Commission Regulation (EC) No 1032/2006 of  6 July 2006  laying down requirements for automatic systems for the exchange of flight data for the purpose of notification, coordination and transfer of flights between air traffic control units   (Text with EEA relevance)
Date: 2006-07-06
Institutions: European Commission
Subjects: Eurocontrol, air traffic, air traffic control, data processing, data transmission, electronic equipment, technical standard

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COMMISSION REGULATION (EC) No 1032/2006

of 6 July 2006

laying down requirements for automatic systems for the exchange of flight data for the purpose of
notification, coordination and transfer of flights between air traffic control units

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Having regard to the Treaty
Community,

establishing the European

Having regard to Regulation (EC) No 552/2004 of the European
Parliament and of the Council of 10 March 2004 on the inter-
operability of the European Air Traffic Management network
(the interoperability Regulation) (1), and in particular Article
3(1) thereof,

Having regard to Regulation (EC) No 549/2004 of the European
Parliament and of the Council of 10 March 2004 laying down
the framework for the creation of the single European sky (the
framework Regulation) (2), and in particular Article 8(2) thereof,

Whereas:

(1)

(2)

Operation of air traffic management requires safe and
efficient mechanisms for the notification, coordination
and transfer of flights between air traffic control units.
Provision of such mechanisms within the European Air
Traffic Management Network requires
the automatic
exchange of flight data between flight data processing
the current situation within
systems. Examination of
the Community has revealed that
in some Member
States those mechanisms have not yet reached a satis-
factory level, and require further
is
therefore necessary to lay down requirements for flight
data processing systems with regard to interoperability,
performance and quality of service of their flight data
exchange functions.

improvement.

It

The European Organisation for the Safety of Air Navi-
gation (Eurocontrol) has been mandated in accordance
with Article 8(1) of Regulation (EC) No 549/2004 to
develop requirements
the
exchange of flight data for the purpose of notification,
coordination and transfer of flights. This Regulation is
based on the resulting mandate report of 31 March
2005.

for automatic systems

for

(3)

The Eurocontrol standard for on-line data exchange was
annexed 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/EEC (3),
making its use mandatory within the Community in the
event of procurement of new flight data processing
systems. As Regulation (EC) No 2082/2000 was
repealed with effect
is
necessary to update Community legislation, so as to
ensure the consistency of relevant regulatory provisions.

from 20 October 2005,

it

(4)

(5)

(6)

(7)

(8)

This Regulation should not cover military operation and
training as referred in Article 1(2) of Regulation (EC) No
549/2004.

In a Statement by the Member States on military issues
related to the single European sky (4), the Member States
committed themselves to cooperate with each other,
taking into account national military requirements,
in
order that
flexible use of airspace is
fully and uniformly applied in all Member States by all
users of airspace.

the concept of

The application of the concept of the flexible use of
airspace, as defined in Article 2(22) of Regulation (EC)
No 549/2004, requires the establishment of systems for
the timely exchange of
flight data between air traffic
service units and controlling military units.

Automated processes related to notification and initial
coordination should be implemented by area control
centres to provide consistent flight information at both
the transferring and receiving units and to support the
coordination of the planned transfer of flights. They were
part of
the standards laid down by Regulation (EC)
No 2082/2000 and should therefore be applied from
the date of entry into force of this Regulation.

Flight information transmitted during the initial coordi-
nation process should be kept up to date. Automated
processes should therefore be implemented progressively
in order to allow revision of the information related to
to an initial coordination
flights previously subject
process or
coordination when the
accepting unit is no longer concerned by the flight.

abrogation of

(1) OJ L 96, 31.3.2004, p. 26.
(2) OJ L 96, 31.3.2004, p. 1.

(3) OJ L 254, 9.10.2000, p. 1.
(4) OJ L 96, 31.3.2004, p. 9.

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(9)

draw benefit

Air traffic control units other than area control centres
could
implementation of
from the
automated processes for notification, initial coordination,
revision of coordination and abrogation of coordination
of flights. If they choose to do so, the need for inter-
the European Air Traffic Management
operability of
Network (hereinafter EATMN) means that
they must
apply the same requirements as apply to area control
centres.

(10)

Timely exchange of flight data between air traffic services
units and controlling military units should rely on the
progressive implementation of automated processes. A
first step should be the introduction of transmission of
basic flight data between such civil and military units,
together with the possibility to update them as required.

further

strengthen the

(11) Additional automated processes have been identified
which would
coordination
between air traffic control units or between air traffic
they
If
services units and controlling military units.
choose to apply additional automated processes,
the
the EATMN means that
need for
they must apply harmonised requirements
to these
processes.

interoperability of

(12)

The implementation of
further developments
levels of interoperability.

this Regulation should allow
the achievement of higher

for

(13) With a view to maintaining or enhancing existing safety
levels of operations Member States should be required to
ensure the conduct by the parties concerned of a safety
assessment
risk
assessment and mitigation processes. Harmonised imple-
mentation of these processes to the systems covered by
this Regulation requires the identification of specific
safety requirements for all mandatory interoperability,
performance and quality of service requirements.

identification,

including

hazard

(14)

In accordance with Article 3(3)(d) of Regulation (EC)
implementing rules for interoperability
No 552/2004,
should describe
conformity assessment
specific
procedures to be used to assess either the conformity
or the suitability for use of constituents as well as the
verification of systems.

the

(15)

In accordance with Article 10(1) and (2) of Regulation
(EC) No 552/2004, the dates for the application of tran-
sitional arrangements may be specified by the relevant
implementing rules for interoperability.

(16) Manufacturers and air navigation service providers should
be afforded a period of time to develop new constituents
and systems
in conformity with the new technical
requirements.

(17)

The measures provided for in this Regulation are in
accordance with the opinion of
Sky
Committee established by Article 5 of Regulation (EC)
No 549/2004,

Single

the

HAS ADOPTED THIS REGULATION:

Article 1

Subject-matter and scope

This Regulation lays down requirements for the automatic
1.
exchange of
flight data for the purpose of notification, co-
ordination and transfer of flights between air traffic control
units and for the purposes of civil-military coordination.

2.

This Regulation shall apply to:

(a)

flight data processing systems serving air traffic control
units providing services to general air traffic;

(b) flight data exchange systems supporting the coordination
procedures between air traffic services units and controlling
military units.

This Regulation shall not apply to the exchange of flight
3.
data between air traffic control units served by flight data
processing systems identified in paragraph 2 for which the
flight data covered by this Regulation are synchronised by
means of a common system.

Article 2

Definitions

For the purpose of this Regulation the definitions set out

1.
in Regulation (EC) No 549/2004 shall apply.

In addition to the definitions referred to in paragraph 1

2.
the following definitions shall apply:

1.

2.

3.

‘notification’ means the transmission by the transferring
unit of data to update the system at the receiving unit in
preparation for the coordination;

‘coordination’ means the coordination between air traffic
control units of the planned passage of flights across the
common boundary, in order to ensure flight safety;

traffic control unit’

‘air
(hereinafter ATC unit) means
variously area control centre, approach control unit or
aerodrome control tower;

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4.

5.

coordination’ means

‘civil-military
coordination
between civil and military parties authorised to make
decisions and agree a course of action;

the

16.

‘secondary surveillance radar’
surveillance
radar
receivers and transponders;

system which uses

(hereinafter SSR) means a
transmitters or

‘flight data processing system’ means the part of an air
automatically
system which receives,
traffic
processes and distributes
control units
traffic
working positions, flight plan data and associated messages;

services

to air

17.

‘letter of agreement’ means an agreement between two
adjacent ATC units that specifies how their
respective
ATC responsibilities are to be coordinated;

6.

‘air traffic services unit’ (hereinafter ATS unit) means a unit,
traffic
civil or military,
services;

responsible for providing air

18.

‘transfer of control point’ means a point on the flight path
of an aircraft, at which the responsibility for providing air
traffic services to the aircraft is transferred from one ATC
unit to the next;

7.

8.

‘controlling military unit’ means any fixed or mobile
military unit handling military air traffic and/or pursuing
other activities that due to their specific nature may require
airspace reservation or restriction;

19.

‘coordination data’ mean data of interest to operational staff
in connection with the process of notification, coordination
and transfer of flights and with the process of civil-military
coordination;

‘transferring unit’ means the air traffic control unit in the
process of transferring the responsibility for providing an
air traffic control service to an aircraft to the next ATC unit
along the route of flight;

20.

‘transfer flight level’ means the flight level agreed during the
coordination if in level flight, or the cleared flight level to
which the flight is proceeding if climbing or descending at
the coordination point;

9.

‘receiving unit’ means the air traffic control unit who
receives data;

21.

‘accepting unit’ means the air traffic control unit next to
take control of an aircraft;

10.

‘boundary’ means a lateral or vertical plane delineating the
airspace in which an ATC unit provides air traffic services;

22.

‘coordination point’ (hereinafter COP) means a point on or
to the boundary used by the ATC units and
adjacent
referred to in coordination processes;

11.

‘area control centre’ (hereinafter ACC) means a unit estab-
lished to provide air traffic control service to controlled
flights in control areas under its responsibility;

23.

‘notified unit’ means the ATC unit that has received the
notification information;

12.

‘working position’ means
the furniture and technical
equipment at which a member of the air traffic services
staff undertakes task associated with their job;

24.

‘correlation’ means the process of linking the flight plan
data and the radar track of the same flight;

13.

‘flight plan’ means specified information provided to air
traffic services units,
relative to an intended flight or
portion of a flight of an aircraft;

25.

‘release’ means the authorising by the controller transferring
an aircraft of a controller at the accepting unit to issue
control instructions to the aircraft prior to its passing the
transfer of control point;

14.

‘warning’ means a message displayed at a working position
when the automated coordination process has failed;

26.

‘availability’ means
component
for use;

the degree to which a system or
is operational and accessible when required

15.

‘estimate data’ means the coordination point, the estimated
time of an aircraft and the expected flight level of the
aircraft at the coordination point;

27.

‘reliability’ means the probability that the ground instal-
lation operates within the specified tolerances.

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Article 3

Interoperability and performance requirements

Air navigation service providers shall ensure that

1.
the
referred to in Article 1(2)(a) and serving ACCs,
systems
comply with the interoperability and performance requirements
specified in Annex I, Parts A and B.

Air navigation service providers that have specified in their
2.
letter of agreement that they will
implement the notification,
the initial coordination, the revision of coordination, the abro-
gation of coordination, the basic flight data or the change to
basic flight data processes between ATC units other than ACCs,
shall ensure that
the systems referred to in Article 1(2)(a),
comply with the interoperability and performance requirements
specified in Annex I, Parts A and B.

3.
Air navigation service providers that have specified in their
letter of agreement that they will implement the pre-departure
notification and coordination, the change of frequency or the
manual assumption of communications processes, shall ensure
that the systems referred in Article 1(2)(a) comply with the
interoperability and performance requirements
specified in
Annex I, Parts A and C.

1(2)(b)

4. Member States shall ensure that the systems referred to in
Article
and
performance requirements specified in Annex I, Parts A and
B, in respect of the basic flight data and the change of basic
flight data processes.

interoperability

comply with

the

5. When air traffic services units and controlling military
units have implemented between their systems referred to in
Article 1(2)(b) the crossing intention notification, the crossing
clearance request, the crossing counter-proposal or the crossing
cancellation processes, Member States shall ensure that these
systems comply with the interoperability and performance
requirements specified in Annex I, Parts A and C.

Article 4

Quality of service requirements

Air navigation service providers shall ensure that

referred to in Article 1(2)(a)
concerning quality of

the
comply with the
specified in

service,

1.
systems
requirements
Annex II.

for both ATC units unless the coordination is abrogated or
revised.

For a flight subject to revision of coordination, the agreed
2.
transfer conditions of a flight shall be operationally binding for
both ATC units unless the coordination is abrogated or the
conditions are further revised.

3. Where completion of the revision or abrogation of co-
ordination process is not confirmed in accordance with the
applicable quality of service requirements, the transferring unit
shall initiate verbal coordination.

Article 6

Safety requirements

Member States shall take the necessary measures to ensure that
any changes to the existing automatic systems for the exchange
of flight data covered by this Regulation or the introduction of
including
new systems are preceded by a safety assessment,
hazard
and mitigation,
risk
conducted by the parties concerned.

identification,

assessment

During this safety assessment, the safety requirements specified
in Annex III shall be taken into consideration as a minimum.

Article 7

Conformity or suitability for use of constituents

Before issuing an EC declaration of conformity or suitability for
use referred to in Article 5 of Regulation (EC) No 552/2004,
the systems referred to in
manufacturers of constituents of
Article 1(2)(a) and (b) shall assess the conformity or suitability
for use of
in compliance with the
requirements set out in Annex IV, Part A.

constituents

these

Article 8

Verification of systems

Air navigation service providers which can demonstrate
in Annex V shall
they fulfil
the systems referred to in Article
in

1.
that
conduct a verification of
1(2)(a)
Annex IV, Part B.

in compliance with the

the conditions

requirements

set out

set out

2. Member States shall ensure that the systems referred to in
Article 1(2)(b) comply with the requirements concerning quality
of service, specified in Annex II.

Article 5

Associated procedures

For a flight subject

1.
the agreed
transfer conditions of a flight shall be operationally binding

to initial coordination,

2.
Air navigation service providers which cannot demon-
strate that they fulfil the conditions set out in Annex V shall
subcontract to a notified body a verification of the systems
referred to in Article 1(2)(a). This verification shall be
conducted in compliance with the requirements set out
in
Annex IV, Part C.

3. Member States shall ensure that the verification of the
systems referred in Article 1(2)(b) demonstrates the conformity
of
these systems with the interoperability and performance,
quality of service and safety requirements of this Regulation.

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Article 9

Compliance

The transitional arrangements provided for

in Article
2.
10(2) of Regulation (EC) No 552/2004 shall apply to the
systems referred in Article 1(2), from 31 December 2012.

Member States shall
compliance with this Regulation.

take the necessary measures to ensure

Article 10

Transitional arrangements

The transitional arrangements provided for

1.
in Article
10(1) of Regulation (EC) No 552/2004 shall apply to the
European
(hereinafter
EATMN) systems referred in Article 1(2), as from the entry
into force of this Regulation in respect of the notification and
the initial coordination processes.

traffic management

network

air

Article 11

Entry into force

This Regulation shall enter into force on the 20th day following
its publication in the Official Journal of the European Union.

It shall apply from 1 January 2009 to all EATMN systems
in respect of the revision of co-
referred to in Article 1(2)
ordination,
the basic flight
data and the change to the basic flight data processes.

the abrogation of coordination,

They shall apply to the EATMN systems from 1 January 2009
in respect of the revision of coordination, the abrogation of
coordination, the basic flight data and the change to the basic
flight data processes.

It shall apply from 31 December 2012 to all EATMN systems
referred to in Article 1(2) in operation by that date.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 6 July 2006.

For the Commission

Jacques BARROT
Vice-President

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ANNEX I

Interoperability and performance requirements

(referred to in Article 3)

PART A: GENERAL REQUIREMENTS

1.

SYSTEM REQUIREMENTS

1.1. The system shall provide all the information required for the display, processing and compilation of the system

information exchanged in the processes specified.

1.2. The system shall be able to automatically receive, store, process, extract and deliver for display, and transmit flight

information relevant to notification, coordination and transfer and civil-military coordination processes.

1.3. The system shall issue a warning when information exchange facility failures or anomalies are detected.

1.4. The system shall be able to provide warnings related to system information exchange to the relevant working

positions.

1.5. The system shall provide the ATC staff the means to modify the flight information relevant to the processes.

1.6. The system shall be capable of providing the ATC staff information about the status of relevant system information

exchange processes.

2.

RECORDING OF SYSTEM INFORMATION EXCHANGE DATA

2.1. System information exchange data shall be recorded by the air navigation service provider in a manner which

permits the retrieval and display of the recorded data.

PART B: REQUIREMENTS FOR MANDATORY PROCESSES SUPPORTED BY SYSTEM INFORMATION
EXCHANGES

1.

NOTIFICATION

1.1.

Flight information concerned

1.1.1. The information subject to the Notification process shall include as a minimum:

— aircraft identification,

— SSR mode and code (if available),

— departure aerodrome,

— estimate data,

— destination aerodrome,

— number and type of aircraft,

— type of flight,

— equipment capability and status.

1.1.2. The content of the ‘equipment capability and status’ information shall include reduced vertical separation minima

(hereinafter ‘RVSM’) and 8.33 KHz capability as a minimum.

1.1.3. The ‘equipment capability and status’

information may contain other items in accordance with the letters of

agreement.

1.2.

Rules of application

1.2.1. The notification process shall be performed at least once for each eligible flight planned to cross the boundary

unless the flight is the subject of pre-departure notification and coordination process.

1.2.2. The eligibility criteria for cross boundary notification of flights shall be in accordance with the letters of agreement.

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1.2.3. When the notification process cannot be performed by a bilateral agreed time prior to the initial coordination

process it shall be subsumed by the initial coordination process.

1.2.4. When performed, the notification process shall precede the initial coordination process.

1.2.5. The notification process shall take place again each time there is a change to any of the following data prior to the

initial coordination process:

— COP,

— expected SSR code at the transfer of control point,

— aerodrome of destination,

— type of aircraft,

— equipment capability and status.

1.2.6. If a discrepancy is identified between the transmitted data and corresponding data in the receiving system, or no
such information is available, that would result in the need for corrective action on receipt of the following initial
coordination data, the discrepancy shall be referred to an appropriate position for resolution.

1.3.

Time criteria for the initiation of the notification process

1.3.1. The notification process shall be initiated a parameter number of minutes before the estimated time at the COP.

1.3.2. The notification parameter(s) shall be included in the letters of agreement between the ATC units concerned.

1.3.3. The notification parameter(s) may be defined separately for each of the coordination points.

2.

INITIAL COORDINATION

2.1.

Flight information concerned

2.1.1. The information subject to the initial coordination process shall include as a minimum:

— aircraft identification,

— SSR mode and code,

— departure aerodrome,

— estimate data,

— destination aerodrome,

— number and type of aircraft,

— type of flight,

— equipment capability and status.

2.1.2. The content of the ‘equipment capability and status’ information shall include RVSM and 8.33 KHz capability as a

minimum.

2.1.3. The ‘equipment capability and status’ information may contain other items as bilaterally agreed by the letters of

agreement.

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2.2.

Rules of application

2.2.1. The initial coordination process shall be performed for all eligible flights planned to cross the boundaries.

2.2.2. Eligibility criteria for cross boundary initial coordination of flights shall be in accordance with the letters of

agreement.

2.2.3. Unless already manually initiated, the initial coordination process shall be automatically initiated at:

— a bilaterally agreed parameter time period before the estimated time at the coordination point, or

— the time at which the flight is at a bilaterally agreed distance from the coordination point,

in accordance with the letters of agreement.

2.2.4. The initial coordination process for a flight shall only be performed once unless the abrogation of coordination

process is initiated.

2.2.5. Following an abrogation of coordination process, the initial coordination process may be initiated again with the

same unit.

2.2.6. Completion of the initial coordination process including confirmation from the receiving unit shall be provided to

the transferring unit — the flight is then considered ‘coordinated’.

2.2.7. Failure of

the initial coordination process to confirm completion, within the applicable quality of service
requirements, shall result in a warning at the working position responsible for the coordination of the flight
within the transferring unit.

2.2.8. The initial coordination information shall be made available at the appropriate working position in the receiving

unit.

3.

REVISION OF COORDINATION

3.1.

Flight information concerned

3.1.1. The revision of coordination process shall ensure association with the flight previously coordinated.

3.1.2. Revision of coordination shall provide the following flight information if they have changed:

— SSR mode and code,

— estimated time and flight level,

— equipment capability and status.

3.1.3. If bilaterally agreed, the revision of coordination data shall provide the following if they have changed:

— coordination point,

— route.

3.2.

Rules of application

3.2.1. The revision of coordination process may take place one or more times with the unit with which a flight is

currently coordinated.

3.2.2. Revision of coordination process shall take place when:

— the estimated time over at the coordination point differs from that previously provided by more than a value

bilaterally agreed,

— the transfer level(s), SSR code or equipment capability and status is different from that previously provided.

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3.2.3. Where bilaterally agreed, revision of coordination process shall take place when there is any change in the

following:

— coordination point,

— route.

3.2.4. Completion of the revision of coordination process including confirmation from the receiving unit shall be

provided at the transferring unit.

3.2.5. Failure of the revision of coordination process to confirm completion, within the applicable quality of service
requirements, shall result in a warning at the working position responsible for the coordination of the flight within
the transferring unit.

3.2.6. The revision of coordination process shall take place immediately following the relevant input or update.

3.2.7. The revision of coordination process shall be inhibited after the flight is at a bilaterally agreed time/distance from

the transfer of control point in accordance with the letters of agreement.

3.2.8. The Revision of coordination information shall be made available at the appropriate working position in the

receiving unit.

4.

THE ABROGATION OF COORDINATION

4.1.

Flight information concerned

4.1.1. The abrogation of coordination process shall ensure association with the previous notification or coordination

process that is being cancelled.

4.2.

Rules of application

4.2.1. The abrogation of coordination process shall take place with a unit for a coordinated flight when:

— the unit is no longer the next unit in the coordination sequence,

— the flight plan is cancelled in the sending unit and the coordination is no longer relevant,

— abrogation of coordination information is received from the previous unit in respect of the flight.

4.2.2. The abrogation of coordination process may take place with a unit for a notified flight when:

— the unit is no longer the next unit in the coordination sequence,

— the flight plan is cancelled in the sending unit and the coordination is no longer relevant,

— an abrogation of coordination is received from the previous unit in respect of the flight,

— the flight is delayed en-route and a revised estimate cannot be determined automatically.

4.2.3. Completion of the abrogation of coordination process including confirmation from the receiving unit shall be

provided at the transferring unit.

4.2.4. Failure of the abrogation of coordination process to confirm completion, within the applicable quality of service
requirements, shall result in a warning at the working position responsible for the coordination of the flight within
the transferring unit.

4.2.5. The abrogation of coordination information shall be made available at the appropriate working position in the

notified unit or in the unit with which the coordination is cancelled.

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5.

BASIC FLIGHT DATA

5.1.

Flight information concerned

5.1.1. The information subject to the basic flight data process shall provide as a minimum:

— aircraft identification,

— SSR mode and code.

5.1.2. Any additional

information provided by the basic flight data process shall be subject to bilateral agreement.

5.2.

Rules of application

5.2.1. The basic flight data process shall be performed automatically for each eligible flight.

5.2.2. The eligibility criteria for basic flight data shall be in accordance with the letters of agreement.

5.2.3. Completion of the basic flight data process including confirmation from the receiving unit shall be provided to the

supplying unit.

5.2.4. Failure of the basic flight data process to confirm completion, within the applicable quality of service requirements,

shall result in a warning at the appropriate working position within the supplying unit.

6.

CHANGE TO BASIC FLIGHT DATA

6.1.

Flight information concerned

6.1.1. The Change to basic flight data process shall ensure association with the flight previously subject to a basic flight

data process.

6.1.2. Any other information subject to the change to basic flight data process and the associated criteria for its provision

shall be subject to bilateral agreement.

6.2.

Rules of application

6.2.1. A change to basic flight data process shall only take place for a flight which has previously been notified by a basic

flight data process.

6.2.2. A change to basic flight data process shall be initiated automatically in accordance with the bilaterally agreed

criteria.

6.2.3. Completion of the change to basic flight data process including confirmation from the receiving unit shall be

provided to the supplying unit.

6.2.4. Failure of the change to basic flight data process to confirm completion, within the applicable quality of service

requirements, shall result in a warning at the appropriate working position within the supplying unit.

6.2.5. The change to basic flight data information shall be made available at the appropriate working position in the

receiving unit.

PART C: REQUIREMENTS FOR OPTIONAL PROCESSES SUPPORTED BY SYSTEM INFORMATION
EXCHANGES

1.

PRE-DEPARTURE NOTIFICATION AND COORDINATION

1.1.

Flight information concerned

1.1.1. The information subject to the pre-departure notification and coordination process shall include as a minimum:

— aircraft identification,

— SSR mode and code (if available),

— departure aerodrome,

— estimated take-off time or estimate data, as bilaterally agreed,

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— destination aerodrome,

— number and type of aircraft.

1.1.2. The information subject to the pre-departure notification and coordination process from a terminal manoeuvring

area (TMA) control unit or an ACC shall contain the following:

— type of flight,

— equipment capability and status.

1.1.3. The content of the ‘equipment capability and status’ information shall include RVSM and 8.33 KHz capability as a

minimum.

1.1.4. The ‘equipment capability and status’ information may contain other items as bilaterally agreed by the letters of

agreement.

1.2.

Rules of Application

1.2.1. Pre-departure notification and coordination process shall take place one or more times for each eligible flight
planned to cross the boundaries where the flight time from departure to the coordination point would not allow
sufficient time for the initial coordination or notification processes to be executed.

1.2.2. Eligibility criteria for cross boundary pre-departure notification and coordination of flights shall be in accordance

with the letters of agreement.

1.2.3. The pre-departure notification and coordination process shall take place again each time there is a change to any
item of the data subject to the previous pre-departure notification and coordination process before departure.

1.2.4. Completion of the pre-departure notification and coordination process including confirmation from the receiving

unit shall be provided at the transferring unit.

1.2.5. Failure of the pre-departure notification and coordination process to confirm completion, within the applicable
quality of service requirements, shall result in a warning at the working position responsible for the notification/
coordination of the flight within the transferring unit.

1.2.6. The pre-departure notification and coordination information shall be made available at the appropriate working

position in the notified unit.

2.

CHANGE OF FREQUENCY

2.1.

Flight information concerned

2.1.1. The information subject to the change of frequency process shall include as a minimum:

— aircraft identification.

2.1.2. The information subject to the change of frequency process shall include any of the following, if available:

— release indication,

— cleared flight level,

— assigned heading/track or direct clearance,

— assigned speed,

— assigned rate of climb/descent.

2.1.3. If bilaterally agreed, change of frequency data shall contain the following:

— current track position,

— instructed frequency.

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2.2.

Rules of application

2.2.1. The change of frequency process shall be manually initiated by the transferring controller.

2.2.2. Completion of the change of frequency process including confirmation from the receiving unit shall be provided at

the transferring ATC unit.

2.2.3. Failure of the change of

frequency process to confirm completion, within the applicable quality of service
requirements, shall result in a warning at the appropriate working position within the transferring ATC unit.

2.2.4. The change of frequency information shall be made available to the accepting controller without delay.

3.

MANUAL ASSUMPTION OF COMMUNICATIONS

3.1.

Flight information concerned

3.1.1. The information subject to the manual assumption of communications process shall include as a minimum the

aircraft identification.

3.2.

Rules of application

3.2.1. The manual assumption of communications process shall be initiated by the accepting unit when communication

is established.

3.2.2. Completion of the manual assumption of communications process including confirmation from the transferring

unit shall be provided at the accepting ATC unit.

3.2.3. Failure of the manual assumption of communication process to confirm completion, within the applicable quality
of service requirements, shall result in a warning at the appropriate working position within the accepting ATC
unit.

3.2.4. The manual assumption of communications information shall be presented immediately to the controller in the

transferring unit.

4.

CROSSING INTENTION NOTIFICATION

4.1.

Flight information concerned

4.1.1. The information subject to the crossing intention notification process shall include as a minimum:

— aircraft identification,

— SSR mode and code,

— number and type of aircraft,

— sector in charge identifier,

— crossing route including estimated times and flight levels for each point on the route.

4.2.

Rules of application

4.2.1. The crossing intention notification process shall be initiated manually by the controller, or automatically as

described in the letters of agreement.

4.2.2. Completion of the crossing intention notification process including confirmation from the notified unit shall be

provided to the notifying unit.

4.2.3. Failure of the crossing intention notification process to confirm completion, within the applicable quality of service

requirements, shall result in a warning at the notifying unit.

4.2.4. The crossing intention notification information shall be made available at the appropriate working position in the

notified unit.

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5.

CROSSING CLEARANCE REQUEST

5.1.

Flight information concerned

5.1.1. The information subject to the crossing clearance request process shall include as a minimum:

— aircraft identification,

— SSR mode and code,

— number and type of aircraft,

— sector in charge identifier,

— crossing route including estimated times and flight levels for each point on the route.

5.1.2. If bilaterally agreed, a crossing clearance request shall contain the equipment capability and status.

5.1.3. The content of the ‘equipment capability and status’ information shall include RVSM capability as a minimum.

5.1.4. The ‘equipment capability and status’ information may contain other items as bilaterally agreed.

5.2.

Rules of application

5.2.1. The crossing clearance request shall be initiated at the controller's discretion, in accordance with the conditions

specified in the letters of agreement.

5.2.2. Completion of the crossing clearance request process including confirmation from the unit receiving the request

shall be provided to the requesting unit.

5.2.3. Failure of the crossing clearance request process to confirm completion, within the applicable quality of service

requirements, shall result in a warning at the appropriate working position within the requesting unit.

5.2.4. The crossing clearance request information shall be made available at the appropriate working position in the unit

receiving the request.

5.3. Operational reply

5.3.1. A crossing clearance request process shall be replied to by:

— an acceptance of the proposed route/airspace crossing details, or,

— a counter-proposal including different route/airspace crossing details as specified in section 6 below, or

— a rejection of the proposed route/airspace crossing details.

5.3.2. If an operational reply is not received within a bilaterally agreed time interval a warning shall be issued at the

appropriate working position within the requesting unit.

6.

CROSSING COUNTER-PROPOSAL

6.1.

Flight information concerned

6.1.1. The crossing counter-proposal process shall ensure association with the flight previously subject to coordination.

6.1.2. The information subject to the crossing counter-proposal process shall include as a minimum:

— aircraft identification,

— crossing route including estimated times and flight levels for each point on the route.

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6.2.

Rules of application

6.2.1. The counter-proposal shall include a proposed new flight level and/or route.

6.2.2. Completion of the crossing counter-proposal process including confirmation from the original requesting unit shall

be provided to the counter proposing unit.

6.2.3. Failure of the crossing counter-proposal process to confirm completion, within the applicable quality of service
requirements, shall result in a warning at the appropriate working position within the counter proposing unit.

6.2.4. The crossing counter-proposal information shall be made available at the appropriate working position in the

original requesting unit.

6.3. Operational reply

6.3.1. The confirmation of the successful processing of the crossing counter-proposal

information in the original

requesting unit shall be followed by an operational reply from the original requesting unit.

6.3.2. The operational reply to a crossing counter-proposal shall be an acceptance or rejection as appropriate.

6.3.3. If an operational reply is not received within a bilaterally agreed time interval a warning shall be issued at the

appropriate working position within the counter proposing unit.

7.

CROSSING CANCELLATION

7.1.

Flight information concerned

7.1.1. The crossing cancellation process shall ensure association with the previous notification or coordination process

that is canceled.

7.2.

Rules of application

7.2.1. A crossing cancellation process shall be initiated by the unit responsible for the flight when one of the following

occurs:

— the flight previously notified by a basic flight data process will now not enter the airspace of the notified unit

or is no longer of interest to the notified unit,

— the crossing will not be executed on the route expressed in the crossing notification information,

— the crossing will not be executed according to the conditions under negotiation or according to the conditions

agreed after an airspace crossing dialogue.

7.2.2. A crossing cancellation process shall be triggered automatically or manually by a controller input in accordance

with the letters of agreement.

7.2.3. Completion of the crossing cancellation process including confirmation from the notified/requested unit shall be

provided at the cancelling unit.

7.2.4. Failure of the crossing cancellation process to confirm completion, within the applicable quality of service

requirements, shall result in a warning at the appropriate working position within the cancelling unit.

7.2.5. The crossing cancellation information shall be made available at the appropriate working position in the notified/

requested unit.

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ANNEX II

Requirements concerning quality of service

(referred to in Article 4)

1.

Availability, reliability, data security and data integrity

1.1. The system information exchange facilities shall be available during the operational hours of the unit.

1.2. Any scheduled down-time periods shall be bilaterally agreed between the two units concerned.

1.3. The reliability for a system information exchange link shall be at least 99,86 %.

1.4. The integrity and security of information exchanged using system information exchange facilities shall be assured at

the appropriate level in accordance with recognised practices.

2.

Process times

2.1. The process times shall represent the interval between initiation of the process and the time when the required

confirmation is available in the initiating unit.

2.2. The process times shall not include the operational replies where these are required.

2.3. The maximum process time before a warning is generated shall be bilaterally agreed.

ANNEX III

Safety requirements

(referred to in Article 6)

1. The implementation of system information exchanges and the ground-ground voice communication links shall

exclude as far as reasonably practicable the possibility of simultaneous failure.

2. The interoperability and performance requirements specified in paragraphs 3.2.4, 3.2.5, 4.2.3, 4.2.4, 5.2.3, 5.2.4,

6.2.3 and 6.2.4 of Annex I, Part B shall also be considered as safety requirements.

3. For the revision of coordination, abrogation of coordination, basic flight data and change to basic flight data
processes, the quality of service requirements specified in Annex II shall also be considered as safety requirements.

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ANNEX IV

PART A: REQUIREMENTS FOR THE ASSESSMENT OF THE CONFORMITY OR SUITABILITY FOR USE OF
CONSTITUENTS REFERRED TO IN ARTICLE 7

1. The verification activities shall demonstrate the conformity of constituents with the interoperability and performance,
quality of service and safety requirements of this Regulation or their suitability for use whilst these constituents are in
operation in the test environment.

2. The manufacturer shall manage the conformity assessment activities and shall in particular:

— determine the appropriate test environment,

— verify that the test plan describes the constituents in the test environment,

— verify that the test plan provides full coverage of applicable requirements,

— ensure the consistency and quality of the technical documentation and the test plan,

— plan the test organisation, staff, installation and configuration of test platform,

— perform the inspections and tests as specified in the test plan,

— write the report presenting the results of inspections and tests.

3. The manufacturer shall ensure that the constituents implementing information exchanges supporting the process of
notification, coordination and transfer of flights and the process of civil-military coordination, integrated in the test
environment meet the interoperability and performance, quality of service and safety requirements of this Regulation.

4. Upon satisfying completion of verification of conformity or suitability for use, the manufacturer shall under its
responsibility draw up the EC declaration of conformity or suitability for use, specifying notably the requirements
of this Regulation met by the constituent and its associated conditions of use in accordance with Annex III(3) of the
interoperability Regulation.

PART B: REQUIREMENTS FOR THE VERIFICATION OF SYSTEMS REFERRED TO IN ARTICLE 8(1)

1. The verification of systems shall demonstrate the conformity of

these systems with the interoperability and
performance, quality of service and safety requirements of this Regulation in a simulated environment that reflects
the operational context of these systems.

2. The verification of systems implementing information exchanges supporting the process of notification, coordination
and transfer of flights and the process of civil-military coordination shall be conducted in accordance with appropriate
and recognised testing practices.

3. Test tools used for the verification of systems implementing information exchanges supporting the process of
notification, coordination and transfer of flights and the process of civil-military coordination shall have appropriate
functionalities.

4. The verification of systems implementing information exchanges supporting the process of notification, coordination
and transfer of flights and the process of civil-military coordination shall produce the elements of the technical file
required by Annex IV(3) of the interoperability Regulation and the following elements:

— description of the implementation,

— the report of inspections and tests achieved before putting the system into service.

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5. The air navigation service provider shall manage the verification activities and shall in particular:

— determine the appropriate simulated operational and technical environment reflecting the operational environment,

— verify that the test plan describes the integration of information exchanges supporting the process of notification,
coordination and transfer of flights and the process of civil-military coordination in the system tested in a
simulated operational and technical environment,

— verify that the test plan provides full coverage of the interoperability and performance, quality of service and safety

requirements of this Regulation,

— ensure the consistency and quality of the technical documentation and the test plan,

— plan the test organisation, staff, installation and configuration of the test platform,

— perform the inspections and tests as specified in the test plan,

— write the report presenting the results of inspections and tests.

6. The air navigation service provider shall ensure that the implementation of information exchanges supporting the
process of notification, coordination and transfer of flights and the process of civil-military coordination, integrated in
systems operated in a simulated operational environment meets the interoperability and performance, quality of service
and safety requirements of this Regulation.

7. Upon satisfying completion of verification of compliance, air navigation service providers shall draw up the EC
declaration of verification of system and submit it to the national supervisory authority together with the technical
file as requested by Article 6 of the interoperability Regulation.

PART C: REQUIREMENTS FOR THE VERIFICATION OF SYSTEMS REFERRED TO IN ARTICLE 8(2)

1. The verification of systems shall demonstrate the conformity of

these systems with the interoperability and
performance, quality of service and safety requirements of this Regulation in a simulated environment that reflects
the operational context of these systems.

2. The verification of systems implementing information exchanges supporting the process of notification, coordination
and transfer of flights and the process of civil-military coordination shall be conducted in accordance with appropriate
and recognised testing practices.

3. Test tools used for the verification of systems implementing information exchanges supporting the process of
notification, coordination and transfer of flights and the process of civil-military coordination shall have appropriate
functionalities.

4. The verification of systems implementing information exchanges supporting the process of notification, coordination
and transfer of flights and the process of civil-military coordination shall produce the elements of the technical file
required by Annex IV(3) of the interoperability Regulation and the following elements:

— description of the implementation,

— the report of inspections and tests achieved before putting the system into service.

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5. The air navigation service provider shall determine the appropriate simulated operational and technical environment

reflecting the operational environment and shall have verification activities performed by a notified body.

6. The notified body shall manage the verification activities and shall in particular:

— verify that the test plan describes the integration of information exchanges supporting the process of notification,
coordination and transfer of flights and the process of civil-military coordination in the system tested in a
simulated operational and technical environment,

— verify that the test plan provides full coverage of the interoperability and performance, quality of service and safety

requirements of this Regulation,

— ensure the consistency and quality of the technical documentation and the test plan,

— plan the test organisation, staff, installation and configuration of the test platform,

— perform the inspections and tests as specified in the test plan,

— write the report presenting the results of inspections and tests.

7. The notified body shall ensure that the implementation of information exchanges supporting the process of notifi-
cation, coordination and transfer of flights and the process of civil-military coordination,
integrated in systems
operated in a simulated operational environment meets the interoperability and performance, quality of service and
safety requirements of this Regulation.

8. Upon satisfying completion of verification tasks, the notified body shall draw up a certificate of conformity in relation

to the tasks it carried out.

9. Then, the air navigation service provider shall draw up the EC declaration of verification of system and submit it to the
file as requested by Article 6 of the interoperability

national supervisory authority together with the technical
Regulation.

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ANNEX V

Conditions referred to in Article 8

1. The air navigation service provider must have in place reporting methods within the organisation which ensure and

demonstrate impartiality and independence of judgement in relation to the verification activities.

2. The air navigation service provider must ensure that the personnel involved in verification processes, carry out the
checks with the greatest possible professional integrity and the greatest possible technical competence and are free of
any pressure and incentive, in particular of a financial type, which could affect their judgment or the results of their
checks, in particular from persons or groups of persons affected by the results of the checks.

3. The air navigation service provider must ensure that the personnel involved in verification processes, have access to

the equipment that enables them to properly perform the required checks.

4. The air navigation service provider must ensure that the personnel involved in verification processes, have sound
technical and vocational training, satisfactory knowledge of the requirements of the verifications they have to carry
out, adequate experience of such operations, and the ability required to draw up the declarations, records and reports
to demonstrate that the verifications have been carried out.

5. The air navigation service provider must ensure that the personnel involved in verification processes, are able to
perform their checks with impartiality. Their remuneration shall not depend on the number of checks carried out, or
on the results.