Communication from the Commission to the Council and the European Parliament on the implementation of the Single European Sky
Date: 2001-10-10
Institutions: European Commission
Subjects: European standard, air space, air traffic, air transport, organisation of transport, trans-European network

COMMISSION OF THE EUROPEAN COMMUNITIES

Corrigendum
suite à la révision par les juristes-réviseurs
Concerne les 11 versions

Brussels, 11.12.2001
COM(2001) 564 final/2

2001/0235 (COD)
2001/0236 (COD)
2001/0237 (COD)

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE
EUROPEAN PARLIAMENT

on the creation of the Single European Sky

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the provision of air navigation services in the Single European Sky

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

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the interoperability of the European Air Traffic Management network

(Presented by the Commission)

COMMUNICATION FROM THE COMMISSION TO THE COUNCIL AND THE
EUROPEAN PARLIAMENT
on the creation of the Single European Sky

1.

Introduction

Document COM (2001) 123 setting out an Action Programme on the creation of the
Single European Sky defines the objectives and the working methods for the reform of air
traffic management in Europe. This document puts forward the proposals on the specific areas
of the action programme.

These proposals translate, as appropriate,
into Community law the conclusions of the
High-Level Group on the creation of the Single Sky, thereby allowing a more integrated and
efficient approach towards the implementation of the Single Sky in the line with the approach
followed for the completion of the single market and for the Euro.

Their aim is to provide a clear role for air traffic management within the social and economic
development of the European Community, thereby departing from its existing fragmented and
non-transparent functioning. Various actors involved in air traffic management need account
to airspace users and air passengers for their actions. The clarifications of their roles and
responsibilities will improve safety and efficiency.

The recent tragic events in the United States of America risks to seriously impact on the
smooth development of air transport. A slow down or even a decrease in air traffic might
initially alleviate the situation of chronic congestion and delay in Europe. But these facts do
not diminish but rather reinforce the need for a Single European Sky. The prospects of a crisis
in the aviation industry results in additional pressure on other related sectors, such as traffic
management, to reduce their cost and improve efficiency.

The creation of the Single Sky also facilitates security management in particular during the
operation of flights. The harmonisation and integration process leads to a tighter coordination
between air navigation service providers and other operators, including military. Changes to
orderly and regular traffic flows resulting from unexpected events or security measures can be
anticipated and managed in a more effective way.

In the light of previous considerations, the following proposals provide credible means to
achieve safety, capacity, efficiency and even security gains that are consistent with the growth
expectations of the European Community.

2.

2.1.

Proposal for a regulation of the European Parliament and of the Council on the
provision of air navigation services in the Single European Sky

The Community must set up a regulatory framework meeting users' needs as fully as
possible. The Community framework must ensure the same obligations and offer the
same opportunities to all air navigation service providers. It must address relations
between service providers and the regulator (transparency and supervision), between
the various service providers (cooperation), between these service providers and
airspace users (consultation) and between service providers and other operators,
including the military (coordination). It consists of the application of three concepts:
a system of authorisation for the provision of air navigation services, which enables
the application of the rules laid down under Community law; a compliance review

2

2.2.

2.3.

2.4.

mechanism for supervising and enforcing such rules by the Member States
authorities; arrangements and procedures for payment of air navigation services.

Whilst the development of the regulatory activities will be at Community level, there
should be an effective compliance review mechanism, in particular to supervise the
activities of service providers. The legislative proposal leaves compliance review
primarily to national authorities. To this end, Member States will have to designate
supervisory authorities. However,
the
Community has enforcement ability to deal with cases of European significance and
to supervise the conduct of compliance review and enforcement at national level.
Member States, regulators, ministries of transport or civil aviation authorities should,
on their own initiative or upon application by interested parties, review compliance
of air navigation service providers with Community rules and take appropriate
enforcement action, if necessary. The Community legislation will establish a link
between domestic compliance review and enforcement and review processes at
European level.

the measures proposed also ensure that

The exercise of powers by Member States requires that the supervisory function is
separated from the operational function, in order to ensure that there are no conflicts
of interest. No organisation providing a service must be responsible for such a
supervisory function, either of itself or of any other body providing services. This
regulation proposes as a minimum requirement
the functional separation of
supervision and operations, i.e. the bodies responsible for supervision and operations
level.
should be at
However, when reporting on the impact of the Single Sky initiative five years after
its entry into force, the Commission will assess whether this approach to separation
is still appropriate.

least separated and distinct from each other at functional

Review of compliance requires adequate inspection regimes to ensure that safety will
not be compromised, rights and obligations of service providers are satisfactorily met
and requirements for service provision are complied with. Primary responsibility for
carrying out such inspections lies with Member States and their competent
administrations, that is the supervisory authorities. When Member States have no
sufficient resources and skills to discharge this role, they may rely upon specialised
private and public organisations with extensive experience in the safety, financial
and quality sectors. For this purpose, the legislation proposes to create a network of
recognised organisations able to inspect and monitor service providers. Appropriate
standards will have to be decided upon to qualify these organisations who carry out
the inspections and surveys in question on behalf of Member States. It will also be
important that the same standards are maintained throughout the Community and that
there are no variations between performances of recognised organisations so that
supervisory authorities can refer to any of such organisations located in the
Community. Service providers will then be assessed on an equal footing therefore
ensuring their services are of equally high levels of quality, which is a prerequisite
for their acceptance from all Member States.

2.5.

All legislative proposals have a strong link to safety issues. Safety is one imperative
which must be maintained and reinforced in the regulatory approach put into place.
All the measures proposed hereinafter take account of this absolute constraint to
sustaining and fortifying safety standards. The safety issue is addressed at three
distinct levels: the definition of safety requirements; the assessment of the proper
implementation of such requirements and the exercise of the necessary preventive

3

2.6.

2.7.

2.8.

2.9.

1

2

3

and corrective function on the basis of the safety performance of service providers,
including the implementation of safety nets.

With regard to the definition of safety requirements, ultimately the Commission will
have to consider how to involve the European Aviation Safety Agency (EASA) in
the safety aspects of air traffic management. For the time being the Commission
proposes to implement safety measures based on the EUROCONTROL Safety
Regulatory Requirements (ESARRs) drawn up by the SRC1, where they are suitable
to support binding regulations.

In air traffic management, there is no such system of inspection, certification and
surveillance of operations, as in aviation. The continued process of corporatisation of
service providers and their increasing autonomy calls for a revised approach for
Member States to discharge their responsibility for the safe and efficient conduct of
air navigation services. The Commission proposes to establish a system for both
initial authorisation and the continued surveillance of the service providers to ensure
that the required standards of operation are maintained. Like in the case of issuance
of Aircraft Operator Certificates (AOC), the granting of authorisations gives the
Community and Member States the capability of ensuring the protection of public
influence and control
interest. It will also allow for the exercising of indirect
upon the provision of services without encroaching upon the direct responsibility
of service providers for their safety. This approach will support implementation of
the safety regulations by the Community and Member States and establish a
framework guaranteeing that the scenarios for releasing extra capacity meet the
safety requirements.

To allow preventive and corrective actions, it is necessary to dispose of suitable
information on safety. The Commission will propose to establish a mandatory,
harmonised occurrence-reporting system for service providers2. It will be based on a
non-punitive system for reporting by air traffic controllers. This system will be part
of the system of authorisation described in the following paragraph 2.12. It will be
subject to the relevant Community provisions on confidentiality and the protection of
personal data.

the Commission proposes that

the strengthening of the standardisation
Finally,
framework concerning equipment and systems used in air traffic management gives
priority to the harmonisation and, where appropriate, mandatory introduction of
airborne and ground safety tools3. These alerting devices permit
to detect

At the moment these regulatory requirements can, in theory, be incorporated into Community law under
Council Directive 93/65/EEC of 19 July 1993 on the definition and use of compatible technical
specifications for the procurement of air-traffic-management equipment and systems; however, since
the objective of this Directive is to lay down the conditions for calls for tender for equipment
procurement, the actual possibility of incorporating ESARRs into Community law is limited to safety
requirements regarding equipment and systems.
Requirements for such a system will be based on the provisions of Council Directive 94/56/EC of
21 November 1994 establishing the fundamental principles governing the investigation of civil aviation
accidents and incidents and the EUROCONTROL Safety Regulatory Requirements on reporting and
assessment of safety occurrences in air traffic management (ESARR 2).
These tools include Minimum Safe Altitude Warning, Short Term Conflict Alert, Medium Term
Conflict Detection, Area Proximity Warning, Surface Movement Guidance and Control Systems,
Airborne Collision Avoidance Systems).

4

occurrences or potential occurrences thereby contributing to avoid collision,
controlled flight into terrain (CFIT) and other unsafe situations.

2.10.

Air
traffic controllers have irreplaceable expertise on how the systems and
techniques work. At the moment this expertise is not fully harnessed. Air traffic
controllers and air navigation staff in general should be more closely involved at
two levels:

2.11.

2.12.

–

–

in the evaluation of new systems and techniques, for example in the diagnosis
mechanism;

in the discussions on the general framework governing air navigation, by
extending to the air navigation sector the Europe-wide social dialogue already
existing in other sectors of air transport.

The shortage of air traffic controllers is expected to become more acute in the years
ahead, due to the age pyramid in this profession. The solution to this problem is a
matter for the service providers and depends on the performance requirements
established by Community regulation. However, the Community can contribute,
towards identifying the reasons which militate
liasing with EUROCONTROL,
against recruitment of new controllers. Besides the number of controllers,
the
High Level Group's report highlights another worrying phenomenon: the disparities
in procedures and training as well as in licensing which, in practice, rule out any real
mobility of staff within Europe and prevent any flexibility. The Commission will
propose solutions to overcome this lack of harmonisation at Community level.

it will be left

In this context, the Commission proposes the establishment of an authorisation
system for air navigation service providers, setting the minimum conditions for
exercising this function at European level. However
to the
Member States to implement the system. This should make it possible to enforce the
overriding Community principles and to harmonise the essential conditions which
must be imposed on service providers. Member States' right to decide the statutes
and structure for providers best suited to their specific national conditions will also
be simultaneously respected. This should also facilitate cooperation between service
the system of
providers.
authorisation is based on the delivery of a harmonised authorisation and on the
mutual acceptance of authorisations granted by Member States. Further provisions
are included to allow a reasonable period of time for existing service providers to
comply with the terms of the system of authorisation. The transparency of the
provision of services is finally strengthened by the development of adequate
accounting systems
for each separate service and enable
comprehensive audits.

to enable transnational service provision,

to report costs

In order

2.13. With regard to air traffic services4, Member States retain their power to designate the
service providers which have to operate under monopoly conditions within a specific
airspace over their territory. However, the system of authorisation enables Member
States to designate providers established in other Member States. Further cooperation
is
and integration between service providers, especially in the upper airspace,

4

Provision of air traffic control during all phases of flight.

5

In this

light, existing regional

promoted by the creation of control areas across national boundaries5 and the
subsequent designation by Member States of service providers entitled to operate in
such areas.
the
EUROCONTROL Maastricht Area Control Centre would have to be adequately
addressed6. Because of the close link of this activity with military interests, and the
lack of third country markets, an ownership provision will prevent non-EU interests
from controlling these services except where reciprocity is guaranteed. A
Community framework applicable to ancillary services7 is also defined, based on the
principles laid down in the EC Treaty.

service providers,

such as

2.14.

2.15.

2.16.

In parallel, the Commission proposes amendments, within the context of the common
route charges system of EUROCONTROL, to the structure of charges for use of
airspace. This will add efficiency incentives for service providers and incentives to
optimise the capacity of the system as a whole for providers and users.

Developments in air traffic have enabled a number of air navigation service
providers to become more autonomous in the managerial and financial domains. The
majority of the Member States have transferred the responsibility for provision of
services to agencies under exclusive rights. Such bodies, which are largely
autonomous, and in principle self-financing, remain under the overall jurisdiction of
national administrations in terms of their level of performance and charges. In these
cases regulation is usually requested because of monopolistic conditions to align
behaviours of service providers with public objectives to maximise general economic
welfare through the setting of the appropriate price level in respect of the quality and
quantity of services to be delivered.

To a significant extent, legislation providing for regulation of economic aspects of
service providers does not yet exist in the Member States. However they have
adopted the ICAO principles in relation to the establishment of charges for the
provision of air traffic services8. Those principles are in turn embodied within the
EUROCONTROL principles9 and with which EUROCONTROL Member States
consider
ICAO nor EUROCONTROL have
compliance mechanisms or an enforcement power. They have not been subject to
regulation through the introduction of
rewarding/or penalising incentives to
encourage an efficient and effective provision of air navigation services. In addition,
ICAO and EUROCONTROL regulations cannot directly affect service providers,
when autonomous, or airspace users.

themselves bound. But neither

2.17.

Therefore it is of the utmost importance to introduce incentives on investment and
management. The incentives are defined in respect of helping supply meet demand
through financial rewards and penalties. They shall be devised so as to be equitable

5

6

7

8

9

Functional blocks of airspace in the proposal for a regulation on the organisation and use of the airspace
(see Annex II).
Pursuant to Article 1(2) of the “Agreement relating to the provision and operation of air traffic services
and facilities by EUROCONTROL at the Maastricht Area Control Centre”, Contracting States to this
agreement retain their competence and obligations in respect of regulations, rule-making and airspace
organisation.
Provision of communication, navigation and surveillance infrastructure, and meteorological services for
airspace users, search and rescue services and aeronautical information services.
Article 15 of the 1944 Chicago Convention on International Civil Aviation and Document 9092/6.
“Principles for Establishing the Cost-base for Route Facility Charges and the Calculation of the
Unit Rates” – Doc. No 99.60.01/1.

6

2.18.

3.

3.1.

3.2.

between airspace users and service providers, in order to reach better cooperation
amongst them. That is why a charging regime is needed to ensure an efficient,
transparent and cost-related air traffic management system. Furthermore, incentives
will also have to ensure that air traffic management policy is consistent with
environmental and general transport policies.

The increase in the capacity of Europe's air traffic control system will require
funding exceeding the resources currently available from Community programmes.
Solidarity between users should make it possible to raise the funding needed by
allocating some of the en route charges paid by airlines under the EUROCONTROL
common route charges system to these projects, inter alia with the aid of measures to
reshape this route charges system to include criteria reflecting attainment of common
policy objectives. This allocation would not exceed the costs saved as a result of the
improvements in the efficiency of the system. The Commission will examine the
feasibility of allocating some of the en route charge (therefore with no impact on the
Community budget) for measures to increase the capacity of Europe's air traffic
control system, with a view to carrying out projects of common interest between
2002 and 2005.

Proposal for a regulation of the European Parliament and of the Council on the
organisation and management of airspace

The Single European Sky must also be conceived as a single airspace without
frontiers. The first thing which this harmonisation implies is the adoption of a basis
for organising the upper airspace for all Member States and ensuring consistency
between the national organisations responsible for the lower airspace. This requires
that a unique flight information region10 is created by merging the 15 regions into a
single portion of airspace. Therein air traffic services will be provided according to
the same rules and procedures. As a first step the Commission proposes to take this
important move with regard to the upper airspace where the majority of international
flights are operated. To achieve this, a common airspace design and strategic
management at European level with the support of EUROCONTROL is needed.

The creation of a single fight information region in the upper airspace allows the
reconfiguration of such airspace into control areas. Where appropriate, these will be
designed across national boundaries. The design of these areas gives an opportunity
to establish functional blocks of airspace where control responsibility is assigned
optimally and in line with operational requirements to one, or a group, of service
providers. This provides for a more efficient use of airspace, systems and manpower.
Thus reducing the costs for airspace users. At the same time, uniform and coherent
upper airspace planning has to be harmonised with the developments in the lower
technically coordinated to ensure
airspace. The Commission expectsproposals,
operational cohesion, on the appropriate size and location of functional blocks of
airspace by service providers in conjunction with Member States. These proposals
will be taken into account by the Commission, involving EUROCONTROL, with a
view to a final decision on the suitable configuration of airspace, that is the minimum
number of airspace blocks consistent with overall system efficiency.

10

A Flight Information Region (FIR) refers to a portion of the airspace where air traffic services are
provided. Traditionally lateral limits coincide with the borders of states; each FIR is subject to specific
rules by the state responsible.

7

3.3.

In conjunction with the proposal to create a single upper flight information region;
the Commission proposes:

–

–

–

–

the harmonisation of airspace categories,
inter alia for developing the
architecture of this airspace and route and sector design and for ensuring a
supply of reliable and complete information for regulators and airspace users
alike;

organisation and management of airspace with a view to allowing allocation of
sectors to service providers and organisation of transfers of airspace between
providers; the delimitation of the sectors of airspace allocated to service
providers will have to be consistent with the definition of the airspace adopted
at European level;

rules for organising flow management, including better planning, rules on
priority-setting in the event of congestion, relief routes and a crisis mechanism;
EUROCONTROL's existing Central Flow Management Unit is a useful tool
which will have to be developed by supporting its tasks and mandate with the
adoption of such rules in Community legislation;

mechanisms for more disciplined use of airspace, to integrate airports into
airspace management and improve coordination between airport and airspace
slots.

Use of airspace must be organised in a manner recognising the specificity of military
uses. Without impinging on defence imperatives, efficient use of airspace warrants
closer coordination between the two categories of user: civil and military. A first step
to achieve this is the full and coherent
implementation of the Flexible Use of
Airspace11 concept by all Member States in the upper airspace and, at a second stage,
in the lower airspace. In order to facilitate a uniform and optimal application of such
a concept, the Commission proposes to establish the criteria for its application based
on principles of uniformity, completeness, confidence, priority, sharing, simplicity
and transparency. The Commission also promotes a tighter cooperation between civil
and military. This will contribute to reinforce the security in the use and management
of airspace against any potential intruder.

Efficient use of airspace can only be realised if seamless and efficient air traffic
management is provided within national airspace and beyond. Airspace management
is one of the main functions of air traffic management. Civil and military service
providers are complementary partners in the air traffic management system. The
Flexible Use of Airspace and European airspace management, therefore, will not be
as efficient as required without operational and technical interoperability between
civil and military service providers. Across the Community, civil-military air traffic
service provision is not organised uniformly. To improve such interoperability, the
Commission encourages Member States and EUROCONTROL to take appropriate
measures.

3.4.

3.5.

11

The Flexible Use of Airspace concept developed by EUROCONTROL is an airspace management
concept currently applied in the European Civil Aviation Conference area and based on the fundamental
principle that airspace should no longer be designated as either pure civil or military airspace, but rather
be considered as one continuum in which all airspace users have to be accommodated to the extent
possible

8

4.

4.1.

Proposal for a regulation of the European Parliament and of the Council on the
interoperability of the European air traffic management network

The Community has decision-making mechanisms allowing for harmonisation and
standardisation at European level. To achieve this, the Commission proposes a text
enshrining the principle of standardisation in the field of air traffic management, on
its own initiative (subject to compliance with the international commitments already
given). The objective is to put in place an instrument which will be effective and
comprehensive. But it must also be rapid and flexible to allow harmonised Europe-
wide definition and implementation of the technical regulations necessary. The
“Single Sky Committee”, which should replace, inter alia, the existing committee set
up by Directive 93/65/EEC12, will be indispensable for the success of this action13.

4.2.

The proposed regulatory approach foresees three different levels:

–

–

–

The adoption of essential requirements as a mandatory reference for all
stakeholders engaged in the development, production and operation of systems.
In particular it should ensure interoperability and the seamless provision of air
navigation services; these requirements give enough information to allow
stakeholders and national authorities to interpret them in the same way;

The establishment of implementation rules to enforce the above requirements,
where appropriate, in the form of specific requirements by which stakeholders
are to be bound. The objective of this level is to secure compliance with
operational and technical developments when this is required by their cross-
border nature and therefore the need for integrated operations. To ensure
commonality of action, the implementation rules may also prescribe a uniform
target date of entry into force of new concepts of operation or technical
advances
ICAO and
EUROCONTROL Standards can be associated with this level;

concerned.

operators

imposed

on

all

be

to

The drafting of European standards and/or EUROCONTTROL technical
specifications representing the lower level of the regulatory process and
implying the consensual agreement of stakeholders on standards of voluntary
application.

Procedures to elaborate the above requirements and standards must reflect their
mandatory or voluntary nature. Therefore,
that
implementation rules are established on the basis of the work carried out by
EUROCONTROL,
of
on
EUROCONTROL Notice of Proposed Rule-Making (ENPRM). With regard to
European standards,
to
standardisation, they are established by consensus, subject to public inquiry and
in collaboration
approved by recognised European Standardisation Organisation,

the Community approach14

the Commission proposes

consistency with

regulatory

process

notably

relying

future

the

in

Council Directive 93/65/EEC of 19 July 1993 on the definition and use of compatible technical
specifications for the procurement of air traffic management equipment and systems.
See
(COM(1999) 454 final of 1.10.1999).
Council Resolution of 7 May 1985 on a new approach to technical harmonisation and standards.

of Council Directive

the Commission

also Report

application

93/65/EEC

on

of

9

4.3.

12

13

14

with EUROCAE15. This also carries with it
the obligation to be implemented
unchanged at national level with the status of a national standard and withdrawal of
any conflicting national standards16. In certain specialised fields, EUROCONTROL
may develop technical specifications, particularly on operational matters where
coordination between service providers is needed.

At product level, manufacturers are required to make a declaration of conformity
with essential requirements. The conformity with European standards creates a
presumption of conformity to essential requirements. The conformity assessment
relies on a modular approach, as specified in Council Decision 93/465/EEC17.
Different modules for conformity assessment are available for utilisation according
to the risks associated with the products concerned. These vary from a module which
leaves the responsibility for conformity assessment to the supplier (self-certification)
up to modules which require strict quality controls in order to assure compliance.
The proposed approach will allow, once a product has achieved its declaration of
conformity in its own Member State, the free circulation of such a product in the
internal market. Thus creating the conditions for a competitive environment among
manufacturers.

With regard to the acceptance of systems before operation, air navigation service
providers must state their conformity with essential requirements by submitting a
declaration to national supervisory authorities. To this end, air navigation service
providers may avail themselves of the services of notified bodies and recognised
organisations when so required by implementation rules. The proposed approach will
enable monitoring of the development of equipment and systems to verify its
compliance with essential requirements and associated implementation rules. The
approach considers transitional aspects linked to the lack of implementation rules and
European standards for many systems.

The creation of a common, integrated airspace means being able to develop, at
European level, the solutions which are best both technically and commercially and
which are best suited to the needs of airspace users and passengers in general. The
Community can provide decisive support in this field, by optimising its own financial
aid procedures through the trans-European network (TEN) programme and the EU’s
fifth Framework Programme (FP) on research and development (1998-2002). In its
proposal for the next FP on research (2003-2006), the Commission has included
aeronautical research as a priority particularly with a view to increasing capacity and
the
system to support
safety in the air
Single European Sky. This confirms the recommendations made recently by a
Group of Personalities on Aeronautics, who identified air traffic management as one

the implementation of

transport

The European Organisation for Civil Aviation Equipment (EUROCAE) is a non-profit making
European Association, established in 1963, with members from national aviation authorities, equipment
manufacturers and airlines.
This proposal represents a significant move from the present situation where EUROCONTROL still
draw up functional and technical specifications of a voluntary nature. However, these specifications are
rarely used consistently in Member States as they are published and the effectiveness of this process is
undermined by the lack of transparency and balance between stakeholders in the definition of technical
texts. Furthermore, they often mix elements of mandatory and voluntary application.
Council Decision 93/465/EEC of 22 July 1993 concerning the modules for the various phases of the
conformity assessment procedures and the rules for the affixing and use of the CE conformity marking,
which are intended to be used in the technical harmonisation directives.

10

4.4.

4.5.

4.6.

15

16

17

of the main factors preventing growth in aeronautics18, as well as the targets of the
eEurope 2002 Action Plan, agreed by Heads of State and Government in Feira. In
this way the Commission plans to provide a framework for projects of European
interest,
for example on satellite navigation (Galileo), data processing and
communication and the supply of aviation data and planning tools.

5.

5.1.

5.2.

Conclusion

implementing the lines of
The Community framework offers instruments for
approach advocated by the High Level Group on the Single European Sky. The
creation of the Single Sky calls for measures of the same type incorporated in the
creation of the single market. However, development of these measures requires
technical expertise not available within the Commission departments but which will
be provided, within the framework of arrangements with EUROCONTROL. It also
requires consideration by the European Council for the possible setting up of a
framework on military cooperation.

The Commission therefore proposes to the European Parliament and the Council to
adopt the enclosed proposals for regulations. The Commission will also take all
appropriate initiatives for setting up the institutional framework necessary to
organise military cooperation.

18

See the Report of
Meeting society’s needs and winning global leadership”, January 2001.

the Group of Personalities: “European Aeronautics: a vision for 2020

11

2001/0235 (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

(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 Commission1,

Having regard to the opinion of the Economic and Social Committee2,

Having regard to the opinion of the Committee of the Regions3,

Acting in accordance with the procedure laid down in Article 251 of the Treaty4,

Whereas:

(1)

(2)

(3)

(4)

1

2

3

4

5

6

Member States have restructured, to varying degrees, their national air navigation
service providers by increasing their level of autonomy and freedom to provide
services.
is increasingly necessary to ensure that minimum public interest
requirements are satisfied under this new environment.

It

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 service
provision and to introduce a system of authorisation and a charging mechanism to
stimulate cost-effectiveness.

Regulation (EC) No XXX/XX of the European Parliament and of the Council5 lays
down the framework for the creation of the Single European Sky.

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 Council of … 2001 [on the organisation and use of the
airspace in the Single European Sky]6. The establishment of a harmonised organisation

OJ C
OJ C
OJ C
OJ C
OJ L
OJ L

12

of the provision of such services is important to respond adequately to the demand of
airspace users and to operate air traffic safely and efficiently.

(5)

(6)

(7)

(8)

The verification of compliance by air navigation service providers and other
relevant operators with Community requirements is predominantly a task for the
Member States. It means that the authorities performing such verifications should be
sufficiently independent of air navigation service providers.

to recognised organisations the
Member States should be permitted to entrust
verification and certification of compliance of air navigation service providers and
other relevant operators with Community requirements.

Smooth operation of the air transport system also requires uniform, high safety
standards of air navigation service providers.

Arrangements should be proposed to overcome the lack of controllers, through the
training and licensing, and through the
improvement of
harmonisation of such procedures at Community level.

the procedures for

(9) 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.

(10)

The authorisation system should provide for the means to control access to the
activity. It should take into account the need to facilitate the 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 applicable
requirements. It is also important to define non-discriminatory requirements in relation
to the location and surveillance of a service provider, in particular of air traffic
services, applying for authorisation.

(11) Conditions attached to authorisations are necessary in order to attain public interest
objectives for the benefit of airspace users and the air transport passengers. They
should be objectively justified and should be non-discriminatory, proportionate and
transparent.

(12)

(13)

(14)

(15)

The harmonisation of conditions attached to authorisations and of the procedures for
the granting of authorisations should significantly facilitate the provision of air
navigation services in the Community.

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,

The authorisations should be mutually recognised by all Member States in order to
allow air navigation service providers to provide services in a Member State other than
where they obtained their authorisations, within the limits of the requirements of
safety.

In the interest of facilitating the safe handling 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.

13

(16)

The provision of ancillary services, meteorological services and aeronautical
information services should be organised under market conditions whilst taking into
account the special features of such services.

(17) Cooperation between service providers, airspace users and other operators should be

enhanced on a contractual basis.

(18) Air navigation service providers should establish and maintain close cooperation with
through
military authorities responsible for activities that may affect air traffic,
appropriate arrangements.

(19)

(20)

The accounts of all air navigation service providers should provide for maximum
transparency: to this end, the accounts should be separated for each service and control
centre.

The introduction of harmonised principles and conditions for access to operational
data should facilitate the provision of air navigation services and the operations of
airspace users and airports under a new environment.

(21) Charging conditions applying to airspace users should be fair and transparent.

(22) User charges should provide remuneration for the facilities and services provided by
air navigation service providers. Such services and facilities can, by their nature, only
be provided by air navigation service providers 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 of
economic efficiency.

(23)

There should be no discrimination between airspace users for the provision of
equivalent air navigation services.

(24) 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 users
should pay for the costs they impose at, or as close as possible to, the point of use.

(25)

(26)

(27)

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 airspace users; such changes or investment proposed by air
navigation service providers should be explained as part of an exchange of information
between their management bodies and airspace users.

There should be scope for modulating charges that contribute to maximising system-
wide capacity. Financial incentives are a useful way of accelerating the introduction of
ground-based or airborne equipment
increases capacity, of rewarding high
that
performance or of offsetting the inconvenience of choosing less desirable routings.

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.

14

(28)

(29)

The establishment and imposition of charges 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 cooperation with national
supervisory authorities and airspace users.

The performance of the air navigation services system as a whole at European level
needs to be constantly examined to check the effectiveness of the measures adopted
and to propose further measures.

(30) Owing to the particular sensitivity of information concerning service providers,
national supervisory authorities should not disclose information covered by the
obligation of professional secrecy, without prejudice to the organisation of a system
for monitoring and publishing the performance of service providers,

(31)

(32)

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 better
achieved at Community level, whilst ensuring that the implementing procedures 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 the principle of proportionality, as set out in that Article, this Regulation
does not go beyond what is necessary in order to achieve those objectives.

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 down the procedures for the exercise of
implementing powers conferred on the Commission7, 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 Decision, some measures should be adopted by
use of the advisory procedure provided 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 ancillary
services providing
and
aeronautical information services as specified in Annex I, in accordance with and within the
scope of Regulation (EC) No XXX/XX [laying down the framework for the creation of the
Single European Sky].

navigation and

communication,

infrastructure

surveillance

7

OJ L 184, 17.7.1999, p. 23.

15

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)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

(j)

(k)

“national supervisory authority” means the body or bodies, appointed by a
Member State for the supervision of air navigation service providers;

"recognised organisation” means a private or public body, recognised in conformity
with Article 4, carrying out assessment work for a national supervisory authority;

“authorisation” means a permission which is granted by a Member State and
which certifies that an air navigation service provider is suitable for providing a
specific service;

“bundle of services” means two or more air navigation services as listed in Annex I;

“air traffic services” means all flight information services, alerting services, air
including area control
traffic advisory services and air traffic control services,
services, approach control services and aerodrome control services as defined in
Annex I;

“designation” means an appointment by a Member State or Member States in
accordance with this Regulation, giving a service provider the responsibility for
providing air traffic services on an exclusive basis;

“ancillary services” means communication, navigation and surveillance services as
further defined in Annex I;

“airspace block” means an airspace of defined dimensions, above land or waters,
within which air navigation services are provided;

“functional airspace block” means an airspace block of optimally defined
dimensions;

“operational data” means information and/or data used by air navigation service
providers and airspace users during the execution of their operational activities;

“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 authority shall be established by each Member State in order
to assume the relevant responsibilities and obligations under the requirements of this

16

2.

3.

4.

1.

2.

3.

4.

1.

Regulation. The national supervisory authorities shall be independent of the air
navigation service providers. This independence shall be achieved through adequate
separation, at
least, between the national supervisory
the functional
authorities and suchproviders.

level at

The national supervisory authority shall ensure the appropriate oversight and
enforcement of this Regulation, in particular with regard to the safe and efficient
operations of air navigation service providers. To this end, the national supervisory
authority shall perform proper inspections and surveys to verify compliance with the
requirements of this Regulation.

supervisory authorities and of

Member States shall inform the Commission of the names and addresses of the
the measures undertaken to ensure
national
compliance with the provisions of paragraph 1. Member States may conclude an
agreement on the supervisory role provided for in this Article in respect of regional
service providers.

Member States shall notify any changes to the information supplied under
paragraph 3, within one month of their introduction.

Article 4

Recognised organisations

National supervisory authorities may decide with respect to air navigation service
providers that operate under their responsibility to instruct recognised organisations
to undertake fully or in part the inspections and surveys.

Member States may only recognise those organisations which fulfil the requirements
laid down in paragraph 4 and which have submitted to the national supervisory
authorities a request for recognition.

A recognition granted by a national supervisory authority shall be valid within the
Community. National supervisory authorities may instruct any of the recognised
organisations located in the Community to undertake the inspections and surveys
under Article 3(2).

Recognised organisations shall comply with the minimum requirements set out in
Annex II together with any further measures defined in accordance with the
procedure referred to in Article 19(2), including the procedures for the granting of
recognition, their monitoring and the working relationship and the liability between
recognised organisations and the national supervisory authorities.

Article 5

Safety requirements

The Eurocontrol Safety Regulatory Requirements (ESARRs) 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.

17

2.

Paragraph 1 shall be without prejudice to Article 1(2) of Regulation (EC)
No XXX/XX of the European Parliament and of the Council8 [on establishing
common rules in the field of civil aviation and creating a European Aviation Safety
Agency].

Article 6

Licensing and training of controllers

The mobility of air traffic controllers together with enhanced training conditions shall be
developed by the European Parliament and of the Council on the basis of a Commission
proposal.

Chapter II

RULES FOR THE PROVISION OF SERVICES

Article 7

System of authorisation

1.

2.

3.

4.

5.

The provision of air navigation services shall be subject to a system of authorisation
certifying the suitability of service providers to provide such services.

Member States shall issue and monitor authorisations for air navigation services.
Authorisations may be granted for each separate air navigation service as listed in
Annex I or for a bundle of such services.

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 contracting party, providers of air traffic
services shall be owned and continue to be owned directly, or through majority
ownership, by Member States and/or nationals of Member States. They shall at all
times be effectively controlled by such Member States or such nationals.

Air navigation service providers meeting the requirements of
the system of
authorisation shall be entitled to an authorisation for the purpose of providing air
navigation services. To that end, air navigation service providers shall apply to the
national supervisory authority of the Member State where they have their principal
place of operation and, if any, their registered office.

Authorisations shall specify the conditions in terms of rights and obligations of air
navigation service providers that are objectively justified in order to meet
the
objectives of this Regulation. The conditions attached to authorisations and the
procedures for their grant shall:

(a)

comply with the general lines of approach set out in Annex III;

(b)

be non-discriminatory, proportionate and transparent,

8

OJ L

18

6.

7.

8.

1.

2.

3.

4.

5.

(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 nature of air navigation services.

The authorisation system, including harmonised conditions in respect of the various
air navigation services and the relevant conditions and procedures for the granting of
authorisations, shall be established in accordance with the procedure referred to in
Article 19(2).

Providers of air navigation services at the time of entry into force of this Regulation
shall be authorised to continue to do so, provided 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.

No air navigation service provider established in the Community shall be permitted
to operate within the Community unless it has been granted the appropriate
authorisation.

Article 8

Designation of service providers

The provision of air traffic services shall be subject to a system of designation
allowing the service provider to operate on an exclusive basis within specific
airspace blocks and defining the obligations and requirements of the operation.
Member States shall designate service providers to provide air traffic services in
respect of the airspace over their territory. For this purpose, Member States may
designate any service providers holding a valid authorisation within the Community.

Air traffic services that are, at the time of entry into force of this Regulation,
operated by an air navigation service provider in respect of specific airspace blocks
shall entitle that service provider to be designated for the same services in the same
airspace blocks for a maximum period of three years without prejudice to the
application of the provisions of Article 5 of Regulation (EC) No XXX/XX
[airspace regulation].

services and aeronautical
With regard to ancillary services, meteorological
information services, the granting of authorisations confers to service providers the
right of providing such services within the Community, subject to their notification
to the relevant national supervisory authorities of the Member States and to the
Commission of the airspace blocks in respect of which such services will be
provided.

Air navigation service providers shall provide their services in an open, non-
discriminatory and transparent manner. Such services shall be delivered in
accordance with the terms of the relevant authorisations and, where appropriate, of
the relevant designations.

In respect of functional airspace 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 the

19

basis 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 territory of more than one Member State,
the Member States concerned shall, within one month of the establishment of the
functional airspace block, jointly designate the service providers.

Such service providers shall be immediately notified to the Commission.

Article 9

Relations between service providers

Air navigation service providers may avail themselves of the services of other service
providers,
in particular for ancillary services, meteorological services and aeronautical
information services. In such cases, air navigation service providers shall formalise their
legal arrangements
working relationships by means of written agreements or equivalent
setting out the specific duties and functions assumed by the providers. Those arrangements
shall comply with the relevant provisions of this Regulation.

1.

2.

1.

2.

Article 10

Relations with military authorities

Air navigation service providers shall take the necessary steps with a view to
entering into written agreements or equivalent
legal arrangements with military
authorities for the blocks of airspace where they are designated. Those arrangements
shall set out
including the scope and
procedures for exchanging data and for the transfer of control following 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.

the specific obligations of each party,

As long as Member States have separate entities to provide air traffic services to civil
and military air traffic, they shall inform the Commission of the way in which the
cooperation between such entities is organised.

Article 11

Unbundling of accounts

Air navigation service providers, whatever their system of ownership or legal form,
shall draw up, submit to audit and publish their annual accounts in accordance with
International Accounting Standards adopted by the Community.

When providing a bundle of services, air navigation service providers shall, in their
internal accounting, keep separate accounts for each service as listed in Annex I, and,
where appropriate, shall keep consolidated 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

20

3.

4.

1.

2.

3.

functional airspace blocks, they shall, in their internal accounting, keep separate
accounts for each control centre responsible for that block.

Service providers shall inform the Commission of the rules for the allocation of
assets, liabilities, expenditure and income which service providers follow in drawing
up the separate accounts referred to in paragraph 2.

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

Operational data shall be exchanged in real-time between service providers and
between such service providers and airspace users to facilitate the operational needs
of both.

Access to operational data shall be granted to all authorised air navigation service
providers, airspace users and other operators concerned on a non-discriminatory
basis.

Each service provider shall establish standard conditions of access to its operational
data from other service providers and airspace users. National supervisory authorities
shall approve such standard conditions. 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
that contributes to the achievement of greater
requirements of Articles 14 and 15,
transparency with respect to the determination, imposition and enforcement of charges to
airspace users. This charging scheme shall also be consistent with the provisions of Article 15
of the 1944 Chicago Convention on International Civil Aviation.

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 navigation services among categories of users and
shall develop a charging policy.

21

2.

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 appropriate amounts for interest on capital
investment and depreciation of assets, as well as the costs of maintenance,
operation, management and administration.

(b) The cost to be taken into account shall be those assessed in relation to
the facilities and services, provided for and implemented under the 24th edition
of 1998 of the ICAO Regional Air Navigation Plan, European Region
Doc No 7754.

(c)

The cost of different air navigation services 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, shall become a component of user charges
in whichever way is most appropriate.

(f) Air navigation services may produce sufficient revenues to exceed all direct
and indirect operating costs and to provide for a reasonable return on assets to
contribute towards necessary capital improvements.

3.

As far as charges are concerned, the following principles in particular shall apply:

(a) Charges shall be set for the availability of air navigation services under
non-discriminatory conditions. No distinction shall be made between charges
imposed on different airspace users for the use of the same service in relation
to 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 charges shall be guaranteed. Standards shall
be set for the provision of informationby the service providers in order to
permit
forecasts, actual costs and income.
Information shall be regularly exchanged between the national supervisory
authorities, service providers, airspace users, the Commission and Eurocontrol.

the provider’s

reviews of

(d) Charges shall encourage the safe, efficient and effective provision of air
navigation services at the lowest possible cost and shall stimulate integrated
service provision. They may provide incentives and deterrents consisting of
financial advantages and disadvantages which apply 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 collective air navigation infrastructures,
the provision of air navigation services and the use of airspace

22

4.

1.

2.

3.

The implementing rules in the fields covered 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

The Commission shall provide for the ongoing review of compliance with the
principles and rules referred to in Article 13 and 14, acting in collaboration with, in
particular, national supervisory authorities. The Commission may also establish the
necessary mechanisms for making use of Eurocontrol expertise.

At the request of one or more Member States which consider that the principles and
rules have not been properly applied, or on its own initiative, the Commission shall
carry out an investigation on any allegation of non-compliance or non-application of
the principles by service providers. Within two months of receipt of a request and
after consulting the “Single Sky Committee” in accordance with the procedure
referred to in Article 19(3), the Commission shall take a decision on the application
of Articles 13 and 14 and shall decide whether the service provider may continue to
apply the principle or rule concerned.

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 Council, acting by a qualified majority, may
take a different decision within a period of one month.

Chapter IV

FINAL PROVISIONS

Article 16

Performance regime

Detailed rules for the submission of information 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 navigation service provision within the Single Sky.
The submission of this information shall:

(a)

(b)

(c)

promote the wide performance of a network of air navigation service providers
within the Community;

offer a prospect of enabling air navigation service providers to deliver the required
services;

improve the consultation process between airspace users and air navigation service
providers;

(d)

allow the identification and the promotion of best practice.

23

Article 17

Adjustment to technical progress

1.

2.

In order to make adaptations to technical 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 Regional Air Navigation Plan contained in
Article 14(2).

The Commission shall publish implementing 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 service 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 which
case such disclosure shall be proportionate and shall have regard to the legitimate interests of
service providers in the protection of their business secrets.

Moreover, the first paragraph shall not preclude 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.

2.

3.

The Commission shall be assisted by the “Single Sky Committee” instituted by
Article 7 of Regulation (EC) No XXX/XX [framework regulation].

Where reference is made to this paragraph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
Article 8 thereof.

The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.

Where reference is made to this paragraph, the advisory procedure laid down in
Article 3 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
Article 8 thereof.

24

Article 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
The President

For the Council
The President

25

ANNEX I

AIR NAVIGATION SERVICES

Air traffic services

(1)

(2)

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 collisions
between aircraft, and on the manoeuvring area between aircraft and obstructions, and
expediting and maintaining an orderly flow of air traffic.

Approach control services, means air
departing controlled flights.

traffic control service for arriving or

(3)

Aerodrome control services, means air traffic control service for aerodrome traffic.

Other services

(4)

(5)

(6)

(7)

(8)

(9)

Search and rescue services, means a service to provide assistance to aircraft in
distress and to survivors of aircraft accidents.

Meteorological services, means a service to supply operators, flight crew members,
air traffic services units, search and rescue 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.

Aeronautical information services, means a service provided for the purpose of
ensuring the flow of information necessary for the safety, regularity, and efficiency
of international air navigation.

Ancillary services

Communication services, means a communication service provided for any
aeronautical purpose.

Navigation services, means a navigation service provided for any aeronautical
purpose.

Surveillance services, means a surveillance service provided for any aeronautical
purpose.

26

ANNEX 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 air 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, published and continually upgraded and improved through
research and development programmes;

not be controlled by air navigation service providers, or by others engaged
commercially in the provision of air navigation services or in air transport services;

be established with a significant technical, managerial, support and research staff
commensurate to 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 information 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, implemented 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.

27

ANNEX 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 governing legislation under which the
authorisation is issued and under which it will operate;

a clear specification of the period for which the authorisation is to run;

the notice period required for the authorised 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 ownership 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 and
processes, human resource policies;

the provision of information reasonably required for
the verification of
compliance with applicable conditions, including the regular publication by the
service providers of business plans, financial and operational 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 interoperability
levels;

ring-fencing or restriction of operation 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;

measures taken by Member States in accordance with public interest
requirements recognised by the Treaty specifically in relation to public
morality, public security, including the investigation of criminal activities, and
public policy.

28

2001/0236 (COD)

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

(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 Commission1,

Having regard to the opinion of the Economic and Social Committee2,

Having regard to the opinion of the Committee of the Regions3,

Acting in accordance with the procedure laid down in Article 251 of the Treaty4,

Whereas:

(1)

(2)

(3)

(4)

1

2

3

4

5

6

The creation of the Single European Sky requires a harmonised approach for
regulation of the organisation and the use of airspace.

of

report

the High Level Group

The
the Single European Sky
(hereinafter: “the High Level Group”) has confirmed the need for rules at Community
level to design, regulate and strategically manage airspace on a European basis and
enhance air traffic flow management.

on

The Communication of the Commission on the creation of the Single European Sky5,
calls for structural reform to permit the creation of the Single European Sky by way of
integrated management of airspace and the development of new concepts and
procedures of air traffic management.

Regulation (EC) No XXX/XX of the European Parliament and of the Council6 lays
down the framework for the creation of the Single European Sky,

OJ C
OJ C
OJ C
OJ C
COM(2001) 123 final.
OJ L

29

(5)

(6)

(7)

(8)

(9)

Airspace is a common resource and needs to be used flexibly, ensuring fairness and
transparency for all users whilst taking into account security and defence needs of
Member States and their commitments in international organisations.

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.

The activities of the European Organisation for the Safety of Air Navigation
(“Eurocontrol”) confirm that
the route 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.

A single airspace should be established for en-route air traffic in the upper airspace;
the interface between such airspace and the lower, that is regional and local, airspace
should be identified accordingly.

The delineation of airspace wherein air traffic services are to be provided should be
related to the need for efficient services, rather than to national boundaries.

(10) Airspace users face disparate conditions of access to, and freedom of movement
within, the Community airspace. This is due to the lack of harmonisation in the
classification of airspace.

(11) Constraints in the definition of the route network cause concentration of air traffic
flows at fixed crossing points or junctions of airways whilst the principle of direct
routings is the preferred, economical and ecological way to use Community airspace.

(12)

It is essential to achieve a common, harmonised airspace structure, to base the present
and future allocation of airspace on common principles, and to design and manage
airspace in accordance with harmonised rules.

(13)

It is desirable to extend that harmonised 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. The
success of the Single European Sky is dependent upon an effective cooperation
between civil and military authorities.

(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 is
necessary to optimise the location, size and time periods of usage of sectors of
airspace allocated to military needs, especially during peak periods for civil air traffic
and in high-density airspace.

(16) Military operations should be safeguarded whenever the application of common

principles and criteria is detrimental to their safe and efficient performance.

(17) Adequate measures should be introduced to improve the effectiveness of air traffic

flow management.

30

(18)

(19)

In accordance with the conclusions of the High Level Group, Eurocontrol is the body
that has the appropriate expertise to support the Community in its role as regulator.
Accordingly, Eurocontrol should be permitted to develop draft measures, under
appropriate arrangements subject to the observance by Eurocontrol of the conditions to
be included in a framework of cooperation between the Commission and Eurocontrol.

Since the objectives of the proposed action, namely to establish a European airspace as a
single operating airspace, cannot be sufficiently 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 the implementing procedures 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 the
principle of proportionality, as set out in that Article, this Regulation does not go beyond
what is necessary in order to achieve those objectives.

(20) 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 Commission7,
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.

2.

This Regulation concerns the organisation and the use of airspace in accordance
with, and within the scope of, Regulation (EC) No XXX/XX [laying down the
framework for the creation of the Single European Sky].

This Regulation shall apply to the airspace where Member States designate air
navigation service providers as provided for in Article 8 of Regulation (EC)
No XXX/XX of the European Parliament and of the Council8 [service provision].

Article 2

Objective

The objective of this Regulation is to establish a Community airspace as a single operating
airspace where common procedures for design, planning and management ensure the efficient
and safe performance of air traffic management.

7

8

OJ L 184, 17.7.1999, p. 23.
OJ L

31

The use of Community airspace shall support the operation of the air navigation services as a
coherent and consistent whole in accordance with the provisions of Regulation (EC)
No XXX/XX [service provision].

Article 3

Definitions

For the purposes of this Regulation the definitions set out in Article 2 of Regulation (EC)
No XXX/XX [framework regulation] shall apply.

The following definitions shall also apply:

(a)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

(i)

(j)

(k)

“single operating airspace” means uniform airspace management procedures and
safety standards in the provision of Air Traffic Control;

“airspace design” means an appropriate, efficient and effective process for
structuring, dividing and categorising airspace together with the planning of routes
and airspace;

“flight information region” means an airspace of defined dimensions within which
flight information services and alerting services are provided;

“division level” means the boundary between upper and lower airspace;

“upper airspace” means the airspace above a certain flight level;

“lower airspace” means the airspace below a certain flight level;

“flight level” means a surface of constant atmospheric pressure which is related to
specific pressure datum 1013.2 hectopascals and is separated from other such
surfaces by specific pressure intervals;

“airspace block” means an airspace of defined dimensions, above land or waters,
within which air navigation services are provided;

“functional airspace block” means an airspace block of optimally defined
dimensions;

"area control centre" means an operational unit established to provide air traffic
control services to air traffic in a block of airspace under its jurisdiction;

“airspace classification” means the International Civil Aviation Organisation (ICAO)
classification of airspaces alphabetically designated as classes A to G, as specified in
Appendix 4 to the twelfth edition of July 1998 of Annex 11 to the 1944 Chicago
Convention on International Civil Aviation, also defined as airspaces of defined
dimensions, alphabetically designated, within which specific types of flight may
operate and for which air traffic services and rules of operation are specified;

(l)

“direct routing” means an aircraft operation allowing an aircraft in flight to proceed
directly between two points outside the scheme of routes;

32

(m)

(n)

(o)

(p)

(q)

(r)

1.

2.

3.

4.

“route network” means a network of specified routes for channelling the flow of air
traffic as necessary for the provision of air traffic services.

“sector” means a subdivision of the totality of control tasks into manageable airspace
portions at which throughput and capacity can be measured;

“flexible use of airspace” means an airspace management concept applied in the
European Civil Aviation Conference area, as specified in the first edition of
5 February 1996 of the “Airspace Management Handbook for the application of the
Concept of the Flexible Use of Airspace” issued by Eurocontrol;

“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;

“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, and that traffic
volume is compatible with the capacities declared by the appropriate air traffic
services providers;

“collaborative decision making” means a process for exchanging information
between air traffic service providers, airport operators, air traffic flow management
providers and airspace users to instil more flexibility in slot/route allocation and
flight coordination processes in order to optimise utilisation of scarce capacity.

Chapter II

AIRSPACE ARCHITECTURE

Article 4

Creation of a European Upper Flight Information Region

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 Civil
Aviation, a single European Upper Flight Information Region (EUIR) shall be
established in the upper airspace.

The division level between upper and lower airspace shall be set at flight level 285.

Within three years after the establishment of the EUIR, the European Parliament and
the Council shall, on the basis of a proposal from the Commission, extend the
concept referred to in paragraph 1 to include the creation of a European Flight
Information Region in the lower airspace.

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 the
1944 Chicago Convention on International Civil Aviation. The Commission,
in
collaboration with Eurocontrol, shall also organise the publication of a single
information relating to the EUIR through the consolidation of
aeronautical
incorporate all
information. This publication shall
existing national aeronautical

33

changes to requirements and procedures introduced by the implementation of the
Single European Sky.

Article 5

Reconfiguration of the upper airspace

1.

2.

The EUIR shall be reconfigured into functional airspace blocks of minimum size on
the basis of safety and efficiency. The borders of such functional airspace blocks do
not need to coincide with national boundaries. Functional airspace blocks shall be
created to support the provision of air traffic services within area control centres
responsible for an optimal size of airspace in the EUIR.

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 efficiently the existing and future pattern of air traffic;

(b)

(c)

ensure that each airspace block is designed to maximise the efficiency of
European airspace as a whole;

take into account the human and capital resources of various air navigation
service providers;

(d) minimise the transaction costs between various area control centres;

(e)

ensure coherence between the configurations of upper and lower airspace.

Article 6

Airspace classification

The EUIR shall be designated in accordance with a harmonised airspace classification to
ensure the seamless provision of air navigation 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 position and with flight intentions.

This classification shall be established on a common and simplified application of the
classification of airspace currently prescribed in chapter 2 of twelfth edition of July 1998 of
Annex 11 to the 1944 Chicago Convention 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) of
this Regulation.

Article 7

Direct routing in the upper airspace

Subject
to safety analysis, air navigation service providers shall organise the phased
implementation of direct routings in the EUIR as the optimum economic and environmentally
friendly usage of Community airspace.

Service providers shall regularly report to the Commission on this implementation.

34

Article 8

Uniform airspace design

The structuring, division and categorising of airspace together with the planning of routes
shall rely on a uniform, efficient and effective design process within the agreed concept of
operation. To this end, airspace rules, common principles and criteria for sector design,
especially the design of cross-border sectors, and route design shall be established on the
basis of the “Concept and Criteria for Medium Term EUR Route Network and Associated
Airspace Sectorisation”, EATMP ARN Version 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 be
extended to establish similar blocks in the lower airspace, particularly to address cross border
problems for short to medium flights.

Air navigation service providers 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.

2.

3.

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 the
Flexible Use of Airspace.

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 navigation services shall exchange data under the
agreements provided for in Article 10 of Regulation (EC) No XXX/XX [on the
provision of air navigation services in the Single European Sky].

Taking into account the general conditions for air traffic flow management, as
defined under Article 13, criteria shall, in accordance with the procedure referred to
in Article 16(2), be established:

35

(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 concept 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.

5.

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 account national security requirements.

Without prejudice to international agreements 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 flight
entering the airspace where they have designated air traffic services providers in
accordance with Article 8 and 9 of Regulation (EC) No XXX/XX [on the provision
of air navigation services in the Single European Sky], regardless of the origin and/or
the destination of the flight.

Article 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 shall
exempt 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 analysis
and publication.

Chapter IV

FLOW MANAGEMENT

Article 13

Air Traffic Flow Management

for air

traffic flow management

Rules
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 is
provided flexibly and in a timely manner. They 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:

shall be established in order

36

(a)

(b)

(c)

(d)

(e)

a consistent route and traffic orientation policy defined in a single publication;

consistency between airport slots and slots assigned in the management of air traffic
flows;

inconsistencies in flight planning;

options for diversion of air traffic from congested areas into routes in less congested
areas;

priority rules in access to airspace, particularly during periods of congestion
and crisis.

The implementing rules shall be laid down in accordance with the procedure referred to in
Article 16(2).

Chapter V

FINAL PROVISIONS

Article 14

Procedures

When drafting implementing rules 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.

2.

1.

2.

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 documents as referred to in Articles 3, 4, 6
and 8.

The Commission shall publish implementing rules adopted on the basis of this
Regulation in the Official Journal of the European Communities.

Article 16

Committee Procedures

The Commission shall be assisted by the “Single Sky Committee” instituted by
Article 7 of Regulation (EC) No XXX/XX [framework regulation].

Where reference is made to this paragraph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
Article 8 thereof.

37

3.

The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.

Article 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
The President

For the Council
The President

38

2001/0237 (COD)

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

on the interoperability of the European 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 Commission1,

Having regard to the opinion of the Economic and Social Committee2,

Having regard to the opinion of the Committee of the Regions3,

Acting in accordance with the procedure laid down in Article 251 of the Treaty4,

Whereas:

(1)

(2)

1

2

3

4

5

6

7

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 seamless
operations of the air traffic management network consistent with the provision of
in Regulation (EC) No XXX/XX of
air navigation services as provided for
the European Parliament and of
the Council of … 2001 on the provision of
Air Navigation Services in the Single European Sky5 and the organisation and use of
airspace as provided for in Regulation (EC) No XXX/XX of the European Parliament
and of the Council of … 2001 [on the organisation and use of the airspace in the
Single European Sky]6.

The report of the High Level Group on the Single European Sky (hereinafter referred
to as: “the High Level Group”) has confirmed the need to establish technical
regulation on the basis of the "new approach" in accordance with the Council
resolution of 7 May 1985 on a new approach to technical harmonisation and
standards7 where essential requirements, rules and standards are complementary and
consistent.

OJ C
OJ C
OJ C
OJ C
OJ L
OJ L
OJ C 136, 4.6.1985, p. 1.

39

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

Regulation (EC) No XXX/XX of the European Parliament and of the Council8 lays
down the framework for the creation of the Single European Sky.

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 computer hardware and software as well as
the people that operate them.

The report of the High Level Group has confirmed that even though progress has been
realised during the last few years towards a seamless operation of the air traffic
management network in Europe, the situation still remains unsatisfactory with a low
level of integration between national air traffic management systems and a slow pace
in the introduction of new concepts of operation and technology necessary to deliver
the additional required capacity.

This low level of integration at Community level results in a number of severe
inefficiencies and additional costs for procurement and maintenance and in difficulties
in operational coordination.

The predominance of national technical specifications used in procurement, often
developed between the air navigation service provider and the national manufacturing
industry, has led to fragmentation of market equipment and does not facilitate the
industrial cooperation at Community level; as a result industry is particularly affected
since it needs to considerably adapt its products for each national market; these
practices render development and implementation of new technology unnecessarily
difficult and slow down the introduction of new operational concepts that are required
to increase capacity.

It is therefore in the interest of all those involved in the air traffic management to
develop a new partnership approach allowing the balanced involvement of all,
stimulating creativity and the sharing of knowledge, experience and risks; such
partnership should aim at defining, in cooperation with the manufacturing industry, a
coherent set of Community specifications that 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.

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 the
complexity of the air traffic management network it has proven necessary to break it
down to a number of systems.

The development and adoption of Community specifications concerning the air traffic
management network, its systems and constituents is an appropriate means of defining
the technical and operational conditions necessary to achieve the essential
requirements; compliance with these Community specifications should create a
presumption of conformity with the essential requirements.

(11)

For some systems that are important to the fulfilment of the essential requirements of
this Regulation, implementation rules should be adopted; implementation rules should
also be adopted to facilitate the coordination and introduction of new concepts in air

8

OJ L

40

(12)

(13)

(14)

(15)

(16)

(17)

traffic management; compliance with the implementation rules should be permanently
maintained; these implementation rules should rely on rules and standards developed
by international organisations such as Eurocontrol or ICAO.

In accordance with the conclusions of the High Level Group, Eurocontrol is the body
that has the appropriate expertise to support the Community in its role as regulator.
Accordingly, Eurocontrol should be permitted to develop draft measures, under
appropriate arrangements subject to the observance by Eurocontrol of the conditions to
be included in a framework of cooperation between the Commission and Eurocontrol.

In order
to ensure separation between the rule-making and standardisation
functions, Community specifications should predominantly be developed by the
European standardisation bodies in conjunction with the European Organisation
for Civil Aviation Equipment
form of
European standards.

(“Eurocae”)

should

take

and

the

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 aviation
stakeholders including, in particular, air navigation service providers, airspace users
and manufacturing industry; Eurocae must establish formal relationships with the
its specifications can be recognised
European standardisation bodies so that
as European
the
set
the
standards
European standardisation organisations.

procedures

according

out

by

to

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 minimum the observance of the principles of
openness,
impartiality, consensus, maintenance, public access to
specifications, efficiency, accountability and coherence; detailed provisions to that
effect will be included in a document forming the framework of cooperation with
Eurocontrol.

transparency,

The procedures governing the assessment of conformity or suitability of use of
constituents should be based on the use of the modules covered by Council
Decision 93/465/EEC of 22 July 1993 concerning the modules for the various phases
of the conformity assessment procedures and the rules for the affixing and use of the
CE conformity marking, which are intended to be used in the technical harmonisation
directives1; as far as necessary these modules should be expanded to cover specific
requirements of the industries concerned.

The market concerned is of small size and consists of systems and constituents of an
almost exclusive use to air traffic management purposes and not destined to the
general public; it would be therefore excessive to affix the CE mark to constituents as,
the
on the basis of
the assessment of conformity and/or suitability for use,
the
manufacturer's declaration of conformity is sufficient; that should not affect
obligation on manufacturers to affix the CE mark to certain constituents in order to
certify their compliance with other Community provisions relating to them.

1

OJ L 220, 30.8.1993, p. 23.

41

(18)

(19)

(20)

(21)

The putting into service, renewal or upgrading of air traffic management systems,
should be subject to verification of compliance with the essential requirements; this
compliance is based on implementation rules; use of Community specifications should
create a presumption of conformity to the essential requirements; depending on the
system, the intervention of a notified body should be deemed necessary in particular
for safety reasons.

In accordance with the conclusions of the report of the High Level Group, the
Commission should consult industry with a view to facilitating the establishment of a
coherent strategic management programme for the introduction of new concepts in air
traffic management.

The full application of the provisions of this Regulation should be done according to a
transition strategy which should endeavour to maintain the objective of the seamless
operation of the air traffic management network while not creating unjustified cost-
benefit barriers to the preservation of the existing infrastructure.

Since the objectives of the proposed action,namely to achieve interoperability within
the Community air traffic management network, cannot be sufficiently achieved by the
Member States and can therefore, by reason of its wide scale, be better achieved at
Community level,
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 Regulation does not go
beyond what is necessary in order to achieve those objectives.

the Community may adopt measures,

(22) Within the framework of the relevant Community legislation, due account shall be
taken of the need to ensure harmonised conditions with regard to the availability and
efficient use of radio spectrum necessary for the implementation of the Single
European Sky,
including electromagnetic compatibility aspects; an efficient and
appropriate use of frequencies 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 procurement of air-traffic-management equipment and
systems10, is limited to obligations of awarding entities; the present Regulation is more
comprehensive in that it addresses obligations of all actors, including air navigation
service providers, airspace users, manufacturing industry and airports, and allows both
for stipulating rules applicable to all, as well as adoption of Community specifications
which, while being of voluntary use, give presumption of conformity to the essential
requirements. Therefore Directive 93/65/EEC should be repealed.

10

OJ L 187, 29.7.1993, p. 52.

42

(24)

(25)

(26)

Since Commission Directive 97/15/EC of 25 March 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 management
equipment and systems11 has become obsolete, it should be repealed.

The measures for the application of Directive 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 Directive 97/15/EC, adopting Eurocontrol
standards and amending Council Directive 93/65/EEC12 are compatible with the
provisions of this Regulation.

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 down the procedures for the exercise of
implementing powers conferred on the Commission13, 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 Decision, some measures should be adopted by
use of the advisory procedure provided for in Article 3 of that Decision,

HAS ADOPTED THIS REGULATION:

Chapter I

GENERAL PROVISIONS

Article 1

Scope

1.

2.

This Regulation shall apply to equipment, systems and associated procedures for the
establishment of the air traffic management network and its concept of operation in
accordance with and within the scope of Regulation (EC) No XX/XXX [laying down
the framework for the creation of the Single European Sky].

General conditions that are linked to the rights and obligations of air navigation
service providers in the sense of Regulation (EC) No XXX/XX [on the provision of
Air Navigation Services in the Single European Sky] shall be excluded from the
scope 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 of
the air traffic management network, including their seamless operation and development and
upgrading to new technology.

11

12

13

OJ L 95, 10.4.1997, p. 16.
OJ L 254, 9.10.2000, p. 1.
OJ L 184, 17.7.1999, p. 23.

43

In the pursuit of the objective referred to in the first paragraph, this Regulation shall also
in equipment, systems and
contribute to the progressive creation of the internal market
associated services.

Article 3

Definitions

For the purposes of this Regulation the definitions 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)

(b)

(c)

(d)

(e)

(f)

(g)

(h)

"air traffic management network" means a system comprising ground elements and
airborne elements, enabling the provision of air navigation services, with the
objective of allowing airspace users to meet their planned times of departure and
arrival and adhere to their preferred flight profiles with minimum constraints,
without compromising agreed levels of safety;

"systems" means that the air traffic management network consists of systems as
described in Annex I, for which essential requirements must be laid down; each
system 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 objects
such as software or procedures;

"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,
those involved in their
operational use, ground and airborne equipment functionality and the measures
needed to ensure continued safe and efficient air traffic management;

the requirements of all

"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;

"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;

"Community specification" means a European standard within the meaning of
Article 1 of Directive 98/34/EC of the European Parliament and of the Council14 or a
Eurocontrol technical specification whose references have been published in the
Official Journal of the European Communities;

"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 seamless
operation of the air traffic management network, including its interoperability;

"national supervisory authority" means the body or bodies, appointed by a
Member State for the supervision of air navigation service providers;

14

OJ L 204, 21.7.1998, p. 37.

44

(i)

(j)

"upgrading" means any major modification work on a system or part of a system
which requires the drawing up of a declaration of verification;

"renewal" means any major substitution work on a system or part of a system which
requires the drawing up of a declaration of verification

ESSENTIAL REQUIREMENTS, COMMUNITY SPECIFICATIONS AND IMPLEMENTATION RULES

Chapter II

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.

2.

3.

4.

Compliance with the essential requirements referred to in Annex II shall be
presumed in relation to systems or constituents that meet the relevant Community
specifications or parts thereof whose reference numbers have been published in the
Official Journal of the European Communities.

Where a Member State or the Commission considers that conformity with a
Community specification does not ensure compliance with the essential requirements
referred to in Annex II which the said Community specification is intended to cover,
the procedure referred to in Article 16(3) shall apply.

to essential
In the case of shortcomings of European standards with respect
requirements, partial or total withdrawal of the standards concerned from the
publications containing them, or their amendments, may be decided upon in
accordance with the procedure laid down in Article 5 of Directive 98/34/EC.

In the case of shortcomings of technical specifications drawn up by Eurocontrol with
respect to essential requirements, partial or total withdrawal of the specifications
concerned from the publications containing 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
operations or technology in air traffic management.

the coordinated and rapid introduction of new concepts of

2.

Where necessary, especially for treating categories of systems or to solve certain
problems as a matter of priority or to reflect the evolutionary introduction of new

45

3.

4.

5.

6.

1.

technology, a system, or part of a system, may be covered by more than one
implementation rule. Inversely, achievement of particular operational performances
in parts of the network might imply the drawing up of rules that impose requirements
on more than one system.

Systems, or parts thereof, shall comply with the relevant implementation rules; this
compliance shall be permanently maintained while each system is in use.

To the extent necessary to achieve the objectives defined in Article 2, each
implementation rule, shall:

(a)

(b)

determine any specific requirements for seamless operations,
interoperability, safety or performance that are essential
objectives of this Regulation;

including
to achieve the

state in each case under consideration which of the modules defined in
Decision 93/465/EEC or where appropriate which specific procedures are to be
used in order to assess either the conformity or the suitability for use of the
constituents essential for seamless operation, safety or performances as well as
the verification of systems.

Where a Member State or the Commission considers that conformity with an
implementation rule does not ensure compliance with the essential requirements
referred to in Annex II which the said implementation rule is intended to cover, the
procedure referred to in Article 16(2) shall apply.

In the case of shortcomings of implementation rules with respect
to essential
requirements, partial or total withdrawal of the rules concerned from the publications
containing them, or their amendments, may be decided upon in accordance with the
procedure referred to in Article 16(2).

Chapter III

PROCEDURES

Article 7

Community specifications

Community specifications shall consist of European standards drawn up by
the European standardisation bodies
a
mandate from the Commission in accordance with the provisions of Article 6(4) of
Directive 98/34/EC.

in cooperation with Eurocae under

In certain specialised fields, in particular on matters of internal coordination between
air navigation service providers, such as procedures, the Commission may request
Eurocontrol to draw up technical specifications within a list to be established in
accordance 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.

46

3.

1.

2.

3.

1.

2.

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).

Article 8

Implementation rules

When preparing for implementation rules referred to in Article 6, the Commission
may request, where appropriate, Eurocontrolto draw up draft measures on the basis
of a work programme laid down by the Commission. Implementation rules shall be
adopted and reviewed by the procedure set out in Article 16(2). They shall be
published in the Official Journal of the European Communities.

The preparation, adoption and review of implementation rules shall take into account
the estimated cost of technical solutions by which they may be met, with a view to
defining the most viable solution. 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.

When each implementation rule is adopted, the date of entry into force shall be laid
down in accordance with the procedure referred to in Article 16(2). Where
simultaneous actions of the different stakeholders are required to achieve the
objectives of this Regulation, the date of entry into force can be also a target date by
which 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

Compliance with the essential requirements of this Regulation shall be presumed in
relation to those constituents that bear the EC declaration of conformity or suitability
for use the components of which are set out in Annex III.

In order to draw up the EC declaration of conformity or suitability of use, the
manufacturer, or its authorised representative established in the Community, must
apply the provisions laid down in the relevant
implementation rules. Where so
required by the implementation rule, the assessment of the constituent shall be
appraised by the notified body referred to in Article 12, with which the manufacturer
or his authorised representative has lodged the application.

Where constituents are the subject of other Community provisions covering other
aspects, the EC declaration of conformity or suitability for use shall state that the
constituent also meets the requirements of those other provisions.

47

1.

2.

3.

1.

2.

Article 10

EC declaration of verification of systems

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, installed and operated
in such a way as to meet the essential requirements concerning them when integrated
into the European Air Traffic Management network.

Prior to the putting into service, the air navigation service provider shall send to the
national
supervisory authority concerned, an EC declaration of verification
confirming compliance to the essential requirements, accompanied by a technical
file, the components of which are set out in Annex IV. This technical file will include
results of verification by a notified body referred to in Article 12, when so required
by the applicable implementation rule(s).

In the event of upgrading involving airborne components the airspace users shall
declare conformity with the provisions of this Regulation at the same time they
request a safety approval by the national supervisory authority.

Article 11

Safeguard clause

Where the national supervisory authority finds that a constituent bearing the
EC declaration of conformity 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 of
application, 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 implementation rules or Community specifications;

(c)

shortcomings in the implementation rules or Community specifications.

justified by shortcomings

The Commission shall enter into consultation with the parties concerned as soon as
possible. 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 in paragraph 1
is
implementation rules or Community
specifications, the procedure referred to in Articles 5 and 6 shall apply. Where
following the consultation the Commission establishes that
the measure is
unjustified, it shall forthwith so inform the Member State that has taken the initiative
its authorised representative established within the
and the manufacturer or
Community.

in the

48

3.

1.

2.

3.

4.

Where a constituent bearing the EC declaration of conformity or suitability for use or
a system accompanied by the EC declaration of verification, fails to comply, the
Member State shall take appropriate action against whomsoever has drawn the
EC declaration of conformity or suitability for use or the EC declaration of
verification.

Article 12

Notified bodies

Member States shall notify to the Commission and the other Member States the
bodies responsible for carrying out the procedure for the assessment of conformity or
suitability for use referred to in Article 9 and the verification procedure referred to in
Article 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 numbers and areas of responsibility, and shall
keep the list updated.

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.

A Member State shall withdraw approval 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.

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

FINAL 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 Article 14, adjustments may be made to Annexes I
and II in accordance with the procedure referred to in Article 16(2).

Article 14

Introduction of new technology and industry consultation process

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 phases
of flight.

49

2.

3.

1.

2.

1.

2.

3.

To support
the timely introduction of the concept of operation referred to in
paragraph 1, the Commission shall consult stakeholders, including air navigation
service providers, airspace users and manufacturing industry with the objective of
establishing a widely supported strategic management programme
the
traffic
introduction of new concepts and technologies in the Community air
management network.

for

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 rules and Community
specifications proposed for adoption under this Regulation.

Article 15

Transitional arrangements

Starting from 1 January 2003 the essential requirements of Annex II shall apply to
the putting into service, renewal and upgrading of systems and constituents of the air
traffic management network.

Compliance with the essential requirements of Annex II shall be required for all
systems and constituents in operation by 1 January 2009.

Article 16

Committee Procedures

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 the
creation of the Single European Sky].

Where reference is made to this paragraph, the regulatory procedure laid down in
Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
Article 8 thereof.

The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.

Where reference is made to this paragraph, the advisory procedure laid down in
Article 3 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
Article 8 thereof.

Article 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.

50

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
The President

For the Council
The President

51

ANNEX I

LIST OF AIR NAVIGATION SYSTEMS

For the purpose of this Regulation the air traffic 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 procedures related to air traffic management operations and the
airport equipment and procedures related to air traffic management operations.

1.

2.

3.

4.

5.

6.

7.

Equipment and procedures used for flow management.

Equipment and procedures used for airspace management.

Equipment and procedures for air traffic control,
in particular for flight data
processing systems, surveillance data processing systems and human-machine
interface.

Communications equipment and procedures for ground-to-ground, air-to-ground and
air-to-air communications.

Navigation equipment and procedures.

Surveillance equipment and procedures.

Equipment and procedures
information.

for aeronautical

information and meteorological

52

ANNEX 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 the
air traffic management network throughout the Community at all times and for all
phases of flight. Seamless operation can be expressed, in particular, in terms of
comparable
information exchange,
processing performances
enabling common
operational performances agreed for the whole or parts of the air traffic management
network.

common understanding

associated procedures

information,

and the

of

2.

Support to new concepts of operation

The air traffic management network, its systems and their constituents shall support,
on a coordinated basis, new agreed concepts 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 the air traffic management network shall
achieve agreed high levels of safety. Agreed safety management methodologies shall
be established to achieve this. A harmonised set of safety requirements for the
systems and their constituents shall be defined with a view to achieving the agreed
safety levels.

4.

Integrated civil/military operation

The air traffic management network, its systems and their constituents shall support
integrated civil/military operations, 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
in accordance with applicable Community
legislation.

impact

6.

System construction principles

Systems shall be designed, built and maintained on the grounds of sound engineering
principles, in particular those relating to high availability, redundancy and fault
tolerance of critical constituents.

53

Part B: Specific requirements

1.

Equipment and procedures used for airspace management

1.2.

Seamless operation

Information relating to pre-tactical and tactical aspects of airspace availability shall
be provided to whomever concerned in a correct and timely way so as to ensure an
efficient allocation and use of airspace by all airspace users. This should take into
account national security requirements.

1.3.

Safety

The design,
implementation, maintenance and operation of equipment and
procedures for airspace management shall be compliant with the safety requirements
in force for the relevant parts of the network (or the relevant volumes of airspace).

1.4.

Integrated civil/military operation

Equipment and procedures used for airspace management shall support and facilitate
the gradual implementation of integrated civil/military operations, in particular the
Flexible Use of Airspace.

2.

2.1

Equipment and procedures used for flow management

Seamless operation

the bi-directional exchange of correct,
Equipment and procedures shall support
coherent and relevant strategic 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, equipment and procedures shall match demand for
airspace use with available airspace capacity while providing an optimised use of
airspace.

2.3.

Integrated civil/military operation

Equipment and procedures shall support and facilitate the gradual implementation of
integrated civil/military operation, in particular the Flexible Use of Airspace.

3.

Equipment and procedures for air traffic control

3.1.

General requirements

54

3.1.1.

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 gradual and graceful transition between nominal
levels of automation and the degraded mode operation.

3.2.

Flight data processing systems

3.2.1.

Seamless operation

Flight data processing systems shall be interoperable in terms of timely exchange of
correct and consistent information, sharing a common operational understanding of
that information, in order to ensure a coherent and consistent planning process and
resource-efficient tactical coordination throughout the Community during all phases
of flight.

In order to ensure a safe, smooth and expeditious processing throughout
the
Community, flight data processing performances shall be equivalent and appropriate
for a given environment (surface, terminal manoeuvring area, en-route), with known
traffic characteristics and exploited under a certain operational concept, 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 operation for all phases of flight, in particular those relating to
Collaborative Decision Making,
increased 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 tactical processing of flight information in
parts of the network.

Airborne and ground systems and their constituents supporting Collaborative
Decision Making and the delegation of separation responsibility to the airborne side
shall be designed, built, maintained and operated in such a way as to be interoperable
in terms of the timely exchange of correct and consistent information and share a
common understanding of the current and future operational situation.

55

3.2.3.

Safety

Flight data processing systems' design, building, maintenance and operation shall
achieve high levels of safety, both in nominal and degraded modes, with a view to
decreasing the number of air traffic management induced accidents or risk bearing
incidents, for all phases of flight and for 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 systems

3.3.1.

Seamless operation

Surveillance data processing systems shall be designed, built, maintained and
operated in such a way so as to provide the required quality of service within a given
environment (surface,
terminal manoeuvring area, en-route) with known traffic
characteristics, in particular in terms of accuracy and reliability of computed results,
correctness, integrity, availability, continuity and timeliness of information at the
controller position.

Surveillance data processing systems shall accommodate the timely exchange of
relevant, accurate, consistent 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 overall
quality of service.

3.4.

Human-machine interface

3.4.1.

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 working
environment to all controllers.

56

3.4.2.

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 capabilities
in both normal and degraded modes of operation in a way compatible with required
safety levels.

4.

Communications equipment and procedures 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 performances 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 service, coverage and redundancy.

4.2.

Support to new concepts of operation

the agreed implementation of advanced
Communication systems shall support
in particular those relating to
concepts of operation for all phases of flight,
Collaborative Decision Making and delegation of separation responsibility to he
airborne side.

4.3.

Environmental constraints

The siting and the operation of ground-based communication systems shall take into
account environmental constraints.

Ground-based communication systems shall be designed, built, installed, maintained
and operated in such a way as to be electromagnetically immune and not interfere
with the installations, equipment and public or private networks in their normal
environment.

5.

Navigation equipment and procedures

5.1.

Seamless operation

Navigation systems shall be designed, built, maintained and operated in such a way
so as to achieve the required horizontal and vertical navigation accuracy for a given
environment (surface,
terminal manoeuvring area, en-route), with known traffic
characteristics and exploited under a certain operational concept.

5.2.

Safety

The design, building, maintenance and operation of navigation systems shall be such
as to guarantee safety at the level set for the network or parts thereof, including that
for specific degraded modes.

57

5.3.

Environmental constraints

The siting and the operation of ground-based navigation systems shall take into
account environmental constraints as well as compliance with requirements of
electromagnetic compatibility.

Ground-based navigation systems shall be designed, built, installed, maintained and
operated in such a way as to be electromagnetically immune and not interfere with
the installations, equipment and public or private networks in their normal
environment.

6.

Surveillance equipment and procedures

6.1.

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-route) with known traffic characteristics and
exploited under a certain operational concept, in particular in terms of accuracy at the
control position, coverage, range and quality of service.

The surveillance network throughout the Community shall be such as to meet the
requirements of accuracy, coverage and 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-based surveillance systems shall take into
account environmental constraints.

Ground-based surveillance systems shall be designed, built, installed, maintained and
operated in such a way as to be electromagnetically immune and not interfere with
the installations, equipment and public or private networks in their normal
environment.

7.

Equipment and procedures for aeronautical and meteorological information

7.1.

Seamless operation

Accurate and consistent aeronautical information shall gradually be provided in an
electronic form, based on a commonly agreed and standardised data model.

Accurate, complete and up-to-date meteorological
available in a timely manner, based on a commonly agreed data set.

information shall be made

58

7.2.

Support to new concepts of operation

Increasingly accurate, complete and up-to-date aeronautical information shall be
made available and used in a timely manner, 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 manner, in order to support the continuous
improvement of the efficiency of airspace use.

7.3.

Safety

Accurate and consistent aeronautical information, in particular between airborne and
ground-based constituents or systems, shall be made available in a timely manner.

59

ANNEX 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 implementation rules in
accordance with the provisions of Article 6 of this Regulation.

2.

Scope

The 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 declaration

The 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 authorised
representative 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 constituent and in particular its conditions of use;

60

– if applicable, name and address of notified body or bodies involved in the procedure
followed in respect of conformity or suitability for use and date of examination certificate
together, where appropriate, with the duration and conditions of validity 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 authorised representative established within the
Community.

61

ANNEX 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 authorised
representative 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 notified body which conducted the 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 validity of the EC declaration;

– identification of the signatory.

2.

Verification procedure for systems

Verification of systems is the procedure whereby an air navigation service provider, or a
notified body where so required by the applicable implementation rule, checks and certifies
that a system:

– complies with this Regulation;

– complies with other applicable Community provisions;

and may be put into operation.

62

The 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. The
contracting entity then draws up the declaration of verification intended for the national
supervisory authority.

3.

Technical file

The technical file accompanying the EC declaration of verification must contain all the
necessary documents relating to the characteristics of the system, including conditions and
limits of use, as well as the documents certifying conformity of constituents where
appropriate.

The following documents shall be included as a minimum:

– indication of the relevant parts of the technical specifications used for procurement that
ensure compliance with the applicable implementation 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 declaration 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 examinations
carried out by the notified bodies;

– where a notified body has been involved in the verification of the system(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 essential
requirements and any particular requirements contained in the relevant implementation
rules.

4

Submission

The 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 any other Member States which so request.

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ANNEX V

NOTIFIED BODIES

1.

2.

3.

4.

5.

6.

7.

The body, its Director and the staff responsible 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
information
between the manufacturer or constructor and that body.

The body and the staff responsible for the checks must carry out the checks with the
greatest possible professional
integrity and the greatest possible technical
in particular of a
competence and must be free of any pressure and incentive,
financial type, which could affect their judgement or the results of their inspection, in
particular from persons or groups of persons affected by the results of the checks.

The body must employ staff and possess the means required to perform adequately
the technical and administrative tasks linked with the checks; it should also have
access to the equipment needed for exceptional checks.

The staff responsible for inspection must have:

–

–

–

sound technical and vocational training;

satisfactory knowledge of the requirements 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 inspections have been carried out.

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.

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.

The staff of the body must observe professional secrecy with regard to all
information gained in carrying out their tasks under this Regulation.

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IMPACT ASSESSMENT FORM

THE IMPACT OF THE PROPOSAL ON BUSINESS WITH SPECIAL REFERENCE
TO SMALL AND MEDIUM-SIZED ENTERPRISES( SMEs)

TITLE OF PROPOSAL

Proposal for the implementation of the Single European Sky

DOCUMENT REFERENCE NUMBER

Not applicable

THE PROPOSAL

1.

Taking account of the principle of subsidiarity, why is Community legislation
necessary in this area and what are its main aims?

The performance of the European Air Traffic Management (ATM) system has
continued to worsen over several years and in 1999 air traffic delays reached
catastrophic proportions where one flight in three was delayed with average delays of
20 minutes. Nearly half of these delays have been attributed to the ATM sector. The
causes of delay arise from excessive fragmentation in systems, procedures and
planning between Member States and their national service provider. Consequently,
the provision of air traffic management services has not been organised to meet
European requirements and there are recurring structural problems which inhibit the
ability to provide new capacity in a timely and efficient manner.

The main aims of this Community legislation are to:

–

–

–

–

Restructure the arrangements for the provision of air navigation services in
order to achieve adequate separation between the regulatory and service
provision functions.

Enable the Community to assume regulatory responsibilities in the fields of
safety, performance, economic, interoperability, and airspace domains.

Secure optimum cooperation between all actors in this sector and particularly
to enhance the civil-military relationships resulting in uniform processes for the
planning, design, management and allocation of European airspace.

Secure enhanced cooperation with other
non-Community Member States in a wider approach to ATM issues.

international organisations and

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THE IMPACT ON BUSINESS

2.

Who will be affected by the proposal?

The whole aviation community: national aviation authorities, ATM service providers
organisations, airline operators, airport operators and manufacturing industry
covering both third party software and hardware component suppliers.

Which sectors of business?

Predominantly, the air navigation services sector.

Which sizes of business (what
firms)?

is the concentration of small and medium sized

Air navigation service suppliers and equipment manufacturers are typically large
organisations with several thousand employees. Annual pan-European running costs
amount to 4 billion euros. Typical investment costs for a single large service provider
vary from EUR 800 million to EUR 1.5 billion over a 10-year period.

Are there particular geographic areas of the Community where these businesses are
found?

No

3.

What will business have to do to comply with the proposal?

Most businesses or
improved
standardisation processes will increase the rate of return for manufacturing industry
as ATM product lines become more harmonised.

enterprises will not be

affected. However

However the status of air navigation providers will change in recognition of their
increasing economic interests. The regulatory or public interest functions will be
separated from providers and re-focussed in national supervisory authorities and the
Community.

4.

What economic effects is the proposal likely to have?

The restructuring of the ATM sector is designed to improve the efficiency and
effectiveness of this sector, to reduce delays and raise productivity through increased
automation. Some quantification of economic benefits is possible. The total
economic costs of delays were estimated at EUR 6 billion in 1999.

Thus a 10% reduction in ATM induced delays will reduce total economic costs by up
to EUR 600 million per year. Thus significant benefits are possible and will result in
improved utilisation of fleets, less direct operating costs for airlines and time lost by
passengers, business etc. There will also be less external costs particularly associated
with environmental pollution at airports.

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5.

Does the proposal contain measures to take account of the specific situation of small
and medium-sized firms (reduced or different requirements, etc.)?

Not directly, but air navigation services suppliers will become more “business-like”
in their management and procurement strategies. This will increase the tendency to
concentrate research and the development of new tools
to increase ATM
productivity. It is envisaged that new investment will be stimulated and that major
manufacturers will develop new "high technology" products with third party
small/medium specialist software houses expected to benefit.

CONSULTATION

6.

List the organisations which have been consulted about the proposal and outline their
main views.

,

Following the adoption of the Commission’s Communication on the creation of the
Single European Sky, a High Level Group of the Member States was created to
review the issues and to make recommendations for change. The HLG was chaired
by the Vice President of the Commission, Mrs De Palacio, and met throughout 2000.
In parallel, an Industry and Consultation Board was also created with full
representation from all sections of the aviation industry including, the Association
of European Airlines (AEA)
International Air Carrier Association (IACA),
European Regional Airlines Association (ERA), International Council of Aircraft
Owner and Pilot Associations (IAOPA), European Business Aviation Association
(EBAA),
(AECMA),
European Organisation for Civil Aviation Equipment (EUROCAE), International Air
Transport Association
(ECA),
Airport Council
International Federation of Air Traffic
Controllers’ Associations (IFATCA), International Federation of Airline Pilots
Association (IFALPA), Federation of Air Transport User Representatives in Europe
(FATURE), European Transport Workers’ Federation (ETF), Air Traffic Controllers
European Union Coordination (ATCEUC) and International Federation of Air
Traffic Safety Engineers Association (IFATSE).

European Cockpit Association

European Association

of Aerospace

International

Industries

(IATA),

(ACI),

The Report of High Level Group on the creation of the Single European Sky was finalised in
November 2000

67