Amended 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 (presented by the Commission pursuant to Article 250 (2) of the EC-Treaty)
Date: 2002-11-26
Institutions: European Commission
Subjects: air law, air space, air traffic, air traffic control, air transport, trans-European network

COMMISSION OF THE EUROPEAN COMMUNITIES

Brussels, 26.11.2002
COM(2002) 658 final

2001/0060 (COD)
2001/0235 (COD)
2001/0236 (COD)
2001/0237 (COD)

Amended proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

laying down the framework for the creation of the Single European Sky

Amended proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

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

Amended 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

Amended 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 pursuant to Article 250 (2)
of the EC-Treaty)

EXPLANATORY MEMORANDUM

1. 

PRINCIPLES

1.1. 

In October 2001 the Commission submitted four legislative proposals for the creation
of  the  Single  European  Sky1  with  a  view  to  their  adoption  under  the  codecision
procedure  provided  for  in  Article  251  of  the  Treaty  establishing  the  European
Community. On 15 May 2002, the Committee of the Regions delivered a favourable
opinion.  On  17  July  2002,  the  Economic  and  Social  Committee  delivered  a
favourable opinion.

On 3 September 2002 the European Parliament adopted a number of amendments at
its  first  reading  and  approved  the  Commission  proposals  as  amended.  The
Commission  then  indicated  its  position  on  each  amendment,  specifying  which
amendments it could accept and which it could not.

Subsequently the Commission drafted the following amended proposals.

1.2. 

The modifications incorporate the amendments accepted as such by the Commission,
as well as the new provisions resulting from the amendments which were accepted in
principle though worded differently or partially accepted.

Pursuant to Article 250(2) of the EC Treaty, the Commission amends the proposals
as described below.

The amendments to the Commission’s initial proposals are shown as follows: deleted
passages are struck through and new or amended passages are indicated in bold and
underlined characters.

2. 

AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE COUNCIL LAYING DOWN THE FRAMEWORK FOR THE CREATION OF THE SINGLE
EUROPEAN SKY (2001/0060 (COD))

2.1. 

Amendments accepted as such

• Amendments 4 and 30

The purpose of these amendments is to introduce an effective sanctioning mechanism
against the operators that breach the rules. The current system is open to misuse and

1

Proposal for a Regulation of the European Parliament and of the Council laying down the framework
for  the  creation  of  the  Single  European  Sky  (COM(2001)  123  final/2  of  30/11/2001  –  2001/0060
(COD).
Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  on  the  provision  of  air
navigation  services  in  the  Single  European  Sky  (COM(2001)  564  final/2  of  11/12/2001  –  2001/0235
(COD).
Proposal for a Regulation of the European Parliament and of the Council on the organisation and use of
the airspace in the Single European Sky (COM(2001) 564 final/2 of 11/12/2001 – 2001/0236 (COD).
Proposal for a Regulation of the European Parliament and of the Council on the interoperability of the
European  Air  Traffic  Management  network  (COM(2001)  564  final/2  of  11/12/2001  –  2001/0237
(COD).

2

                                                
to  risk  of  abuse,  in  particular  with  regard  to  air  traffic  flow  management.  The
Commission accepts these amendments.

• Amendments 7, 8, 15, 16, 17, 18, 20, 21 and 32

These  amendments  clarify  or  improve  the  text  of  the  regulation  by  reinforcing  the
reference  to  the  consultation  of  social  stakeholders  (7),  national  defence  needs  (8),
capacity  needs  (15),  flight  efficiency  (16),  performance  indicators  (18),  safety  (20,
21) and progress reporting (32). The Commission accepts these amendments.

2.2. 

Amendments accepted in principle but not as regards the wording

• Amendment 3

This  amendment  affirms  the  nature  of  public  service  of  air  navigation  services.
Nevertheless this nature primarily belong to air traffic control. Thus the Commission
can accept this principle if referred to this function.

• Amendment 9

This amendment refers to the co-operation between the Community and Eurocontrol.
The relationship between the Community  and Eurocontrol is  addressed  through the
imminent  accession  of  the  Community  to  this  organisation.  The  principle  of
developing “the highest level of co-operation” between the two organisations will be
a  consequence  of  this  event,  as  enshrined  in  the  protocol  of  accession2.  Parallel
references  to  this  cooperation  in  a  Community  measure  are  superfluous  and  create
confusion.  The  Commission  can  accept  to  recall  this  principle  in  a  recital  and  to
introduce  a  provision  referring  to  its  co-operation  with  the  executive  body  of
Eurocontrol,  namely  the  Eurocontrol  Agency,  which  will  develop  on  a  purely
administrative basis. However, the wording of such a provision shall comply with the
institutional principles concerning the performance of the duties of the Commission.

• Amendment 10

This amendment clarifies that simply adopting the legislative package consisting of
the framework regulation and the three specific regulations will not be sufficient for
the  early  implementation  of  the  Single  European  Sky.  Additional  measures  are
necessary  within  the  agreed  term  (end  2004).  The  Commission  will  adopt  such
measures  pursuant  to  the  procedures  set  up  in  the  legislative  package.  The
Commission accepts this principle.

• Amendment 12

The purpose of this amendment is to affirm the role of States in deciding the statute
and structure for providers and the nature of public interest of air navigation service
providers, which is particularly relevant for air traffic control. The Commission can
accept this principle subject to rewording.

2

“Whereas the purpose of the accession of the European Community to the Convention is to assist the
European Organisation for the Safety of Air Navigation, hereinafter referred to as “EUROCONTROL”,
in achieving its objectives as set out in the Convention, notably that of being a single and efficient body
for Air Traffic Management policy making in Europe”.

3

                                                
• Amendment 14

The  amendment  aims  at  clarifying  the  scope  of  application  of  the  Single  European
Sky. The term “jurisdiction” would implicitly refer to the airspace over international
waters.  However,  the  scope  of  application  of  the  regulation  cannot  be  enlarged
beyond  the  scope  of  the  Treaty.  Therefore  it  is  preferable  to  refer  to  “the  airspace
under the responsibility of Member States”.

• Amendments 22 and 23

These  amendments  aim  at  clarifying  that  the  development  and  implementation  of
technical  and  operational  concepts  shall  be  done  within  programmes  involving  all
parties  and  taking  into  account  of  international  standards.  The  Commission  can
accept this principle.

• Amendment 26

The  amendment  refers  to  the  rules  of  procedures  of  the  Committee  but  it  does  not
comply with the drafting practices. Thus the Commission can accept it in principle.

• Amendment 33

The amendment extends the scope of safeguards for security and defence reasons, to
cover the prompt availability of airspace for the rapid reaction of armed forces. The
text of the article has been worded as closely as possible to Article 297 of the Treaty.
It  refers  to  exceptional  situations.  The  amendment  refers  to  operational  situations
(conditions  necessary  for  the  rapid  mobilisation  of  armed  forces).  Thus  it  would
introduce  a  too  generous  leeway  to  waive  the  application  of  the  regulation.  The
Commission  can  accept  the  principle  of  ensuring  the  Member  States  capability  of
maintaining and improving the availability  of  armed forces.  However this  principle
should  not  result  in  unilateral  exemptions  from  the  application  of  the  regulation.  If
so, the efficient management of airspace would be affected.

2.3. 

Amendments accepted in part with or without wording changes

• Amendment 5

Requirements for consultation of social partners under the Single European Sky may
or may not fall within the scope of Article 138 of the Treaty. The formulation of such
requirements should be defined in a more flexible way. Hence the Commission can
only accept to reinforce the first sentence of the recital.

• Amendments 6 and 28

Amendment 28, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.
The  Commission  agrees  on  the  need  for  the  interested  parties  to  contribute  to  the
implementation  of  the  reform.  Hence  the  Commission  can  accept  to  express  the
principle of consultation of industry in a recital. This principle is also provided for in
more  detail in the proposal  for a  regulation  on the interoperability  of  the  air  traffic
management network under article 14.

4

• Amendment 11

The Commission can partially accept this amendment. The reference to radar would
unacceptably restrict the scope of the surveillance infrastructure, which can also rely
upon other technical means (such as satellite or datalink).

• Amendment 31

The  Commission  can  accept  this  amendment  provided  that  the  reference  to  the
European Union is amended to refer to the Community.

2.4. 

Rejected amendments

• Amendment 1

This  amendment  recalls  the  Member  States  obligations  under  the  ICAO  and
Eurocontrol  Conventions.  The  Community  is  not  yet  member  of  these  two
international  organisations,  though  in  the  process  of  adhering  to  Eurocontrol.
Obligations stemming from the membership of the two organisations at present only
bind  Member  States.  Thus,  for  the  moment,  the  Commission  can  not  accept  this
amendment.

• Amendments 2 and 13

These  amendments  eliminate  the  reference  to  economic  aspects  in  recital  8  and  in
article 13. This reference is addressing the charging system, which is covered by the
provisions of chapter III in the relevant proposal. Hence elimination of this reference
is not acceptable.

• Amendment 19

This  amendment  restricts  the  decision-making  process  to  one  stakeholder  (airspace
users)  and  makes  it  dependent  upon  a  specific  requirement  (interoperability).  The
introduction of new services relies upon all stakeholders concerned and depends on
various requirements. Hence this amendment is not acceptable.

• Amendments 24 and 27

These amendments do not comply with the drafting rules adopted to implement the
Decision concerning comitology (Decision of the Council 1999/468/CE). The nature
of  the  Committee  cannot  be  established  “a  priori”  but  it  will  depend  upon  the
measures to be adopted. With regard to the Eurocontrol participation in the work the
Committee, it would be desirable to decide so within the rules of procedures of the
Committee. Therefore the Commission can not accept these amendments.

• Amendment 29

This amendment impacts on the right of initiative of the Commission. Hence it is not
acceptable.

5

• Amendment 34

This  amendment  states  the  obvious  and  it  is  therefore  superfluous.  Furthermore  a
Community  measure  can  not  reiterate  the  obligations  of  Member  States  stemming
from existing international treaties.

3. 

AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE  COUNCIL  ON  THE  PROVISION  OF  AIR  NAVIGATION  SERVICES  IN  THE  SINGLE
EUROPEAN SKY (2001/0235(COD))

3.1. 

Amendments accepted as such

• Amendments 1, 2, 4, 7, 9, 11, 15, 17, 19, 24, 25, 31, 33 and 34

These  amendments  clarify  or  improve  the  text  of  the  regulation  by  reinforcing  the
reference to safety (1, 9, 11, 19, 31), qualification of recognised organisations (2, 15,
33,  34),  recruitment  of  controllers  (4),  international  standards  (7),  co-operation
between  service  providers  (17),  co-operation  between  civil  and  military  authorities
(24), use of data (25). The Commission accepts these amendments.

• Amendment 3

The purpose of this amendment is to introduce a recital reflecting the provision of the
second  paragraph  of  article  5  concerning  the  future  role  and  responsibilities  of  the
European Aviation Safety Agency. Hence the amendment is acceptable.

• Amendment 5

The purpose of this amendment is to call for the Commission’s action to help solving
the problem of the lack of controllers. The Commission is already active in this field
and  it  has  recently  launched  a  study  in  conjunction  with  social  parties.  The
Commission accepts this amendment.

• Amendment 23

This amendment states the prime responsibility of Member States with regard to the
relations  between  their  civil  and  military  authorities.  The  Commission  accepts  this
amendment.

3.2. 

Amendments accepted in principle but not as regards the wording

• Amendments 6 and 18

These amendments specify a period of duration of authorisations. Authorisations are
not  meant  to  be  licenses  but  rather  certifications  of  suitability  of  the  service
providers.  The  period  of  validity  of  such  authorisations  will  be  defined  within  the
context  of  the  definition  of  harmonised  conditions  (refer  to  Annex  III  to  the
Regulation).  Thus  the  Commission  can  accept  the  principle  the  amendment  puts
forwards.

6

• Amendments 20 and 21

The  amendments  introduce  two  new  requirements  for  defining  harmonised
conditions  attached  to  authorisations.  The  Commission  can  agree  on  these
requirements but it believes that they should eventually appear as conditions for the
operation of air navigation services. These conditions will be further detailed through
comitology.

• Amendment 22

The amendment clarifies  that, notwithstanding  the right  given to existing  air  traffic
service  providers  to  carry  out  their  operations  after  the  entry  into  force  of  this
regulation,  these  should  be  subject  to  an  obligation  of  continued  and  increased
performance  in  terms  of  safety  and  efficiency.  The  Commission  can  accept  this
principle provided that this obligation is clearly spelt out.

Amendment 28

The amendment would make the proposed charging scheme fully dependent upon the
route  charging  system  laid  down  in  the  multilateral  agreement  of  Eurocontrol.  The
proposed charging scheme would not only apply to route charges (as is the case for
the  multilateral  agreement)  but  also  to  terminal  and  approach  charges  (where
Eurocontrol  has  no  competence).  Furthermore  the  Eurocontrol  scheme  leaves
margins  of  interpretation  and  the  Commission  intends  to  come  to  harmonised  and
binding  rules  within  the  Community.  Therefore  the  amendment  could  be  accepted
provided that it does not restrict the scope of Community action in this field.

• Amendment 29

The principle puts forward by this amendment is already in force and it will not be
modified  by  the  present  regulation.  Member  States  remain  responsible  for  setting
unit rates of charges. Hence the Commission can accept this amendment in principle.

• Amendment 32

Amendment 32, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.
The  Commission  agrees  on  the  need  for  the  interested  parties  to  contribute  to  the
implementation  of  the  reform.  Hence  the  Commission  can  accept  to  express  the
principle of consultation of industry in a recital. This principle is also provided for in
more  detail in the proposal for a  regulation  on the interoperability  of  the  air  traffic
management network under article 14.

3.3. 

Amendments accepted in part with or without wording changes

• Amendment 8

The Commission can partially accept this amendment. The reference to radar would
unacceptably restrict the scope of the surveillance infrastructure, which can also rely
upon other technical means (such as satellite or datalink).

7

• Amendment 10

The  purpose  of  this  amendment  is  to  justify  a  review  of  the  charging  system  to
introduce more flexibility in the definition of the cost-base. This flexibility would be
used  to  cope  with  sudden  downturns  of  air  traffic  which  cause  immediate  rises  in
charges.  The  Commission  can  partially  accept  this  amendment.  Its  last  sentence
affects the right of initiative of the Commission. Thus it is not acceptable.

• Amendment 16

The purpose of this amendment is to specify in detail the fields of action to counter
the problem of the lack of human resources. However, as it stands it would impinge
upon  the  right  of  initiative  of  the  Commission.  Hence  only  its  first  part  can  be
accepted.

• Amendment 27

The  purpose  of  this  amendment  is  to  better  specify  conditions  for  the  exchange  of
operational data. While the Commission can accept the first part of this amendment,
confidentiality  conditions  will  be  defined,  at  a  later  stage,  under  the  relevant
implementing  rules.  Furthermore  some  identification  would  be  impossible  to  avoid
for operational reasons. Therefore the Commission can not accept the second part of
this amendment.

• Amendment 30

The Commission can accept the first part of this amendment where it is recalled that
improvements  to  economic  efficiency  should  not  jeopardise  safety  levels.  With
regard to cross-subsidies, the characteristics of the sector do not allow the exclusion,
in  principle,  of  cross-subsides  when  justified  by  technical  and  operational
circumstances. Thus, the second part of the amendment can not be accepted.

• Amendment 35

The  Commission  can  accept  the  first  part  of  this  amendment.  The  reference  to
Eurocontrol  safety  requirements  in  the  second  part  of  the  amendment  is  not
appropriate and it can not be accepted.

3.4. 

Rejected amendments

• Amendment 12

The  Commission  can  not  accept  this  amendment.  The  reference  to  radar  would
unacceptably restrict the scope of the surveillance infrastructure, which can also rely
upon other technical means (such as satellite or datalink).

8

• Amendment 13

This  amendment  introduces  the  principle  of  a  strict  (structural)  separation  between
national  supervisory  authorities  and  air  navigation  service  providers.  While  the
Commission  is  not  against  this  principle,  it  considers  that  its  application  should  be
gradual  and  proportional  to  take  account  of  current  circumstances.  Therefore  we
consider  that  Member  States  should  have  the  opportunity  to  choose  the  functional
separation as a first step. Thus this amendment is not accepted.

• Amendment 14

This  amendment  introduces  an  appeals  mechanism  in  the  case  of  dispute  between
airspace  users  and  Member  States.  Arrangements  for  allowing  this  are  already
available at national and Community level. Thus the Commission can not accept this
amendment.

• Amendment 26

This  amendment  establishes  the  principle  of  commercial  value  of  operational  data.
However, commercial conditions, if any, relating to the exchange of data should be
defined in the relevant implementing measures. They may require free exchanges in
a number of cases. Hence the Commission can not accept this amendment.

• Amendments 87, 88, 89 and 99

The  purpose  of  these  amendments  is  to  affirm  the  principle  of  the  integrity  of  air
navigation services, the need to have them provided within a single organisation. The
Commission can not accept these amendments for a number of reasons:

– 

– 

Currently,  most  of  the  “ancillary”  services  are  usually  fully  integrated  in  the
same organisation, which provides air traffic services. However, some specific
functions are already today usually not performed by the providers of air traffic
services (e.g. ground-ground telecommunications and air ground data link). In
these cases, services are used on a commercial contractual basis. Some service
providers  are  also  developing  new  co-operative  approaches  to  service
provision,  which  lead  to  the  removal  of  fragmentation  and  to  service
unbundling.  The  main  reason  for  doing  this  is  the  provision  of  regional
services.  Examples  of  these  ventures  are  the  EAD  (European  aeronautical
information  services)  or  the  EAN  (European  aeronautical  telecommunication
network). Another example of unbundled service for navigation is Galileo.

The  aim  of  the  regulation  is  to  introduce  a  framework,  which  allows  and
facilitates individual service providers – at their own discretion and under the
State control – to separate the “ancillary” services from the core function of air
traffic services. This would give a concrete opportunity to service providers to
establish  regional  services  and 
it  would  facilitate  removing  existing
fragmentation  and  promoting  consolidation  (the  current  infrastructures  have
been  established  at  national  level  and  there  is  a  strong  need  to  design  and
implement  them  at  regional  level).  This  could  be  achieved  through  joint
ventures and strategic alliances where service providers could obtain better use
of  services  by  optimising  the  allocation  of  resources  on  larger  scales  thus
leading to cost-savings and integration of the air traffic management systems.

9

– 

– 

– 

The creation of functional airspace blocks requires flexibility in the provision
of supporting services. The current Nordic experience (creation of an airspace
block involving the upper airspace of Denmark, Sweden, Finland and Norway)
is an example (but also Maastricht UAC). These entities for the provision of air
traffic  services  at  regional  level  rely  on  the  services  already  provided  by
current  service  providers  (in  particular  with  regard  to  the  infrastructure:
communication, navigation and surveillance).

The  requirement  of  having  air  navigation  services  organised  by  an  integrated
body  would  freeze  the  existing  situation  and  hamper  progress  in  the
development and deployment of new technologies. Most of these are of cross-
border  nature  and  associate  with  regional  rather  than  national  services.
Preventing  this  by  stipulating  the  concept  of  “an  integrated  body”  would
deprive  the  Community  of  a  concrete  opportunity  to  become  a  leader  in  the
market of air traffic management technologies.

Any concern about a possible impact on safety of unbundling is unjustified. If a
service provider wants to use the services of another provider it will define and
control  the  “ancillary”  services  it  will  rely  upon  through  the  specification  of
technical and operational conditions and quality control. Furthermore this will
be under the strict control of the national supervisory authority. Finally, since
supporting  services  (such  as  communication,  navigation  and  surveillance)
should also be authorised, this will allow to survey of the application of safety
standards.

4. 

AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE  COUNCIL  ON  THE  ORGANISATION  AND  USE  OF  THE  AIRSPACE  IN  THE  SINGLE
EUROPEAN SKY (2001/0236(COD))

4.1. 

Amendments accepted as such

• Amendments 38, 44, 45, 52, 53, 54 and 62

These  amendments  clarify  or  improve  the  text  of  the  regulation  by  reinforcing  the
reference  to  operational  conditions  (38,  44,  54,  62)  and  safety  (45,  52,  53).  The
Commission accepts these amendments.

4.2. 

Amendments accepted in principle but not as regards the wording

• Amendment 36

This  amendment  introduces  a  reference  to  the  need  of  a  proper  interface  of  the  air
traffic  management  network  between  the  Community  and  adjacent  countries.  This
principle can be accepted provided that it does not lead to an exclusive requirement.

• Amendment 42

This  amendment  qualifies  safety  standards  by  using  the  word  “maximum”.  This
would  pose  a  question  of  interpretation  since  safety  standards  should  be  set  at  an
adequate  level.  Thus  the  Commission  can  accept  this  amendment  subject  to
redrafting.

10

• Amendment 48

This  amendment  fixes  a  term  of  five  years  for  the  extension  of  the  concept  of  the
single  Flight  information  region  to  the  lower  airspace.  The  Commission  prefers  to
retain  a  period  of  three  years  but  it  can  accept  to  link  this  period  to  the  results  of
application of this concept in the upper airspace.

• Amendment 49

The  purpose  of  this  amendment  is  to  reflect  the  situations  stemming  from  the
mandates  of  ICAO  to  States  to  manage  airspace  over  international  waters.  The
Commission can accept the amendment subject to drafting changes.

• Amendment 64

This amendment, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.
The  Commission  agrees  on  the  need  for  the  interested  parties  to  contribute  to  the
implementation  of  the  reform.  Hence  the  Commission  can  accept  to  express  the
principle of consultation of industry in a recital. This principle is also provided for in
more  detail in the proposal  for a  regulation  on the interoperability  of  the  air  traffic
management network under article 14.

4.3. 

Amendments accepted in part with or without wording changes

• Amendment 37

This amendment specifies the role of Eurocontrol in the creation of functional blocks
of airspace. The principle of Eurocontrol acting as an interface and an advisor in the
process  of  definition  of  functional  airspace  blocks  is  not  under  question.  However
this role can  not  go  as  far as dictating  solutions  but it  should  take  into  account  the
responsibilities of the various parties involved.

• Amendment 39, 43 and 55

The purpose of these amendments is to clarify the principles guiding the definition of
the  route  network.  The  Commission  can  accept  these  principles.  With  regard  to
amendment  55,  the  reference  to  Eurocontrol  is  not  appropriate,  as  it  puts  an
obligation  on  an  international  organisation  which  is  outside  the  jurisdiction  of  the
Community. Thus the Commission can not support this reference.

• Amendment 40

The  purpose  of  this  amendment  is  to  refer  to  civil-military  cooperation  at  national
and international level. With regard to the latter the Commission favours a reference
to  the  European  Union  to  mean  that  adequate  solutions  could  be  found  under  the
provisions of the 2nd pillar.

11

• Amendment 41

This  amendment  stresses  the  role  of  Eurocontrol,  namely  the  Central  Flow
Management Unit, in the process of flow management. The Commission can accept
a  wording  more  focussed  on  the  operational  nature  of  this  Unit.  With  regard  to
sanctions, they are already foreseen in the proposal for a regulation laying down the
framework for the creation of the Single European Sky.

• Amendment 47

The  purpose  of  this  amendment  is  to  make  the  division  level  between  upper  and
lower airspace dependent upon operational requirements. The Commission believes
that a common division level is required to harmonise and coordinate procedures. It
can however accept that operational requirements could suggest marginal deviations
from such a common level.

4.4. 

Rejected amendments

• Amendment 46

This amendment establishes a deadline for the creation of the European Upper Flight
Information Region (EUIR). The creation of the EUIR should start after adoption of
this regulation and  is independent of  the  creation of  the  functional  airspace  blocks.
Thus the Commission can not accept this amendment.

• Amendment 50

This amendment is superfluous since it reiterates criteria, which are already specified
in article 5(2). Hence the amendment is not acceptable.

• Amendment 51

This  amendment  aims  at  introducing  a  dispute  settlement  mechanism  in  the  case
where Member States disagree on the definition of (cross-border) functional airspace
blocks. Arbitration between States on such a definition will eventually occur within
the comitology procedure. Thus this amendment is not acceptable.

• Amendment 56

This amendment suggests that the airspace design process is developed at a central
level.  In  reality  the  process  of  definition  of  airspace  configuration  and  planning  of
routes is usually developed at a local level and coordinated centrally. Therefore, the
Commission can not accept this amendment.

• Amendments 57 and 59

These  amendments  reinforce  the  provisions  concerning  civil-military  co-operation.
However  the  suggested  wording  is  too  prescriptive  and  it  may  impact  on  the
competence of Member States as far as defence matters are concerned. Hence these
amendments are not acceptable.

12

• Amendment 58

This  amendment  makes  the  concept  of  the  flexible  use  of  airspace  subject  to  air
traffic flow management rules. The Commission can not accept this amendment.

• Amendments 60, 61 and 63

The  purpose  of  these  amendments  is  to  introduce  references  to  the  Eurocontrol
organisation.  While  the  Commission  looks  forward  to  the  involvement  of
Eurocontrol  in  the  implementation  of  the  Single  European  Sky,  these  references  to
Eurocontrol  are  not  appropriate  as  it  puts  an  obligation  on  an  international
organisation. With regard to amendment 61, it has to be stressed that, at present, no
rules  exist  at  the  Eurocontrol  level  concerning  flow  management.  Thus  the
Commission can not support this reference.

5. 

AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
THE  COUNCIL  ON  THE  INTEROPERABILITY  OF  THE  EUROPEAN  AIR  TRAFFIC
MANAGEMENT NETWORK (2001/0237(COD))

5.1. 

Amendments accepted as such

• Amendments 65, 67, 68, 69, 70, 71, 72 and 74

These  amendments  clarify  or  improve  the  text  of  the  regulation  by  reinforcing  the
reference  to  safety  and  the  need  for  consultation  of  interested  parties.  The
Commission accepts these amendments.

5.2. 

Amendments accepted in principle but not as regards the wording

• Amendment 73

This amendment, which proposes the setting up of an industry advisory group having
a institutional role, would result in affecting the right of initiative of the Commission.
The  Commission  agrees  on  the  need  for  the  interested  parties  to  contribute  to  the
implementation  of  the  reform.  Hence  the  Commission  can  accept  to  express  the
principle of consultation of industry in a recital. This principle is also provided for in
more detail under article 14 of this proposal for a regulation.

• Amendment 76

This  amendment  stresses  the  need  for  the  systematic  analysis  of  incidents.  The
Commission  can  support  this  principle.  However,  it  is  misplaced  in  the  text  of  the
regulation.  It  should  eventually  appear  in  the  implementing  rules  and  related
standards.

13

5.3. 

Rejected amendments

• Amendment 66

This amendment makes reference to the European Aviation Safety Agency. The role
of  this  Agency  will  be  to  complement  interoperability  requirements,  defined  by
means  of  this  regulation,  by  issuing  safety  requirements  with  regard  to  airborne
equipment. Thus the Commission can not accept this amendment.

• Amendment 75

The purpose of this amendment is to ensure the involvement of system users in the
definition  of  systems.  However,  some  of  these  users  (such  as  controllers)  are  not
appropriate to contribute to all the phases of the development process. For example
the  design  phase  pertains  to  engineers  on  the  basis  of  requirements  formulated  by
controllers. Thus the Commission can not accept this amendment.

• Amendment 77, 78 and 79

These  amendments  are  not  necessary  since  they  replicate  essential  requirements
already  provided  for  in  Annex  II,  Part  A,  point  3.  Thus  the  Commission  can  not
accept this amendment.

14

2001/0060 (COD)

Amended proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

laying down the framework for the creation of the Single European Sky

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

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

Having regard to the proposal from the Commission3,

Having regard to the opinion of the Economic and Social Committee4,

Having regard to the opinion of the Committee of the Regions5,

Acting in accordance with the procedure laid down in Article 251 of the Treaty6,

Whereas:

(1) 

(2) 

(3) 

(4) 

Implementation  of  the  common  transport  policy  requires  an  efficient  air  transport
system  allowing  safe,  regular  operation  of  air  transport  services  and,  consequently,
facilitating the free movement of goods, persons and services.

At  its  Extraordinary  Meeting  in  Lisbon  on  23  and  24  March  2000,  the  European
Council called on the Commission to put forward proposals on airspace, air traffic and
flow management, based on the work of the High Level Group on the Single European
Sky set up by the Commission. This Group, made up largely of the civil and military
air  navigation  authorities  in  the  Member  States,  submitted  its  report  in  November
2000.

Smooth operation of the air transport system requires air navigation services allowing
optimum use of Europe's airspace and a consistent, high level of safety in air travel, in
keeping  with  the  duty  of  general  economic  interest  of  the  air  navigation  service
providers.

Air  navigation  services  should  be  developed  in  line  with  the  general  safety  and
performance  objectives,  in  accordance  with  the  principles  laid  down  by  the
Convention on International Civil Aviation signed at Chicago on 7 December 1944.

3

4

5

6

OJ C
OJ C
OJ C
OJ C

15

                                                
(5) 

(6) 

(7) 

(8) 

(9) 

For all these reasons, and with a view to extending the Single European Sky to include
a larger number of European States, the Community should, while taking into account
the  developments  occurring-  within  the  European  Organisation  for  the  Safety  of  Air
Navigation (Eurocontrol), lay down common objectives and an  action programme to
mobilise the efforts by the Community, the Member States and the various economic
stakeholders in order to create a single European airspace: the Single European Sky.

The  closer  co-operation  between  civil  and  military  bodies,  which  is  essential  for
efficient  use  of  the  airspace,  should  be  pursued,  using  where  possible  existing  co-
operation  frameworks  and  making  use  of  all  appropriate  instruments  for  any  matter
concerning air traffic and air navigation services for exclusively military purposes.

The  establishment of rules  at Community  level  should  permit  the  optimal  use  of  the
airspace as a whole and the performance of the air navigation services.

These  rules  should  cover  organisation  and  use  of  the  airspace  and  the  relevant
procedures, provision of air navigation services, including the economic aspects, and
air navigation equipment and systems and the associated procedures.

Air traffic control is a service of general interest with the aim of protecting both
air  transport  users  and  residents  affected  by  over-flying  aircraft.  It  should
therefore  be  carried  out  to  the  highest  standards  of  responsibility  and
competence.

(10) Use of the airspace should be organised and managed efficiently and in total safety, to
meet the needs of both civil and military users and allow equitable, non-discriminatory
allocation of the resources between all users.

(11)

(12)

(13)

(14)

The air navigation services provided should ensure uniform, high safety standards for
the air traffic which depends on these services. Provision of these services should be
optimised to guarantee the best use of Europe's airspace resources.

The technical  and  operational  solutions  should  secure  and  raise  safety  standards,  the
overall capacity of the system, and full, efficient use of the capacity available.

the 

to  exercise 

Some  of  the  measures  necessary  for  creating  the  Single  European  Sky  call  for  the
Commission 
implementing  powers  under  Council  Decision
1999/468/EC  of  28  June  1999  laying  down  the  procedures  for  the  exercise  of
implementing  powers  conferred  on  the  Commission7,  for  the  sake  of  efficiency  and
speed. Creation of the Single European Sky therefore necessitates the establishment of
a  mechanism  for  co-operation  with  the  Member  States  by  the  setting-up  of  a
committee of representatives from the Member States which permits consideration of
both civil and military interests and which allows the participation of outside experts.

In  the  process  of  creating  the  Single  European  Sky,  the  Community  should,
where appropriate, develop the highest level of cooperation with Eurocontrol in
order in particular to ensure regulatory synergies and consistent approaches, and
to  avoid  any  duplication  between  the  two  organisations.  Pending  the  outcome  of
negotiations  for  the  accession  of  the  Community  to  Eurocontrol,  which  remains  an
important component in the creation of a pan-European airspace, the Commission and

7

OJ L 184, 17.7.1999, p. 23.

16

                                                
Eurocontrol  may  conclude  appropriate  arrangements  to  enable  Eurocontrol  to
contribute to the preparation of Community legislation.

(15)

(16)

(17)

It is desirable to extend the Single European Sky to non-Community countries, either
within the framework of participation by the Community in the work of Eurocontrol,
subject to accession by the Community to that international organisation, or by means
of agreements concluded by the Community with the non-Community countries.

It  is  necessary  to  make  provision  for  procedures  for  assisting  the  Commission  in  its
task  of  supervising  and  monitoring  the  creation  of  the  Single  European  Sky  in  an
efficient  and  regular  fashion,  notably  by  drawing  on  the  expertise  of  the  Member
States and of Eurocontrol.

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

(18)      In  the  general  interest  of  safety  of  operations  and  in  order  to  guarantee  the
enforcement of this regulation, there should be a scale of effective, proportionate
and  dissuasive  penalties  against  airlines  and  service  providers  that  breach  the
provision of this Regulation.

(19)

The social partners may should be informed and consulted in an appropriate way on
all measures having significant social implications. The Sectoral Dialogue Committee
set up under Commission Decision 1998/500/EC of 20 May 1998 on the establishment
of Sectoral Dialogue Committees promoting the Dialogue between the social partners
at European level8 may also be consulted.

(20)      The  associations  of  airspace  users,  of  air  navigation  service  providers  and  of
manufacturing  industry  should  be  informed  and  consulted  on  all  measures
concerning  the  technical  aspects  of  the  implementation  of  the  Single  European
Sky.

(21)

(22)

(23)

The  drafting  of  the  measures  necessary  in  order  to  create  the  Single  European  Sky
requires broad-based consultations with the industrial  partners all the economic and
social stakeholders concerned.

The impact of the measures taken to apply this Regulation should be evaluated in the
light of reports to be submitted regularly by the Commission.

Since the objective of the action envisaged, namely the laying-down of the framework
for  the  creation  of  the  Single  European  Sky,  cannot  be  sufficiently  achieved  by  the
Member States, by reason of the transnational scale of the action, and can therefore be
better  achieved  by  the  Community,  while  allowing  for  detailed  implementing  rules
that take account of specific local conditions, the Commission may take measures in
accordance  with  the  subsidiarity  principle  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  the  objectives
pursued,

8

OJ L 225, 12.8.1998, p. 27.

17

                                                
HAVE ADOPTED THIS REGULATION:

Article 1

Objective

The objective of this Regulation is to create, by 31 December 2004 at the latest, a European
airspace, conceived and managed as a single airspace, offering optimum safety conditions and
overall efficiency  for  air traffic  in  the Community and ensuring  a level of  capacity  meeting
the requirements of civil and military users. This single airspace is hereinafter referred to as
the "Single European Sky".

This  Regulation  lays  down  the  general  lines  of  approach  governing  creation  of  the
Single European  Sky  and  identifies  the  fields  for  action  by  the  Community  and  the
means necessary,  in  terms  of  structures,  procedures  and  resources,  in  order  to  create  the
Single European  Sky,  while  taking  into  account  the  Member  States’  defence  needs  and
Eurocontrol’s task of establishing a pan European airspace.

The measures taken to apply the lines of approach referred to in the  second  paragraph shall
take the form of implementation of common safety and performance rules for air navigation
services, by means of mechanisms allowing optimum use of airspace at Community level and
the involvement of all economic and social stakeholders concerned.

The decisions on measures to create the Single European Sky shall be adopted without
delay in order to derive the first beneficial effects before the end of 2004.

Article 2

Definitions

For the purposes of this Regulation:

(a)

(b)

(c)

(d)

"air  navigation  services"  means  all  air  traffic  control  services,  including  ancillary
services  providing  communication,  air  navigation  and  surveillance  infrastructure
and functions, meteorological services for airspace users, search and rescue services
and  aeronautical  information  services,  all  those  services  being  provided  to  airspace
users during every phase of the flight;

"air navigation service providers" means any public or private entity, in accordance
with the Member State choice thereof, responsible for operating and managing air
navigation services in the discharge of missions of general interest that have been
assigned to them;

"air  traffic"  means  all  movements  of  civil  and  State  aircraft,  including  military,
customs and police aircraft;

"airspace  users"  means  all  civil  and  State  aircraft,  including  military,  customs  and
police aircraft;

18

(e)

"Eurocontrol" means the European Organisation for the Safety of Air Navigation set
up by the International Convention of 13 December 1960 relating to Cooperation for
the Safety of Air Navigation9.

Article 3

Fields for action by the Community

1.

2.

The  measures  necessary  in  order  to  create  the  Single  European  Sky  shall  be
established in the following fields, whilst ensuring maximum safety standards for air
navigation:

(a)  organisation and use of the airspace and the relevant procedures;

(b)  provision of air navigation services, including the economic aspects;

(c) 

air navigation equipment and systems and the associated procedures.

The  measures  set  out  in  paragraph  1  shall  aim  to  define  the  objectives  and,  where
appropriate, the means of attaining these objectives in such a way as to safeguard the
public interest.

Article 4

Organisation and use of the airspace

Measures on the organisation and use of airspace shall be such that:

(a)

(b)

the  airspace  above  the  territory  of  the  Community  under  the  responsibility  of
Member States is treated as a common resource constituting a continuum;

use  of  the  airspace  is  flexible,  with  no  permanent  segregation  and  optimising  the
duration of any temporary segregation for military purposes;

(c)          sufficient capacity is made available to accommodate demand;

(d)

(e)

(f)

9

most  flights  take  a  straight  line  between  the  points  of  departure  and  destination  or
take the route closest to this straight line, and can operate at their optimum flight
level,  subject  to  compliance  with  the  demands  of  safety,  defence,  energy-saving,
environmental protection and greater effectiveness in the management of air traffic;

the  airspace  is  divided  into  air  traffic  control  sectors  giving  priority  to  operational
requirements;

air traffic flow planning  and management  allow  smooth,  flexible  air  traffic  making
optimum use of the capacity available.

Convention  as  amended  by  the  Protocol  of  12  February  1981,  and  revised  by  the  Protocol  of
27 June 1997.

19

                                                
Article 5

Provision of air navigation services

Measures relating to the provision of air navigation services shall be such that:

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

(h) 

(i) 

(j) 

definition and monitoring of application of the rules referred to in Article 1 are kept
separate from operation of the air navigation services subject to these rules;

air  navigation  service  providers  hold  regular,  formal  consultations  with  airspace
users on the  arrangements and costs for  air navigation services  to  ensure  that  these
users' needs are taken into account in definition of, while providing these services;

air  navigation  service  providers  ensure  appropriate  transparency  in  air  navigation
services,  in  the  form  of  publication  of  financial  accounts  and  annual  reports,  and
performance indicators, and regularly undergo an independent audit;

operation  of  air  navigation  services  is  harmonised  to  ensure  integration  and
consistency of the operations of air navigation service providers, airspace users and
airports;

co-operation between civil air navigation service providers is reinforced, in particular
by facilitating the establishment of groupings of two or more service providers ;

co-operation  between  civil  and  military  air  navigation  service  providers  is
encouraged;

new services are established at the same time for all interested parties in the Member
States concerned;

air navigation service  providers  exchange all  data  on  the  situation  of  flights  during
every  phase  of  the  flight  in  order  to  facilitate  operation  of  air  navigation  services;
access  to  these  data  shall  be  open  to  all  concerned  on  a  non-discriminatory  basis,
without prejudice to safety requirements;

the  economic  regulations  favour  more  efficient  provision  of  air  navigation  services
and provision of services releasing capacity meeting Europe's needs;

mechanisms  providing  performance  incentives  are  developed  to  stimulate  new
investment  in  this  sector  and  to  reward  timely  provision  of  high-quality  services
meeting high safety and quality standards and the demand from airspace users.

Article 6

Air navigation equipment and systems

Measures on air navigation equipment and systems shall be such that:

(a) 

the technical and operational solutions allow uniform planning and operation of the
European system, including interoperability;

20

(b) 

(c) 

creation  of  the  Single  European  Sky  favours  the  introduction  of  new  technical  and
operational  solutions  for  air  navigation  where  these  improve  safety,  efficiency
and/or capacity;

the  development  and  validation  of  technical  and  operational  solutions  conform  to
programmes  on  the  basis  of  advanced  international  standards,  meet  airspace
users' common needs and take account of the demand from such users with regard to
choice of routes and flight profiles;

(d) 

regulations are developed relating to on-board equipment in order to  meet the
implementation date.

Article 7

Single Sky Committee

1.

A committee, hereinafter referred to as “the Single Sky Committee", is hereby set up,
composed  of  the  representatives  of  the  Member  States  and  chaired  by  the
representative of the Commission.

2.            The Single Sky Committee shall establish its own rules of procedures.

3.

4.

Each Member State shall appoint two representatives and two alternates.

Non-Community States committed to air transport agreements with the Community
shall  be  associated  with  the  work  of  the  committee,  in  accordance  with  the
arrangements laid down in the agreements.

Article 8

Relations with third countries

When drafting the measures taken to implement this Regulation, the Commission shall keep
open  the  possibility  of  extending  the  Single  European  Sky  to  countries  which  are  not
members  of  the  Community,  whether  under  bilateral  agreements  concluded  with  the  non-
member countries or within the framework of Eurocontrol.

Article 9

Relationship between the Commission and Eurocontrol

When  drafting  implementing  rules  for  the  measures  referred  to  in  Article  3,  the
Commission shall, where appropriate, endeavour to obtain the technical basis for these
rules from Eurocontrol, for subjects where this organisation has relevant expertise.

21

Article 910

Supervision and monitoring

1.

2.

The measures adopted pursuant to Article 3 shall define appropriate mechanisms for
assisting  the  Commission  in  its  responsibilities  for  supervising  and  monitoring
application  of  those  rules,  including  the  creation  of  civil  and  military  technical
expertise.

The supervision and monitoring methods shall be based on the submission of regular
reports  by  air  navigation  service  providers  on  implementation  of  the  measures
adopted.

Article 11

Penalties

Member States shall lay down a system of penalties for breaches of the provisions of this
Regulation and shall take all the measures necessary  to  ensure  that  these penalties are
applied. The penalties thus provided for, shall be effective, proportionate and dissuasive.

Article 1012

Performance review

The Commission shall ensure the examination and comparison of air navigation performance
involving, in particular, Eurocontrol's Performance Review Commission.

The Commission shall ensure the dissemination of best practice at the Community level.

Article 1113

Impact assessment

Every five years after the entry into force of this Regulation and for the first time no later than
30 June 2005, the Commission shall submit to the European Parliament and to the Council a
report assessing the measures taken to create the Single European Sky.

For  the  purposes  of  drafting  this  report,  the  Commission  may  request  the  opinion  of  the
Single Sky Committee.

The report shall contain an evaluation of the results achieved by the measures taken pursuant
to this Regulation in the various fields of action including appropriate information about
the  developments  in  the  sector,  in  particular  concerning  economic,  social,  employment
and  technological  aspects,  as  well  as  quality  of  service,  and  in  the  light  of  the  original
objectives and of future needs.

22

Article 1214

Safeguards

This  Regulation  shall  not  prevent  Member  States  from  adopting  or  applying  measures
warranted  by  serious  internal  disturbances  affecting  the  maintenance  of  law  and  order,  in
the event  of  war,  serious  international  tension  constituting  a  threat  of  war,  or  in  order  to
carry out  obligations  they  have  accepted  for  the  purpose  of  maintaining  peace  and
international security.

Article 1315

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

23

2001/0235 (COD)

Amended 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 Commission10,

Having regard to the opinion of the Economic and Social Committee11,

Having regard to the opinion of the Committee of the Regions12,

Acting in accordance with the procedure laid down in Article 251 of the Treaty13,

Whereas:

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

(2) 

(3) 

(4) 

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  to  preserve  public  interest
requirements,  most  notably  in  terms  of  safety,  and  a  charging  mechanism  to
stimulate cost-effectiveness.

Regulation  (EC) No  XXX/XX of the European  Parliament  and  of  the  Council14  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

10

11

12

13

14

OJ C
OJ C
OJ C
OJ C
OJ L

24

                                                
in the Single European Sky]15. The establishment of a harmonised organisation of the
provision  of  such  services  is  important  to  respond  adequately  to  the  demand  of
airspace users and to operate air traffic safely and efficiently.

(5) 

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.

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

(7) 

(8) 

(9) 

Smooth  operation  of  the  air  transport  system  also  requires  uniform,  high  safety
standards  of  air  navigation  service  providers.  The  implementation  of  such  safety
requirements is without prejudice to the role and responsibilities of the European
Safety  Agency  which,  with  regard  to  the  creation  of  the  Single  European  Sky,
should have to be more clearly defined in the longer term.

Arrangements  should  be  proposed  to  overcome  the  lack  of  controllers,  through  the
improvement  and  harmonisation  of 
training
authorisation,  rating  and  licensing,  and  through  the  harmonisation  of  such
procedures  at  Community  level  the  mutual  recognition  of  licences,  and  the
development of recruitment programmes.

the  procedures  for  selection, 

The Commission should monitor the development of recruitment programmes by
Member States to determine whether it will be necessary to provide Community
support for the development of these programmes.

(10) Whilst guaranteeing the continuity of service provision, a common system should be
established  for  authorising  air  navigation  services  which  constitutes  a  means  for
defining the rights and obligations of air navigation service providers.

(11)

The  authorisation  system  should  provide  for  the  means  to  control  access  to  the
activity.  It  should  take  into  account  the  need  to  facilitate  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.

(12) 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 and compatible with applicable, internationally standards.

(13)

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.

15

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25

                                                
(14)

(15)

(16)

(17)

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.

The  provision  of  ancillary  services  communication  services,  air  navigation  and
surveillance  services,  meteorological  services  and  aeronautical  information  services
should  be  organised  under  market  conditions  whilst  taking  into  account  the  special
features of such services and simultaneously maintaining a high level of safety.

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

enhanced on a contractual basis.

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

(20)

(21)

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.

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

(23) 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, while maintaining a high level of safety.

(24)

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

(25) Air  navigation  service  providers  offer  a  certain  number  of  facilities  and  services
directly related to the operation of aircraft, the costs of which they should be able to
recover  according  to  the  “user  pays”  principle,  which  is  to  say  that  airspace  users
should pay for the costs they impose at, or as close as possible to, the point of use.

26

(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  that  increases  capacity,  of  rewarding  high
performance or of offsetting the inconvenience of choosing less desirable routings.

(28)      In the context of revenues raised to provide a reasonable return on assets, and in
direct correlation with the saving made from efficiency improvements, it should
also be possible to allow the establishment of a reserve to avoid a sudden increase
in charges to airspace users at times of reduced levels of traffic.

(29)

(30)

(31)

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.

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,  with  due  regard  to  the  maintenance  of  a  high
level  of  safety,  to  check  the  effectiveness  of  the  measures  adopted  and  to  propose
further measures.

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

(33)      The  associations  of  airspace  users,  of  air  navigation  service  providers  and  of
manufacturing industry should be informed and consulted in an appropriate way
on  all  measures  concerning  the  technical  aspects  of  the  implementation  of  the
Single European Sky.

(34)

Since  the  objectives of  the  proposed  action,  namely  to  promote  the  safe  and  efficient
provision  of  air  navigation  services,  cannot  be  sufficiently  achieved  by  the  Member
States,  by  reason  of  the  transnational  scale  of  this  action,  and  can  therefore  be  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.

27

(35)

Since  most  of  the  measures  necessary  for  the  implementation  of  this  Regulation
are measures  of  general  scope  within  the  meaning  of  Article  2  of  Council
Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of
implementing powers conferred on the Commission16, they should be adopted by use
of  the  regulatory  procedure  provided  for  in  Article  5  of  that  Decision.  However,  in
accordance  with  Article  2(c)  of  that  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  communication,  navigation  and  surveillance 
infrastructure  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].

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)

“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;

(d)

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

16

OJ L 184, 17.7.1999, p. 23.

28

                                                
(e)

(f)

(g)

(h)

(i)

(j)

(k)

1.

2.

3.

4.

“air  traffic  services”  means  all  flight  information  services,  alerting  services,  air
traffic  advisory  services  and  air  traffic  control  services,  including  area  control
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

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

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.

Member  States  shall  inform  the  Commission  of  the  names  and  addresses  of  the
national  supervisory  authorities  and  of  the  measures  undertaken  to  ensure
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.

29

1.

2.

3.

4.

1.

2.

Article 4

Recognised organisations

National  supervisory  authorities  may  decide  with  respect  to  air  navigation  service
providers  that  operate  under  their  responsibility  to  instruct  recognised  and
technically  experienced  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.

Paragraph  1  shall  be  without  prejudice  to  Article  1(2)  of  Regulation  (EC)
No XXX/XX  of  the  European  Parliament  and  of  the  Council17  [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 On the basis of a Commission proposal by the European Parliament and of the
Council, on the basis of a Commission proposal shall, where appropriate, adopt measures
to overcome the lack of controllers and air traffic management personnel.

17

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30

                                                
Chapter II

RULES FOR THE PROVISION OF SERVICES

Article 7

System of authorisation

1.

2.

3.

4.

5.

6.

7.

The provision of air navigation services shall be subject to a system of authorisation
certifying the suitability of service providers to provide such services and enabling
co-operation between service providers.

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, with particular regard to safety, that are objectively
justified in order to meet the objectives of this Regulation. The conditions attached to
authorisations and the 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,

(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.

31

8.

1.

2.

3.

4.

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].  Air  navigation  service  providers  shall  be  subject  to
continuous operational and safety improvements.

With  regard  to  ancillary  services,  meteorological  services  and  aeronautical
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
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.

32

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
working  relationships  by  means  of  written  agreements  or  equivalent  legal  arrangements
setting  out  the  specific  duties  and  functions  assumed  by  the  providers.  Those  arrangements
shall comply with the relevant provisions of this Regulation.

Article 10

Relations with military authorities

Air navigation service providers Member States shall take the necessary steps with
a  view  to  entering  to  ensure  that  air  navigation  service  providers  enter  into
written agreements or equivalent legal arrangements with military authorities for the
blocks  of airspace where  they  are  designated.  Those  arrangements  shall  set  out  the
specific obligations of each party, 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.

As long as Member States have separate entities to provide air traffic services to civil
and military air traffic, they shall keep inform the Commission informed of the way
in which the cooperation between such entities is organised and the actions taken to
enhance this cooperation or, where possible, to integrate such entities with one
another.

Article 11

Unbundling of accounts

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
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.

1.

2.

1.

2.

3.

33

4.

1.

2.

3.

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. It shall only be used for operational purposes.

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 and take the necessary measures to ensure
that this data is only used for operational purposes. Detailed rules relating to such
conditions shall be established, where appropriate, in accordance with the procedure
referred to in Article 19(2).

Chapter III

CHARGING SCHEMES

Article 13

General

A  charging  scheme  for  air  navigation  services  shall  be  established,  in  accordance  with  the
requirements  of  Articles  14  and  15,  that  contributes  to  the  achievement  of  greater
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 and, where relevant, with
Eurocontrol’s Multilateral Agreement relating to Route Charges.

Article 14

General principles

1.

The charging scheme shall proceed by the account of costs for air navigation services
incurred by service providers on behalf of airspace users.

It  shall  allocate  the  costs  of  air  navigation  services  among  categories  of  users  and
shall develop a charging policy.

34

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  reviews  of  the  provider’s  forecasts,  actual  costs  and  income.
Information  shall  be  regularly  exchanged  between  the  national  supervisory
authorities, service providers, airspace users, the Commission and Eurocontrol.

(d) Charges shall encourage allow for the safe, efficient and effective provision of
air  navigation  services  at  the  lowest  possible  cost  compatible  with  the
maintenance  of  a  high  level  of  safety  and  shall  stimulate  integrated  service
provision.  They may  provide  incentives  and  deterrents  consisting  of  financial
advantages and disadvantages which 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

35

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;

36

(d)

allow the identification and the promotion of best practice, in particular by means
of a set of safety indicators.

Article 17

Adjustment to technical progress

1.

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.

37

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

38

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  traffic  control  service  for  arriving  or
departing controlled flights.

(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.

39

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 economically linked to or controlled by air navigation service providers, or
be  economically  linked  to  or  controlled  by  others  engaged  commercially  in  the
provision of air navigation services or in air transport services;

be  established  with  a  significant  and  qualified  technical,  managerial,  support  and
research staff commensurate with the tasks to be carried out;

be  managed  and  administered  in  such  a  way  as  to  ensure  the  confidentiality  of
information required by the administration;

be prepared to provide relevant 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.

40

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  and  adequate  staffing  plans  for  all
categories of air traffic management personnel;

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;

41

– 

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.

42

2001/0236 (COD)

Amended 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 Commission18,

Having regard to the opinion of the Economic and Social Committee19,

Having regard to the opinion of the Committee of the Regions20,

Acting in accordance with the procedure laid down in Article 251 of the Treaty21,

Whereas:

(1) 

(2) 

(3) 

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

report  of 

the  High  Level  Group  on 

the  Single  European  Sky
The 
(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.

The Communication of the Commission on the creation of the Single European Sky22,
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.

(4) 

Regulation  (EC) No  XXX/XX of  the European  Parliament and  of  the  Council23  lays
down the framework for the creation of the Single European Sky,

18

19

20

21

22

23

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

43

                                                
(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. Therefore it is important
that  this  regulation  also  takes  due  account  of  the  European  Air  Traffic
Management network beyond the Community.

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. The plan
for  creating  functional  airspace  blocks  should  take  into  account,  whenever
possible and appropriate, the recommendations of Eurocontrol.

(10)  Airspace  users  face  disparate  conditions  of  access  to,  and  freedom  of  movement
within,  the  Community  airspace.  This  is  due  to  t  The  lack  of  harmonisation  in  the
classification of airspace has an impact on its optimal operational organisation.

(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 introduction
of direct optimised routings, subject to the maintenance of a high level of safety, 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,  at  national  level  and  within  the  European
Union.

(15)  There  should  be  an  effective  functioning  of  the  flexible  use  of  airspace  concept  and
collaborative management to smoothly adapt military training with civil air traffic; it 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.

44

(17)  Adequate  measures  should  be  introduced  to  improve  the  effectiveness  of  air  traffic
flow  management,  in  order  to  assist  existing  operational  units,  including,  where
appropriate, the Eurocontrol Central Flow Management Unit, to ensure efficient
flight operations.

(18) 

In accordance with the conclusions of the High Level Group, Eurocontrol is the body
that  has  the  appropriate  expertise  to  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.

(19)      The  associations  of  airspace  users,  of  air  navigation  service  providers  and  of
manufacturing industry should be informed and consulted in an appropriate way
on  all  measures  concerning  the  technical  aspects  of  the  implementation  of  the
Single European Sky.

(20)

Since the objectives of the proposed action, 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.

(21)

Since the measures necessary for the implementation of this Regulation are measures
of general scope within the meaning of Article 2 of Council Decision 1999/468/EC of
28 June  1999  laying  down  the  procedures  for  the  exercise  of  implementing  powers
conferred  on  the  Commission24,  they  should  be  adopted  by  use  of  the  regulatory
procedure provided for in Article 5 of that Decision,

HAVE ADOPTED THIS REGULATION:

Chapter I

GENERAL

Article 1

Scope

1.

2.

24

25

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 Council25 [service provision].

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

45

                                                
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.

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)

“single  operating  airspace”  means  an  airspace  in  which  uniform  airspace
management  procedures  and  common  safety  standards  are  applied  to  ensure  the
efficient and safe in the provision of Air Traffic Control;

“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;

46

(k)

(l)

(m)

(n)

(o)

(p)

(q)

(r)

“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;

“direct optimised routing” means an aircraft operation allowing an aircraft in flight
to proceed directly between two points outside the scheme of routes provided that
technological means exist to support this operation;

“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 the airspace block 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  in  a  safe  and
efficient way, 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

1.

Taking  due  account  of  ICAO  requirements,  as  specified  in  the  twelfth  edition  of
July 1998  of  Annex  11  to  the  1944  Chicago  Convention  on  International  Civil
Aviation,  a  single  European  Upper  Flight  Information  Region  (EUIR)  shall  be
established in the upper airspace.

47

2.

3.

4.

The division level between upper and lower airspace shall be set at  flight level 285
subject  to  marginal  deviations  decided  in  accordance  with  the  procedure
referred to in Article 16(2) and that are justified by a safe, orderly, efficient and
expeditious flow of air traffic and an optimal provision of air traffic services.

Within three years after the establishment of the EUIR and in the light of progress
achieved, 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
aeronautical  information  relating  to  the  EUIR  through  the  consolidation  of
existing national  aeronautical  information.  This  publication  shall  incorporate  all
changes  to  requirements  and  procedures  introduced  by  the  implementation  of  the
Single European Sky.

5.            In  the  performance  of  its  tasks,  the  Commission  shall  take  account  of  the
obligations  stemming  from  regional  agreements  concluded  within  ICAO  in
relation  to  airspace  where  the  provision  of  air  traffic  services  is  entrusted  to
Member States.

Article 5

Reconfiguration of the upper airspace

1.

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 safely and efficiently the existing and future pattern of air traffic;

(b)

ensure  that  each  airspace  block  is  designed  to  maximise  the  efficiency  of
European airspace as a whole with due regard to the maintenance of a high
level of safety;

(c)

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

(d) minimise  the  transaction  costs  optimise  coordination  between  various  area

control centres;

(e)

ensure coherence between the configurations of upper and lower airspace.

48

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 Optimised routing in the upper airspace

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

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

Article 8

Uniform airspace design

The  structuring,  division  and  categorising  of  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.

49

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.

4.

5.

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:

(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].

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.

50

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

Rules  for  air  traffic  flow  management  shall  be  established  in  order  to  optimise
available capacities  in  the  use  of  airspace  and  to  enhance  flow  management  processes.
These rules  shall  be  based  on  transparency  and  efficiency  ensuring  that  capacity  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:

(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, that allow the safe and orderly flow of traffic.

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

51

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.

3.

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.

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

52

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

53

2001/0237 (COD)

Amended 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 Commission26,

Having regard to the opinion of the Economic and Social Committee27,

Having regard to the opinion of the Committee of the Regions28,

Acting in accordance with the procedure laid down in Article 251 of the Treaty29,

Whereas:

(1) 

(2) 

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 XXX/XX of the European
Parliament and of the Council of … 2001 on the provision of Air Navigation Services
in the Single European Sky30 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]31.

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
standards32 where essential requirements, rules and standards are complementary and
consistent.

26

27

28

29

30

31

32

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

54

                                                
(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

Regulation  (EC) No  XXX/XX of  the European  Parliament and  of  the  Council33  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.

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

technical  and  operational  conditions  necessary 

to  achieve 

33

OJ L

55

                                                
(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
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.

(12) 

(13) 

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.

to  ensure  separation  between 

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

(“Eurocae”)  and  should 

take 

the 

(14)  Eurocae is a non-profit making organisation in charge of preparing drafts of technical
specifications  for  civil  aviation  equipment;  its  membership  is  open  to  all  aviation
stakeholders  including,  in  particular,  air  navigation  service  providers,  airspace  users
and  manufacturing  industry;  Eurocae  must  establish  formal  relationships  with  the
European  standardisation  bodies  so  that  its  specifications  can  be  recognised
as European 
the
standards 
European standardisation organisations.

procedures 

according 

out 

the 

set 

by 

to 

(15)  Eurocontrol  should  also  be  permitted  to  develop,  where  necessary,  Community
specifications, subject to compliance with the principles of the Council Resolution of
7 May  1985  and  in  accordance  with  general  Community  standardisation  procedures;
such  procedures  should  include  as  a  minimum  the  observance  of  the  principles  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.

(16)  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
directives34;  as  far  as  necessary  these  modules  should  be  expanded  to  cover  specific
requirements of the industries concerned.

(17)  The market concerned is of small size and consists of systems and constituents of an
almost  exclusive  use  to  air  traffic  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  of  conformity  and/or  suitability  for  use,  the
manufacturer's  declaration  of  conformity  is  sufficient;  that  should  not  affect  the

34

OJ L 220, 30.8.1993, p. 23.

56

                                                
obligation  on  manufacturers  to  affix  the  CE  mark  to  certain  constituents  in  order  to
certify their compliance with other Community provisions relating to them.

(18)  The  putting  into  service,  renewal  or  upgrading  of  air  traffic  management  systems,
should  be  subject  to  verification  of  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.

(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  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.

(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  proportionality,  as  set  out  in  that  Article,  this  Regulation  does  not  go
beyond what is necessary in order to achieve those objectives.

(22)  Within  the  framework  of  the  relevant  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
systems35, 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.

(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 systems36 has become obsolete, it should be repealed.

35

36

OJ L 187, 29.7.1993, p. 52.
OJ L 95, 10.4.1997, p. 16.

57

                                                
(25)  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/EEC37  are  compatible  with  the
provisions of this Regulation.

(26)  Since  most  of  the  measures  necessary  for  the  implementation  of  this  Regulation
are measures  of  general  scope  within  the  meaning  of  Article  2  of  Council
Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of
implementing powers conferred on the Commission38, they should be adopted by use
of  the  regulatory  procedure  provided  for  in  Article  5  of  that  Decision.  However,  in
accordance  with  Article  2(c)  of  that  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  safe  and  seamless  operation  and
development  and  upgrading  to  new  technology,  without  prejudice  to  the  ultimate  aim  of
achieving global interoperability.

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

37

38

OJ L 254, 9.10.2000, p. 1.
OJ L 184, 17.7.1999, p. 23

58

                                                
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)

(i)

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

"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 Council39 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;

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

39

OJ L 204, 21.7.1998, p. 37

59

                                                
(j)

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

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.

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  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 the coordinated and rapid introduction of new concepts of operations
or technology in air traffic management.

2.

Where  necessary,  especially  for  treating  categories  of  systems  or  to  solve  certain
problems  as  a  matter  of  priority  or  to  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  operational  performances

60

3.

4.

5.

6.

1.

2.

3.

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,  including
interoperability,  safety  or  performance  that  are  essential  to  achieve  the
objectives of this Regulation;

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
in  cooperation  with  Eurocae  under  a
the European  standardisation  bodies 
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).

The Commission shall publish the references to the European standards referred to in
paragraph 1 in the Official Journal of European Communities.

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).

61

Article 8

Implementation rules

When  preparing  for  implementation  rules  referred  to  in  Article  6,  the  Commission
may request, where appropriate, Eurocontrol to draw up draft measures on the basis
of a work programme laid down by the Commission. Implementation rules shall 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,  with  due  regard  to  the  maintenance  of  a  high
level of safety. To this end, an assessment of the costs and benefits of those solutions
for all stakeholders concerned as well as for the European Air Traffic Management
network shall be attached to each draft implementation rule.

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  shall,  where
appropriate,  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.

1.

2.

3.

1.

2.

3.

62

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.

The Commission shall enter into consultation with the parties concerned as soon as
possible  forthwith.  Where  following  the  consultation,  the  Commission  establishes
that the measure is justified, it shall forthwith so inform the Member State that has
taken the initiative and the other  Member  States.  Where  the  decision  referred  to  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  this  consultation  the  Commission  establishes  that  the  measure  is
unjustified, it shall forthwith so inform the Member State that has taken the initiative
and  the  manufacturer  or  its  authorised  representative  established  within  the
Community.

63

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).

64

Article 14

Introduction of new technology and industry consultation process for consulting interested
parties

1.

2.

3.

1.

2.

1.

2.

3.

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.

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

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.

65

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.

Done at Brussels,

For the European Parliament
The President

For the Council
The President

66

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  for  aeronautical 
information.

information  and  meteorological

67

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,  comparable
information  exchange,  common  understanding  of 
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  compliance  to  safety  requirements  and  in
accordance with applicable Community legislation.

6.

System construction principles

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

68

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

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.

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

69

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.

70

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.

71

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

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  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.

72

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

73

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.

74

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;

75

–  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.

76

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.

77

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 
technical
integrity  and 
competence  and  must  be  free  of  any  pressure  and  incentive,  in  particular  of  a
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  greatest  possible 

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.

79