
principles, in particular those relating to modularity supporting inter-changeability of
constituents.
3.1.2. Safety
Systems shall be designed, built, maintained and operated in such a way as to
maintain high levels of safety both under nominal and degraded modes of operation,
in particular when implementing increased levels of automation.
Systems shall be designed, built, maintained and operated in such a way as to
provide, in the event of failure, a grad ual and graceful transition between nominal
levels of automation and th e degraded mode operation.
3.2. Flight data processing systems3.2.1. Seamless operation
Flight data processing systems shall be interoperable in terms of timely exchange of
correct and consistent information, sh aring a common operational understanding of
that information, in order to ensure a cohe rent and consistent planning process and
resource-efficient tactical coordination th roughout the Community during all phases
of flight.
In order to ensure a safe, smooth and expeditious processing throughout the
Community, flight data processing perform ances shall be equiva lent and appropriate
for a given environment (surface, termin al manoeuvring area, en-route), with known
traffic characteristics and exploited under a certain operational conc ept, in particular
in terms of accuracy and error tolerance of processing results.
3.2.2. Support to new concepts of operation
Flight data processing systems shall accommodate the gradual implementation of
advanced concepts of operati on for all phases of flight, in  particular those relating to
Collaborative Decision Making, increas ed automation and the delegation of
separation responsibility to the airborne side.
The characteristics of automation-intensive tools must be such as to enable a
coherent and efficient pre-tactical and tac tical processing of flight information in
parts of the network.
Airborne and ground systems and thei r constituents supporting Collaborative
Decision Making and the delegation of sepa ration responsibility to the airborne side
shall be designed, built, maintained and operated in such a way as to be interoperablein terms of the timely exchange of correct and consistent information and share acommon understanding of the current and future operational situation.
713.2.3. Safety
Flight data processing systems' design, building, maintenance and operation shall
achieve high levels of safety, both in no minal and degraded modes, with a view to
decreasing the number of air traffic management induced accidents or risk bearingincidents, for all phases of flight and fo r the entire European Air Traffic Management
network.
Safety nets shall be subject to agreed common performance characteristics as derived
from the agreed safety levels for the whole or parts of the network
3.2.4. Integrated civil/military operation
Flight data processing systems' design, building, maintenance and operation shall
support the timely exchange of correct and consistent information between civil and
military counterparts, covering  all phases of flight and for the entire European Air
Traffic Management network and, as much as possible, a similar working
environment.
3.3. Surveillance data processing systems3.3.1. Seamless operation
Surveillance data processing systems shall be designed, built, maintained and
operated in such a way so as to provide th e required quality of service within a given
environment (surface, terminal manoeuvri ng area, en-route) with known traffic
characteristics, in particular  in terms of accuracy and re liability of computed results,
correctness, integrity, availability, continuity and timeliness of information at thecontroller position.
Surveillance data processing systems shall accommodate the timely exchange of
relevant, accurate, consiste nt and coherent information between them to ensure
optimised operations through different parts of the network.
3.3.2. Support to new concepts of operation
Surveillance data processing systems shall accommodate the gradual availability of
new sources of surveillance information in such a way as to ensure the overallquality of service.
3.4. Human-machine interface3.4.1. Seamless operation
Human-machine interfaces of ground air traffic management systems shall be
designed, built, maintained and operated in such a way as to offer a similar workingenvironment to all controllers.
723.4.2. Safety
Human-machine interfaces shall be designed, built, maintained and operated in such
a way so that the tasks given to the controller are consistent with human capabilitiesin both normal and degraded modes of oper ation in a way compatible with required
safety levels.
4. Communications equipment and procedur es for ground-to-ground, air-to-ground and
air-to-air communications
4.1. Seamless operation
Communication systems shall be designed, built, maintained and operated in such a
way so as to achieve the required performan ces within a given volume of airspace or
for a specific application, in  particular in terms of communication processing time,
integrity, availability and continuity of function.
The communications network throughout the Community shall be such as to meet
the requirements of quality of se rvice, coverage and redundancy.
4.2. Support to new concepts of operation
Communication systems shall support the agreed implementation of advanced
concepts of operation for all phases of flight, in particular those relating to
Collaborative Decision Making and delega tion of separation responsibility to he
airborne side.
4.3. Environmental constraints
The siting and the operation of ground-base d communication systems shall take into
account environmental constraints.
Ground-based communication systems shall be  designed, built, in stalled, maintained
and operated in such a way as to be el ectromagnetically immune and not interfere
with the installations, equipment and public  or private networks in their normal
environment.
5. Navigation equipment and procedures5.1. Seamless operation
Navigation systems shall be designed, built, maintained and operated in such a way
so as to achieve the required horizontal a nd vertical navigation accuracy for a given
environment (surface, terminal manoeuvri ng area, en-route), with known traffic
characteristics and exploited unde r a certain operational concept.
5.2. Safety
The design, building, maintenance and opera tion of navigation systems shall be such
as to guarantee safety at the level set for the network or parts thereof, including thatfor specific degraded modes.
735.3. Environmental constraints
The siting and the operation of ground-ba sed navigation systems shall take into
account environmental constraints as we ll as compliance with requirements of
electromagnetic compatibility.
Ground-based navigation systems shall be de signed, built, installed, maintained and
operated in such a way as to be electromagnetically immune and not interfere withthe installations, equipment and public or private networks in their normal
environment.
6. Surveillance equipment and procedures6.1. Seamless operation
Surveillance systems shall be designed, built, maintained and operated in such a way
so as to achieve the required separation minima applicable in a given environment
(surface, terminal manoeuvring area, en-rout e) with known traffic characteristics and
exploited under a certain operati onal concept, in particular in terms of accuracy at the
control position, coverage, ra nge and quality of service.
The surveillance network throughout the Comm unity shall be such as to meet the
requirements of accuracy, coverage a nd redundancy, including availability of
information, to ensure optimised operations through different parts of the network.
6.2. Environmental constraints
The siting and the operation of ground-base d surveillance systems shall take into
account environmental constraints.
Ground-based surveillance system s shall be designed, built, installed, maintained and
operated in such a way as to be electromagnetically immune and not interfere withthe installations, equipment and public or private networks in their normal
environment.
7. Equipment and procedures for aeronau tical and meteorological information
7.1. Seamless operation
Accurate and consistent aeronautical info rmation shall graduall y be provided in an
electronic form, based on a commonly ag reed and standardised data model.
Accurate, complete and up-to-date meteorological information shall be made
available in a timely manner, based on a commonly agreed data set.
747.2. Support to new concepts of operation
Increasingly accurate, complete and up-to-date aeronautical information shall be
made available and used in a timely ma nner, in order to support the continuous
improvement of the efficiency of airspace use.
Increasingly accurate, complete and up-to-date meteorological information shall be
made available and used in a timely ma nner, in order to support the continuous
improvement of the efficiency of airspace use.
7.3. Safety
Accurate and consistent aeronautical inform ation, in particular between airborne and
ground-based constituents or systems, sha ll be made available in a timely manner.
75ANNEX III
CONSTITUENTS
EC declaration
– of conformity
– of suitability for use
1. Constituents
The EC declaration applies to the constituents that are essential to achieve the objectives of
this Regulation. These constituents will be identified in the imp lementation rules in
accordance with the provisions of Article 6 of this Regulation.
2. ScopeThe EC declaration covers:– either the assessment by a notified body or  bodies of the intrinsic conformity of a
constituent, considered in isolation to the Community specifications to be met; or
– the assessment/judgement by a notified body or  bodies of the suitability for use of a
constituent, considered within its air traffic management environment.
The assessment procedures implemented by the notified bodies at the design and production
stages will draw upon the modules defined in  Decision 93/465/EEC, in accordance with the
conditions referred to in the implementation rules.
3 Contents of the EC declarationThe EC declaration of conformity or suitability for use and the accompanying documents
must be dated and signed.
That declaration must be written in the same language as the instructions and must contain the
following:
– the Regulation references and where appropriate the references of other Community
provisions applied;
– the name and address of the manufacturer or his authorised representative established
within the Community (give trade name and full address and in the case of the authorisedrepresentative also give the trade name of the manufacturer);
– description of the constituent;
– description of the procedure followed in order to declare conformity, suitability for use
(Article 9 of this Regulation);
– all of the relevant descriptions met by the c onstituent and in particular  its conditions of use;
76– if applicable, name and addr ess of notified body or bodies  involved in the procedure
followed in respect of conformity or suitability for use and date of examination certificatetogether, where appropriate, with the duration and conditions of validit y of the certificate;
– where appropriate, reference to the Community specifications followed;
– identification of signatory empowered to enter into commitments on behalf of the
manufacturer or of the manufacturer's author ised representative established within the
Community.
77ANNEX IV
SYSTEMS
EC declaration of verification of systems
Verification procedure for systems
1 Contents of declaration of verification of systems
The EC declaration of verification and the accompanying documents must be dated and
signed.
That declaration must be written in the same language as the technical file and must contain
the following:
– the Regulation references and where appropriate the references of other Community
provisions applied;
– name and address of the contracting entity or its authorised representative established
within the Community (trade name and full address, and in case of the authorisedrepresentative also the trade name of the contracting entity);
– a brief description of the system;
– description of the procedure followed in order to declare conformity of the system (Article
10 of this Regulation);
– name and address of the no tified body which conducted th e verification procedure, if
applicable;
– the references of the documents contained in the technical file;
– where appropriate, reference to the Community specifications;
– all the relevant temporary or definitive provisions to be complied with by the systems and
in particular, where appropriate, any operating restrictions or conditions;
– if temporary: duration of va lidity of the EC declaration;
– identification of the signatory.
2. Verification procedure for systemsVerification of systems is the procedure wher eby an air navigation service provider, or a
notified body where so required by the applicable implementation rule, checks and certifiesthat a system:
– complies with this Regulation;
– complies with other appli cable Community provisions;
and may be put into operation.
78The system is checked at each of the following stages:
– overall design;
– development and integration of the system, including in particular constituent assembly
and overall adjustments;
– operational system integration.
Where a notified body is involved, it draws up a certificate of conformity intended for the
contracting entity or its authorised representative established within the Community. Thecontracting entity then draws up the declara tion of verification intended for the national
supervisory authority.
3. Technical fileThe technical file accompanying the EC declaration of verification must contain all the
necessary documents relating to the characteristics of the system, including conditions andlimits of use, as well as the documents certifying conformity of constituents whereappropriate.
The following documents shall be included as a minimum:– indication of the relevant parts of the tec hnical specifications used for procurement that
ensure compliance with the applicable impleme ntation rules, and, where appropriate, the
Community specifications;
– list of constituents essential for seamless operations, safety or performance, as referred to
in Article 6 of this Regulation;
– copies of the EC declarati on of conformity or suitability for use with which the above
mentioned constituents must be  provided in accordance with Article 9 of this Regulation
accompanied, where appropriate, by a copy of the records of the tests and examinationscarried out by the notified bodies;
– where a notified body has been involved in the verification of the sy stem(s), certificate
countersigned by itself, stating that the system complies with this Regulation and
mentioning any reservations recorded during performance of activities and not withdrawn;
– where there has not been involvement of a notified body, a record of the tests and
installation configurations made in view of ensuring compliance with essentialrequirements and any particular  requirements contained in the relevant implementation
rules.
4 SubmissionThe technical file must be attached to the declaration of verification which the contracting
entity sends to the national supervisory authority.
A copy of the technical file must be kept by  the contracting entity throughout the service life
of the system. It must be sent to an y other Member States which so request.
79ANNEX V
NOTIFIED BODIES
1. The body, its Director and the staff res ponsible for carrying out the checks may not
become involved, either directly or as authorised representatives, in the design,
manufacture, marketing or maintenance of the constituents or systems or in their use.This does not exclude the possibility of an exchange of technical informationbetween the manufacturer or constructor and that body.
2. The body and the staff responsible for the checks must carry out the checks with the
greatest possible professional integrit y and the greatest possible technical
competence and must be free of any pressure and incentive, in particular of afinancial type, which could af fect their judgement or the results of their inspection, in
particular from persons or groups of persons affected by the results of the checks.
3. The body must employ staff and possess the means required to perform adequately
the technical and administrative tasks li nked with the checks; it should also have
access to the equipment needed for exceptional checks.
4. The staff responsible for inspection must have:
– sound technical and vocational training;
– satisfactory knowledge of the requirement s of the inspections they carry out
and adequate experience of such operations;
– the ability required to draw up the declarations, records and reports to
demonstrate that the inspecti ons have been carried out.
5. The impartiality of the inspection staff must be guaranteed. Their remuneration must
not depend on the number of inspections carried out, nor on the results of such
inspections.
6. The body must take out liability insurance unless its liability is assumed by the State
in accordance with national law, or the Member  State itself is directly responsible for
the inspections.
7. The staff of the body must observe pr ofessional secrecy with regard to all
information gained in carrying out  their tasks under this Regulation.