Proposal for a Regulation of the European Parliament and of the Council on the interoperability of the European Air Traffic Management network
Date: 2002-04-30
Institutions: European Commission
Subjects: European standard, air space, air traffic, air transport, organisation of transport, trans-European network

30.4.2002

EN

Official Journal of the European Communities

C 103 E/41

Proposal for a Regulation of the European Parliament and of the Council on the interoperability of
the European Air Traffic Management network

(2002/C 103 E/08)

(Text with EEA relevance)

COM(2001) 564 final/2 — 2001/0237(COD)

(Submitted by the Commission on 11 December 2001)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

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.

Having regard to the Treaty establishing the European
Community, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission,

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

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

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

Whereas:

(5) The report of the High Level Group has confirmed that
even though progress has been realised during the last few
the air traffic
years towards a seamless operation of
situation still
the
management network in Europe,
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
the
operation and technology necessary to deliver
additional required capacity.

(6) This low level of integration at Community level results in
a number of severe inefficiencies and additional costs for
procurement and maintenance and in difficulties in oper-
ational coordination.

(1) In order to create the Single European Sky, measures
should be adopted in relation to equipment, systems
and associated procedures with the objective of ensuring
seamless operations of the air traffic management network
consistent with the provision of air navigation services as
provided for in Regulation (EC) No . . . of the European
. . . 2001 on the
Parliament and of
the Council of
provision of Air Navigation Services
in the Single
European Sky and the organisation and use of airspace
as provided for in Regulation (EC) No . . . of the European
Parliament and of the Council of . . . 2001 (on the organi-
sation and use of the airspace in the Single European Sky).

(7) The predominance of national

technical specifications
used in procurement, often developed between the air
navigation service provider and the national manufac-
turing industry, has
led to fragmentation of market
equipment and does not facilitate the industrial coop-
eration 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 tech-
nology unnecessarily difficult and slow down the intro-
duction of new operational concepts that are required to
increase capacity.

(2) 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
in
accordance with the Council resolution of 7 May 1985
on a new approach to technical harmonisation and
standards (1) where
rules and
requirements,
standards are complementary and consistent.

‘new approach’

essential

the

(3) Regulation (EC) No . . . of the European Parliament and of
the Council lays down the framework for the creation of
the Single European Sky.

(4) The air traffic management network is a complex, highly
interactive structure involving large numbers of systems

(1) OJ C 136, 4.6.1985, p. 1.

(8) 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, stimu-
lating 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.

(9) It is therefore appropriate to define essential requirements
which will apply to the systems and constituents of the air
traffic management network; in view of the complexity of
the air
traffic management network it has proven
necessary to break it down to a number of systems.

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(10) The development and adoption of Community specifi-
cations concerning the air traffic management network,
its systems and constituents is an appropriate means of
conditions
and
defining
requirements;
the
necessary
compliance with these Community specifications should
create a presumption of conformity with the essential
requirements.

operational
essential

technical
achieve

the
to

(11) For some systems that are important to the fulfilment of
the essential requirements of this Regulation, implemen-
tation rules should be adopted;
implementation rules
should also be adopted to facilitate the coordination and
introduction of new concepts in air traffic management;
compliance with the implementation rules should be
permanently maintained;
implementation rules
should rely on rules and standards developed by inter-
national organisations such as Eurocontrol or ICAO.

these

(12) In accordance with the conclusions of the High Level
Group, Eurocontrol is the body that has the appropriate
expertise to support
role as
regulator. Accordingly, Eurocontrol should be permitted
to
appropriate
arrangements subject to the observance by Eurocontrol
of the conditions to be included in a framework of coop-
eration between the Commission and Eurocontrol.

the Community in its

draft measures,

develop

under

(13) In order to ensure separation between the rule-making
and standardisation functions, Community specifications
should predominantly be developed by the European stan-
dardisation bodies in conjunction with the European
(‘Eurocae’)
Organisation for Civil Aviation Equipment
and should take the form of European standards.

(14) Eurocae is a non-profit-making organisation in charge of
technical
for civil
specifications
preparing drafts of
its membership is open to all
aviation equipment;
aviation stakeholders including,
in particular, air navi-
gation service providers, airspace users and manufacturing
industry; Eurocae must establish formal relationships with
the European standardisation bodies so that its specifi-
cations
European standards
according to the procedures set out by the European
standardisation organisations.

recognised as

can be

subject

Community

specifications,

(15) Eurocontrol should also be permitted to develop, where
to
necessary,
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 prin-
ciples of openness, transparency, 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.

the modules

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

technical harmonisation directives (1);

far

as

(17) 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, on the basis of the assessment
the manu-
of conformity and/or
that
facturer's declaration of conformity is sufficient;
should not affect
the obligation on manufacturers to
affix the CE mark to certain constituents in order to
certify their compliance with other Community provisions
relating to them.

suitability for use,

(18) The putting into service, renewal or upgrading of air
traffic management systems, should be subject to verifi-
cation 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
the intervention of a notified body
on the system,
safety
should be deemed necessary in particular
reasons.

for

(19) 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.

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

to maintain the objective of

the

air

(21) 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, 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 propor-
tionality, as set out in that Article, this Regulation does
not go beyond what is necessary in order to achieve those
objectives.

(1) OJ L 220, 30.8.1993, p. 23.

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(22) Within the framework of the relevant Community legis-
lation, due account shall be taken of the need to ensure
harmonised conditions with regard to the availability and
efficient use of
the
including
implementation of
electromagnetic compatibility aspects; an efficient and
appropriate use of
frequencies exclusively allocated to
and managed by the aviation sector shall be ensured.

radio spectrum necessary for
the Single European Sky,

HAS ADOPTED THIS REGULATION:

CHAPTER I

GENERAL PROVISIONS

Article 1

Scope

(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 systems (1),
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, manufac-
turing industry and airports, and allows both for stipu-
lating rules applicable to all, as well as adoption of
Community
of
specifications which, while
voluntary use, give presumption of conformity to the
requirements. Therefore Directive 93/65/EEC
essential
should be repealed.

being

(24) 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 systems (2) has
become obsolete, it should be repealed.

(25) The measures for the application of Directive 93/65/EEC
as set out in Annexes I, II and III to Commission Regu-
lation (EC) No 2082/2000 of 6 September 2000 adopting
Eurocontrol standards and amending Directive 97/15/EC,
adopting Eurocontrol standards and amending Council
the
are
Directive
provisions of this Regulation.

compatible with

93/65/EEC (3)

This Regulation shall apply to equipment, systems and
1.
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 . . . (laying down the framework for the creation of the
Single European Sky).

2.
General conditions that are linked to the rights and obli-
gations of air navigation service providers in the sense of
Regulation (EC) No . . . (on the provision of Air Navigation
Services in the Single European Sky) shall be excluded from
the scope of this Regulation.

Article 2

Objectives

this Regulation is

The main objective of
to define the
in order to achieve interoperability
conditions to be met
within Community territory between the different systems
and constituents of
traffic management network,
including their
seamless operation and development and
upgrading to new technology.

the air

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

Article 3

Definitions

For the purposes of this Regulation the definitions set out in
Article 2 of Regulation (EC) No . . .
(laying down the
framework for the creation of the Single European Sky) shall
apply.

The following definitions shall also apply:

(26) Since most of the measures necessary for the implemen-
tation 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
implementing powers
procedures
conferred on the Commission (4),
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,

the exercise of

they

for

(1) OJ L 187, 29.7.1993, p. 52.
(2) OJ L 95, 10.4.1997, p. 16.
(3) OJ L 254, 9.10.2000, p. 1.
(4) OJ L 184, 17.7.1999, p. 23.

(a)

a

ground elements

traffic management network’ means

system
‘air
comprising
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 compro-
mising agreed levels of safety;

and airborne

(b) ‘systems’ means that the air traffic management network
consists of systems as described in Annex I, for which
essential requirements must be laid down; 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;

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(c)

for

the specification of

the operational use of

the
‘concept of operation’ means
criteria
air navigation
equipment and systems; it provides information concerning
the operational elements involved, the requirements of all
those involved in their operational use, ground and
airborne
the measures
functionality
needed to ensure continued safe and efficient air traffic
management;

equipment

and

(d)

the whole
‘seamless operation’ means the operation of
system in such a manner that from the user's perspective
it functions as if it were a single system;

(e)

(f)

‘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 Council (1) or a Euro-
control technical specification whose references have been
published in the Official Journal of the European Communities;

(g)

‘implementation rules’ means the rules by which a system
or part of a system is covered in order to meet the essential
requirements and ensure the seamless operation of the air
traffic management network, including its interoperability;

(h) ‘national supervisory authority’ means the body or bodies,
appointed by a Member State for the supervision of air
navigation service providers;

(i)

(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

CHAPTER II

ESSENTIAL REQUIREMENTS, COMMUNITY SPECIFICATIONS
AND IMPLEMENTATION RULES

Article 4

Essential requirements

The European Air Traffic Management network, its systems and
their
requirements
described in Annex II.

constituents

shall meet

essential

the

Article 5

Community specifications

2. 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.

3.
In the case of shortcomings of European standards with
respect to essential requirements, partial or total withdrawal of
the standards concerned from the publications containing
them, or
amendments, may be decided upon in
accordance with the procedure laid down in Article 5 of
Directive 98/34/EC.

their

by

up

Eurocontrol with

In the case of shortcomings of technical specifications
4.
drawn
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).

respect

to

Article 6

Implementation rules

1.

Implementation rules shall be drawn up:

(a)

for systems which are essential to achieve the objectives of
this Regulation;

(b) to support the coordinated and rapid introduction of new
traffic

technology in air

concepts of operations or
management.

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 technology, a
system, or part of a system, may be covered by more than one
implementation rule. Inversely, achievement of particular oper-
ational 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
3.
implementation rules; this compliance shall be permanently
maintained while each system is in use.

To the extent necessary to achieve the objectives defined

4.
in Article 2, each implementation rule, shall:

any

specific

seamless
(a) determine
or
operations,
performance that are essential to achieve the objectives of
this Regulation;

requirements
interoperability,

including

safety

for

Compliance with the essential requirements referred to in
1.
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.

(1) OJ L 204, 21.7.1998, p. 37.

(b) state in each case under consideration which of

the
modules defined in Decision 93/465/EEC or where appro-
priate 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.

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5. 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.

6.
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

1.
shall consist of European
standards drawn up by the European standardisation bodies
in cooperation with Eurocae under a mandate from the
Commission in accordance with the provisions of Article
6(4) of Directive 98/34/EC.

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.

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

1. When preparing for implementation rules referred to in
Article 6, the Commission may request, where appropriate,
Eurocontrol
to draw up draft measures on the basis of a
work programme laid down by the Commission. Implemen-
tation 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.

2.
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.

3. 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

1.
Compliance with the essential requirements of this Regu-
lation 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.

2.
In order to draw up the EC declaration of conformity or
suitability of use, the manufacturer, or its authorised represen-
tative 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.

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

Article 10

EC declaration of verification of systems

1.
The putting into service, renewal and upgrading of those
systems constituting the Community air traffic management
network shall be subject
to verification with a view to
ensuring that these systems are designed, developed, installed
and operated in such a way as
the essential
requirements
concerning them when integrated into the
European Air Traffic Management network.

to meet

shall

send to the national

Prior to the putting into service, the air navigation service
2.
supervisory authority
provider
an EC declaration of verification confirming
concerned,
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).

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In the event of upgrading involving airborne components
3.
the airspace users shall declare conformity with the provisions
of
the same time they request a safety
approval by the national supervisory authority.

this Regulation at

The Commission shall publish in the Official
the
Journal of
their identification
European Communities
numbers and areas of responsibility, and shall keep the list
updated.

the list of bodies,

Article 11

Safeguard clause

1. Where the national supervisory authority finds that a
constituent bearing the EC declaration of conformity or suit-
ability 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.

immediately inform
The national supervisory authority shall
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
Community specifications;

the

implementation rules or

(c) shortcomings in the implementation rules or Community

specifications.

2.
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 justified by shortcomings
in the 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 and the manufacturer or its
authorised representative established within the Community.

3. 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

1. 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 respon-
sibility, and the identification numbers obtained in advance
from the Commission.

2. Member States shall apply the criteria provided for in
Annex V for the assessment of
the bodies to be notified.
Bodies meeting the assessment criteria provided for in the
the
relevant European standards shall be deemed to meet
said criteria.

A Member State shall withdraw approval from a body

3.
which no longer meets the criteria referred to in Annex V.

It shall
Member States thereof.

forthwith inform the Commission and the other

4. Without prejudice to the requirements referred to in
paragraphs 1, 2 and 3, Member States may decide to notify
in
as notified
conformity with Article 4 of Regulation (EC)
(on the
provision of Air Navigation Services in the Single European
Sky).

recognised
. . .

the organisation(s)

body(ies)

CHAPTER V

FINAL PROVISIONS

Article 13

Revision of annexes

in
In order to make adaptations to technical developments,
the concept of
particular progress
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).

in the definition of

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.

2.
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
strategic management
supported
programme for the introduction of new concepts and tech-
nologies in the Community air traffic management network.

a widely

3.
In the accomplishment of its tasks, the Commission may
take the advice of industry through the process referred to in
paragraph 2 so as to ensure the feasibility, proportionality and
cost-effectiveness of
implementation rules and Community
specifications proposed for adoption under this Regulation.

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Article 15

Transitional arrangements

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

the air

2.
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

1.
The Commission shall be assisted by the ‘Single Sky
Committee’ as provided for in Article 7 of Regulation (EC)
No . . . (laying down the framework for the creation of the
Single European Sky).

2. 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
1999/468/EC shall be one month.

in Article 5(6) of Decision

3. 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.

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.

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. Equipment and procedures used for flow management.

2. Equipment and procedures used for airspace management.

3. Equipment and procedures for air traffic control, in particular for flight data processing systems, surveillance data

processing systems and human-machine interface.

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

5. Navigation equipment and procedures.

6. Surveillance equipment and procedures.

7. Equipment and procedures for aeronautical information and meteorological information.

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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 information
exchange, common understanding of information, comparable processing performances and the associated
procedures enabling common operational performances agreed for the whole or parts of
the air traffic
management network.

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
impact in accordance with applicable Community legislation.

6.

System construction principles

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

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.

Equipment and procedures used for flow management

2.1.

Seamless operation

Equipment and procedures shall support the bi-directional exchange of correct, coherent and relevant strategic
and pre-tactical flight information and offer dialogue capabilities in view of an optimised use of airspace.

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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

3.1.1. S y s t e m c o n s t r u c t i o n p r i n c i p l e s

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. S a f e t y

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 auto-
mation.

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. S e a m l e s s o p e r a t i o n

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. S u p p o r t t o n e w c o n c e p t s o f o p e r a t i o n

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.

3.2.3. S a f e t y

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

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3.2.4.

I n t e g r a t e d c i v i l / m i l i t a r y o p e r a t i o n

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. S e a m l e s s o p e r a t i o n

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. S u p p o r t t o n e w c o n c e p t s o f o p e r a t i o n

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. S e a m l e s s o p e r a t i o n

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.

3.4.2. S a f e t y

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
communications

for ground-to-ground, air-to-ground and air-to-air

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

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

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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.

5.3.

Environmental constraints

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

take into account environmental

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 information shall be made available in a timely manner, based
on a commonly agreed data set.

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.

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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/judgment 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 Regu-

lation);

— all of the relevant descriptions met by the constituent and in particular its conditions of use;

— 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 manu-

facturer's authorised representative established within the Community.

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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.

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;

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— 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 abovementioned 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.

ANNEX V

NOTIFIED BODIES

1. 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 manu-
facturer or constructor and that body.

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

3. The body must employ staff and possess the means required to perform adequately the technical and administrative

tasks linked with the checks; it should also have access to the equipment needed for exceptional checks.

4. The staff responsible for inspection must have:

— sound technical and vocational training;

— satisfactory knowledge of the 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.

5. The impartiality of the inspection staff must be guaranteed. Their remuneration must not depend on the number of

inspections carried out, nor on the results of such inspections.

6. The body must take out liability insurance unless its liability is assumed by the State in accordance with national law,

or the Member State itself is directly responsible for the inspections.

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

tasks under this Regulation.