Commission Regulation (EC) No 262/2009 of 30 March 2009 laying down requirements for the coordinated allocation and use of Mode S interrogator codes for the single European sky (Text with EEA relevance)
Date: 2009-03-30
Institutions: European Commission
Subjects: Eurocontrol, air safety, air traffic, disclosure of information, exchange of information

L 84/20

EN

Official Journal of the European Union

31.3.2009

COMMISSION REGULATION (EC) No 262/2009

of 30 March 2009

laying down requirements for the coordinated allocation and use of Mode S interrogator codes for
the single European sky

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

(5)

Having regard to the Treaty
Community,

establishing the European

Initially, for technical reasons, only interrogator identifier
codes (hereinafter II codes) 0 to 15 were defined and
used as
expected
number of Mode S interrogators, measures were later
taken to allow the use of additional surveillance identifier
codes (hereinafter SI codes) 1 to 63.

codes. Due

interrogator

to the

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
Regulation) (1)
(the
particular
Article 3(5) thereof,

interoperability

and

in

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)

(3)

(4)

Mode S (Select) is a cooperative surveillance technique for
air traffic control. It enables the selective interrogation of
aircraft and the extraction of air derived data through
functionalities can
which new air traffic management
be developed. The design of
supporting
addressing individual aircraft through the Mode S (here­
inafter Mode S interrogators) requires the use of Mode S
interrogator codes for the detection and surveillance of
aircraft equipped with a Mode S transponder.

systems

To secure the safety of the air traffic surveillance system,
it is essential that the radar coverage areas of two Mode S
interrogators using the same interrogator code do not
overlap, except if they are grouped in a cluster or if
other appropriate operational mitigations are in place.

In order to support the deployment of an increasing
number of Mode S interrogators and to resolve the
interrogator
problems resulting from the shortage of
codes available for the interrogation of aircraft, there is
a need to coordinate the allocation and use of those
interrogator codes efficiently.

Eurocontrol has been mandated in accordance with
Article 8(1) of Regulation (EC) No 549/2004 to
the allocation and use of
develop requirements
interrogator
Mode S interrogator
codes). This Regulation is based on the
resulting
mandate report of 2 January 2008.

for
codes

(hereinafter

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

(6)

(7)

(8)

(9)

Normally, the use of SI codes requires that all Mode S
targets within the coverage of Mode S interrogators are
equipped for this purpose. However, specifications were
developed by Eurocontrol
for an II/SI code operation
which would enable the early use of SI codes by Mode
S interrogators even in an environment where all Mode S
targets would not be equipped for the use of SI codes.
Mode S operators should therefore be required to accom­
modate this II/SI code operation.

code

code
interrogator

allocation service,
A centralised interrogator
provided through the
allocation
system, has been established under the authority of Euro­
control. Member States should be required to take the
necessary measures to ensure that the interrogator code
allocation system delivers information supporting the
consistency of the key items of an interrogator code
allocation. These key items should be clearly identified.

Common procedures should be defined to ensure that
the interrogator code allocations
the key elements of
are properly implemented. They should take
into
the International Civil
account relevant provisions of
Aviation Organisation (hereinafter ICAO).

Mode S operators and air traffic service providers should
take appropriate measures to detect and mitigate the
effect of possible conflicts between interrogator codes.

(10)

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

(11) A limited number of interrogator codes is reserved for
exclusive use and management by military entities,
including intergovernmental organisations,
in particular
the North Atlantic Treaty Organisation. Mode S interro­
gators using these codes therefore do not need to be
subject to the coordinated allocation process. Member
States
the
necessary measures to ensure that the use of these inter­
rogator codes has no detrimental impact on the safety of
general air traffic.

should however be

to take

required

31.3.2009

EN

Official Journal of the European Union

L 84/21

(12)

(13)

(14)

Interrogator code 0 has been reserved by ICAO for
operation without an assigned code. Mode S interro­
gators using interrogator code 0 in accordance with the
ICAO Standards and Recommended Practices do not
need to be subject to the coordinated allocation process.

II code 14 has been reserved for shared use by test
systems. Mode S target detection cannot be guaranteed
when several test systems operate concurrently. Mode S
test systems operators who need to conduct temporary
situation should
trials necessitating a
conflict
therefore
coordination with
ensure proper bilateral
other Mode S test system operators.

free

code

centralised interrogator

The
allocation service
should make available to Member States and Mode S
operators and update as required an interrogator code
allocation plan ensuring safe and efficient use of inter­
rogator codes. The allocation plan should be approved by
Member States affected by its content.

HAS ADOPTED THIS REGULATION:

Article 1

Subject matter and scope

1.
This Regulation lays down requirements for the coord­
inated allocation and use of Mode S interrogator codes (here­
inafter interrogator codes)
for the purposes of the safe and
efficient operation of air traffic surveillance and civil-military
coordination.

This Regulation shall apply to eligible Mode S interro­
2.
gators and related surveillance systems, their constituents and
associated procedures, when supporting the coordinated allo­
cation or use of eligible interrogator codes.

Article 2

Definitions

For the purpose of this Regulation the definitions in Article 2 of
Regulation (EC) No 549/2004 shall apply.

(15) A mechanism should be defined to resolve situations
where approval of the interrogator code allocation plan
cannot be obtained in a timely fashion.

The following definitions shall also apply:

(16) With a view to maintaining or enhancing existing safety
levels of operations, Member States should be required to
the parties concerned carry out a safety
ensure that
assessment,
risk
including
assessment and mitigation processes. Harmonised im­
plementation of these processes to the systems covered
by this Regulation requires the identification of specific
and
for
safety
performance requirements.

interoperability

identification,

requirements

hazard

all

(17)

(18)

(19)

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

The level of maturity of the market for the constituents
their
to which this Regulation applies is such that
conformity or suitability for use can be satisfactorily
assessed through internal production control, using
procedures based on Module A of Decision No
768/2008/EC of
the
Council of 9 July 2008 on a common framework for
the marketing of products,
and repealing Council
Decision 93/465/EEC (1).

the European Parliament and of

The measures provided for in this Regulation are in
accordance with the opinion of
Sky
Committee,

Single

the

1.

2.

3.

4.

5.

6.

‘Mode S interrogator’ means a system, composed of
antenna and electronics, supporting addressing of individual
aircraft through the Mode Select, known as Mode S;

‘interrogator code’ means either an interrogator identifier or
a surveillance identifier code used for multisite lockout and
possibly communication protocols;

‘interrogator identifier code’ (hereinafter II code) means a
Mode S interrogator code with a value in the range from 0
to 15 that can be used for both multisite lockout and
communications protocols;

‘surveillance identifier code’ (hereinafter SI code) means a
Mode S interrogator code with a value in the range from 1
to 63 that can be used for multisite lockout protocols, but
cannot be used for multisite communications protocols;

‘multisite lockout’ means the protocol that allows Mode S
target acquisition and lockout by several Mode S interro­
gators that have overlapping coverage;

‘multisite communications protocols’ means the protocols
used to coordinate, in areas of overlapping Mode S inter­
communications
rogators
performed in more than one transaction;

coverage,

control

the

of

(1) OJ L 218, 13.8.2008, p. 82.

7.

‘Mode S target’ means a platform equipped with a Mode S
transponder;

L 84/22

EN

Official Journal of the European Union

31.3.2009

8.

9.

‘lockout’ means the protocol that allows the suppression of
Mode S all call replies from already acquired Mode S
targets;

(b) the interrogator locks out acquired Mode S targets in
reply to Mode S all call interrogations, permanently or
intermittently, in part or totality of its coverage; or

‘Mode S operator’ means
a person, organisation or
enterprise operating or offering to operate a Mode S inter­
rogator, including:

(c)

interrogator

the
uses multisite
protocols for data link applications;

communications

(a) air navigation service providers;

16.

‘eligible interrogator code’ means any code among the II
codes and the SI codes, except:

(b) Mode S interrogators manufacturers;

(a)

II code 0;

(c) airport operators;

(d) research establishments;

(b) the interrogator code(s) reserved for military entities,
including intergovernmental organisations in particular
North Atlantic Treaty Organisation management and
allocation;

(e) any other entity entitled to operate a Mode S inter­

rogator;

17.

‘Mode S all call interrogations’ means the messages that are
normally used by Mode S interrogators to acquire Mode S
targets entering their coverage area;

10.

‘interrogator code allocation’ means a definition of values
for at least all the key items of an interrogator code allo­
cation as listed in Annex II, Part B;

18.

‘operational
rogator code other than II code 14;

interrogator code’ means any eligible inter­

19.

‘competent Member State’ means:

11.

interrogator code allocation (hereinafter

‘interrogator code allocation system’ means a system within
the European Air Traffic Management Network, and the
associated procedures, through which a centralised service
of
interrogator
code allocation service), dealing with the processing of
interrogator code applications and the distribution of an
interrogator code allocation plan proposal, is provided to
Mode S operators through Member States;

12.

‘interrogator code application’ means an application from a
Mode S operator for the allocation of an interrogator code;

13.

code

allocation plan proposal’ means

‘interrogator
a
proposal for a complete set of IC allocations, submitted
by the interrogator code allocation service for approval
by Member States;

14.

‘interrogator code allocation plan’ means the most recently
approved complete set of interrogator code allocations;

15.

‘eligible Mode S interrogator’ means a Mode S interrogator
for which at
the following conditions is
satisfied:

least one of

(a)

the interrogator relies, at least partly, on Mode S all call
interrogations and replies for Mode S targets acqui­
sition; or

(a)

in the case of an air navigation service provider, the
Member State
in
accordance with Commission Regulation (EC) No
2096/2005 (1);

certified the provider

that has

(b) in other cases, the Member State within the area of
responsibility of which the Mode S operator operates,
or intends to operate, an eligible Mode S interrogator;

‘interrogator code conflict’ means uncoordinated coverage
overlap of two or more Mode S interrogators operating on
the same interrogator code, potentially resulting in aircraft
remaining undetected by at least one of the Mode S inter­
rogators;

‘monitoring of interrogator code conflict’ means the im­
plementation, by a Mode S operator, of
technical or
procedural means, for identifying the effects of interrogator
code conflicts with other Mode S interrogators on the
surveillance data provided by its own Mode S interrogators;

sequence’ means

‘implementation
time-bounded
sequence of
interrogator code allo­
cations with which Mode S operators need to comply to
avoid temporary interrogator code conflicts;

implementation of

the

20.

21.

22.

(1) OJ L 335, 21.12.2005, p. 13.

31.3.2009

EN

Official Journal of the European Union

L 84/23

23.

‘matching II code’ means the II code decoded by a Mode S
transponder not supporting SI codes, in a Mode S all call
interrogation containing an SI code, and which is used by
this transponder to encode the all call reply;

code
through the
them available
system for coordination. The validity check shall
key items listed in Annex II, Part A.

interrogator

allocation
include the

24.

‘lockout map’ means the Mode S interrogator configuration
file defining where and how to apply lockout to Mode S
targets.

Article 3

Interoperability and performance requirements

Mode S operators shall ensure that the radar head electronics
constituent of their Mode S interrogators using an operational
interrogator code:

2. Member States shall take the necessary measures to ensure
that the interrogator code allocation system:

(a) checks interrogator code applications for compliance with

the format and data conventions;

(b) checks

interrogator code applications

for completeness,

accuracy and timeliness;

(c) within maximum six calendar months from application:

1. support the use of SI codes and II codes in compliance with
the International Civil Aviation Organisation provisions
specified in Annex I point 1;

(i) performs interrogator code allocation plan update simu­

lations on the basis of the pending applications;

2. support the use of II/SI code operation in compliance with

the requirements specified in Annex III.

(ii) prepares a proposed update of the interrogator code
allocation plan for approval by the Member States
affected by it;

Article 4

Associated procedures for Mode S operators

1. Mode S operators shall only operate an eligible Mode S
if they have
interrogator, using an eligible interrogator code,
received an interrogator code allocation,
this purpose,
from the competent Member State.

for

2. Mode S operators intending to operate, or operating, an
eligible Mode S interrogator for which no interrogator code
allocation has been provided, shall submit an interrogator
code application to the competent Member State, in accordance
with the requirements specified in Annex II, Part A.

3. Mode S operators shall comply with the key items of the
interrogator code allocations they receive as listed in Annex II,
Part B.

4. Mode S operators shall
inform the competent Member
State at least every six months of any change in the installation
planning or in the operational status of the eligible Mode S
interrogators regarding any of the interrogator code allocation
key items listed in Annex II, Part B.

5. Mode S operators shall ensure that each of their Mode S
interrogators uses exclusively its allocated interrogator code.

(iii) ensures that the proposed update to the interrogator
to the greatest extent
code allocation plan meets
possible,
the inter­
rogator code applications, as described by key items
(g), (h) and (i) listed in Annex II, Part A;

requirements of

the operational

(iv) updates, and communicates to Member States the inter­
its
rogator code allocation plan immediately after
approval, without prejudice to national procedures for
the communication of information on Mode S interro­
gators operated by military.

3.
Changes in the interrogator code allocation plan shall be
subject to the approval of all the Member States affected by the
update of the plan.

In case of disagreement on the changes referred to in
4.
paragraph 3 of
the Member States concerned
shall bring the matter to the Commission for action. The
in accordance with the procedure
Commission shall act
referred to in Article 5(2) of Regulation (EC) No 549/2004.

this Article,

5. Member States referred to in paragraph 3 shall ensure that
their interrogator code allocation plan approvals are commu­
nicated to other Member States through the interrogator code
allocation system.

Article 5

Associated procedures for Member States

1. Member States shall check the validity of interrogator code
applications received from Mode S operators, before making

6. Member States referred to in paragraph 3 shall ensure that
interrogator code allocation changes resulting from an update
to the interrogator code allocation plan are communicated to
the relevant Mode S operators under their authority within 14
calendar days of the reception of the updated allocation plan.

L 84/24

EN

Official Journal of the European Union

31.3.2009

7. Member States shall make available to other Member
States at least every six months through the interrogator code
allocation system an up-to-date record of the allocation and use
of interrogator code by the eligible Mode S interrogators within
their area of responsibility.

8. Where an overlap exists between the coverage of a Mode
S interrogator located within the area of responsibility of a
Member State and the coverage of a Mode S interrogator
located within the area of responsibility of a third country,
the Member State concerned shall:

(a) ensure that

the third country is informed of

requirements related to the allocation and use of
rogator codes;

the safety
inter­

(b) take the necessary measures to coordinate the use of inter­

rogator codes with the third country.

Article 6

Associated procedures for air traffic service providers

Air traffic service providers shall not use data from Mode S
interrogators operating under
the responsibility of a third
country if the interrogator code allocation has not been coor­
dinated.

Article 7

Contingency requirements

1.
Air traffic service providers shall assess the possible impact
on air traffic services of interrogator code conflicts, and the
loss of Mode S target surveillance
corresponding potential
taking into
data from the impacted Mode S interrogators,
account
available
operational
redundancy.

requirements

their

and

Unless the potential loss of Mode S target surveillance data
2.
has been assessed to have no safety significance, Mode S
operators shall:

(a)

implement monitoring means to detect interrogator code
conflicts caused by other Mode S interrogators impacting
eligible Mode S interrogators they operate on any operation­
al interrogator code;

(b) ensure that the interrogator code conflict detection provided
by the implemented monitoring means is achieved in a
timely manner and within a coverage that satisfy their
safety requirements;

(c)

identify and implement as appropriate, a fallback mode of
operation to mitigate the possible interrogator code conflict
identified in the
code,
hazards on any operational
assessment referred to in paragraph 1;

(d) ensure that the implemented fallback mode of operation
does not create any interrogator code conflict with other

Mode S interrogators referred to by the interrogator code
allocation plan.

3. Mode S operators shall report any identified interrogator
conflict involving an eligible Mode S interrogator they operate
on any operational interrogator code to the competent Member
State and shall make available, through the IC allocation system,
the related information to the other Mode S operators.

Article 8

Civil-military coordination

1. Member States shall take the necessary measures to ensure
that military units operating eligible Mode S interrogators on
any other interrogator code than II code 0 and other codes
reserved for military management, comply with Articles 3 to
7 and Article 12.

2. Member States shall take the necessary measures to ensure
that military units, operating Mode S interrogators on II code 0
or other interrogator codes reserved for military management,
monitor the exclusive use of these interrogator codes, to avoid
the uncoordinated use of any eligible interrogator code.

3. Member States shall take the necessary measures to ensure
that the allocation and use of interrogator codes for military
units has no detrimental
impact on the safety of general air
traffic.

Article 9

Safety requirements

1. Mode S operators shall ensure that potential interrogator
code conflict hazards affecting their Mode S interrogators are
properly assessed and mitigated.

2. Member States shall take the necessary measures to ensure
that any changes
to the existing systems and associated
procedures referred to in Article 1(2) or the introduction of
such new systems and procedures are preceded by a safety
risk assessment
assessment,
and mitigation, conducted by the parties concerned.

including hazard identification,

3.
For the purposes of the safety assessment provided for in
paragraph 2, the requirements specified in Articles 4 to 8 and
Article 12 shall also be
considered as minimum safety
requirements.

Article 10

Conformity assessment

Before issuing an EC declaration of conformity or suitability for
use as referred to in Article 5 of Regulation (EC) No 552/2004,
manufacturers of constituents, or their authorised represen­
tatives established in the Community, of the systems referred
to in Article 1(2) of this Regulation shall assess the conformity
or suitability for use of those constituents in compliance with
the requirements set out in Annex IV, Part A to this Regulation.

31.3.2009

EN

Official Journal of the European Union

L 84/25

Article 11

Verification of systems

1.
Air navigation service providers which can demonstrate or
have demonstrated that they fulfil the conditions set out in
Annex V shall conduct a verification of the systems referred
to in Article 1(2) in compliance with the requirements set out
in Annex VI, Part A.

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). This verification shall be conducted
in compliance with the requirements set out in Annex VI, Part
B.

Article 12

Additional requirements

(c) ensure that the working methods and operating procedures
required for the implementation of interrogator code allo­
cations comply with the relevant provisions specified in this
Regulation.

3. Member States shall take the necessary measures to ensure
that the personnel providing the interrogator code allocation
service are made duly aware of the relevant provisions of this
Regulation and that they are adequately trained for their job
functions.

4. Member States shall take the necessary measures to ensure
that the centralised interrogator code allocation service:

(a) develops and maintains operations manuals containing the
necessary instructions and information to enable their
personnel to apply the provisions of this Regulation;

1. Mode S operators shall ensure that their personnel
in
charge of the implementation of interrogator code allocations
are made duly aware of the relevant provisions in this Regu­
job
lation and that
functions.

they are adequately trained for

their

2. Mode S operators shall:

(a) develop and maintain Mode S operations manuals, including
the necessary instructions and information to enable their
personnel in charge of the implementation of interrogator
code allocations to apply the provisions of this Regulation;

(b) ensure that

the manuals

(a) are
accessible and kept up-to-date and that their update and
distribution are subject to appropriate quality and documen­
tation configuration management;

referred to in point

(b) ensures that

the manuals referred to in point

(a) are
accessible and kept up-to-date and that their update and
distribution are subject to appropriate quality and documen­
tation configuration management;

(c) ensures that the working methods and operating procedures
comply with the relevant provisions specified in this Regu­
lation.

Article 13

Entry into force and application

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

Article 3 shall apply from 1 January 2011.

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

Done at Brussels, 30 March 2009.

For the Commission

Antonio TAJANI
Vice-President

L 84/26

EN

Official Journal of the European Union

31.3.2009

ANNEX I

International Civil Aviation Organisation provisions referred to in Article 3(1) and Annex III point 2
1. Chapter 3 ‘Surveillance radar systems’, Section 3.1.2.5.2.1.2 ‘IC: Interrogator code’ of ICAO Annex 10 ‘Aeronautical
Telecommunications’, Volume IV ‘Surveillance Radar and Collision Avoidance Systems’ (Third Edition, July 2002,
incorporating Amendment 77).

2. Chapter 5, ‘SSR Mode S Air-Ground Data Link’, Section 5.2.9 ‘The data link capability report format’ of ICAO Annex

10 ‘Aeronautical Telecommunications’, Volume III ‘Communication Systems’ (First Edition, Amendment 79).

31.3.2009

EN

Official Journal of the European Union

L 84/27

ANNEX II

Part A: Requirements concerning the application for interrogator codes referred to in Articles 4(2), 5(1) and
5(2)

An IC application shall include the following key items, as a minimum:

(a) a unique application reference from the competent Member State;

(b) full details of the Member State representative responsible for the coordination of the Mode S IC Allocation;

(c)

full details of the Mode S operator point of contact for Mode S IC Allocation matters;

(d) Mode S interrogator name;

(e) Mode S interrogator use (operational or test);

(f) Mode S interrogator location;

(g) Mode S interrogator planned date of first Mode S transmission;

(h) requested Mode S coverage;

(i)

specific operational requirements;

(j) SI code capability;

(k)

‘II/SI code operation’ capability;

(l) coverage map capability.

Part B: Requirements concerning the allocation of interrogator codes referred to in Articles 2(10), 4(3) and 4(4)

An IC allocation shall include the following minimum items:

(a)

the corresponding application reference from the competent Member State;

(b) a unique allocation reference from the IC allocation service;

(c) superseded allocation references, as required;

(d) allocated IC;

(e) surveillance and lockout coverage restrictions under the form of sectored ranges or Mode S coverage map;

(f)

implementation period during which the allocation needs to be registered into the Mode S interrogator identified in
the application;

(g)

implementation sequence which needs to be complied with;

(h) optionally and associated with other alternatives: cluster recommendation;

(i)

specific operational restrictions, as required.

L 84/28

EN

Official Journal of the European Union

31.3.2009

ANNEX III

II/SI code operation referred to in Article 3(2)

1. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall

also acquire targets through all call replies which are encoded using the matching II code.

2. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall
consider transponders replying with all call replies encoded using the matching II code as non-SI equipped trans­
ponders, irrespectively of the SI capability reported in the data link capability report defined in the document referred
to in Annex I point 2.

3. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall
interrogate transponders lacking SI code capability using the Mode S multisite lockout protocol messages foreseen for
II code operation. The II code to be used shall be the matching II code.

4. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall be

configurable by the operator to either:

— not use lockout on the matching II code for transponders lacking SI code capability, or

— use intermittent lockout on the matching II code for transponders lacking SI code capability.

5. Mode S interrogators, when operating with an II code and if enabled by an appropriate operational parameter, shall be

configurable by the operator to either:

— not use lockout for transponders which report no SI capability in their data link capability report or cannot report

their data link capability, or

— use intermittent lockout for transponders which report no SI capability in their data link capability report or

cannot report their data link capability.

6. When the II/SI code operation is activated, the lockout maps shall not be taken into account for transponders lacking

SI code capability.

31.3.2009

EN

Official Journal of the European Union

L 84/29

ANNEX IV

Part A: Requirements for the assessment of the conformity or suitability for use of constituents of the systems
referred to in Article 10

1. The verification activities shall demonstrate the conformity of constituents supporting II code and SI code lockout
protocols and II/SI code operation with the interoperability and performance requirements of this Regulation, or their
suitability for use whilst these constituents are in operation in the test environment.

2. The application by the manufacturer, or its authorised representative established in the Community, of the module
described in Part B shall be considered as an appropriate conformity assessment procedure to ensure and declare the
compliance of constituents. Equivalent or more stringent procedures are also authorised.

Part B: Internal production control module

1. This module describes the procedure whereby the manufacturer or its authorised representative established in the
Community who carries out the obligations laid down in point 2, ensures, and declares that the constituents
concerned satisfy the requirements of this Regulation. The manufacturer or his authorised representative established
within the Community must draw up a written declaration of conformity or suitability for use in accordance with
Annex III point 3 of Regulation (EC) No 552/2004.

2. The manufacturer must establish the technical documentation described in point 4 and he or his authorised rep­
resentative established within the Community must keep it for a period ending at least 10 years after the last
constituents has been manufactured at the disposal of the relevant national supervisory authorities for inspection
purposes and at the disposal of the air navigation service providers that integrate these constituents in their systems.
The manufacturer or its authorised representative established within the Community shall inform the Member States
on where and how the above technical documentation can be made available.

3. Where the manufacturer is not established within the Community, he shall designate the person(s) who place(s) the
inform the Member States on where and how the

constituents on the Community market. These person(s) shall
technical documentation can be made available.

4. Technical documentation must enable the conformity of the constituents with the requirements of this Regulation to
be assessed. It must, as far as relevant for such assessment, cover the design, manufacture and operation of the
constituents.

5. The manufacturer or his authorised representative must keep a copy of the declaration of conformity or suitability for

use with the technical documentation.

L 84/30

EN

Official Journal of the European Union

31.3.2009

ANNEX V

Conditions referred to in Article 11

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 of such checks.

31.3.2009

EN

Official Journal of the European Union

L 84/31

ANNEX VI

Part A: Requirements for the verification of systems referred to in Article 11(1)

1. The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance,
contingency and safety requirements of this Regulation in an assessment environment that reflects the operational
context of these systems. In particular, the verification of Mode S interrogators shall demonstrate:

— the correct operation on an SI code, including II/SI code operation,

— that the combination of IC conflict monitoring systems and/or procedures, and fallback mode of operation

properly mitigate the IC conflict hazards,

— that the fallback mode of operation does not conflict with the IC allocation plan.

2. The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised

testing practices.

3. Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities.

4. The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file

required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements:

— description of the implementation,

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

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

— determine the appropriate operational and technical assessment environment reflecting the operational environ­

ment,

— verify that the test plan describes the integration of systems identified in Article 1(2) in an operational and

technical assessment environment,

— verify that the test plan provides full coverage of the applicable interoperability, performance, contingency 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 systems identified in Article 1(2) operated in an operational
assessment environment meet the interoperability, performance, contingency and safety requirements of this Regu­
lation.

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 required by Article 6 of Regulation (EC) No 552/2004.

Part B: Requirements for the verification of systems referred to in Article 11(2)

1. The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance,
contingency and safety requirements of this Regulation in an assessment environment that reflects the operational
context of these systems. In particular, the verification of Mode S interrogators shall demonstrate:

— the correct operation on an SI code, including II/SI code operation,

L 84/32

EN

Official Journal of the European Union

31.3.2009

— that the combination of IC conflict monitoring systems and fallback mode of operation properly mitigate the IC

conflict hazards,

— that the fallback mode of operation does not conflict with the IC Allocation plan.

2. The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised

testing practices.

3. Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities.

4. The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file

required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements:

— description of the implementation,

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

5. The air navigation service provider shall determine the appropriate operational and technical assessment 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:

— determine the appropriate operational and technical assessment environment reflecting the operational environ­

ment,

— verify that the test plan describes the integration of systems identified in Article 1(2) in an operational and

technical assessment environment,

— verify that the test plan provides full coverage of the applicable interoperability, performance, contingency 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 allocation
and use of Mode S IC, integrated in systems operated in a simulated operational environment meets the interoper­
ability, performance, contingency 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 required by Article 6 of Regulation (EC) No

national supervisory authority together with the technical
552/2004.