Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on the implementation of the Single European Sky (recast)
Date: 2013-06-11
Institutions: European Commission
Subjects: Eurocontrol, European Aviation Safety Agency, International Civil Aviation Organisation, air safety, air space, air traffic, air traffic control, civil aviation, competitiveness

EUROPEAN 
COMMISSION 

Strasbourg, 11.6.2013  
COM(2013) 410 final 

2013/0186 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

 on the implementation of the Single European Sky 

(recast) 

(Text with EEA relevance) 

{SWD(2013) 206 final} 
{SWD(2013) 207 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

The Single European Sky (SES) initiative aims to improve the overall efficiency of the way in 
which  European  airspace  is  organised  and  managed  through  a  reform  of  the  industry 
providing  air  navigation  services  (ANS).  Its  development  has  involved  two  comprehensive 
legislative  packages  –  SES  I  and  SES  II  composed  of  four  regulations1  –  and  over  20 
Commission implementing rules and decisions2. The framework of the four SES regulations 
is  intertwined  with  the  development  of  the  European  Aviation  Safety  legislation3,  the  latter 
comprising  a  number  of  tasks  entrusted  to  the  European  Aviation  Safety  Agency  (EASA)4 
and  the  launch  of  a  comprehensive  project  to  modernise  equipment  and  systems  for  air 
navigation services under the SESAR title5. Existing rules touch upon five interrelated pillars 
addressing performance, safety, technology, the human factor and airports. 

The  experience  gained  with  SES  I  since  2004  and  SES  II  since  2009  has  shown  that  the 
principles  and  direction  of  the  SES  are  valid  and  warrant  a  continuation  of  their 
implementation.  However 
its 
implementation, notably in the achievement of the performance goals and the deployment of 
its  basic  elements  (such  as  functional  airspace  blocks  (FABs)  or  National  Supervisory 
Authorities (NSAs)). 

is  experiencing  significant  delays 

initiative 

the 

in 

In 2009, when adopting the SES II package, the legislator decided that SES II would be done 
in two stages and invited the Commission to come back to do an alignment of SES and EASA 
regulations  after  the  initial  set  of  EASA  implementing  measures  and  audit  experiences 
concerning  ANS  was  in  place6.  A  recast  of  the  legislative  package  was  therefore  already 
foreseen,  primarily  aiming  at  simplifying  and  clarifying  the  border  line  between  EASA  and 
SES legal frameworks. 

The  process  of  recast  also  gives  the  opportunity  to  assess  the  effectiveness  of  the  existing 
legal provisions in the light of the lack of timely implementation of the SES initiative. This 
process of revision of the SES legal framework, known under the abbreviation of SES 2+, is 
intended  to  accelerate  the  implementation  of  the  reform  of  air  navigation  services  without 
departing from its original objectives and principles. It is also part of the Single Market Act 

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The Framework  Regulation ((EC)  No 549/2004)  -  laying  down  the framework for  the  creation of  the 
Single European Sky; The Service Provision Regulation ((EC) No 550/2004) - on the provision of air 
navigation services in the Single European Sky; The Airspace Regulation ((EC) No 551/2004) - on the 
organisation and use of airspace in the Single European Sky; The Interoperability Regulation ((EC) No 
552/2004) - on the interoperability of the European Air Traffic Management network. 
An overview of SES legislation can be found in Annex III of the SES2+ Impact Assessment document. 
Regulation (EC) No 216/2008, as amended by Regulation (EC) No 1108/2009. 
Whereas  the  Commission  Roadmap  on  implementation  of  the  Joint  Statement  of  the  European 
Parliament,  the  Council  of  the  EU  and  the  European  Commission  on  decentralised  agencies,  of  July 
2012, requires the standardisation of the names of all EU Agencies to conform to the same format, for 
reasons  of  clarity,  this  explanatory  memorandum  uses  the  currently  existing  name  of  the  European 
Aviation Safety Agency (EASA) throughout the text. The text of the legislative proposal itself has been 
adapted  in  accordance  with  the  new  Joint  Statement  and  Roadmap  to  use  the  standardised  name 
"European Union Agency for Aviation (EAA)" 
Council Regulation (EC) No 219/2007; SESAR (the Single European Sky ATM Research Programme) 
is a technical pillar of SES - an ATM improvement programme involving all aviation. 
Regulation (EC) No 216/2008, (as amended by Regulation (EC) No 1108/2009) Art 65a. 

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II7  initiative  and  aims  hence  to  improve  the  general  competitiveness  and  growth  of  the  EU 
economy and not just that of the air traffic management system.  

The purpose of the  SES  2+ package is to introduce improvements in oversight  of rules, the 
performance scheme, the customer focus of the service providers and in overall performance.  

In addition, the SES 2+ package will simplify the legislation by eliminating certain overlaps 
in the existing framework. Concerns have been raised about several overlapping areas existing 
in the SES framework and there is also a need to clarify the roles of the various actors at EU-
level. This alignment between the four SES Regulations and the EASA Basic Regulation8, is a 
purely technical adaptation measure already required by the legislation. Due to the extent of 
overlap between the Regulations, a recast of the remaining parts of the four SES Regulations 
into one is a logical consequence of that adaptation.  

Problems addressed 

The first problem area addressed in SES2+ is the insufficient efficiency of Air Navigation 
ANS provision remains relatively inefficient in terms of cost- and flight efficiency as well as 
the capacity offered. This is highlighted by a comparison with the United States, which covers 
similar  sized  airspace.  In  the  US,  the  en-route  airspace  is  controlled  by  a  single  service 
provider  as  opposed  to  38  en-route  service  providers  in  Europe.  The  US  service  provider 
controls almost 70% more flights with 38% less staff. The main root causes for this difference 
in  productivity  in  Europe  are  the  shortcomings  in  setting  up  and  enforcing  the  performance 
scheme, ineffective supervisory authorities and the disproportionally high amount of support 
staff in the service providers. 

The  second  key  problem  addressed  is  a  fragmented  ATM  system.  The  European  ATM 
system consists of 27 national authorities overseeing in total over a hundred Air Navigation 
Service  Providers  (ANSPs),  with  the  associated  variance  in  systems,  rules  and  procedures. 
There is a large amount of additional costs caused by the fact that Europe has a large number 
of  service  providers,  each  procuring  their  own  systems,  mostly  training  their  own  staff, 
creating their own operating procedures and being limited territorially to providing services in 
a  small  airspace.  To  overcome  fragmentation,  the  SES  has  introduced  the  ideas  of  cross-
border  Functional  Air  Blocks  (FABs)  and  the  centralised  Network  Manager  to  run  certain 
network  level  services.  However,  FABs  are  not  yet  performance  oriented  and  the  Network 
Manager remains too weak. 

General objective: 

To  improve  the  competitiveness  of  the  European  air  transport  system  vis-à-vis  other 
comparable regions and in particular to develop further the Single European Sky initiative. 

Specific objectives: 

•  To improve the performance of air traffic services in terms of efficiency. 
•  To improve the utilisation of air traffic management capacity. 

Operational objectives: 

•  To ensure that the provision of Air Navigation Services is transparent, based on market 

principles and customer value. 

•  To strengthen the role of the National Supervisory Authorities. 

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COM(2012) 573 final. 
Regulation (EC) No 216/2008. 

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•  To strengthen the process of setting up targets and enforcing the performance scheme 
(including  the  reinforcement  of  the  Performance  Review  Body/Performance  Review 
Unit (PRB/PRU). 

•  To undertake a strategic redirection of Functional Airspace Blocks. 
•  To strengthen the governance and operational scope of the Network Manager. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENTS 

A three-month public consultation was performed between September and December 2012 on 
the DG MOVE website. In addition two high-level events – a conference in Limassol and a 
hearing in Brussels – have been organised and numerous bilateral meetings with all affected 
stakeholders have taken place to support the preparation of this initiative. 

An impact assessment (IA) has been prepared by DG MOVE to support legislative proposals 
on improving efficiency, safety and competitiveness of the Single European Sky. The package 
proposes  revising  the  four  SES  Regulations  ((EC)  Nos  549-552/2004,  as  amended  by 
Regulation  (EC)  No  1070/2009)  and  the  EASA  Basic  Regulation  (Regulation  (EC)  No 
216/2008,  as  amended  by  Regulation  (EC) No 1108/2009)9. This initiative concerns agenda 
planning number (EU) No 2014/MOVE/001. The impact assessment roadmap has also been 
published on the website of the Commission10. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Recast (throughout the Regulation) 

The four SES Regulations have been merged into a single regulation, which has necessitated a 
number of changes throughout them. The new rule is structured in five chapters based on the 
actors concerned: 

- Chapter I: General provisions 

- Chapter II: National authorities 

- Chapter III: Service provision 

- Chapter IV: Airspace 

- Chapter V: Final provisions 

In  addition,  some  of  the  contents  which  overlapped  with  the  existing  Regulation  (EC)  No 
216/2008 have been removed from the SES Regulations and certain small details from these 
removed  sections  have  been  reproduced  in  Regulation  (EC)  No  216/2008,  in  order  to 
underline  the  continuity  of  approach.  Most  provisions  have  been  removed  from  Regulation 
(EC) No 552/2004, which  is now  deleted in  its  entirety,  except  for  certain details related to 
Annex I on notified bodies, which have been merged with the annex on qualified entities, as 
well as some general descriptive paragraphs in Annex II, which are reproduced in Annex Vb 
of Regulation (EC) No 216/2008 to stress the need for continuing existing policies. 

In  line  with  the  view  that  the  Commission  should  focus  on  economic  regulation  and  in 
particular  on  the  performance  scheme  and  SESAR,  whereas  EASA(now  EAA,  under  the 

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As mentioned above, the amendments to the EASA Basic Regulation will be of a technical nature and 
therefore will not be analysed in the IA context. 
http://ec.europa.eu/governance/impact/planned_ia/roadmaps_2013_en.htm#MOVE . 

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agreement  on  standardisation  of  Agencies)  supports  the  process  through  co-ordinating  all 
technical rule drafting, a new Article 28 has been added to describe the manner in which the 
consistency between SESAR policies and new technical rules can be ensured. 

Finally, the new rules on implementing and delegated acts stemming from the Lisbon Treaty 
have been included throughout the Regulation. 

3.2. 

National authorities (Articles 3, 4 and 5 and Article 2, definition 36) 

One  of  the  major  needs  for  action  identified  in the  impact  assessment  has  been  the  need  to 
strengthen the national authorities, both as regards their independence and their expertise and 
resources.  For  that  purpose  Article  3  describes  the  level  of  independence  required  from  the 
authorities  vis-à-vis  the  service  providers  they  are  intended  to  oversee.  Due  to  the  need  in 
some Member States to carry out some administrative reorganisation, a transitional period is 
also foreseen until 2020. Furthermore more explicit requirements are set on the competences 
and independence of the staff hired, as well as strengthening the independent funding of the 
authorities through the route charges scheme Article 14. 

To improve expertise amongst the authorities, a network of national authorities is foreseen in 
Article  5,  including  also  the  possibility  of  pooling  experts  so  that  States  may  benefit  of 
experts coming from other Member States. 

Finally, a definition of the term 'National Supervisory Authority' has been added, whereby it 
is clarified that for the purposes of this Regulation the competent authorities under Regulation 
(EC) No 216/2008 are considered to be National Supervisory Authorities, so that no second 
layer of administration is required. 

3.3. 

Performance and charging schemes (Articles 11, 12, 13 and 14) 

The Article 11 on performance scheme has been amended to rationalise the process of target 
setting  and  to  allow  focusing  of  target  setting  more  at  the  local  level.  This  allows  for  more 
educated tailored setting of targets.  

Small adjustments to support this have also been made to Articles 12 and 13 on charging and 
the  text  has  also  been  updated  so  that  the  provision  concerning  funding  of  authority  tasks 
covers also the extension of EASA under Regulation (EC) No 1108/2009 to perform some of 
those tasks. 

3.4. 

Functional Airspace Blocks (Article 16) 

The article was amended already under Regulation (EC) No 1070/2009 to give the functional 
airspace  blocks  (FABs)  more  of  a  performance  focus  and  this  process  is  continued  in  this 
revision.  The  FABs  should  not  be  seen  as  static  blocks  of  airspace,  but  as  industry-led 
initiatives  to  seek  improvements  in  overall  service  provision.  For  that  to  be  possible,  the 
industry needs to be given more flexibility to develop the FABs, even to devise different types 
of FABs, depending on where they expect to find the most synergies. Therefore the focus of 
the article is now more on flexible "industrial partnerships" and the measure of success will be 
the level of performance improvements achieved. 

3.5. 

Support services (Articles 10 and Article 2, definition 37) 

Since  analysis  has  shown  that  most  improvement  potential  exists  in  the  services  that  are 
provided to support the core air traffic services and since these services by their nature could 
also  be  provided  under  market  conditions,  the  former  Article  9  of  Regulation  (EC)  No 
550/2004  has  been  deleted  and  replaced  with  an  article  concerning  the  provision  of  support 
services  under  normal  public  procurement  rules.  The  core  air  traffic  services,  which  are 

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considered  to  be  natural  monopolies,  remain  under  the  requirement  to  designate  them,  but 
support services should be allowed to develop freely, using the full potential of expertise also 
from other sectors. A safeguard clause has been included, based on the model of Article 4 of 
Regulation  (EC)  No  1008/2008  to  ensure  vital  security  and  economic  interests  are  not 
endangered. A transitional period is foreseen until 2020. 

Finally, a definition of support services is included in Article 2 (37) to explain which services 
are targeted with this provision. 

3.6. 

Network Management (Articles 17 and Article 2, definitions 7, 9 and 10) 

The Article 17 on network management has been updated in two ways. First, the previously 
inconsistent  article  has  been  reorganised  to  bring  the  listing  of  all  of  the  services  that  the 
Network  Manager  provides  into  paragraph  2  and  elements  that  were  related  to  technical 
implementing rules on air traffic flow management – and hence not to the Network Manager 
itself  –  have  been  relocated  in  Annex  Vb  of  Regulation  (EC)  No  216/2008,  which  already 
included the relevant provisions concerning flow management rules. In connection with this, a 
reference to the aeronautical information portal has been added to paragraph 2 as this service 
is already to some extent integrated in the Network Manager, but not expressly mentioned in 
the Regulation. 

Secondly, the article has been revised to align it with the language used in Regulation (EC) 
No  1108/2009,  naming  the  "functions"  as  "services"  and  treating  the  Network  Manager 
consistently in the same manner as other service providers insofar as certification, oversight 
and safety requirements are concerned. The language of the relevant definitions has also been 
updated accordingly. 

Finally, a provision has been included in Article 17 to cover the further development of the 
Network Manager in the direction of an industrial partnership by 2020. 

3.7. 

Involvement of airspace users (Article 19) 

The  need  to  introduce  more  customer  focus  on  the  air  navigation  service  providers  was 
identified as one area of improvement in the impact assessment. A new Article 19 has been 
created  to  ensure  the  airspace  users  are  consulted  and  also  involved  in  the  approval  of 
investment plans. 

4. 

OPTIONAL ELEMENTS 

A  shorter  separate  explanatory  memorandum  has  been  created  to  accompany  the  proposed 
amendments to the EASA Basic Regulation, i.e. Regulation (EC) No 216/2008. 

The proposal has no impact on EU Budget, as all the functions addressed in it already exist 
today. 

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(cid:208) 549/2004 (adapted) 

2013/0186 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

laying down the framework for the creation of ⌦ on the implementation of ⌫ the 
sSingle European sSky 

(recast) 

(Text with EEA relevance) 

(cid:208) 549/2004 (adapted) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty ⌦ on  the  Functioning  of  the  European  Union ⌫  establishing 
the European Community, and in particular Article 80(2) ⌦ 100(2) ⌫ thereof, 
Having regard to the proposal from the European Commission11, 

After transmission of the draft legislative act to the national Parliaments, 
Having regard to the opinion of the European Economic and Social Committee12, 
Having regard to the opinion of the Committee of the Regions13, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(cid:216) new 

(1) 

Regulation (EC) No 549/2004 of 10 March  2004 laying down the  framework for  the 
creation  of  the  single  European  sky  (the  framework  Regulation)14,  Regulation  (EC) 
No 550/2004  of  10 March  2004  on  the  provision  of  air  navigation  services  in  the 
single  European  sky  (the  service  provision  Regulation)15,  Regulation  (EC) 
No 551/2004  of  10 March  2004  on  the  organisation  and  use  of  the  airspace  in  the 
single European sky (the airspace Regulation)16 and Regulation (EC) No 552/2004 of 
10 March 2004 on the interoperability of the European air traffic management network 

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15 
16 

OJ C 103 E, 30.4.2002, p. 1. 
OJ C 241, 7.10.2002, p. 24. 
OJ C 278, 14.11.2002, p. 13. 
OJ L 96, 31.3.2004, p. 1. 
OJ L 96, 31.3.2004, p. 10. 
OJ L 96, 31.3.2004, p. 20. 

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(the  interoperability  Regulation)17  have  been  substantially  amended.  Since  further 
amendments are to be made, they should be recast in the interests of clarity. 

(2) 

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

(cid:208) 549/2004 recital 1 

(cid:208) 549/2004 recital 2 (adapted) 

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

(cid:208) 1070/2009 recital 2 (adapted) 

(3) 

The adoption by the European Parliament and the Council of the first package of the 
single  European  sky  legislation,  namely,  Regulation  (EC)  No 549/2004  of  10 March 
2004  laying  down  the  framework  for  the  creation  of  the  single  European  sky  (the 
framework  Regulation),  Regulation  (EC)  No 550/2004  of  10 March  2004  on  the 
provision of air navigation services in the single European sky (the service provision 
Regulation), Regulation (EC) No 551/2004 of 10 March 2004 on the organisation and 
use  of  the  airspace  in  the  single  European  sky  (the  airspace  Regulation),  and 
Regulation  (EC)  No 552/2004  of  10  March  2004  on  the  interoperability  of  the 
European air traffic management network (the interoperability Regulation), laid down 
a firm legal basis for a seamless, interoperable and safe air traffic management (ATM) 
system.  

The  adoption  of  the  second  package,  namely,  Regulation  (EC)  No  1070/2009,  further 
strengthened  the  Single  European  Sky  initiative  by  introducing  the  performance 
scheme and the Network Manager concepts to further improve the performance of the 
European Air Traffic Management system 

(cid:216) new 

Regulation  (EC)  No  549/2004  of  the  European  Parliament  and  of  the  Council  of  10 March 
2004  (the  framework  Regulation)18  lays  down  the  framework  for  the  creation  of  the 
single European sky. 

(cid:208) 550/2004 recital 3 (adapted) 

17 
18 

OJ L 96, 31.3.2004, p. 26. 
See page 1 of this Official Journal. 

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Regulation  (EC)  No  549/2004  of  the  European  Parliament  and  of  the  Council  of  10 March 
2004  (the  framework  Regulation)19  lays  down  the  framework  for  the  creation  of  the 
single European sky.  

(cid:208) 551/2004 recital 4 (adapted) 

(cid:208) 551/2004 (adapted) 

(4) 

In Article 1 of the 1944 Chicago Convention on Civil Aviation, the Contracting States 
recognise that ‘every State has complete and exclusive sovereignty over the airspace 
above  its  territory’.  It  is  within  the  framework  of  such  sovereignty  that  the  Member 
States  of  the  Community  ⌦ Union ⌫ 
,  subject  to  applicable  international 
conventions, exercise the powers of a public authority when controlling air traffic.  

Regulation  (EC)  No  549/2004  of  the  European  Parliament  and  of  the  Council  of  10 March 
2004  (the  framework  Regulation)20  lays  down  the  framework  for  the  creation  of  the 
Single European Sky. 

(cid:208) 552/2004 recital 3 (adapted) 

(5) 

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

(cid:208) 1070/2009 recital 1 

(6) 

(7) 

(cid:208) 1070/2009 recital 37 

The  simultaneous  pursuit  of  the  goals  of  augmentation  of  air  traffic  safety  standards 
and improvement of the overall performance of ATM and ANS for general air traffic 
in Europe require that the human factor be taken into account. Therefore the Member 
States should consider the introduction of ‘just culture’ principles.  

(cid:208) 549/2004 recital 6 (adapted) 

The Member States have adopted a general statement on military issues related to the 
Single  European  Sky21.  According  to  this  statement,  Member  States  should,  in 
particular,  enhance  civil-military  cooperation  and,  if  and  to  the  extent  deemed 
necessary by all Member States concerned, facilitate cooperation between their armed 
forces in all matters of air traffic management.  

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21 

See page 1 of this Official Journal. 
See page 1 of this Official Journal. 
See page 9 of this Official Journal. 

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(cid:208) 549/2004 recital 3 

Smooth operation of the air transport system requires a consistent, high level of safety in air 
navigation services allowing optimum use of Europe's airspace and a consistent, high 
level  of  safety  in  air  travel,  in  keeping  with  the  duty  of  general  interest  of  air 
navigation services, including public service obligations. It should therefore be carried 
out to the highest standards of responsibility and competence. 

The single European sky initiative should be developed in line with the obligations stemming 
from the membership of the Community Union and its Member States of Eurocontrol, 
and  in  line  with  the  principles  laid  down  by  the  1944  Chicago  Convention  on 
International Civil Aviation. 

(cid:208) 549/2004 recital 4  

(8) 

Decisions  relating  to  the  content,  scope  or  carrying  out  of  military  operations  and 
training  do  not  fall  within  the  sphere  of  competence  of  the  Community  ⌦ Union 
under Article 100(2) of the Treaty on the Functioning of the European Union ⌫. 

(cid:208) 549/2004 recital 5 (adapted) 

Arrangements for greater cooperation over the use of Gibraltar airport were agreed in London 
on  2 December  1987  by  the  Kingdom  of  Spain  and  the  United  Kingdom  in  a  joint 
declaration  by  the  Ministers  of  Foreign  Affairs  of  the  two  countries.  Such 
arrangements have yet to enter into operation. 

(cid:208) 549/2004 recital 23 (adapted) 

(cid:208) 550/2004 recital 1 (adapted) 
(cid:214) new 

(9)  Member  States  have  restructured,  to  varying  degrees,  their  national  air  navigation 
service  providers  by  increasing  their  level  of  autonomy  and  freedom  to  provide 
services.  It  is  increasingly  necessary  to  ensure  that  (cid:214) a  well-functioning  common 
market exists for those services that can be provided under market conditions and  
minimum  public-interest  requirements  are  satisfied  (cid:214) for  those  services  that  are 
considered  natural  monopolies  under  current  technological  conditions   under  this 
new environment. 

(cid:208) 550/2004 recital 4 

In order to create the single European sky, measures should be adopted to ensure the safe and 
efficient provision of air navigation services consistent with the organisation and use 
of  airspace  as  provided  for  in  Regulation  (EC)  No  551/2004  of  the  European 
Parliament  and  of  the  Council  of  10 March  2004  on  the  organisation  and  use  of  the 
airspace in the single European sky (the airspace Regulation)22. The establishment of a 

22 

See page 20 of this Official Journal. 

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harmonised  organisation  for  the  provision  of  such  services  is  important  in  order  to 
respond  adequately  to  the  demand  of  airspace  users  and  to  regulate  air  traffic  safely 
and efficiently. 

The creation of the single European sky requires a harmonised approach for regulation of the 

organisation and the use of airspace. 

(cid:208) 551/2004 recital 1 

In  the  report  of  the  High  Level  Group  on  the  single  European  sky  in  November 2000  it  is 
considered that airspace should be designed, regulated and strategically managed on a 
European basis. 

(cid:208) 551/2004 recital 2 (adapted) 

The  Communication  of  the  Commission  on  the  creation  of  the  single  European  sky  of 
30 November  2001  calls  for  structural  reform  to  permit  the  creation  of  the  single 
European sky by way of a progressively more integrated management of airspace and 
the development of new concepts and procedures of air traffic management. 

(cid:208) 551/2004 recital 3 (adapted) 

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

(cid:208) 551/2004 recital 6 

Efficient  airspace  management  is  fundamental  to  increasing  the  capacity  of  the  air  traffic 
services system, to providing the optimum response to various user requirements and 
to achieving the most flexible use of airspace. 

(cid:208) 551/2004 recital 7 

(cid:208) 552/2004 recital 1 

In  order  to  create  the  Single  European  Sky,  measures  should  be  adopted  in  relation  to 
systems,  constituents  and  associated  procedures  with  the  objective  of  ensuring  the 
interoperability of the European air traffic management network (EATMN) consistent 
with  the  provision  of  air  navigation  services  as  provided  for  in  Regulation  (EC)  No 
550/2004  of  the  European  Parliament  and  of  the  Council  of  10 March  2004  on  the 
provision of air navigation services in the Single European Sky (the service provision 
Regulation)23  and  the  organisation  and  use  of  airspace  as  provided  for  in  Regulation 
(EC) No 551/2004 of the European Parliament and of the Council of 10 March 2003 

23 

See page 10 of this Official Journal. 

EN 

11 

   EN 

 
 
 
 
 
 
                                                 
on the organisation and use of the airspace in the Single European Sky (the airspace 
Regulation)24. 

(cid:208) 552/2004 recital 2 (adapted) 

The report of the High Level Group on the Single European Sky has confirmed the need to 
establish  technical  regulation  on  the  basis  of  the  ‘new  approach’  in  accordance  with 
the Council resolution of 7 May 1985 on a new approach to technical harmonisation 
and standards25 where essential requirements, rules and standards are complementary 
and consistent. 

(cid:208) 552/2004 recital 4 (adapted) 

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

Enhancing the level of integration at Community level would result in better efficiency  and 
lower  costs  for  system  procurement  and  maintenance  and  in  improved  operational 
coordination. 

(cid:208) 552/2004 recital 5  

(cid:208) 552/2004 recital 6  

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

(cid:208) 549/2004 recital 8) 

For all these reasons, and with a view to extending the single European sky to include a larger 
number  of  European  States,  the  Community  should,  while  taking  into  account  the 
developments  occurring  within  Eurocontrol,  lay  down  common  objectives  and  an 
action programme to mobilise the efforts by the Community, the Member States and 
the  various  economic  stakeholders  in  order  to  create  a  more  integrated  operating 
airspace: the single European sky. 

24 
25 

See page 20 of this Official Journal. 
OJ C 136, 4.6.1985, p. 1. 

EN 

12 

   EN 

 
 
 
 
 
                                                 
(cid:208) 549/2004 recital 24  

Since the objective of this Regulation, namely the creation of the single European sky, cannot 
be sufficiently achieved by the Member States, by reason of the transnational scale of 
the  action,  and  can  therefore  be  better  achieved  at  Community Union level,  while 
allowing for detailed implementing rules that take account of specific local conditions, 
the  Community  Union may  adopt  measures  in  accordance  with  the  principle  of 
subsidiarity  as  set  out  in  Article 5  of  the  Treaty.  In  accordance  with  the  principle  of 
proportionality as set out in that Article, this Regulation does not go beyond what is 
necessary in order to achieve this objective. 

Where  Member  States  take  action  to  ensure  compliance  with  Community  requirements,  the 
authorities performing verifications of compliance should be sufficiently independent 
of air navigation service providers. 

(cid:208) 549/2004 recital 9  

Air  navigation  services,  in  particular  air  traffic  services  which  are  comparable  to  public 
authorities, require functional or structural separation and are organised  according to 
very different legal forms in the various Member States. 

(cid:208) 549/2004 recital 10  

(cid:208) 549/2004 recital 11  

Where  independent  audits  are  required  relating  to  providers  of  air  navigation  services, 
inspections  by  the  official  auditing  authorities  of  the  Member  States  where  those 
services  are  provided  by  the  administration,  or  by  a  public  body  subject  to  the 
supervision  of  the  abovementioned  authorities,  should  be  recognised  as  independent 
audits, whether the audit reports drawn up are made public or not. 

(10)  To ensure the consistent and sound oversight of service provision across Europe, the 
national  supervisory  authorities  should  be  guaranteed  sufficient  independence  and 
resources.  This  independence  should  not  prevent  those  authorities  from  exercising 
their tasks within an administrative framework. 

(cid:208) 1070/2009 recital 9 

(cid:208) 1070/2009 recital 10 

(11)  National supervisory authorities have a key role to play in the implementation of the 
sSingle  European  sSky  and  the  Commission  should  therefore  facilitate  cooperation 
among  them  in  order  to  enable  the  exchange  of  best  practices  and  to  develop  a 
common  approach,  including  through  enhanced  cooperation  at  regional  level.  This 
cooperation should take place on a regular basis. 

EN 

13 

   EN 

 
 
 
 
 
 
Member  States  are  responsible  for  monitoring  the  safe  and  efficient  provision  of  air 
navigation  services  and  for  the  control  of  compliance  by  air  navigation  service 
providers with the common requirements established at Community level. 

(cid:208) 550/2004 recital 6  

Member  States  should  be  permitted  to  entrust  to  recognised  organisations,  which  are 
technically  experienced,  the  verification  of  compliance  of  air  navigation  service 
providers with the common requirements established at Community level. 

(cid:208) 550/2004 recital 7  

The  sanctions  provided  for  with  respect  to  infringements  of  this  Regulation  and  of  the 
measures  referred  to  in  Article  3  should  be  effective,  proportional  and  dissuasive, 
without reducing safety. 

(cid:208) 549/2004 recital 20  

(cid:208) 549/2004 recital 17  

The social partners should be informed and consulted in an appropriate way on all measures 
having significant social implications. The Sectoral Dialogue Committee set up under 
Commission Decision 1998/500/EC of 20 May 1998 on the establishment of Sectoral 
Dialogue Committees promoting the dialogue between the social partners at European 
level26 should also be consulted. 

(12)  The  social  partners  should  be  better  informed  and  consulted  on  all  measures  having 
significant  social  implications.  At  Community  ⌦ Union ⌫  level,  the  Sectoral 
Dialogue Committee set up under Commission Decision 98/500/EC27 should also be 
consulted. 

(cid:208) 1070/2009 recital 11 (adapted) 

Conditions  attached  to  certificates  should  be  objectively  justified  and  should  be  non-
transparent,  and  compatible  with  relevant 

discriminatory,  proportionate  and 
international standards. 

(cid:208) 550/2004 recital 11  

The  report  of  the  High  Level  Group  on  the  single  European  sky  of  November 2000  has 
confirmed the need for rules at Community level to distinguish between regulation and 
service provision and to introduce a system of certification aimed at preserving public 

(cid:208) 550/2004 recital 2 (adapted) 

26 
27 

OJ L 225, 12.8.1998, p. 27. 
OJ L 225, 12.8.1998, p. 27. 

EN 

14 

   EN 

 
 
 
 
 
 
 
                                                 
interest  requirements,  most  notably  in  terms  of  safety,  and  to  improve  charging 
mechanisms. 

Whilst  guaranteeing  the  continuity  of  service  provision,  a  common  system  should  be 
established for certifying air navigation service providers, which constitutes a means 
for defining the rights and obligations of those providers and for regular monitoring of 
compliance with such requirements. 

(cid:208) 550/2004 recital 10  

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

(cid:208) 550/2004 recital 12  

In  the  interest  of  facilitating  the  safe  handling  of  air  traffic  across  the  boundaries  of  the 
Member States for the benefit of the airspace users and their passengers, the system of 
certification  should  provide  for  a  framework  to  enable  Member  States  to  designate 
providers of air traffic services, regardless of where they have been certified.  

(cid:208) 550/2004 recital 14  

The  provision  of  air  traffic  services,  as  envisaged  by  this  Regulation,  is  connected  with  the 
exercise  of  the  powers  of  a  public  authority,  which  are  not  of  an  economic  nature 
justifying the application of the Treaty rules of competition. 

(cid:208) 550/2004 recital 5  

(cid:208) 550/2004 recital 13 
(cid:214) new 

(13)  The  provision  of  communication,  navigation  and  surveillance  services,  as  well  as 
(cid:214) meteorological and  aeronautical information services, should be organised under 
market conditions whilst taking into account the special features of such services and 
maintaining a high level of safety. 

On  the  basis  of  their  analysis  of  safety  considerations,  Member  States  should  be  able  to 
designate one or more providers of meteorological services in respect of all or part of 
the airspace under their responsibility, without the need to organise a call for tenders. 

(cid:208) 550/2004 recital 15  

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

(cid:208) 550/2004 recital 19  

EN 

15 

   EN 

 
 
 
 
 
 
 
User  charges  should  provide  remuneration  for  the  facilities  and  services  provided  by  air 
navigation service providers and Member States. The level of user charges should be 
proportionate  to  the  cost,  taking  into  consideration  the  objectives  of  safety  and 
economic efficiency. 

(cid:208) 550/2004 recital 20  

(14)  There  should  be  no  discrimination  between  airspace  users  as  to  the  provision  of 

equivalent air navigation services. 

(cid:208) 550/2004 recital 21 

Air  navigation  service  providers  offer  certain  facilities  and  services  directly  related  to  the 
operation of aircraft, the costs of which they should be able to recover according to the 
‘user pays’ principle, which is to say that airspace users should pay for the costs they 
generate at, or as close as possible to, the point of use. 

(cid:208) 550/2004 recital 22  

(cid:208) 550/2004 recital 23  

It is important to ensure the transparency of the costs to which such facilities or services give 
rise.  Accordingly,  any  changes  made  to  the  system  or  level  of  charges  should  be 
explained  to  airspace  users;  such  changes  or  investment  proposed  by  air  navigation 
service providers should be explained as part of an exchange of information between 
their management bodies and airspace users. 

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

(cid:208) 550/2004 recital 24  

In the context of those revenues raised to provide a reasonable return on assets, and in direct 
correlation  with  the  savings  made  from  efficiency  improvements,  the  Commission 
should study the possibility of establishing a reserve aimed at reducing the impact of a 
sudden increase in charges to airspace users at times of reduced levels of traffic. 

(cid:208) 550/2004 recital 25  

The  Commission  should  examine  the  feasibility  of  organising  temporary  financial  aid  for 

measures to increase the capacity of Europe's air traffic control system as a whole. 

(cid:208) 550/2004 recital 26  

EN 

16 

   EN 

 
 
 
 
 
 
 
(cid:208) 1070/2009 recital 7 (adapted) 

(15)  The  concept  of  common  projects,  aimed  at  assisting  airspace  users  and/or  air 
navigation  service  providers  to  improve  collective  air  navigation  infrastructure,  the 
provision  of  air  navigation  services  and  the  use  of  airspace,  in  particular  those  that 
may be required for the implementation of the ATM Master Plan ⌦ as endorsed by 
Council  Decision  2009/320/EC28  ,  in  accordance  with  Article  1(2)  of  Council 
Regulation (EC) No 219/2007 ⌫ , should not prejudice pre-existing projects decided 
by one or several Member States with similar objectives. The provisions on financing 
of the deployment of common projects should not prejudge the manner in which these 
common  projects  are  set  up.  The  Commission  may  propose  that  funding,  such  as 
Trans-European  Network  or  European  Investment  Bank  funding,  may  be  used  in 
support of common projects, in particular to speed up the deployment of the SESAR 
programme, within the multiannual financial framework. Without prejudice to access 
to  that  funding,  Member  States  should  be  free  to  decide  how  revenues  generated  by 
the auctioning of aviation sector allowances under the Emissions Trading Scheme are 
to be used and to consider in this context whether a share of such revenues might be 
used to finance common projects at the level of functional airspace blocks. 

The  establishment  and  imposition  of  charges  on  airspace  users  should  be  reviewed  by  the 
Commission  on  a  regular  basis,  in  cooperation  with  Eurocontrol,  and  with  national 
supervisory authorities and airspace users. 

(cid:208) 550/2004 recital 27  

The  activities  of  Eurocontrol  confirm  that  the  route  network  and  airspace  structure  cannot 
realistically be developed in isolation, as each individual Member State is an integral 
element of the European air traffic management network  (EATMN), both inside  and 
outside the Community. 

(cid:208) 551/2004 recital 8  

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

(cid:208) 551/2004 recital 13  

(cid:216) new 

(16)  The concept of a Network Manager entity is central to improving the performance of 
Air  Traffic  Management  at  network  level,  by  centralising  the  provision  of  certain 
services, which are best performed at network level. In order to facilitate dealing with 
an  aviation  crisis,  a  coordination  of  such  a  crisis  should  be  ensured  by  the  Network 
Manager.  

28 

OJ L 95, 9.4.2009, p. 41 

EN 

17 

   EN 

 
 
 
 
 
                                                 
(17)  Commission  is  convinced  that  the  safe  and  efficient  use  of  airspace  can  only  be 
achieved  through  close  cooperation  between  civil  and  military  users  of  airspace, 
mainly  based  on  the  concept  of  flexible  use  of  airspace  and  effective  civil-military 
coordination  as  established  by  ICAO,  it  stresses  the  importance  of  enhancing  civil 
military cooperation between civil and military users of airspace. 

(18)  Accuracy  of  information  on  airspace  status  and  on  specific  air  traffic  situations  and 
timely  distribution  of  this  information  to  civil  and  military  controllers  has  a  direct 
impact  on  the  safety  and  efficiency  of  operations. Timely  access  to  up-to-date 
information on airspace status is essential for all parties wishing to take advantage of 
airspace structures made available when filing or re-filing their flight plans. 

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

(cid:208) 550/2004 recital 16  

The  accounts  of  all  air  navigation  service  providers  should  provide  for  maximum 

transparency. 

(cid:208) 550/2004 recital 17  

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

(cid:208) 550/2004 recital 18  

A progressively more integrated operating airspace should be established for en-route general 
air traffic in the upper airspace; the interface between upper and lower airspace should 
be identified accordingly. 

(cid:208) 551/2004 recital 9  

A European upper flight information region (EUIR) encompassing the upper airspace under 
the  responsibility  of  the  Member  States  within  the  scope  of  this  Regulation  should 
facilitate  common  planning  and  aeronautical  information  publication  in  order  to 
overcome regional bottlenecks. 

(cid:208) 551/2004 recital 10  

(cid:208) 1070/2009 recital 30 (adapted) 

(19)  The provision of modern, complete, high-quality and timely aeronautical information 
has  a  significant  impact  on  safety  and  on  facilitating  access  to  Community 
⌦ Union ⌫  airspace  and  freedom  of  movement  within  it.  Taking  account  of  the 
ATM  Master  Plan,  the  Community  ⌦ Union ⌫  should  take  the  initiative  to 
modernise  this  sector  in  cooperation  with  Eurocontrol  ⌦ the  Network  Manager ⌫ 

EN 

18 

   EN 

 
 
 
 
 
 
and  ensure  that  users  are  able  to  access  those  data  through  a  single  public  point  of 
access, providing a modern, user-friendly and validated integrated briefing. 

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

(cid:208) 551/2004 recital 11  

The  reconfiguration  of  airspace  should  be  based  on  operational  requirements  regardless  of 
existing  boundaries.  Common  general  principles  for  creating  uniform  functional 
airspace blocks should be developed in consultation with and on the basis of technical 
advice from Eurocontrol. 

(cid:208) 551/2004 recital 12  

(cid:208) 551/2004 recital 14  

The  concept  of  the  flexible  use  of  airspace  should  be  applied  effectively;  it  is  necessary  to 
optimise the use of sectors of airspace, especially during peak periods for general air 
traffic and in high-traffic airspace, by cooperation between Member States in respect 
of  the  use  of  such  sectors  for  military  operations  and  training.  To  that  end,  it  is 
necessary to allocate the appropriate resources for an effective implementation of the 
concept  of  the  flexible  use  of  airspace,  taking  into  account  both  civil  and  military 
requirements. 

Member States should endeavour to cooperate with neighbouring Member States to apply the 

concept of flexible use of airspace across national borders. 

(cid:208) 551/2004 recital 15  

(cid:208) 551/2004 recital 16  

Differences  in  the  organisation  of  civil-military  cooperation  in  the  Community  restrict 
uniform  and  timely  airspace  management  and  the  implementation  of  changes.  The 
success  of the  single  European sky is dependent upon effective cooperation between 
civil and military authorities, without prejudice to the prerogatives and responsibilities 
of the Member States in the field of defence. 

Military operations and training should be safeguarded whenever the application of common 

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

(cid:208) 551/2004 recital 17  

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

(cid:208) 551/2004 recital 18  

EN 

19 

   EN 

 
 
 
 
 
 
 
(cid:208) 552/2004 recital 10  

Implementing rules for interoperability should be drawn up for systems whenever necessary 
to complement or further refine the essential requirements; those rules should also be 
drawn up where necessary to facilitate the coordinated introduction of new, agreed and 
validated concepts of operation or technologies; compliance with those rules should be 
permanently maintained; those rules should rely on rules and standards developed by 
international organisations such as Eurocontrol or ICAO. 

(cid:208) 552/2004 recital 7  

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

(cid:208) 552/2004 recital 11  

The development and adoption of Community specifications concerning EATMN, its systems 
and  constituents  and  associated  procedures  is  an  appropriate  means  of  defining  the 
technical and operational conditions necessary to meet the essential requirements and 
interoperability;  compliance  with  published 
relevant 
Community  specifications,  which  remains  voluntary,  creates  a  presumption  of 
conformity  with  the  essential  requirements  and  the  relevant  implementing  rules  for 
interoperability. 

implementing  rules  for 

Community  specifications  should  be  established  by  the  European  standardisation  bodies  in 
conjunction with the European Organisation for Civil Aviation Equipment (Eurocae) 
and  by  Eurocontrol, 
in  accordance  with  general  Community  standardisation 
procedures. 

(cid:208) 552/2004 recital 12  

(cid:208) 552/2004 recital 13  

The procedures governing the assessment of conformity or suitability for use of constituents 
should be based on the use of the modules covered by Council Decision 93/465/EEC 
of  22 July  1993  concerning  the  modules  for  the  various  phases  of  the  conformity 
assessment  procedures  and  the  rules  for  the  affixing  and  use  of  the  CE  conformity 
marking, which are intended to be used in the technical harmonisation directives29; as 
far as necessary, these modules should be expanded to cover specific requirements of 
the industries concerned. 

29 

OJ L 220, 30.8.1993, p. 23. 

EN 

20 

   EN 

 
 
 
 
 
                                                 
(cid:208) 552/2004 recital 14  

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

The putting into service of air traffic management systems should be subject to verification of 
compliance  with  the  essential  requirements  and  relevant  implementing  rules  for 
interoperability; use of Community specifications creates a presumption of conformity 
with the essential requirements and relevant implementing rules for interoperability. 

(cid:208) 552/2004 recital 15  

The  full  application  of  this  Regulation  should  be  accomplished  by  means  of  a  transitional 
strategy  designed  to  attain  the  objectives  of  this  Regulation  while  not  creating 
unjustified cost-benefit barriers to preservation of the existing infrastructure. 

(cid:208) 552/2004 recital 16  

Airspace  constitutes  a  limited  resource,  the  optimum  and  efficient  use  of  which  will  be 
possible  only  if  the  requirements  of  all  users  are  taken  into  account  and  where 
relevant,  represented  in  the  whole  development,  decision-making  process  and 
implementation of the single European sky, including the Single Sky Committee. 

(cid:208) 549/2004 recital 7  

The  measures  necessary  for  the  implementation  of  this  Regulation  should  be  adopted  in 
accordance  with  Council  Decision  1999/468/EC  of  28 June  1999  laying  down  the 
procedures for the exercise of implementing powers conferred on the Commission30. 

(cid:208) 549/2004 recital 25  

(cid:208) 549/2004 recital 26 (adapted) 

Article 8(2) of the Standard Rules of Procedure for committees31 established in application of 
Article 7(1) of Decision 1999/468/EC provides a standard rule according to which the 
Chairman  of  a  committee  may  decide  to  invite  third  parties  to  a  meeting  of  that 
committee.  If  appropriate,  the  Chairman  of  the  Single  Sky  Committee  should  invite 
representatives of Eurocontrol to take part in meetings as observers or experts, 

30 
31 

OJ L 184, 17.7.1999, p. 23. 
OJ C 38, 6.2.2001, p. 3. 

EN 

21 

   EN 

 
 
 
 
 
 
                                                 
Stakeholders such as air navigation service providers, airspace users, airports, manufacturing 
industry  and  professional  staff  representative  bodies  should  have  the  possibility  to 
advise  the  Commission  on  technical  aspects  of  the  implementation  of  the  single 
European sky. 

(cid:208) 549/2004 recital 18  

It is desirable to extend the single European sky to European third countries, either within the 
framework  of  participation  by  the  Community  in  the  work  of  Eurocontrol,  after  the 
accession by the Community to Eurocontrol, or by means of agreements concluded by 
the Community with these countries. 

(cid:208) 549/2004 recital 12  

The accession of the Community to Eurocontrol is an important component in the creation of 

a pan-European airspace. 

(cid:208) 549/2004 recital 13  

In the process of creating the single European sky, the Community should, where appropriate, 
develop the highest level of cooperation with Eurocontrol in order to ensure regulatory 
synergies  and  consistent  approaches,  and  to  avoid  any  duplication  between  the  two 
sides. 

(cid:208) 549/2004 recital 14  

(cid:208) 549/2004 recital 15 (adapted) 

In accordance with the conclusions of the High Level Group, Eurocontrol is the body that has 
the  appropriate  expertise  to  support  the  Community  in  its  role  as  regulator. 
Accordingly,  implementing  rules  should  be  developed,  for  matters  falling  within  the 
remit  of  Eurocontrol  as  a  result  of  mandates  to  that  organisation,  subject  to  the 
conditions to be included in a framework of cooperation between the Commission and 
Eurocontrol. 

The  drafting  of  the  measures  necessary  in  order  to  create  the  single  European  sky  requires 

broad-based consultations of economic and social stakeholders. 

(cid:208) 549/2004 recital 16  

Smooth operation of the air transport system also requires uniform and high safety standards 

for air navigation service providers. 

(cid:208) 550/2004 recital 8  

EN 

22 

   EN 

 
 
 
 
 
 
 
Arrangements should be made to harmonise the licensing systems for controllers, in order to 
improve  the  availability  of  controllers  and  to  promote  the  mutual  recognition  of 
licences. 

(cid:208) 550/2004 recital 9  

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

(cid:208) 550/2004 recital 28  

The performance of the air navigation services system as a whole at European level should be 
assessed  on  a  regular  basis,  with  due  regard  to  the  maintenance  of  a  high  level  of 
safety,  to  check  the  effectiveness  of  the  measures  adopted  and  to  propose  further 
measures. 

(cid:208) 549/2004 recital19  

The impact of the measures taken to apply this Regulation should be evaluated in the light of 

reports to be submitted regularly by the Commission. 

(cid:208) 549/2004 recital 21  

It is desirable to reflect upon the extension of upper airspace concepts to the lower airspace, in 

accordance with a timetable and appropriate studies, 

(cid:208) 551/2004 recital 19  

(cid:208) 549/2004 recital 22  

This Regulation does not affect the power of Member States to adopt provisions in relation to 
the organisation of their armed forces. This power may lead Member States to adopt 
measures  to  ensure  that  their  armed  forces  have  sufficient  airspace  for  adequate 
education and training purposes. Provision should therefore be made for a safeguards 
clause to enable this power to be exercised. 

For reasons of legal certainty it is important to ensure that the substance of certain provisions 
of  Community  legislation  adopted  on  the  basis  of  Directive  93/65/EEC  remains  in 
force  unchanged.  The  adoption  under  this  Regulation  of  the  implementing  rules 
corresponding to such provisions will necessitate a certain amount of time, 

(cid:208) 552/2004 recital 19 (adapted) 

EN 

23 

   EN 

 
 
 
 
 
 
 
(cid:208) 552/2004 recital 18 (adapted) 

Council  Directive  93/65/EEC  of  19 July  1993  on  the  definition  and  use  of  compatible 
technical specifications for the procurement of air traffic management equipment and 
systems32  is  limited  to  obligations  of  awarding  entities;  this  Regulation  is  more 
comprehensive  in  that  it  addresses  obligations  of  all  actors,  including  air  navigation 
service  providers,  airspace  users,  industry  and  airports,  and  provides  both  for  rules 
applicable to all and for the adoption of Community specifications which, while being 
voluntary,  creates  a  presumption  of  conformity  with  the  essential  requirements. 
Therefore,  Directive  93/65/EEC,  Commission  Directive  97/15/EC  of  25 March  1997 
adopting  Eurocontrol  standards  and  amending  Council  Directive  93/65/EEC  on  the 
definition  and  use  of  compatible  technical  specifications  for  the  procurement  of  air-
traffic-management  equipment  and  systems33  and  Commission  Regulations  (EC) 
No 2082/2000  of  6 September  2000  adopting  Eurocontrol  standards  and  amending 
Directive  97/15/EC34  and  (EC)  No 980/2002  of  4 June  2002  amending  Regulation 
(EC) No 2082/2000 should be repealed after a transitional period. 

The  internal  market  is  a  Community  objective  and  therefore  measures  taken  under  this 

Regulation should contribute to its progressive development in this sector. 

(cid:208) 552/2004 recital 8  

It is therefore appropriate to define essential requirements which should apply to the European 

air traffic management network, its systems, constituents and associated procedures. 

(cid:208) 552/2004 recital 9  

(cid:208) 552/2004 recital 17  

Within the framework of the relevant Community legislation, due account should be taken of 

the need to ensure: 

– 

– 

– 

harmonised conditions with regard to the availability and efficient use of radio 
spectrum  necessary  for  the  implementation  of  the  Single  European  Sky, 
including electromagnetic compatibility aspects, 

protection of the safety-of-life services from harmful interference, 

efficient  and  appropriate  use  of  frequencies  allocated  to  and  managed 
exclusively by the aviation sector. 

32 

33 

34 

OJ  L 187,  29.7.1993,  p. 52.  Directive  as  last  amended  by  Regulation  (EC)  No 1882/2003  of  the 
European Parliament and of the Council (OJ L 284, 31.10.2003, p. 1). 
OJ  L 95,  10.4.1997,  p. 16.  Directive  as  last  amended  by  Regulation  (EC)  No 2082/2000  (OJ  L 254, 
9.10.2000, p. 1). 
OJ  L 254,  9.10.2000,  p. 1.  Regulation  as  last  amended  by  Regulation  (EC)  No 980/2002  (OJ  L 150, 
8.6.2002, p. 38). 

EN 

24 

   EN 

 
 
 
 
                                                 
(cid:216) new 

(20) 

In  order  to  take  into  account  the  changes  introduced  in  Regulations  (EC)  No 
1108/2009 and (EC) No 1070/2009 , it is necessary, in accordance with Article 65a of 
Regulation  (EC)  No  216/2008  of  the  European  Parliament  and  of  the  Council  of  20 
February  2008  on  common  rules  in  the  field  of  civil  aviation  and  establishing  a 
European Aviation Safety Agency35, to align the content of this Regulation with that 
of Regulation (EC) No 216/2008.  

(21)  Furthermore,  the  technical  details  of  Regulations  (EC)  No  549/2004,  (EC)  No 
550/2004, (EC) No 551/2004 and (EC) No 552/2004, agreed in 2004 and 2009, should 
be  brought  up-to  date  as  well  as  technical  corrections  made  to  take  account  of 
progress. 

(22)  The  geographical  scope  of  this  Regulation  over  the  ICAO  NAT  region  should  be 
amended  to  take  account  of the existing and planned service provision arrangements 
and the need to ensure consistency in application of rules to the air navigation service 
providers and airspace users operating in that area. 

(23) 

In  line  with  its  roles  as  an  operational  organisation  and  the  continuing  reform  of 
Eurocontrol,  the  function  of  the  Network  Manager  should  be  further  developed 
towards an industry-led partnership. 

(24)  The  concept  of  functional  airspace  blocks  designed  to  improve  the  co-operation 
between  air  traffic  service  providers,  is  an  important  tool  for  improving  the 
performance of the European ATM system. To further enhance this tool, the functional 
airspace  blocks  should  be  made  more  performance  focused,  based  on  industrial 
partnerships  and  industry  should  be  given  more  freedom  to  modify  them  in  order  to 
reach and, where possible exceed, the performance targets. 

(25)  The functional airspace blocks should operate in a flexible manner, bringing together 
service providers across Europe to capitalise on each other's strengths. This flexibility 
should allow for seeking synergies between providers regardless of their geographical 
location or nationality and allow for variable formats of service provision to emerge in 
the search for performance improvements. 

(26)  To enhance the customer-focus of air navigation service providers and to increase the 
possibility of airspace users to influence decisions, which affect them, the consultation 
and participation of stakeholders in major operational decisions of the  air  navigation 
service providers should be made more effective. 

(27)  The  performance  scheme  is  a  central  tool  for  economic  regulation  of  ATM  and  the 
quality  and  independence  of  its  decisions  should  be  maintained  and  where  possible 
improved. 

(28) 

In  order  to  take  into  account  technical  or  operational  developments,  in  particular  by 
amending annexes, or by supplementing the provisions on network management and 
performance  scheme,  the  power  to  adopt  acts  in  accordance  with  Article  290  of  the 
Treaty  on  the  Functioning  of  the  European  Union  should  be  delegated  to  the 
Commission.  The  content  and  scope  of  each  delegation  is  set  out  in  detail  in  the 
relevant  Articles.  It  is  of  particular  importance  that  the  Commission  carries  out 

35 

OJ L 79, 19.3.2008, p.1. 

EN 

25 

   EN 

 
                                                 
appropriate  consultations  during  its  preparatory  work,  including  at  expert  level.  The 
Commission,  when  preparing  and  drawing-up  delegated  acts,  should  ensure  a 
simultaneous,  timely  and  appropriate  transmission  of  relevant  documents  to  the 
European Parliament and Council. 

(29)  When  adding  to  the  list  of  network  management  services,  the  Commission  should 

conduct a proper consultation of industry stakeholders. 

(30) 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation,  in 
particular  with  regard  to  the  exercise  of  their  powers  by  national  supervisory 
authorities, provision of support services on an exclusive basis by a service provider or 
groupings thereof , corrective measures to ensure compliance with the Union-wide and 
associated local performance targets, review of compliance in relation to the charging 
scheme, governance and adoption of common projects for network related functions, 
functional  airspace  blocks,  modalities  of  participation  of  stakeholders  in  major 
operational decisions of the air navigation service providers, access to and protection 
of  data,  electronic  aeronautical  information  and  technological  development  and 
interoperability of air traffic management, implementing powers should be conferred 
on the Commission. Those powers should be exercised in accordance with Regulation 
(EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 
laying  down  the  rules  and  general  principles  concerning  mechanisms  for  control  by 
Member States of the Commission’s exercise of implementing powers36. 

(31) 

In accordance with Regulation (EU) No 182/2011, for the implementing acts adopted 
under this Regulation, the examination procedure should be used for the adoption of 
implementing acts of general. 

(32)  The  advisory  procedure  should  be  used  for  the  adoption  of  implementing  acts  of 

individual scope. 

(33)  The penalties provided for with respect to infringements of this Regulation and of the 
measures  referred  to  in  Article  3  should  be  effective,  proportional  and  dissuasive, 
without reducing safety. 

(cid:208) 549/2004 recital 20 (adapted) 

(cid:216) new 

(34)  The  procurement  of  support  services  should  be  carried  out,  as  applicable,  in 
accordance with Directive 2004/18/EC of the European Parliament and of the Council 
of  31  March  2004  on  the  coordination  of  procedures  for  the  award  of  public  works 
contracts,  public  supply  contracts  and  public  service  contracts37  and  Directive 
2004/17/EC  of  the  European  Parliament  and  of  the  Council  of  31  March  2004 
coordinating  the  procurement  procedures  of  entities  operating  in  the  water,  energy, 
transport and postal services sectors38. Account should also be taken of the guidelines 
set  out  in  the  Commission  interpretative  communication  2006/C179/02  on  the 

36 
37 
38 

OJ L 55, 28.2.2011, p.13. 
OJ L 134, 30.4.2004, p.114.  
OJ L 134, 30.4.2004, p. 1 

EN 

26 

   EN 

 
 
                                                 
Community law applicable to contract awards not or not fully subject to the provisions 
of the Public Procurement Directives39, as appropriate  

(cid:208) 1070/2009 recital 42 

(35)  The  Ministerial  Statement  on  Gibraltar  Airport,  agreed  in  Córdoba  on  18 September 
2006 (the Ministerial Statement), during the first Ministerial meeting of the Forum of 
Dialogue  on  Gibraltar,  will  replace  the  Joint  Declaration  on  the  Airport  made  in 
London  on  2 December  1987,  and  the  full  compliance  with  that  Statement  will  be 
deemed to constitute compliance with the 1987 Declaration. 

(36)  This Regulation applies in full to Gibraltar Airport in the context and by virtue of the 
Ministerial Statement. Without prejudice to the Ministerial Statement, the application 
to Gibraltar Airport and all the measures related to its implementation shall conform 
fully with that Statement and all the arrangements contained therein.  

(cid:208) 1070/2009 recital 43 

(cid:208) 549/2004 recital 24 (adapted) 

(37)  Since the objective of this Regulation, namely the creation ⌦ implementation ⌫ of 
the  Single  European  Sky,  cannot  be  sufficiently  achieved  by  the  Member  States,  by 
reason of the transnational scale of the action, and can therefore be better achieved at 
Community ⌦ Union ⌫  level,  while  allowing  for  detailed  implementing  rules  that 
take  account  of  specific  local  conditions,  the  Community  ⌦ Union ⌫ may  adopt 
measures in accordance with the principle of subsidiarity, as set out in Article 5 of the 
Treaty on European Union. In accordance with the principle of proportionality, as set 
out in that Article, this Regulation does not go beyond what is necessary in order to 
achieve this objective. 

HAVE ADOPTED THIS REGULATION: 

(cid:208) 552/2004 

CHAPTER I 

GENERAL PROVISIONS 

(cid:208) 1070/2009 Art. 1.1 (adapted) 
(cid:214) new 

Article 1 

Objective ⌦ Subject matter ⌫ and scope 

39 

OJ C 179, 1.8.2006, p. 2. 

EN 

27 

   EN 

 
 
 
 
 
                                                 
1.  (cid:214) This  Regulation  lays  down  rules  for  the  creation  and  proper  functioning  of   The 
objective  of  the  sSingle  European  sSky  initiative  is  to  enhance  ⌦ in  order  to  ensure ⌫ 
current  air  traffic  safety  standards,  to  contribute  to  the  sustainable  development  of  the  air 
transport  system  and  to  improve  the  overall  performance  of  air  traffic  management  (ATM) 
and air navigation services (ANS) for general air traffic in Europe, with a view to meeting the 
requirements of all airspace users. This ⌦ The ⌫ sSingle European sSky shall comprise a 
coherent  pan-European  network  of  routes, (cid:214) an  integrated  operating  airspace,   network 
management  and  air  traffic  management  systems  based  only  on  safety,  efficiency  and 
technical considerations (cid:214) interoperability  , for the benefit of all airspace users. In pursuit 
of  this  objective,  this  Regulation  establishes  a  harmonised  regulatory  framework  for  the 
creation of the single European sky. 

(cid:208) 1070/2009 Art. 1.2 (adapted) 

2.  The  application  of  this  Regulation  and  of  the  measures  referred  to  in  Article 3  shall  be 
without prejudice to Member States' sovereignty over their airspace and to the requirements 
of the Member States relating to public order, public security and defence matters, as set out 
in Article 38 13. This Regulation and the measures referred to in Article 3 do ⌦ does ⌫ not 
cover military operations and training. 

(cid:208) 1070/2009 Art. 1.3 (adapted) 

3.  The  application  of  this  Regulation  and  of  the  measures  referred  to  in  Article 3  shall  be 
without  prejudice  to  the  rights  and  duties  of  Member  States  under  the  1944  Chicago 
Convention  on  International  Civil  Aviation  (the  Chicago  Convention).  In  this  context,  an 
additional  objective  of  this  Regulation  is,  ⌦ seeks  to  assist, ⌫  in  the  fields  it  covers,  to 
assist  Member  States  in  fulfilling  their  obligations  under  the  Chicago  Convention,  by 
providing a basis for a common interpretation and uniform implementation of its provisions, 
and by ensuring that these provisions are duly taken into account in this Regulation and in the 
rules drawn up for its implementation.  

(cid:208) 550/2004  

CHAPTER I 

GENERAL 

Article 1 

Scope and objective 

1. Within the scope of the framework Regulation, this Regulation concerns the provision of 
air  navigation  services  in  the  single  European  sky.  The  objective  of  this  Regulation  is  to 
establish common requirements for the safe and efficient provision of air navigation services 
in the Community. 

2. This Regulation shall apply to the provision of air navigation services for general air traffic 
in accordance with and within the scope of the framework Regulation.  

EN 

28 

   EN 

 
 
 
(cid:208) 551/2004  

CHAPTER I 

GENERAL 

Article 1 

Objective and scope 

1. Within the scope of the framework Regulation, this Regulation concerns the organisation 
and  the  use  of  airspace  in  the  Single  European  Sky.  The  objective  of  this  Regulation  is  to 
support the concept of a progressively more integrated operating airspace within the context 
of the common transport policy and to establish common procedures for design, planning and 
management ensuring the efficient and safe performance of air traffic management. 

2. The use of airspace shall support the operation of the air navigation services as a coherent 
and  consistent  whole  in  accordance  with  Regulation  (EC)  No  550/2004  of  the  European 
Parliament and of the Council of 10 March 2004 on the provision of air navigation services in 
the single European sky (the service provision Regulation)40. 

(cid:208) 551/2004 (adapted) 
(cid:214) new 

43.  Without  prejudice  to  Article 10,  tThis  Regulation  shall  apply  to  the  airspace  within  the 
ICAO  EUR  and  AFI  (cid:214) and  NAT   regions  where  Member  States  are  responsible  for  the 
provision  of  air  traffic  services  in  accordance  with  the  service  provision  ⌦ this ⌫ 
Regulation.  Member  States  may  also  apply  this  Regulation  to  airspace  under  their 
responsibility within other ICAO regions, on condition that they inform the Commission and 
the other Member States thereof. 

4.  The  Flight  Information  Regions  comprised  within  the  airspace  to  which  this  Regulation 
applies shall be published in the Official Journal of the European Union.  

(cid:208) 551/2004 

54. The application of this Regulation to the airport of Gibraltar is understood to be without 
prejudice to the respective legal positions of the Kingdom of Spain and the United Kingdom 
of  Great  Britain  and  Northern  Ireland  with  regard  to  the  dispute  over  sovereignty  over  the 
territory in which the airport is situated. 

(cid:208) 1070/2009 Art. 1.1 

40 

See page 10 of this Official Journal. 

EN 

29 

   EN 

 
 
 
 
                                                 
(cid:208) 552/2004  

Article 1 

Objective and scope 

1.  Within 
interoperability of the EATMN. 

the  scope  of 

the  framework  Regulation, 

this  Regulation  concerns 

the 

2.  This  Regulation  shall  apply  to  the  systems,  their  constituents  and  associated  procedures 
identified in Annex I. 

3.  The  objective  of  this  Regulation  is  to  achieve  interoperability  between  the  different 
systems,  constituents  and  associated  procedures  of  the  EATMN,  taking  due  account  of  the 
relevant international rules. This Regulation aims also at ensuring the coordinated and rapid 
introduction  of  new  agreed  and  validated  concepts  of  operations  or  technology  in  air  traffic 
management. 

(cid:208) 549/2004 (adapted) 

Article 2 

Definitions 

For the purpose of this Regulation and of the measures referred to in Article 3, the following 
definitions shall apply: 

(cid:208) 549/2004 
(cid:214) new 

1.‘air traffic control (ATC) service’ means a service provided for the purpose of: 

(a) preventing collisions: 

– 

– 

between aircraft, and 

in the manoeuvring area between aircraft and obstructions; and 

(b) expediting and maintaining an orderly flow of air traffic; 

2.‘aerodrome control service’ means an ATC service for aerodrome traffic; 

3.‘aeronautical  information  service’  means  a  service  established  within  the  defined 
area  of  coverage  responsible  for  the  provision  of  aeronautical  information  and  data 
necessary for the safety, regularity, and efficiency of air navigation; 

4.‘air navigation services’ means air traffic services; communication, navigation and 
surveillance  services;  meteorological  services  for  air  navigation;  and  aeronautical 
information services; 

5.‘air navigation service providers’ means any public or private entity providing air 
navigation services for general air traffic; 

6.‘airspace  block’  means  an  airspace  of  defined  dimensions,  in  space  and  time, 
within which air navigation services are provided; 

EN 

30 

   EN 

 
 
 
 
 
 
 
 
 
 
 
7.‘airspace  management’  means  a  planning  function  (cid:214) service   with  the  primary 
objective of maximising the utilisation of available airspace by dynamic time-sharing 
and, at times, the segregation of airspace among various categories of airspace users 
on the basis of short-term needs; 

8.‘airspace users’ means operators of aircraft operated as general air traffic; 

(cid:208) 1070/2009 Art. 1.2(a) 

(cid:208) 549/2004 
(cid:214) new 

9.‘air traffic flow  management’  means  a  function (cid:214) service  established  with  the 
objective  of  contributing  to  a  safe,  orderly  and  expeditious  flow  of  air  traffic  by 
ensuring that ATC capacity is utilised to the maximum extent possible, and that the 
traffic volume is compatible with the capacities declared by the appropriate air traffic 
service providers; 

(cid:208) 1070/2009 Art. 1.2(b)  
(cid:214) new 

10.‘air  traffic  management  (ATM)’  means  the  aggregation  of  the  airborne  and 
ground-based functions (cid:214) services  (air traffic services, airspace management and 
air traffic flow management) required to ensure the safe and efficient movement of 
aircraft during all phases of operations; 

(cid:208) 549/2004 

11.‘air  traffic  services’  means  the  various  flight  information  services,  alerting 
services,  air  traffic  advisory  services  and  ATC  services  (area,  approach  and 
aerodrome control services); 

12.‘area  control  service’  means  an  ATC  service  for  controlled  flights  in  a  block  of 
airspace; 

13.‘approach  control  service’  means  an  ATC  service  for  arriving  or  departing 
controlled flights; 

(cid:208) 1070/2009 Art. 1.2(c) 

1413a.‘ATM  Master  Plan’  means 
the  plan  endorsed  by  Council  Decision 
2009/320/EC41,  in  accordance  with  Article 1(2)  of  Council  Regulation  (EC) 
No 219/2007  of  27 February  2007  on  the  establishment  of  a  Joint  Undertaking  to 
develop the new generation European air traffic management system (SESAR)42; 

41 
42 

OJ L 95, 9.4.2009, p. 41. 
OJ L 64, 2.3.2007, p. 1. 

EN 

31 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
15.  ‘aviation  crisis’  means  circumstances  under  which  airspace  capacity  is  abnormally 
reduced  as  a  result  of  major  adverse  weather  circumstances  or  the  unavailability  of  large 
airspace parts either through natural or political reasons; 

(cid:216) new 

1614.‘bundle of services’ means two or more air navigation services; 

(cid:208) 549/2004 

1715.‘certificate’  means  a  document  issued  by  a  national  supervisory  authority  in 
any form complying with national law, which confirms that an air navigation service 
provider meets the requirements for providing a specific service; 

(cid:208) 1070/2009 Art. 1.2(d) 

(cid:208) 549/2004 

1816.‘communication  services’  means  aeronautical  fixed  and  mobile  services  to 
enable  ground-to-ground,  air-to-ground  and  air-to-air  communications  for  ATC 
purposes; 

17.‘European  air  traffic  management  network’  (EATMN)  means  the  collection  of 
systems  listed  in  Annex I  to  Regulation  (EC)  No  552/2004  of  the  European 
Parliament  and  of  the  Council  of  10 March  2004  on  the  interoperability  of  the 
European  air  traffic  management  network  (the  interoperability  Regulation)43 
enabling  air  navigation  services  in  the  Community  to  be  provided,  including  the 
interfaces at boundaries with third countries; 

18.‘concept of operation’ means the criteria for the operational use of the EATMN or 
of part thereof; 

19.‘constituents’  means  tangible  objects  such  as  hardware  and  intangible  objects 
such  as  software  upon  which  the  interoperability  of  the  European  Air  Traffic 
management Network (EATMN) depends; 

(cid:216) new 

20. ‘declaration’ means for purposes of ATM/ANS, any written statement: 

- 

- 

on  the  conformity  or  suitability  for  use  of  systems  and  constituents  issued  by  an 
organisation  engaged  in  the  design,  manufacture  and  maintenance  of  ATM/ANS 
systems and constituents; 

on  the  compliance  with  applicable  requirements  of  a  service  or  a  system  to  be  put 
into operation issued by a service provider"; 

- on the capability and means of discharging the responsibilities associated with certain flight 

information services 

43 

See page 33 of this Official Journal. 

EN 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
                                                 
20.‘Eurocontrol’ is the European Organisation for the Safety of Air Navigation set up 
by the International Convention of 13 December 1960 relating to Cooperation for the 
Safety of Air Navigation44; 

(cid:208) 549/2004 (adapted) 

(cid:208) 1070/2009 Art. 1.2(f) (adapted) 

2122.‘flexible use of airspace’ means an airspace management concept applied in the 
European Civil Aviation Conference area on the basis of the ‘Airspace management 
handbook for the application of the concept of the flexible use of airspace’ issued by 
⌦ the  European  Organisation  for  the  Safety  of  Air  Navigation ⌫  (Eurocontrol) 
⌦ 45 ⌫ ; 

23.‘flight information region’ means an airspace of defined dimensions within which 
flight information services and alerting services are provided; 

(cid:208) 549/2004 

(cid:208) 1070/2009 Art. 1.2(g) 

2223a.‘flight information service’ means a service provided for the purpose of giving 
advice and information useful for the safe and efficient conduct of flights; 

2323b.‘alerting  service’  means  a  service  provided  to  notify  relevant  organisations 
regarding aircraft in need of search and rescue aid, and to assist such organisations as 
required; 

24.‘flight level’ means a surface of constant atmospheric pressure which is related to 
the specific pressure datum of 1013,2 hectopascals and is separated from other such 
surfaces by specific pressure intervals; 

(cid:208) 549/2004 

(cid:208) 1070/2009 Art. 1.2(h) 

2425.‘functional  airspace  block’  means  an  airspace  block  based  on  operational 
requirements and established regardless of State boundaries, where the provision of 
air  navigation  services  and  related  functions  are  performance-driven  and  optimised 
with a view to introducing, in each functional airspace block, enhanced cooperation 
among air navigation service providers or, where appropriate, an integrated provider; 

44 
45 

Convention modified by the protocol of 12 February 1981 and revised by the protocol of 27 June 1997. 
⌦ Eurocontrol  has  been  set  up  by  the  International  Convention  of  13 December  1960  relating  to 
Cooperation  for  the  Safety  of  Air  Navigation,  as  modified  by  the  protocol  of  12 February  1981  and 
revised by the protocol of 27 June 1997. ⌫ 

EN 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
(cid:208) 549/2004 (adapted) 

2526.‘general  air  traffic’  means  all  movements  of  civil  aircraft,  as  well  as  all 
movements  of  State  aircraft  (including  military,  customs  and  police  aircraft)  when 
these  movements  are  carried  out  in  conformity  with  the  procedures  of  .the 
⌦ International  Civil  Aviation  Organisation  (ICAO),  as  established  by  the  1944 
Chicago Convention on International Civil Aviation ⌫ ICAO; 

27.‘ICAO’ means the International Civil Aviation Organisation, as established by the 
1944 Chicago Convention on International Civil Aviation; 

2628.‘interoperability’ means a set of functional, technical and operational properties 
required of the systems and constituents of the EATMN and of the procedures for its 
operation, 
its  safe,  seamless  and  efficient  operation. 
Interoperability is achieved by making the systems and constituents compliant with 
the essential requirements; 

to  enable 

in  order 

2729.‘meteorological  services’  means  those  facilities  and  services  that  provide 
aircraft  with  meteorological  forecasts,  briefs  and  observations  as  well  as  any  other 
meteorological information and data provided by States for aeronautical use; 

2830.‘navigation  services’  means  those  facilities  and  services  that  provide  aircraft 
with positioning and timing information; 

2931.‘operational  data’  means  information  concerning  all  phases  of  flight  that  are 
required  to  take  operational  decisions  by  air  navigation  service  providers,  airspace 
users, airport operators and other actors involved; 

32.‘procedure’,  as  used  in  the  context  of  the  interoperability  Regulation,  means  a 
standard  method  for  either  the  technical  or  the  operational  use  of  systems,  in  the 
context  of  agreed  and  validated  concepts  of  operation  requiring  uniform 
implementation throughout the EATMN; 

3033.‘putting into service’ means the first operational use after the initial installation 
or an upgrade of a system; 

3134.‘route network’ means a network of specified routes for channelling the flow of 
general air traffic as necessary for the provision of ATC services; 

35.‘routing’  means  the  chosen  itinerary  to  be  followed  by  an  aircraft  during  its 
operation; 

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

(cid:208) 549/2004 

3238.‘surveillance services’ means those facilities and services used to determine the 
respective positions of aircraft to allow safe separation; 

3339.‘system’ means  the  aggregation of  airborne  and ground-based constituents, as 
well as space-based equipment, that provides support for air navigation services for 
all phases of flight; 

3440.‘upgrade’  means  any  modification  that  changes  the  operational  characteristics 
of a system; 

EN 

34 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
3541.‘cross-border  services’  means  any  situation  where  air  navigation  services  are 
provided  in  one  Member  State  by  a  service  provider  certified  in  another  Member 
State. ; 

(cid:208) 1070/2009 Art. 1.2(j) 

(cid:216) new 

36. ‘national supervisory authority’ means the national body or bodies entrusted by a Member 
State  with  the  tasks  of  supervision  in  accordance  with  this  Regulation  and  the 
national competent authorities entrusted with the tasks provided for in Article 8b of 
Regulation (EC) No 216/2008;  

37.  'support services’ means  air navigation services other than air traffic services as well as 
other  services  and  activities,  which  are  linked  to,  and  support  the  provision  of  air 
navigation services; 

38. 'local performance targets' means performance targets set by the Member States at local 

level, namely functional airspace block, national, charging zone or airport level. 

(cid:208) 549/2004 

Article 3 

Fields for action by the Community 

1.  This  Regulation  establishes  a  harmonised  regulatory  framework  for  the  creation  of  the 
single European sky in conjunction with: 

(a) Regulation (EC) No 551/2004 of the European Parliament and of the Council of 
10 March  2004  on  the  organisation  and  use  of  the  airspace  in  the  Single  European 
Sky (the airspace Regulation)46; 

(b) Regulation (EC) No 550/2004 of the European Parliament and of the Council of 
10 March  2004  on  the  provision  of  air  navigation  services  in  the  Single  European 
Sky (the service provision Regulation)47; and 

(c) Regulation (EC) No 552/2004 of the European Parliament and of the Council of 
10 March  2004  on  the  interoperability  of  the  European  Air  Traffic  Management 
network (the interoperability Regulation)48; 

and with the implementing rules adopted by the Commission on the basis of this Regulation 
and the regulations referred to above. 

2.  The  measures  referred  to  in  paragraph 1  shall  apply  subject  to  the  provisions  of  this 
Regulation. 

46 
47 
48 

See page 20 of this Official Journal. 
See page 10 of this Official Journal. 
See page 26 of this Official Journal. 

EN 

35 

   EN 

 
 
 
 
 
 
 
                                                 
(cid:208) 1070/2009 Art. 1.3 (adapted) 
(cid:214) new 

CHAPTER II 

⌦ NATIONAL AUTHORITIES ⌫ 

Article 34 

National supervisory authorities 

1. Member States shall, jointly or individually, either nominate or establish a body or bodies 
as their national supervisory authority in order to assume the tasks assigned to such authority 
under this Regulation and under the measures referred to in Article 3. 

2. The national supervisory authorities shall be (cid:214) legally distinct and  independent of (cid:214) in 
particular  in  organisational,  hierarchical  and  decision-making  terms,  from  any   air 
navigation  service  providers  (cid:214) or  any  private  or  public  entity  having  an  interest  in  the 
activities  of  such  providers .  This  independence  shall  be  achieved  through  adequate 
separation,  at  the  functional  level  at  least,  between  the  national  supervisory  authorities  and 
such providers. 

(cid:216) new 

3.  Without  prejudice  to  paragraph  2,  the  national  supervisory  authorities  may  be  joined  in 
organisational terms with other regulatory bodies and/or safety authorities. 

4.  The  national  supervisory  authorities  that  are  not  legally  distinct  from  any  air  navigation 
service  providers  or  any  private  or  public  entity  having  an  interest  in  the  activities  of  such 
providers, as provided for in paragraph 2, on the  date of entry into force  of this  Regulation 
shall meet this requirement by 1 January 2020 at the latest. 

(cid:208) 1070/2009 Art. 1.3 (adapted) 
(cid:214) new 

35.  ⌦ The ⌫  Nnational  supervisory  authorities  shall  exercise  their  powers  impartially, 
independently and transparently. This shall be achieved by applying appropriate management 
and  control  mechanisms  (cid:214) In  particular,  they  shall  be  organised,  staffed,  managed  and 
financed so as to allow them to exercise their powers in that manner.  , including within the 
administration  of  a  Member  State.  However,  this  shall  not  prevent  the  national  supervisory 
authorities  from  exercising  their  tasks  within  the  rules  of  organisation  of  national  civil 
aviation authorities or any other public bodies 

(cid:216) new 

6. Staff of the national supervisory authorities shall:  

(a) be recruited under clear and transparent rules which guarantee their independence and as 
regards  persons  in  charge  of  strategic  decisions,  be  appointed  by  the  national  cabinet  or 
council  of  ministers  or  another  public  authority  which  does  not  directly  control,  or  benefit 
from the air navigation service providers; 

EN 

36 

   EN 

 
 
 
 
(b)  be  selected  in  a  transparent  procedure  on  the  basis  of  their  specific  qualifications, 
including  appropriate competence and relevant experience inter  alia in  the field of auditing, 
air navigation services and systems;  

(c) act independently in particular from any interest related to air navigation service providers 
and shall not seek or take instructions from any government or other public or private entity 
when carrying out the functions of the national supervisory authority;  

(d)  as  regards  persons  in  charge  of  strategic  decisions,  make  an  annual  declaration  of 
commitment and declaration of interests indicating any direct or indirect interests that may be 
considered  prejudicial  to  their  independence  and  which  may  influence  the  performance  of 
their functions; and 

(e) as regards persons in charge of strategic decisions, audits or other functions directly linked 
to oversight or performance targets of air navigation service providers, have no professional 
position or responsibility with any of the air navigation service providers after their term in 
the national supervisory authority, for a period of at least one year.  

(cid:208) 1070/2009 Art. 1.3  
(cid:214) new 

74.  Member  States  shall  ensure  that  national  supervisory  authorities  have  the  necessary 
resources and capabilities to carry out the tasks assigned to them under this Regulation in an 
efficient and timely manner. (cid:214) The national supervisory authorities shall have full authority 
over  the  recruitment  and  management  of  their  staff  based  on  their  own  appropriations 
stemming from inter alia route charges to be set in proportion to the tasks to be fulfilled by the 
authority in accordance with Article 4.  

85.  Member  States  shall  notify  the  Commission  of  the  names  and  addresses  of  the  national 
supervisory  authorities,  as  well  as  changes  thereto,  and  of  the  measures  taken  to  ensure 
compliance with (cid:214) this Article paragraphs 2,3 and 4. 

9.  The  Commission  shall  establish  detailed  rules  laying  down  the  modalities  of  the 
recruitment  and  selection  procedures  for  the  application  of  paragraphs  6(a)  and  (b).  Those 
implementing acts shall be adopted in accordance with the examination procedure referred to 
in Article 27(3). 

(cid:216) new 

(cid:208) 1070/2009 Art. 2.1 (adapted) 

Article 42 

Tasks of the national supervisory authorities 

1. The national supervisory authorities referred to in Article 3 4 of the framework Regulation 
shall ⌦ be entrusted in particular with the following tasks: ⌫  

(a) ensure ⌦ ensuring ⌫ the appropriate supervision of the application of this Regulation, in 
particular  with  regard  to  the  safe  and  efficient  operation  of  air  navigation  service  providers 
which provide services relating to the airspace falling under the responsibility of the Member 
State which nominated or established the relevant authority.; 

EN 

37 

   EN 

 
 
 
(cid:216) new 

(b) granting of certificates to air navigation services providers in accordance with Article 8b 
of  Regulation  (EC)  No  216/2008  and  overseeing  the  application  of  the  conditions  under 
which they have been granted; 

(c)  issuing  licenses,  ratings,  endorsements  and  certificates  for  air  traffic  controllers  in 
accordance with Article 8c of Regulation (EC) No 216/2008 and overseeing the application of 
the conditions under which they have been issued; 

(d)  drawing  up  performance  plans  and  monitoring  their  implementation  in  accordance  with 
Article 11;  

(e) monitoring the implementation of the charging scheme in accordance with Articles 12 and 
13;  

(f) approving the conditions of access to operational data in accordance with Article 22; and 

(g) supervising declarations and the putting into service of systems.  

(cid:208) 1070/2009 Art. 2.1 (adapted) 
(cid:214) new 

2.  To  this  end,  eEach  national  supervisory  authority  shall  organise  proper  inspections  and 
surveys  to  verify  compliance  with  the  requirements  of  this  Regulation  including  human 
resources requirements for the provision of air navigation services. The air navigation service 
provider concerned shall facilitate such work. 

(cid:216) new 

Article 5 

Co-operation between national supervisory authorities 

1.  The  national  supervisory  authorities  shall  exchange  information  about  their  work  and 
decision-making principles, practices and procedures as well as implementation of Union law. 
They shall cooperate for the purpose of coordinating their decision-making across the Union. 
The  national  supervisory  authorities  shall  participate  and  work  together  in  a  network  that 
convenes at regular intervals. The Commission and the European Union Agency for Aviation 
(  hereafter  "EAA")  shall  be  members,  coordinate  and  support  the  work  of  the  network  and 
make  recommendations  to  the  network,  as  appropriate.  The  Commission  and  EAA  shall 
facilitate active cooperation of the national supervisory authorities and exchanges and use of 
staff between the national supervisory authorities based on a pool of experts to be set up by 
EAA in accordance with Article 17(2)(f) of Regulation (EC) No 216/2008. 

Subject  to  the  rules  on  data  protection  provided  for  in  Article  22  of  this  Regulation  and  in 
Regulation (EC) No 45/2001, the Commission shall support the exchange of the information 
referred to in the first and second subparagraph of this paragraph among the members of the 
network,  possibly  through  electronic  tools,  respecting  the  confidentiality  of  business  secrets 
of air navigation service providers. 

EN 

38 

   EN 

 
 
 
2.  The  national  supervisory  authorities  shall  cooperate  closely,  including  through  working 
arrangements, for the purposes of mutual assistance in their monitoring tasks and handling of 
investigations and surveys. 

(cid:208) 1070/2009 Art. 2.1 
(cid:214) new 

3.  In  respect  of  functional  airspace  blocks  that  extend  across  the  airspace  falling  under  the 
responsibility of more than one Member State, the Member States concerned shall conclude 
an agreement on the supervision provided for in this Article with regard to the air navigation 
service  providers  providing  services  relating  to  those  blocks.  (cid:214) The  national  supervisory 
authorities  concerned  shall  establish  a  plan  specifying  the  modalities  of  their  co-operation 
with a view to giving effect to that agreement.  

(cid:208) 1070/2009 Art. 2.1 (adapted) 

4. National supervisory authorities shall cooperate closely to ensure adequate supervision of 
air navigation service providers  holding a  valid certificate from  one Member State that also 
provide  services  relating  to  the  airspace  falling  under  the  responsibility  of  another  Member 
State. Such cooperation shall include arrangements for the handling of cases involving non-
compliance with ⌦ this Regulation and with ⌫ the applicable common requirements set out 
⌦ adopted ⌫ 
in  ⌦ accordance  with ⌫  Article ⌦ 8b(1)  of  Regulation  (EC)  No 
216/2008 ⌫ 6 or with the conditions set out in Annex II. 

(cid:208) 1070/2009 Art. 2.1 (adapted) 
(cid:214) new 

5.  In  the  case  of  cross-border  provision  of  air  navigation  services  (cid:214) in  an  airspace  falling 
under  the  responsibility  of  another  Member  State   ,  such  ⌦ the ⌫  arrangements 
(cid:214) referred to in paragraphs 2 and 4  shall include an agreement on the mutual recognition 
of the supervisory tasks set out in Article 4(1) and (2) and of the results of these tasks. This 
mutual  recognition  shall  apply  also  where  arrangements  for  recognition  between  national 
supervisory authorities are made for the certification process of service providers. 

6. If permitted by national law and with a view to regional cooperation, national supervisory 
authorities may also conclude agreements regarding the division of responsibilities regarding 
supervisory tasks. 

(cid:208) 1070/2009 Art. 2.1 (adapted) 

Article 63 

Qualified entities 

1. National supervisory authorities may decide to delegate in full or in part the inspections and 
surveys referred to in Article 4 2(2) to qualified entities that fulfil the requirements set out in 
Annex I. 

2.  Such  a  delegation  granted  by  a  national  supervisory  authority  shall  be  valid  within  the 
Community  ⌦ Union ⌫  for  a  renewable  period  of  three  years.  National  supervisory 

EN 

39 

   EN 

 
 
 
 
authorities may instruct any of the qualified entities located in the ⌦ Union ⌫ Community 
to undertake these inspections and surveys. 

(cid:208) 552/2004 (adapted) 
(cid:214) new 

Article 8 

Notified bodies 

1.3 Member States shall notify the Commission, (cid:214) EAA  and the other Member States of 
the  bodies  ⌦ qualified  entities  to  which  they  have  delegated  tasks  in  accordance  with 
paragraph  1 ⌫  they  have  appointed  ,  to  carry  out  tasks  pertaining  to  the  assessment  of 
conformity or suitability for use referred to in Article 5, and/or the verification referred to in 
Article 6,  indicating  each  ⌦ entity ⌫  body's  area  of  responsibility  and  its  identification 
number  ⌦ and  of  any  changes  in  this  respect ⌫  obtained  from  the  Commission.  The 
Commission  shall  publish  in  the  Official  Journal  of  the  European  Union  the  list  of 
⌦ qualified entities ⌫ bodies, their identification numbers and areas of responsibility, and 
shall keep the list updated. 

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

34.  Member  States  shall  withdraw  ⌦ the  delegation ⌫  notification  of  a  notified  body 
⌦ qualified  entity ⌫  which  no  longer  meets  the  ⌦ requirements  set  out ⌫  criteria 
provided for in Annex I V. It shall forthwith inform the Commission, (cid:214) EAA  and the other 
Member States thereof. 

4. Without prejudice to the requirements referred to in paragraphs 1, 2 and 3, Member States 
may  decide  to  appoint  organisations  recognised  in  conformity  with  Article 3  of  the  service 
provision Regulation as notified bodies. 

5.  Bodies  nominated  before  the  entry  into  force  of  this  Regulation  as  notified  bodies  in 
accordance  with  Article  8  of  Regulation  (EC)  No  552/2004,  shall  be  considered  to  be 
qualified entities for the purposes of this Article. 

(cid:216) new 

(cid:208) 1070/2009 Art. 1.5 
(cid:214) new 

Article 710 

Consultation of stakeholders 

1. The Member States (cid:214) National supervisory authorities  , acting in accordance with their 
national  legislation,  shall  establish  consultation  mechanisms  for  appropriate  involvement  of 
stakeholders,  including  professional  staff  representative  bodies  (cid:214) for  the  exercise  of  their 
tasks  , in the implementation of the sSingle European sSky. 

EN 

40 

   EN 

 
 
 
2. The stakeholders may include: 

(cid:216) new 

– 

– 

– 

– 

– 

– 

air navigation service providers, 

airport operators, 

relevant airspace users or relevant groups representing airspace users, 

military authorities, 

manufacturing industry, 

professional staff representative bodies. 

(cid:208) 550/2004 (adapted) 

CHAPTER III 

RULES FOR THE ⌦ SERVICE ⌫ PROVISION OF SERVICES 

(cid:208) 550/2004 (adapted) 
(cid:214) new 

Article 6 

Common requirements 

Common  requirements  for  the  provision  of  air  navigation  services  shall  be  established  in 
accordance  with  the  procedure  referred  to  in  Article 5(3)  of  the  framework  Regulation.  The 
common requirements shall include the following: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

technical and operational competence and suitability, 

systems and processes for safety and quality management, 

reporting systems, 

quality of services, 

financial strength, 

liability and insurance cover, 

ownership  and  organisational  structure,  including  the  prevention  of  conflicts  of 
interest, 

human resources, including adequate staffing plans, 

security. 

Article 87 

Certification of air navigation service providers 

EN 

41 

   EN 

 
 
 
1. The provision of all air navigation services within the Community ⌦ Union ⌫ shall be 
subject  to  certification  by  (cid:214) or  declaration  to,   Member  States  (cid:214) national  supervisory 
authorities or EAA in accordance with Article 8b of Regulation (EC) No 216/2008  . 

2. Applications for certification shall be submitted to the national supervisory authority of the 
Member  State  where  the  applicant  has  its  principal  place  of  operation  and,  if  any,  its 
registered office.  

(cid:208) 550/2004  

2.  The  certification  process  shall  also  ensure  that  the  applicants  can  demonstrate  sufficient 
financial  strength  and  have  obtained  liability  and  insurance  cover,  where  this  is  not 
guaranteed by the Member State concerned. 

(cid:216) new 

(cid:208) 550/2004 (adapted) 
(cid:214) new 

3. National supervisory authorities shall issue certificates to air navigation service providers 
where they comply with the common requirements referred to in Article 6. Certificates may 
be  issued  individually  for  each  type  of  air  navigation  service  as  defined  in  Article 2  of  the 
framework  Regulation,  or  for  a  bundle  of  such  services,  inter  alia,  where  a  provider  of  air 
traffic  services,  whatever  its  legal  status,  operates  and  maintains  its  own  communication, 
navigation and surveillance systems. The certificates shall be checked on a regular basis. 

43. (cid:214) The certificate shall provide for  Certificates shall specify the rights and obligations 
of  air  navigation  service  providers,  including  non-discriminatory  access  to  services  for 
airspace users, with particular regard to safety. Certification may ⌦ shall ⌫ be subject only 
to  the  conditions  set  out  in  Annex II.  Such  conditions  shall  be  objectively  justified,  non-
discriminatory, proportionate and transparent. 

5.  Notwithstanding  paragraph 1,  Member  States  may  allow  the  provision  of  air  navigation 
services in all or part of the airspace under their responsibility without certification in cases 
where  the  provider  of  such  services  offers  them  primarily  to  aircraft  movements  other  than 
general air traffic. In those cases, the Member State concerned shall inform the Commission 
and  the  other  Member  States  of  its  decision  and  of  the  measures  taken  to  ensure  maximum 
compliance with the common requirements. 

(cid:208) 1070/2009 Art. 2.3 (adapted) 
(cid:214) new 

46.  Without  prejudice  to  Articles 8  and 9  tThe  issue  of  certificates  shall  confer  on  air 
navigation service providers the possibility of offering their services to Member States, other 
air  navigation  service  providers,  airspace  users  and  airports  within  the  Community 
⌦ Union ⌫  .  (cid:214) With  regard  to  support  services  this  possibility  shall  be  subject  to  the 
compliance with Article 10(2).  

7. National supervisory authorities shall monitor compliance with the common requirements 
and  with  the  conditions  attached  to  the  certificates.  Details  of  such  monitoring  shall  be 
included in the annual reports to be submitted by Member States pursuant to Article 12(1) of 

EN 

42 

   EN 

 
 
 
 
the  framework  Regulation.  If  a  national  supervisory  authority  finds  that  the  holder  of  a 
certificate  no  longer  satisfies  such  requirements  or  conditions,  it  shall  take  appropriate 
measures while ensuring continuity of services on condition that safety is not compromised. 
Such measures may include the revocation of the certificate. 

(cid:208) 550/2004 

8.  A  Member  State  shall  recognise  any  certificate  issued  in  another  Member  State  in 
accordance with this Article. 

9.  In  exceptional  circumstances,  Member  States  may  postpone  compliance  with  this  Article 
beyond  the  date  resulting  from  Article 19(2)  by  six  months.  Member  States  shall  notify  the 
Commission of such postponement, giving their reasons therefor. 

(cid:208) 1070/2009 Art. 2.4 (adapted) 
(cid:214) new 

Article 98 

Designation of air traffic service providers 

1. Member States shall ensure the provision of air traffic services on an exclusive basis within 
specific airspace blocks in respect of the airspace under their responsibility. For this purpose, 
Member States shall designate an air traffic service provider holding a valid certificate (cid:214) or 
declaration  in the Community ⌦ Union ⌫ . 

2.  For  the  provision  of  cross-border  services,  Member  States  shall  ensure  that  compliance 
with this Article and Article 18 10(3) is not prevented by their national legal system requiring 
that air traffic service providers providing services in the airspace under the responsibility of 
that Member State (cid:214) fulfil one of the following conditions  : 

(a)  be  owned  directly  or  through  a  majority  holding  by  that  Member  State  or  its 
nationals; 

(b) have their principal place of operation or registered office in the territory of that 
Member State or 

(c) use only facilities in that Member State. 

3. Member States shall define the rights and obligations to be met by the designated air traffic 
service  providers.  The  obligations  may  include  conditions  for  the  timely  supply  of  relevant 
information  enabling  all  aircraft  movements  in  the  airspace  under  their  responsibility  to  be 
identified.  

4. Member States shall have discretionary powers in choosing an air traffic service provider, 
on  condition  that  the  latter  fulfils  the  requirements  and  conditions  referred  to  in  Articles 6 
and 7 (cid:214) is certified or declared in accordance with Regulation (EC) No 216/2008  .  

(cid:208) 1070/2009 Art. 2.4 
(cid:214) new 

EN 

43 

   EN 

 
 
 
 
 
 
(cid:208) 1070/2009 Art. 2.4 

5.  In  respect  of  functional  airspace  blocks  established  in  accordance  with  Article 16  9a  that 
extend  across  the  airspace  under  the  responsibility  of  more  than  one  Member  State,  the 
Member  States  concerned  shall  jointly  designate,  in  accordance  with  paragraph 1  of  this 
Article, one or more air traffic service providers, at least one month before implementation of 
the airspace block. 

6. Member States shall inform the Commission and other Member States immediately of any 
decision within the framework of this Article regarding the designation of air traffic service 
providers within specific airspace blocks in respect of the airspace under their responsibility. 

(cid:216) new 

Article 10 

Provision of support services 

1.  Member  States  shall  take  all  necessary  measures  to  ensure  that,  in  accordance  with  this 
Article, providers of support services can compete within the Union on the basis of equitable, 
non-discriminatory and transparent conditions for the purpose of providing these services. 

The requirement set out in this Article shall be met at the latest by 1 January 2020.  

2. Member States shall take all necessary measures to ensure that the provision of air traffic 
services is separated from the provision of support services. This separation shall include the 
requirement  that  air  traffic  services  and  support  services  are  provided  by  separate 
undertakings. 

3.  In  choosing  the  provider  of  support  services,  in  particular  cost  efficiency,  overall  service 
quality  and  safety  of  services  shall  be  taken  into  account  by  the  entity  procuring  those 
services. 

4. A provider of support services may only be chosen to provide services in the airspace of a 
Member State, when: 

(a) it is certified in accordance with Article 8b of Regulation (EC) No 216/2008; 

(b) its principal place of business is located in the territory of a Member State;  

(c)  Member  States  and/or  nationals  of  Member  States  own  more  than  50  %  of  the 
service provider and effectively control it, whether directly or indirectly through one 
or  more  intermediate  undertakings,  except  as  provided  for  in  an  agreement  with  a 
third country to which the Union is a party; and 

(d) the service provider fulfils national security and defence requirements. 

5. Support services related to the operations of the EATMN may be provided in a centralised 
manner by the Network Manager by adding those services to the services referred to in Article 
17(2), in accordance with Article 17(3). They may also be provided on an exclusive basis by 
an  air  navigation  service  provider  or  groupings  thereof,  in  particular  those  related  to  the 
provision  of  the  ATM  infrastructures.  The  Commission  shall  specify  the  modalities  for  the 
selection of providers or groupings thereof, based on the professional capacity and ability to 
provide  services  in  an  impartial  and  cost-effective  manner,  and  establish  an  overall 
assessment  of  the  estimated  costs  and  benefits  of  the  provision  of  the  support  services  in  a 
centralised  manner.  Those  implementing  acts  shall  be  adopted  in  accordance  with  the 

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examination procedure referred to in Article 27(3). The Commission shall designate providers 
or groupings thereof in accordance with those implementing acts. 

(cid:208) 550/2004 

Article 9 

Designation of providers of meteorological services 

1. Member States may designate a provider of meteorological services to supply all or part of 
meteorological  data  on  an  exclusive  basis  in  all  or  part  of  the  airspace  under  their 
responsibility, taking into account safety considerations. 

2. Member States shall inform the Commission and other Member States without delay of any 
decision  within  the  framework  of  this  Article  regarding  the  designation  of  a  provider  of 
meteorological services. 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

Article 11 

Performance scheme 

1. To improve the performance of air navigation services and network (cid:214) services  functions 
in the sSingle European sSky, a performance scheme for air navigation services and network 
(cid:214) services  functions shall be set up. It shall include: 

(a)  Community  ⌦ Union ⌫  -wide  (cid:214) and  associated  local   performance  targets 
on  the  key  performance  areas  of  safety,  the  environment,  capacity  and  cost-
efficiency; 

(b)  national  plans  or  plans  for  functional  airspace  blocks,  including  performance 
targets, ensuring (cid:214) compliance  consistency with the Community ⌦ Union ⌫ -
wide (cid:214) and associated local  performance targets; and 

(c)  periodic  review,  monitoring  and  benchmarking  of  the  performance  of  air 
navigation services and network (cid:214) services  functions. 

2. In accordance with the regulatory procedure referred to in Article 5(3), tThe Commission 
(cid:214) shall   may  designate  Eurocontrol  or  another  (cid:214) an  independent,   impartial  and 
competent body to act as a ‘performance review body’. The role of the performance review 
body  shall  be  to  assist  the  Commission,  in  coordination  with  the  national  supervisory 
authorities, and to assist the national supervisory authorities on request in the implementation 
of  the  performance  scheme  referred  to  in  paragraph 1.  (cid:214) Technical  assistance  to  the 
performance  review  body  may  be  provided  by  EAA  and  Eurocontrol  or  another  competent 
entity  . The Commission shall ensure that the performance review body acts independently 
when carrying out the tasks entrusted to it by the Commission. 

3. 

(a)  The  Community  -wide  performance  targets  for  the  air  traffic  management 
network  shall  be  adopted  by  the  Commission  in  accordance  with  the  regulatory 
procedure  referred  to  in  Article after  taking  into  account  the  relevant  inputs  from 
national supervisory authorities at national level or at the level of functional airspace 
blocks. 

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(b) 

4.(c) 

The  national  or  functional  airspace  block  plans  referred  to  in  point (b)  of 
paragraph 1(b), shall be drawn up by national supervisory authorities and adopted by 
the Member State(s). These plans shall include binding national (cid:214) local  targets or 
targets at the level of functional airspace blocks and an appropriate incentive scheme 
as  adopted  by  the  Member  State(s).  Drafting  of  the  plans  shall  be  subject  to 
consultation  with  air  navigation  service  providers,  airspace  users'  representatives, 
and, where relevant, airport operators and airport coordinators. 

The  (cid:214) compliance   consistency  of  the  national  or  functional  airspace  block 
(cid:214) plans  and  local   targets  with  the  Community  ⌦ Union ⌫  -wide  and 
performance targets shall be assessed by the Commission (cid:214) in co-operation with the 
performance review body  using the assessment criteria referred to in point (d) of 
paragraph 6. 

In the event that the Commission identifies that (cid:214) the national or functional airspace 
block plans or the local  one or more national or functional airspace block targets 
do  not  (cid:214) comply  with   meet  the  (cid:214) Union-wide  targets   assessment  criteria,  it 
may  (cid:214) require   decide,  in  accordance  with  the  advisory  procedure  referred  to  in 
Article 5(2),  (cid:214) the  Member  States  concerned  to  take  the  necessary  corrective 
measures. Those implementing acts shall be adopted in accordance with the advisory 
procedure referred to in Article 27(2).  to issue a recommendation that the national 
supervisory  authorities  concerned  propose  revised  performance  target(s).  The 
Member State(s) concerned shall adopt revised performance targets and appropriate 
measures which shall be notified to the Commission in due time. 

Where  the  Commission  finds  that  the  revised  performance  targets  and  appropriate 
measures  are  not  adequate,  it  may  decide,  in  accordance  with  the  regulatory 
procedure  referred  to  in  Article 5(3),  that  the  Member  States  concerned  shall  take 
corrective measures. 

Alternatively,  the  Commission  may  decide,  with  adequate  supporting  evidence,  to 
revise the  Community  -wide performance targets in accordance with the regulatory 
procedure referred to in Article 5(3). 

5. (d)  The  reference  period  for  the  performance  scheme,  referred  to  in  paragraph  1,  shall 
cover a minimum of three years and a maximum of five years. During this period, in 
the event that the (cid:214) local  national or functional airspace block targets are not met, 
the Member States (cid:214) concerned  and/or the national supervisory authorities shall 
(cid:214) define  and   apply  the  appropriate  measures  (cid:214) designed  to  rectify  the 
situation  they have defined. (cid:214) Where the Commission finds that these measures 
are  not  sufficient  to  rectify  the  situation,  it  may  decide,  that  the  Member  States 
concerned  shall 
take  necessary  corrective  measures  or  sanctions.  Those 
implementing  acts  shall  be  adopted  in  accordance  with  the  advisory  procedure 
referred to in Article 27 (2).  The first reference period shall cover the first three 
years following the adoption of the implementing rules referred to in paragraph 6. 

6. (e)  The  Commission  shall  carry  out  regular  assessments  of  the  achievement  of  the 
(cid:214) Union-wide and associated local  performance targets and present the results to 
the Single Sky Committee. 

74. 

The  following  procedures  shall  apply  to  the  performance  scheme  referred  to  in 
paragraph 1 ⌦ shall be based on ⌫ : 

(a) collection, validation, examination, evaluation and dissemination of relevant data 
related to the performance of air navigation services and network (cid:214) services  

EN 

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functions  from  all  relevant  parties,  including  air  navigation  service  providers, 
airspace  users,  airport  operators,  national  supervisory  authorities,  Member 
States and Eurocontrol; 

(b) selection of appropriate key performance areas on the basis of ICAO Document 
No 9854  ‘Global  air  traffic  management  operational  concept’,  and  consistent 
with those identified in the Performance Framework of the ATM Master Plan, 
including  safety,  the  environment,  capacity  and  cost-efficiency  areas,  adapted 
where necessary in order to take into account the specific needs of the Ssingle 
European  Ssky  and  relevant  objectives  for  these  areas  and  definition  of  a 
limited set of key performance indicators for measuring performance; 

(c)  establishment  (cid:214) and  revision   of  Community  ⌦ Union ⌫-wide  (cid:214) and 
associated  local   performance  targets  that  shall  be  defined  taking  into 
consideration  inputs  identified  at  national  level  or  at  the  level  of  functional 
airspace blocks; 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

6.  For  the  detailed  functioning  of  the  performance  scheme,  the  Commission  shall  by 
4 December  2011  and  within  a  suitable  time-frame  with  a  view  to  meeting  the  relevant 
deadlines  laid  down  in  this  Regulation,  adopt  implementing  rules  in  accordance  with  the 
regulatory  procedure  referred  to  in  Article  5(3).  These  implementing  rules  shall  cover  the 
following: 

(d).(c)  criteria  for  the  setting  up  by  the  national  supervisory  authorities  of  the 
national  or  functional  airspace  block  performance  plans,  containing  the 
(cid:214) local   national  or  functional  airspace  block  performance  targets  and  the 
incentive scheme. The performance plans shall: 

(i) be based on the business plans of the air navigation service providers; 

(ii)  address  all  cost  components  of  the  national  or  functional  airspace 
block cost base; 

(iii)  include  binding  (cid:214) local   performance  targets  (cid:214) compliant  
consistent  with  the  Community  ⌦ Union ⌫  (cid:214) -wide   performance 
targets; 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

(ed) assessment of the (cid:214) local  national or functional airspace block performance 
targets on the basis of the national or functional airspace block plan; and 

(fe)  monitoring  of  the  national  or  functional  airspace  block  performance  plans, 

including appropriate alert mechanisms.; 

(g)(d)  criteria  (cid:214) to  impose  sanctions  for  non-compliance   assess  whether  the 
national or functional airspace block targets are consistent with the Community 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

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⌦ Union ⌫ -wide (cid:214) and associated local  performance targets during the 
reference period and to support alert mechanisms; 

(h)(e) general principles for the setting up by Member States of the incentive scheme; 

(i)(f)  principles  for  the  application  of  a  transitional  mechanism  necessary  for  the 
adaptation  to  the  functioning  of  the  performance  scheme  not  exceeding  12 
months  following  the  adoption  of  the  (cid:214) delegated  act  referred  to  in  this 
paragraph  implementing rules.; 

(j)(b) the (cid:214) appropriate  reference periods and intervals for the assessment of the 

achievement of performance targets and the setting of new targets; 

(k)(a) the content and (cid:214) necessary related  timetables of the procedures referred to 

in paragraph 4; 

(cid:208) 1070/2009 Art. 1.5 
(cid:214) new 

The Commission may (cid:214) shall be empowered to adopt delegated acts in accordance 
with Article 26 in order to lay down detailed rules for the proper functioning of the 
performance scheme  add to the list of procedures referred to (cid:214) in accordance with 
the  points  listed   in  this  paragraph.  These  measures  designed  to  amend  non-
essential  elements  of  this  Regulation,  by  supplementing  it,  shall  be  adopted  in 
accordance with the regulatory procedure with scrutiny referred to in Article 5(4). 

85.  The  establishment  of  the  performance  scheme  shall  take  into  account  that  en  route 
services,  terminal  services  and  network  (cid:214) services   functions  are  different  and  should  be 
treated accordingly, if necessary also for performance-measuring purposes. 

(cid:208) 550/2004 (adapted) 

CHAPTER III 

CHARGING SCHEMES 

(cid:208) 1070/2009 Art. 2.8 (adapted) 

Article 1214 

General ⌦ provisions for the charging scheme ⌫  

In accordance with the requirements of Articles 13 15 and 1416, the charging scheme for air 
navigation  services  shall  contribute  to  greater  transparency  in  the  determination,  imposition 
and  enforcement  of  charges  to  airspace  users  and  shall  contribute  to  the  cost  efficiency  of 
providing air navigation services and to efficiency of flights, while maintaining an optimum 
safety  level.  This  ⌦ The ⌫  scheme  shall  also  be  consistent  with  Article 15  of  the  1944 
Chicago Convention on International Civil Aviation and with Eurocontrol's charging system 
for en-route charges. 

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48 

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(cid:208) 1070/2009 Art. 2.9 (adapted) 
(cid:214) new 

Article 1315 

Principles ⌦ for the charging scheme ⌫ 

1.  The  charging  scheme  shall  be  based  on  the  account  of  costs  for  air  navigation  services 
incurred by service providers for the benefit of airspace users. The scheme shall allocate these 
costs among categories of users. 

2.  The  following  principles  ⌦ set  out  in  paragraphs  3  to  8 ⌫  shall  be  applied  when 
establishing the cost-base for charges:. 

3(a)  tThe  cost  to  be  shared  among  airspace  users  shall  be  the  determined  cost  of 
providing  air  navigation  services,  including  appropriate  amounts  for  interest  on 
capital  investment  and  depreciation  of  assets,  as  well  as  the  costs  of  maintenance, 
operation, management and administration, (cid:214) including the costs incurred by EAA 
for relevant authority tasks  . Determined costs shall be the costs determined by the 
Member State at national level or at the level of functional airspace blocks either at 
the beginning of the reference period for each calendar year of the reference period 
referred to in Article 11(5) 11 of the framework Regulation, or during the reference 
period,  following  appropriate  adjustments  applying  the  alert  mechanisms  set  out  in 
Article 11 11 of the framework Regulation:. 

4(b)  tThe  costs  to  be  taken  into  account  in  this  context  shall  be  those  assessed  in 
relation to the facilities and services provided for and implemented under the ICAO 
Regional Air Navigation Plan, European Region. They (cid:214) shall  may also include 
costs incurred by national supervisory authorities and/or qualified entities, as well as 
other costs incurred by the relevant Member State and service provider in relation to 
the provision of air navigation services. They shall not include the costs of penalties 
imposed  by  Member  States  ⌦ referred ⌫  according  to  Article  339  of  the 
framework  Regulation  nor  the  costs  of  any  corrective  measures  (cid:214) or  sanctions  
imposed  by  Member  States  ⌦ referred  to  in ⌫  according  to  Article  1111 
⌦ (5) ⌫ of the framework Regulation;. 

5(c)  iIn  respect  of  the  functional  airspace  blocks  and  as  part  of  their  respective 
framework  agreements,  Member  States  shall  make  reasonable  efforts  to  agree  on 
common principles for charging policy;. 

6(d)  tThe  cost  of  different  air  navigation  services  shall  be  identified  separately,  as 
provided for in Article 2112(3) ;. 

7(e)  cCross-subsidy  shall  not  be  allowed  between  en-route  services  and  terminal 
services.  Costs  that  pertain  to  both  terminal  services  and  en-route  services  shall  be 
allocated  in  a  proportional  way  between  en-route  services  and  terminal  services  on 
the  basis  of  a  transparent  methodology.  Cross-subsidy  shall  be  allowed  between 
different  air  (cid:214) traffic   navigation  services  in  either  one  of  those  two  categories 
only  when  justified  for  objective  reasons,  subject  to  clear  identification.  (cid:214) Cross-
subsidy shall not be allowed between air traffic services and support services.  

8(f)  tTransparency  of  the  cost-base  for  charges  shall  be  guaranteed.  Implementing 
rules  for  the  provision  of  information  by  the  service  providers  shall  be  adopted  in 
order  to  permit  reviews  of  the  provider's  forecasts,  actual  costs  and  revenues. 

EN 

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Information  shall  be  regularly  exchanged  between  the  national  supervisory 
authorities, service providers, airspace users, the Commission and Eurocontrol. 

93.  Member  States  shall  comply  with  the  following  principles  when  setting  charges  in 
accordance with paragraphs ⌦ 3 to 8 ⌫ 2: 

(a)  charges  shall  be  set  for  the  availability  of  air  navigation  services  under  non-
discriminatory  conditions.  Wwhen  imposing  charges  on  different  airspace  users  for 
the use of the same service, no distinction shall be made in relation to the nationality 
or category of the user; 

(b)  exemption  of  certain  users,  especially  light  aircraft  and  State  aircraft,  may  be 
permitted, provided that the cost of such exemption is not passed on to other users; 

(c) charges shall be set per calendar year on the basis of the determined costs, or may 
be set under conditions established by Member States for determining the maximum 
level of the unit rate or of the revenue for each year over a period not exceeding five 
years; 

(d)  air  navigation  services  may  produce  sufficient  revenues  to  provide  for  a 
reasonable return on assets to contribute towards necessary capital improvements; 

(e)  charges  shall  reflect  the  cost  of  air  navigation  services  and  facilities  made 
available to airspace users, (cid:214) including costs incurred by EAA for relevant authority 
tasks,  taking into account the relative productive capacities of the different aircraft 
types concerned; 

(f) charges shall encourage the safe, efficient, effective and sustainable provision of 
air  navigation  services  with  a  view  to  achieving  a  high  level  of  safety  and  cost-
efficiency  and  meeting  the  performance  targets  and  they  shall  stimulate  integrated 
service provision, whilst reducing the environmental impact of aviation. To that end, 
⌦ For  the  purposes  of  point  (f) ⌫  and  in  relation  to  the  national  or  functional 
airspace  block  performance  plans,  national  supervisory  authorities  may  set  up 
mechanisms, 
financial  advantages  and 
disadvantages, to encourage air navigation service providers and/or airspace users to 
support  improvements  in  the  provision  of  air  navigation  services  such  as  increased 
capacity,  reduced  delays  and  sustainable  development,  while  maintaining  an 
optimum safety level. 

incentives  consisting  of 

including 

104. The Commission shall adopt (cid:214) measures setting out the details of the procedure  to  be 
followed for the application of paragraphs 1 to 9.  (cid:214) Those  detailed implementing rules 
(cid:214) acts  shall  be  adopted   for  this  Article  in  accordance  with  the  (cid:214) examination  
regulatory procedure referred to in Article 27 5(3) of the framework Regulation.  

(cid:208) 1070/2009 Art. 2.11 (adapted) 
(cid:214) new 

Article 1416 

Review of compliance ⌦ with Articles 12 and 13 ⌫ 

1.  The  Commission  shall  provide  for  the  ongoing  review  of  compliance  with  the  principles 
and rules referred to in Articles 1214 and 1315, acting in cooperation with the Member States. 
The  Commission  shall  endeavour  to  establish  the  necessary  mechanisms  for  making  use  of 

EN 

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Eurocontrol  expertise  and  shall  share  the  results  of  the  review  with  the  Member  States, 
Eurocontrol and the airspace users' representatives. 

2.  At  the  request  of  one  or  more  Member  States  that  consider  that  the  principles  and  rules 
referred to in Articles 14 and 15 have not been properly applied, or on its own initiative, the 
Commission  shall  carry  out  an  investigation  into  any  allegation  of  non-compliance  or  non-
application of the principles and/or rules concerned (cid:214) examine specific measures adopted by 
national  authorities  in  relation  to  the  application  of  Articles  12  and  13,  concerning  the 
determination of costs and charges . Without prejudice to Article 3218(1), the Commission 
shall  share  the  results  of  the  investigation  with  the  Member  States,  Eurocontrol  and  the 
airspace users’ representatives. Within two months of receipt of a request, after having heard 
the  Member  State  concerned,  ⌦ the  Commission  shall  decide  whether  Articles  12  and  13 
have  been  complied  with  and  the  measure  may  thus  continue  to  be  applied.  Those 
implementing  acts  shall  be  adopted ⌫  and  after  consulting  the  Single  Sky  Committee  in 
accordance  with  the  advisory  procedure  referred  to  in  Article  275(2)  of  the  framework 
Regulation, the Commission shall take a decision on the application of Articles 14 and 15 of 
this Regulation and as to whether the practice concerned may continue. 

3.  The  Commission  shall  address  its  decision  to  the  Member  States  and  inform  the  service 
provider  thereof,  in  so  far  as  it  is  legally  concerned.  Any  Member  State  may  refer  the 
Commission’s decision to the Council within one month. The Council, acting by a qualified 
majority, may take a different decision within a period of one month. 

(cid:208) 1070/2009 Art. 2.10 (adapted) 
(cid:214) new 

Article 1515a 

Common projects 

1.  Common  projects  may  assist  the  successful  implementation  of  the  ATM  Master  Plan 
⌦ may be supported by common projects ⌫ . Such ⌦ These ⌫ projects shall support the 
objectives of this Regulation to improve the performance of the European aviation system in 
key areas such as capacity, flight and cost efficiency as well as environmental sustainability, 
within  the  overriding  safety  objectives.  (cid:214) The  common  projects  shall  aim  to  deploy  in  a 
timely,  coordinated  and  synchronised  manner  ATM  functionalities  to  achieve  the  essential 
operational changes identified in the ATM Master Plan  . 

2. The Commission may (cid:214) adopt measures establishing the governance of common projects 
and identifying incentives for their deployment. Those implementing acts shall be adopted  
, in accordance with the regulatory (cid:214) examination  procedure referred to in Article 275(3) 
of the framework Regulation,. ⌦ These measures ⌫ develop guidance material concerning 
the  way  in  which  such  projects  can  support  the  implementation  of  the  ATM  Master  Plan. 
Such guidance material shall not prejudice mechanisms for the deployment of such ⌦ the ⌫ 
projects concerning functional airspace blocks as agreed upon by the parties of those blocks. 

3. The Commission may (cid:214) adopt common projects for network-related functions which are 
of  particular  importance  for  the  improvement  of  the  overall  performance  of  air  traffic 
management  and  air  navigation  services  in  Europe  identifying  ATM  functionalities  that  are 
mature  for  deployment,  together  with  the  timetable  and  geographical  scope  of  the 
deployment. Those implementing acts shall be adopted  also decide, in accordance with the 
(cid:214) examination  regulatory  procedure  referred  to  in  Article  275(3)  of  the  framework 
Regulation, to set up common projects for network-related functions which are of particular 

EN 

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importance for the improvement of the overall performance of air traffic management and air 
navigation services in Europe. Such ⌦ The ⌫ common projects may be considered eligible 
for  Community  ⌦ Union ⌫  funding  within  the  multiannual  financial  framework.  To  this 
end,  and  without  prejudice  to  Member  States'  competence  to  decide  on  the  use  of  their 
financial resources, the Commission shall carry out an independent cost-benefit analysis and 
appropriate  consultations  with  Member  States  and  with  relevant  stakeholders  in  accordance 
with Article 2810 of the framework Regulation, exploring all appropriate means for financing 
the  deployment  thereof.  The  eligible  costs  of  deployment  of  common  projects  shall  be 
recovered in accordance with the principles of transparency and non-discrimination. 

(cid:208) 1070/2009 Art. 2.5 (adapted) 
(cid:214) new 

Article 169a 

Functional airspace blocks 

1. By 4 December 2012, Member States shall take all necessary measures in order to ensure 
the  ⌦ establishment  and ⌫  implementation  of  functional  airspace  blocks  (cid:214) based  on 
integrated  provision  of  air  traffic  services   with  a  view  to  achieving  the  required  capacity 
and efficiency of the air traffic management network within the sSingle European sSky and 
maintaining  a  high  level  of  safety  and  contributing  to  the  overall  performance  of  the  air 
transport system and reduced environmental impact. 

2.  The  functional  airspace  blocks  shall,  wherever  possible,  be  set-up  based  on  co-operative 
industrial  partnerships  between  air  navigation  service  providers,  in  particular  relating  to  the 
provision of support services in accordance with Article 10. The industrial partnerships may 
support one or more functional airspace block, or part thereof to maximise performance. 

(cid:216) new 

(cid:208) 1070/2009 Art. 2.5 (adapted) 
(cid:214) new 

3. Member States (cid:214) , as well as air traffic service providers  shall cooperate to the fullest 
extent  possible  with  each  other,  in  particular  Member  States  establishing  neighbouring 
functional airspace blocks, in order to ensure compliance with this ⌦ Article ⌫ provision. 
Where  relevant,  cooperation  may  also  include  (cid:214) air  traffic  service  providers  from   third 
countries taking part in functional airspace blocks. 

24. Functional airspace blocks shall, in particular: 

(a) be supported by a safety case; 

(b) be designed to seek maximum synergies from industrial partnerships in order to 
meet  and  where  possible  exceed  the  performance  targets  set  in  accordance  with 
Article 11; 

(cid:216) new 

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(cid:208) 1070/2009 Art. 2.5 (adapted) 

(bc) enable optimum use of airspace, taking into account air traffic flows; 

(cd) ensure consistency with the European route network established in accordance 
with Article 17 6 of the airspace Regulation; 

(de) be justified by their overall added value, including optimal use of technical and 
human resources, on the basis of cost-benefit analyses; 

(cid:208) 1070/2009 Art. 2.5 
(cid:214) new 

(ef)  (cid:214) where  applicable,   ensure  a  smooth  and  flexible  transfer  of  responsibility 
for air traffic control between air traffic service units; 

(fg)  ensure  compatibility  between  the  different  airspace  configurations,  optimising, 
inter alia, the current flight information regions; 

(cid:208) 1070/2009 Art. 2.5 (adapted) 

(gh)  comply  with  conditions  stemming  from  regional  agreements  concluded  within 
the ICAO; 

(hi)  respect  regional  agreements  in  existence  on  the  date  of  entry  into  force  of  this 
Regulation, in particular those involving European third countries; and 

(i) facilitate consistency with Community-wide performance targets. 

(cid:208) 1070/2009 Art. 2.5 

The  requirements  of  paragraphs  4(c),  (d)  and  (g)  shall  be  met  in  accordance  with  the 
optimisation of airspace design carried out by the Network Manager as specified in Article 17. 

5. The requirements set out in this Article may be met through participation of air navigation 
service providers in one or more functional airspace block.  

(cid:216) new 

(cid:208) 1070/2009 Art. 2.5 (adapted) 
(cid:214) new 

36. A functional airspace block (cid:214) that extend across the airspace under the responsibility of 
more  than  one  Member  State   shall  only  be  established  by  (cid:214) joint  designation   mutual 
agreement  between  all  the  Member  States  and ⌦ ,as  well  as ⌫  ,  where  appropriate,  third 
countries  who  ⌦ that ⌫  have  responsibility  for  any  part  of  the  airspace  included  in  the 
functional airspace block (cid:214) The joint  designation by  which  the  functional airspace block is 
established shall contain the necessary provisions concerning the manner in which the block 
can  be  modified  and  the  manner  in  which  a  Member  State  or,  where  appropriate,  a  third 
country, can withdraw from the block, including transitional arrangements . 

EN 

53 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
(cid:214) 7.  Member  States  shall  notify  the  establishment  of  functional  airspace  blocks  to  the 
Commission  Before notifying the Commission of the establishment of a functional airspace 
block, the Member State(s) concerned shall provide the Commission, the other Member States 
and other interested parties with adequate information and give them an opportunity to submit 
their observations. 

4.  Where  a  functional  airspace  block  relates  to  airspace  that  is  wholly  or  partly  under  the 
responsibility of two or more Member States, the agreement by which the functional airspace 
block  is  established  shall  contain  the  necessary  provisions  concerning  the  way  in  which  the 
block can be modified and the way in which a Member State can withdraw from the block, 
including transitional arrangements. 

58. Where difficulties arise between two or more Member States with regard to a cross-border 
functional airspace block that concerns airspace under their responsibility, the Member States 
concerned  may  jointly  bring  the  matter  to  the  Single  Sky  Committee  for  an  opinion.  The 
opinion  shall  be  addressed  to  the  Member  States  concerned.  Without  prejudice  to 
paragraph 63,  the  Member  States  shall  take  that  opinion  into  account  in  order  to  find  a 
solution. 

69.  After  having  received  the  notifications  by  Member  States  of  the  agreements  and 
declarations  referred  to  in  paragraphs  63  and (cid:214) 7   4  the  Commission  shall  assess  the 
fulfilment by each functional airspace block of the requirements set out in paragraph 42 and 
present  the  results  to  the  (cid:214) Member  States   Single  Sky  Committee  for  discussion.  If  the 
Commission finds that one or more functional airspace blocks do not fulfil the requirements it 
shall  engage  in  a  dialogue  with  the  Member  States  concerned  with  the  aim  of  reaching  a 
consensus on the measures necessary to rectify the situation. 

7. Without prejudice to paragraph 6, the agreements and declarations referred to in paragraphs 
3  and  shall  be  notified  to  the  Commission.  for  publication  in  the  Official  Journal  of  the 
European  Union.  Such  publication  shall  specify  the  date  of  entry  into  force  of  the  relevant 
decision. 

(cid:208) 1070/2009 Art. 2.5 (adapted) 
(cid:214) new 

810. (cid:214) The Commission may adopt detailed measures concerning the joint designation of the 
air  traffic  service  provider(s)  referred  to  in  paragraph  6,  specifying  the  modalities  for  the 
selection of the service provider(s), the period of designation, supervision arrangements, the 
availability of services to be provided and liability arrangements.  Guidance material for the 
establishment  and  modification  of  functional  airspace  blocks  shall  be  developed  by 
4 December  2010  (cid:214) Those  implementing  acts  shall  be  adopted   in  accordance  with  the 
advisory  (cid:214) examination   procedure  referred  to  in  Article  275(32)  of  the  framework 
Regulation. 

911.  l  The  Commission  (cid:214) may   shall,  by  4 December  2011  and  ⌦ adopt  measures 
regarding  the  information  to  be  provided  by  the  Member  State(s)  referred  to  in  paragraph 
6. ⌫⌦ Those 
the 
examination regulatory procedure referred to in Article 275(3) of the framework Regulation, 
adopt  implementing  rules  regarding  the  information  to  be  provided  by  the  Member  State(s) 
concerned before establishing and modifying a functional airspace block in accordance with 
paragraph 3 of this Article. 

implementing  acts  shall  be  adopted ⌫ 

in  accordance  with 

EN 

54 

   EN 

 
(cid:208) 1070/2009 Art. 2.5 

Article 9b 

Functional airspace blocks system coordinator 

1.  In  order  to  facilitate  the  establishment  of the  functional  airspace  blocks,  the  Commission 
may  designate  a  natural  person  as  functional  airspace  blocks  system  coordinator  (the 
Coordinator). The Commission shall act in accordance with the regulatory procedure referred 
to in Article 5(3) of the framework Regulation. 

2.  Without  prejudice  to  Article 9a(5)  the  Coordinator  shall  facilitate  at  the  request  of  all 
Member  States  concerned  and,  where  appropriate,  third  countries  taking  part  in  the  same 
functional  airspace  block,  overcoming  of  difficulties  in  their  negotiation  process  in  order  to 
speed  up  the  establishment  of  functional  airspace  blocks.  The  Coordinator  shall  act  on  the 
basis of a mandate from all Member States concerned and, where appropriate, third countries 
taking part in the same functional airspace block. 

3.  The  Coordinator  shall  act  impartially  in  particular  with  regard  to  Member  States,  third 
countries, the Commission and the stakeholders. 

4. The Coordinator shall not disclose any information obtained whilst performing his function 
except  where  authorised  to  do  so  by  the  Member  State(s)  and,  where  appropriate,  third 
countries concerned. 

5. The Coordinator shall report to the Commission, to the Single Sky Committee and to the 
European  Parliament  every  three  months  after  his  designation.  The  report  shall  include  a 
summary of negotiations and their results. 

6. The remit of the Coordinator shall expire when the last functional airspace block agreement 
is signed but no later than 4 December 2012. 

(cid:208) 1070/2009 Art. 3.6  
(cid:214) new 

Article 176 

Network management and design 

1.  The  air  traffic  management  (ATM)  network  functions (cid:214) services  shall allow optimum 
use  of  airspace  and  ensure  that  airspace  users  can  operate  preferred  trajectories,  while 
allowing  maximum  access  to  airspace  and  air  navigation  services.  These  network  functions 
(cid:214) services   shall  be  aimed  at  supporting  initiatives  at  national  level  and  at  the  level  of 
functional airspace blocks and shall be executed in a manner which respects the separation of 
regulatory and operational tasks. 

2.  In  order  to  achieve  the  objectives  referred  to  in  paragraph 1  and  without  prejudice  to  the 
responsibilities  of  the  Member  States  with  regard  to  national  routes  and  airspace  structures, 
the  Commission  shall  ensure  that  the  following  functions  (cid:214) services  are  carried  out 
(cid:214) under the responsibility of a Network Manager  : 

(a) design of the European route network; 

EN 

55 

   EN 

 
 
 
(b) coordination of scarce resources within aviation frequency bands used by general 
air traffic, in particular radio frequencies as well as coordination of radar transponder 
codes. ; 

(cid:216) new 

(c) central function for air traffic flow management; 

(d) provision of an aeronautical information portal in accordance with Article 23;  

(e)  optimisation  of  airspace  design  in  co-operation  with  the  air  navigation  service 
providers and functional airspace blocks referred to in Article 16; 

(f) central function for coordination of aviation crisis.  

(cid:208) 1070/2009 Art. 3.6 
(cid:214) new 

The functions (cid:214) services  listed in the first this subparagraph shall not involve the 
adoption  of  binding  measures  of  a  general  scope  or  the  exercise  of  political 
discretion. They shall take into account proposals established at national level and at 
the level of functional airspace blocks. They shall be performed in coordination with 
military authorities in accordance with agreed procedures concerning the flexible use 
of airspace. 

(cid:208) 1070/2009 Art. 3.6 (adapted) 
(cid:214) new 

The  Commission  may,  after  consultation  of  the  Single  Sky  Committee  and  in 
conformity  with  the  implementing  rules  referred  to  in  paragraph 4,  entrust  to 
⌦ appoint ⌫  Eurocontrol,  or  another  impartial  and  competent  body,  (cid:214) to  carry 
out   the  tasks  necessary  for  the  execution  of  the  functions  listed  in  the  first 
subparagraph  (cid:214) of  the  Network  Manager   .  These  tasks  shall  be  executed  in  an 
impartial and cost-effective manner and performed on behalf ⌦ of ⌫ on Member 
States  and  stakeholders.  They  shall  be  subject  to  appropriate  governance,  which 
recognises  the  separate  accountabilities  for  service  provision  and  regulation,  taking 
into  consideration  the  needs  of  the  whole  ATM  network  and  with  the  full 
involvement  of  the  airspace  users  and  air  navigation  service  providers.  (cid:214) By  1 
January  2020,  the  Commission  shall  designate  the  Network  Manager  as  a  self-
standing service provider where possible set up as an industrial partnership.  

(cid:208) 1070/2009 Art. 3.6 
(cid:214) new 

3.  The  Commission  may  (cid:214) shall  be  empowered  to  adopt  delegated  acts  in  accordance  with 
Article 26 to  add to the list of the functions (cid:214) services set out  in paragraph 2 (cid:214) in order 
to  adapt  it  to  technical  and  operational  progress  with  regard  to  the  provision  of  support 
services in a centralised manner  after proper consultation of industry stakeholders. Those 
measures, designed to amend non-essential elements of this Regulation by supplementing it, 
shall  be  adopted  in  accordance  with  the  regulatory  procedure  with  scrutiny  referred  to  in 
Article 29(1)5(4) of the framework Regulation. 

EN 

56 

   EN 

 
 
 
 
 
 
 
4. (cid:214) The Commission shall adopt  Ddetailed rules for the implementation of the measures 
referred to in this Article, except for those referred to in paragraphs 6 to 9 8, shall be adopted 
in  accordance  with  the  regulatory  procedure  referred  to  in  Article  5(3)  of  the  framework 
Regulation. Those implementing rules shall address in particular (cid:214) concerning  : 

(a)  the  coordination  and  harmonisation  of  processes  and  procedures  to  enhance  the 
efficiency  of  aeronautical  frequency  management  including  the  development  of 
principles and criteria; 

(b)  the  central  function  to  coordinate  the  early  identification  and  resolution  of 
frequency needs in the bands allocated to European general air traffic to support the 
design and operation of European aviation network; 

(c) additional network functions (cid:214) services  as defined in the ATM Master Plan; 

(d)  detailed  arrangements  for  cooperative  decision-making  between  the  Member 
States, the air navigation service providers and the network management function for 
the tasks referred to in paragraph 2; 

(e) detailed arrangements for the governance of the Network Manager involving all 
operational stakeholders concerned; 

(cid:216) new 

(cid:208) 1070/2009 Art. 3.6 
(cid:214) new 

(fe)  arrangements  for  consultation  of  the  relevant  stakeholders  in  the  decision-
making process both at national and European levels; and 

(gf)  within  the  radio  spectrum  allocated  to  general  air  traffic  by  the  International 
Telecommunication  Union,  a  division  of  tasks  and  responsibilities  between  the 
network  management  function  and  national  frequency  managers,  ensuring  that  the 
national  frequency  management  functions  (cid:214) services   continue  to  perform  those 
frequency assignments that have no impact on the network. For those cases which do 
have an impact on the network, the national frequency managers shall cooperate with 
those  responsible  for  the  network  management  function  to  optimise  the  use  of 
frequencies. 

Those  implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 

referred to in Article 27(3). 

(cid:216) new 

5. Aspects of airspace design other than those referred to in paragraphs 2 (cid:214) and 4 (c)  shall 
be dealt with at national level or at the level of functional airspace blocks. This design process 
shall take into account traffic demands and complexity, national or functional airspace block 

(cid:208) 1070/2009 Art. 3.6 (adapted) 
(cid:214) new 

EN 

57 

   EN 

 
 
 
 
 
 
 
 
 
 
 
performance  plans  and  shall  include  full  consultation  of  relevant  airspace  users  or  relevant 
groups representing airspace users and military authorities as appropriate. 

6. Member States shall entrust Eurocontrol or another impartial and competent body with the 
performance of air traffic flow management, subject to appropriate oversight arrangements. 

7.  Implementing  rules  for  air  traffic  flow  management,  including  the  necessary  oversight 
arrangements,  shall  be  developed  in  accordance  with  the  advisory  procedure  referred  to  in 
Article 5(2)  of  the  framework  Regulation  and  adopted  in  accordance  with  the  regulatory 
procedure referred to in Article 5(3) of the framework Regulation, with a view to optimising 
available capacity in the use of airspace and enhancing air traffic flow management processes. 
These rules shall be based on transparency and efficiency, ensuring that capacity is provided 
in a flexible and timely manner, consistent with the recommendations of the ICAO Regional 
Air Navigation Plan, European Region. 

8. The implementing rules for air traffic flow management shall support operational decisions 
by  air  navigation  service  providers,  airport  operators  and  airspace  users  and  shall  cover  the 
following areas: 

(cid:208) 1070/2009 Art. 3.6 

(a) flight planning; 

(b)  use  of  available  airspace  capacity  during  all  phases  of  flight,  including  slot 
assignment; and 

(c) use of routings by general air traffic, including: 

– 

– 

– 

the creation of a single publication for route and traffic orientation, 

options for diversion of general air traffic from congested areas, and 

priority  rules  regarding  access  to  airspace  for  general  air  traffic,  particularly 
during periods of congestion and crisis. 

9.  When  developing  and  adopting  the  implementing  rules  the  Commission  shall,  as 
appropriate and without prejudice to safety, take into account consistency between flight plans 
and airport slots and the necessary coordination with adjacent regions. 

(cid:208) 550/2004 (adapted) 
(cid:214) new 

Article 1810 

Relations between service providers 

1.  Air  navigation  service  providers  may  avail  themselves  of  the  services  of  other  service 
providers that have been certified (cid:214) or declared  in the Community ⌦ Union ⌫. 

2.  Air  navigation  service  providers  shall  formalise  their  working  relationships  by  means  of 
written  agreements  or  equivalent  legal  arrangements,  setting  out  the  specific  duties  and 
functions  assumed  by  each  provider  and  allowing  for  the  exchange  of  operational  data 
between all service providers in so far as general air traffic is concerned. Those arrangements 
shall be notified to the national supervisory authority or authorities concerned. 

3. In cases involving the provision of air traffic services, the approval of the Member States 
concerned shall be required. In cases involving the provision of meteorological services, the 

EN 

58 

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approval of the Member States concerned shall be required if they have designated a provider 
on an exclusive basis in accordance with Article 9(1). 

(cid:216) new 

Article 19 

Relations with stakeholders 

The  air  navigation  service  providers  shall  establish  consultation  mechanisms  to  consult  the 
relevant  groups  of  airspace  users  and  aerodrome  operators  on  all  major  issues  related  to 
services provided, or relevant changes to airspace configurations. The airspace users shall also 
be  involved  in  the  process  of  approving  strategic  investment  plans.  The  Commission  shall 
adopt measures detailing the modalities of the consultation and of the involvement of airspace 
users in approving investment plans. Those implementing acts shall be adopted in accordance 
with the examination procedure referred to in Article 27 (3). 

(cid:208) 1070/2009 Art. 2.6 

Article 2011 

Relations with military authorities 

Member States shall, within the context of the common transport policy, take the necessary 
steps to ensure that written agreements between the competent civil and military authorities or 
equivalent  legal  arrangements  are  established  or  renewed  in  respect  of  the  management  of 
specific airspace blocks. 

(cid:208) 550/2004 (adapted) 

Article 2112 

Transparency of accounts 

1. Air navigation service providers, whatever their system of ownership or legal form, shall 
draw  up,  submit  to  audit  and  publish  their  financial  accounts.  These  accounts  shall  comply 
with the international accounting standards adopted by the Community ⌦ Union ⌫. Where, 
owing  to  the  legal  status  of  the  service  provider,  full  compliance  with  the  international 
accounting standards is not possible, the provider shall endeavour to achieve such compliance 
to the maximum possible extent. 

2.  In  all  cases,  air  navigation  service  providers  shall  publish  an  annual  report  and  regularly 
undergo an independent audit.  

3.  When  providing  a  bundle  of  services,  air  navigation  service  providers  shall  identify  and 
disclose  the  costs  and  income  deriving  from  air  navigation  services,  broken  down  in 
accordance  with  the  charging  scheme  for  air  navigation  services  referred  to  in  Article  1214 
and,  where  appropriate,  shall  keep  consolidated  accounts  for  other,  non-air-navigation 

(cid:208) 1070/2009 Art. 2.7 

EN 

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services, as they would be required to do if the services in question were provided by separate 
undertakings. 

(cid:208) 550/2004 (adapted) 
(cid:214) new 

4. Member States shall designate the competent authorities that shall have a right of access to 
the  accounts  of  service  providers  that  provide  services  within  the  airspace  under  their 
responsibility. 

5.  Member  States  may  apply  the  transitional  provisions  of  Article 9  of  Regulation  (EC) 
No 1606/2002  of  the  European  Parliament  and  of  the  Council  of  19 July  2002  on  the 
application of international accounting standards49 to air navigation service providers that fall 
within the scope of that regulation. 

Article 2213 

Access to and protection of data 

1. In so far as general air traffic is concerned, relevant operational data shall be exchanged in 
real-time between all air navigation service providers, airspace users and airports, to facilitate 
their operational needs. The data shall be used only for operational purposes. 

2.  Access  to  relevant  operational  data  shall  be  granted  to  appropriate  authorities,  certified 
(cid:214) or  declared   air  navigation  service  providers,  airspace  users  and  airports  on  a  non-
discriminatory basis. 

3.  Certified  (cid:214) or  declared   service  providers,  airspace  users  and  airports  shall  establish 
standard conditions of access to their relevant operational data other than those referred to in 
paragraph 1. National supervisory authorities shall approve such standard conditions. (cid:214) The 
Commission  may  lay  down   Detailed  rules  (cid:214) measures  concerning  the  procedures  to  be 
followed for data exchange and the type of data concerned in relation to these conditions of 
access  and  their  approval.   relating  to  such  conditions  shall  be  established,  where 
appropriate,  (cid:214) Those  implementing  acts  shall  be  adopted   in  accordance  with  the 
(cid:214) examination  procedure referred to in Article 275(3) of the framework Regulation. 

(cid:208) 551/2004 (adapted) 

CHAPTER II IV 

AIRSPACE ARCHITECTURE 

(cid:208) 1070/2009 Art. 3.2 

Article 3 

European Upper Flight Information Region (EUIR) 

49 

OJ L 243, 11.9.2002, p. 1. 

EN 

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1. The Community and its Member States shall aim at the establishment and recognition by 
the ICAO of a single EUIR. To that effect, for matters which fall within the competence of the 
Community,  the  Commission  shall  submit  a  recommendation  to  the  Council  in  accordance 
with Article 300 of the Treaty at the latest by 4 December 2011. 

2. The EUIR shall be designed to encompass the airspace falling under the responsibility of 
the Member States in accordance with Article 1(3) and may also include airspace of European 
third countries. 

3. The establishment of the EUIR shall be without prejudice to the responsibility of Member 
States  for  the  designation  of  air  traffic  service  providers  for  the  airspace  under  their 
responsibility in accordance with Article 8(1) of the service provision Regulation. 

4. Member States shall retain their responsibilities towards the ICAO within the geographical 
limits of the upper flight information regions and flight information regions entrusted to them 
by the ICAO on the date of entry into force of this Regulation. 

(cid:208) 1070/2009 Art. 3.3 (adapted) 
(cid:214) new 

Article 233a 

Electronic aeronautical information 

1. Without prejudice to the publication by Member States of aeronautical information and in a 
manner  consistent  with  that  publication,  the  Commission,  working  in  cooperation  with 
Eurocontrol  (cid:214) the  Network  Manager   ,  shall  ensure  the  availability  of  electronic 
aeronautical  information  of  high  quality,  presented  in  a  harmonised  way  and  serving  the 
requirements of all relevant users in terms of data quality and timeliness. 

2. For the purpose of paragraph 1, the Commission shall: 

(a)  ensure  the  development  of  a  Community  ⌦ Union ⌫-wide  aeronautical 
information infrastructure in the form of an electronic integrated briefing portal with 
unrestricted  access  to  interested  stakeholders.  That  infrastructure  shall  integrate 
access  to  and  provision  of  required  data  elements  such  as,  but  not  limited  to 
aeronautical  information,  air  traffic  services  reporting  office  (ARO)  information, 
meteorological information and flow management information;. 

(b)  support  the  modernisation  and  harmonisation  of  the  provision  of  aeronautical 
information  in  its  broadest  sense  in  close  cooperation  with  Eurocontrol  and  the 
ICAO. 

3.  The  Commission  shall  adopt  detailed  implementing  rules  (cid:214) measures   for  (cid:214) the 
establishment  and  implementation  of  an  electronic  integrated  briefing  portal.  Those 
implementing acts shall be adopted  this  Article in accordance with the (cid:214) examination  
regulatory procedure referred to in Article 275(3) of the framework Regulation. 

(cid:208) 1070/2009 Art. 3.4 

Article 4 

Rules of the air and airspace classification 

EN 

61 

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The Commission shall, in accordance with the regulatory procedure referred to in Article 5(3) 
of the framework Regulation, adopt implementing rules in order to: 

(a) adopt appropriate provisions on rules of the air based upon ICAO standards and 
recommended practices; 

(b)  harmonise  the  application  of  the  ICAO  airspace  classification,  with  appropriate 
adaptation, in order to ensure the seamless provision of safe and efficient air traffic 
services within the single European sky. 

(cid:208) 551/2004 (adapted) 

CHAPTER III 

FLEXIBLE USE OF AIRSPACE IN THE SINGLE EUROPEAN SKY 

(cid:208) 551/2004 (adapted) 
(cid:214) new 

Article 7 

Flexible use of airspace 

1. Taking into account the organisation of military aspects under their responsibility, Member 
States shall ensure the uniform application within the single European sky of the concept of 
the  flexible  use  of  airspace  as  described  by  the  ICAO  and  as  developed  by  Eurocontrol,  in 
order  to  facilitate  airspace  management  and  air  traffic  management  in  the  context  of  the 
common transport policy. 

2. Member States shall report annually to the Commission on the application, in the context of 
the common transport policy, of the concept of the flexible use of airspace in respect of the 
airspace under their responsibility.  

3.  Where,  in  particular  following  the  reports  submitted  by  Member  States,  it  becomes 
necessary  to  reinforce  and  harmonise  the  application  of  the  concept  of  the  flexible  use  of 
airspace  within  the  single  European  sky,  implementing  rules  within  the  context  of  the 
common transport policy shall be adopted in accordance with the procedure under Article 8 of 
the framework Regulation.  

Article 8 

Temporary suspension 

1. In cases where the application of Article 7 gives rise to significant operational difficulties, 
Member  States  may  temporarily  suspend  such  application  on  condition  that  they  inform 
without delay the Commission and the other Member States thereof. 

2.  Following  the  introduction  of  a  temporary  suspension,  adjustments  to  the  rules  adopted 
under Article 7(3) may be worked out for the airspace under the responsibility of the Member 
State(s)  concerned,  in  accordance  with  the  procedure  under  Article 8  of  the  framework 
Regulation  

EN 

62 

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(cid:216) new 

Article 24 

Technological development and interoperability of air traffic management 

1. The Commission shall adopt detailed rules concerning the promotion of the technological 
development  and  interoperability  of  air  traffic  management  related  to  the  development  and 
deployment  of  the  ATM  Master  Plan.  Those  implementing  acts  shall  be  adopted  in 
accordance with the examination procedure referred to in Article 27(3). 

2. In respect of the rules referred to in paragraph 1, Article 17(2)(b) of Regulation (EC) No 
216/2008 shall apply. Where appropriate, the Commission shall request EAA to include these 
rules in the annual work programme referred to in Article 56 of that Regulation.  

3. Implementing rules for interoperability shall in particular: 

(cid:208) 552/2004  
(cid:214) new 

(a) 

 determine  any  specific  requirements  that  complement  or  refine  the  essential 
requirements,  in  particular  in  terms  of  safety,  seamless  operation  and 
performance; and/or 

(b)  describe,  where  appropriate,  any  specific  requirements  that  complement  or 
refine  the  essential  requirements,  in  particular  regarding  the  coordinated 
introduction  of  new,  agreed  and  validated  concepts  of  operation  or 
technologies; and/or 

(c)  determine the constituents when dealing with systems; and/or 

(d)  describe  the  specific  conformity  assessment  procedures  involving,  where 
appropriate  ,notified  bodies  as  referred  to  in  Article  8,  based  on  the  modules 
defined in Decision 93/465/EEC to be used to assess either the conformity or 
the  suitability  for  use  of  constituents  as  well  as  the  verification  of  systems; 
and/or 

(e) 

specify the conditions of implementation including, where appropriate, the date 
by which all relevant stakeholders are required to comply with them. 

(cid:208) 552/2004 

CHAPTER II V 

ESSENTIAL REQUIREMENTS, IMPLEMENTING RULES FOR 
INTEROPERABILITY AND COMMUNITY SPECIFICATIONS 

Article 2 

Essential requirements 

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The EATMN, its systems and their constituents and associated procedures shall meet essential 
requirements. The essential requirements are set out in Annex II. 

Article 3 

Implementing rules for interoperability 

1. Implementing rules for interoperability shall be drawn up whenever necessary to achieve in 
a coherent way the objectives of this Regulation. 

2.  Systems,  constituents  and  associated  procedures  shall  comply  with  the  relevant 
implementing rules for interoperability throughout their lifecycle. 

4. The preparation, adoption and review of implementing rules for interoperability shall take 
into account the estimated costs and benefits of technical solutions by means of which they 
may be complied with, with a view to defining the most viable solution, having due regard to 
the maintenance of an agreed high level of safety. An assessment of the costs and benefits of 
those  solutions  for  all  stakeholders  concerned  shall  be  attached  to  each  draft  implementing 
rule for interoperability. 

5.  Implementing  rules  for  interoperability  shall  be  established  in  accordance  with  the 
procedure under Article 8 of the framework Regulation. 

Article 4 

Community specifications 

1.  In  pursuit  of  the  objective  of  this  Regulation,  Community  specifications  may  be 
established. Such specifications may be: 

(a)  European  standards  for  systems  or  constituents,  together  with  the  relevant 
procedures,  drawn  up  by  the  European  standardisation  bodies  in  cooperation  with 
Eurocae,  on  a  mandate  from  the  Commission  in  accordance  with  Article 6(4)  of 
Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 
laying  down  a  procedure  for  the  provision  of  information  in  the  field  of  technical 
standards  and  regulations50  and  pursuant  to  the  general  guidelines  on  cooperation 
between  the  Commission  and  the  standardisation  bodies  signed  on  13 November 
1984; 

or 

(b)  specifications  drawn  up  by  Eurocontrol  on  matters  of  operational  coordination 
between  air  navigation  service  providers,  in  response  to  a  request  from  the 
Commission  in  accordance  with  the  procedure  referred  to  in  Article 5(2)  of  the 
framework Regulation. 

the  essential  requirements  and/or 

2.  Compliance  with 
implementing  rules  for 
interoperability  shall  be  presumed  for  systems,  together  with  the  associated  procedures,  or 
constituents  that  meet  the  relevant  Community  specifications  and  whose  reference  numbers 
have been published in the Official Journal of the European Union. 

the 

3.  The  Commission  shall  publish  the  references  to  the  European  standards  referred  to  in 
paragraph 1(a) in the Official Journal of the European Union. 

50 

OJ  L 204,  21.7.1998,  p. 37.  Directive  as  last  amended  by  Directive  98/48/EC  (OJ  L 217,  5.8.1998, 
p. 18). 

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4.  The  references  to  Eurocontrol  specifications  referred  to  in  paragraph 1(b),  shall  be 
published  by  the  Commission  in  the  Official  Journal  of  the  European  Union  in  accordance 
with the procedure referred to in Article 5(2) of the framework Regulation. 

5.  Where  a  Member  State  or  the  Commission  considers  that  conformity  with  a  published 
Community specification does not ensure compliance with the essential requirements and/or 
implementing rules for interoperability which the said Community specification is intended to 
cover, the procedure referred to in Article 5(2) of the framework Regulation shall apply. 

6. In the case of shortcomings of published European standards, partial or total withdrawal of 
the standards concerned from the publications containing them, or amendments thereto, may 
be decided upon in accordance with the procedure referred to in Article 5(2) of the framework 
Regulation after consultation of the committee set up under Article 5 of Directive 98/34/EC. 

7.  In  the  case  of  shortcomings  of  published  Eurocontrol  specifications,  partial  or  total 
withdrawal  of  the  specifications  concerned  from  the  publications  containing  them,  or 
amendment  thereof,  may  be  decided  upon  in  accordance  with  the  procedure  referred  to  in 
Article 5(2) of the framework Regulation. 

CHAPTER III 

VERIFICATION OF COMPLIANCE 

Article 5 

EC declaration of conformity or suitability for use of constituents 

1.  Constituents  shall  be  accompanied  by  an  EC  declaration  of  conformity  or  suitability  for 
use. The elements of this declaration are set out in Annex III. 

2.  The  manufacturer,  or  its  authorised  representative  established  in  the  Community,  shall 
ensure and declare, by means of the EC declaration of conformity or suitability for use, that 
he  has  applied  the  provisions  laid  down  in  the  essential  requirements  and  in  the  relevant 
implementing rules for interoperability. 

3.  Compliance  with  the  essential  requirements  and  the  relevant  implementing  rules  for 
interoperability  shall  be  presumed  in  relation  to  those  constituents  that  are  accompanied  by 
the EC declaration of conformity or suitability for use. 

4. The relevant implementing rules for interoperability shall identify, where appropriate, the 
tasks  pertaining  to  the  assessment  of  conformity  or  suitability  for  use  of  constituents  to  be 
carried out by the notified bodies referred to in Article 8. 

Article 6 

EC declaration of verification of systems 

1.  Systems  shall  be  subject  to  an  EC  verification  by  the  air  navigation  service  provider  in 
accordance with the relevant implementing rules for interoperability,  in order to ensure that 
they  meet  the  essential  requirements  of  this  Regulation  and  the  implementing  rules  for 
interoperability, when integrated into the EATMN. 

2.  Before  a  system  is  put  into  service,  the  relevant  air  navigation  service  provider  shall 
establish an EC declaration of verification, confirming compliance, and shall submit it to the 
national supervisory authority together with a technical file. The elements of this declaration 

EN 

65 

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and  of  the  technical  file  are  set  out  in  Annex IV.  The  national  supervisory  authority  may 
require any additional information necessary to supervise such compliance. 

3. The relevant implementing rules for interoperability shall identify, where appropriate, the 
tasks  pertaining  to  the  verification  of  systems  to  be  carried  out  by  the  notified  bodies  as 
referred to in Article 8. 

4.  The  EC  declaration of  verification  shall  be  without  prejudice  to  any  assessments  that  the 
national supervisory authority may need to carry out on grounds other than interoperability. 

(cid:208) 1070/2009 Art. 4.1 

Article 6a 

Alternative verification of compliance 

A  certificate  issued  in  accordance  with  Regulation  (EC)  No 216/2008  of  the  European 
Parliament  and  of  the  Council  of  20 February  2008  on  common  rules  in  the  field  of  civil 
aviation  and  establishing  a  European  Aviation  Safety  Agency51,  where  it  applies  to 
constituents  or  systems,  shall  be  considered,  for  the  purposes  of  Articles 5  and 6  of  this 
Regulation, as an EC declaration of conformity or suitability for use, or as an EC declaration 
of verification, if it includes a demonstration of compliance with the essential requirements of 
this Regulation and the relevant implementing rules for interoperability. 

(cid:208) 552/2004 

Article 7 

Safeguards 

1. Where the national supervisory authority ascertains that: 

(a) a constituent accompanied by an EC declaration of conformity or suitability for 
use, or 

(b) a system accompanied by the EC declaration of verification, 

does  not  comply  with  the  essential  requirements  and/or  relevant  implementing  rules  for 
interoperability,  it  shall,  with  due  regard  to  the  need  to  ensure  safety  and  continuity  of 
operations, take all measures necessary to restrict the area of application of the constituent or 
the  system  concerned  or  to  prohibit  its  use  by  the  entities  under  the  responsibility  of  the 
authority. 

2.  The  Member  State  concerned  shall  immediately  inform  the  Commission  of  any  such 
measures, indicating its reasons and, in particular, whether in its opinion non-compliance with 
the essential requirements is due to: 

(a) failure to meet the essential requirements; 

(b)  incorrect  application  of  the  implementing  rules  for  interoperability  and/or 
Community specifications; 

51 

OJ L 79, 19.3.2008, p. 1. 

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66 

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(c)  shortcomings  in  the  implementing  rules  for  interoperability  and/or  Community 
specifications. 

3.  As  soon  as  possible,  the  Commission  shall  consult  the  parties  concerned.  After  such 
consultation, the Commission shall inform the Member State of its findings and of its opinion 
as to whether the measures taken by the national supervisory authority are justified. 

4.  Where  the  Commission  establishes  that  the  measures  taken  by  the  national  supervisory 
authority are not justified, it shall request the Member State concerned to ensure that they are 
withdrawn  without  delay.  It  shall  forthwith  so  inform  the  manufacturer  or  its  authorised 
representative established in the Community. 

5. Where the Commission establishes that non-compliance with the essential requirements is 
due  to  incorrect  application  of  the  implementing  rules  for  interoperability  and/or  the 
Community  specifications,  the  Member  State  concerned  shall  take  appropriate  measures 
against  the  originator  of  the  declaration  of  conformity  or  suitability  for  use  or  the  EC 
declaration  of  verification  and  shall  inform  the  Commission  and  the  other  Member  States 
thereof. 

6. Where the Commission establishes that non-compliance with the essential requirements is 
due  to  shortcomings  in  the  Community  specifications,  the  procedures  referred  to  in 
Article 4(6) or (7) shall apply. 

CHAPTER IV V 

FINAL PROVISIONS 

(cid:208) 1070/2009 Art. 2.11 (adapted) 

Article 2517 

Revision ⌦ Adaptation ⌫ of ⌦ the ⌫ Annexes 

Measures,  designed  to  amend  non-essential  elements  of  the  Annexes  in  order  to  take  into 
account  technical  or  operational  developments,  shall  be  adopted  in  accordance  with  the 
regulatory procedure with scrutiny referred to in Article 5(4) of the framework Regulation. 

On imperative grounds of urgency, the Commission may use the urgency procedure referred 
to in Article 5(5) of the framework Regulation. 

(cid:216) new 

The Commission shall be empowered to adopt delegated acts in accordance with Article 26 in 
order to supplement or amend the requirements for qualified entities listed in Annex I and the 
conditions  to  be  attached  to  certificates  to  be  awarded  to  air  navigation  service  providers 
listed  in  Annex  II  in  order  to  take  account  of  experience  gained  by  national  supervisory 
authorities  in  applying  these  requirements  and  conditions  or  of  the  evolution  of  air  traffic 
management  system  in  terms  of  interoperability  and  integrated  provision  of  air  navigation 
services. 

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(cid:216) new 

Article 26 

Exercise of the delegation 

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions 
laid down in this Article.  

2. The delegation of power referred to in Article 11(7), Article 17(3) and Article 25 shall be 
conferred on the Commission for an indeterminate period of time. 

3. The delegation of power referred to in Article 11(7), Article 17(3) and Article 25 may be 
revoked at any time by the European Parliament or by the Council. A decision of revocation 
shall put an end to the delegation of the power specified in that decision. It shall take effect 
the  day  following  the  publication  of  the  decision  in  the  Official  Journal  of  the  European 
Union or at a later date specified therein. It shall not affect the validity of any delegated acts 
already in force.  

4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the 
European Parliament and to the Council.  

5. A delegated act adopted pursuant to Article 11(7), Article 17(3) and Article 25shall enter 
into force only if no objection has been expressed either by the European Parliament or the 
Council within a period of 2 months of notification of that act to the European Parliament and 
the Council or if, before the expiry of that period, the European Parliament and the Council 
have both informed the Commission that they will not object. That period shall be extended 
by 2 months at the initiative of the European Parliament or the Council. 

(cid:208) 549/2004 
(cid:214) new 

Article 27 5 

Committee procedure 

1. The Commission shall be assisted by the Single Sky Committee, hereinafter referred to as 
‘the  Committee’,  composed  of  two  representatives  of  each  Member  State  and  chaired  by  a 
representative of the Commission. The Committee shall ensure an appropriate consideration 
of the interests of all categories of users. (cid:214) The Committee shall be a committee within the 
meaning of Regulation (EU) No 182/2011.  

2.  Where  reference  is  made  to  this  paragraph,  Articles 3  and  7  (cid:214) 4  of  Decision 
1999/468/EC (cid:214) Regulation (EU) No 182/2011  shall apply, having regard to the provisions 
of Article 8 thereof. 

3.  Where  reference  is  made  to  this  paragraph,  Articles 5  and  7  of  Decision  1999/468/EC 
(cid:214) Regulation (EU) No 182/2011  shall apply, having regard to the provisions of Article 8 
thereof. 

The period referred to in Article 5(6) of Decision 1999/468/EC shall be set at one month. 

EN 

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4.  Where  reference  is  made  to  this  paragraph,  Article 5a(1)  to (4)  and  Article 7  of  Decision 
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

5.  Where  reference  is  made  to  this  paragraph,  Article 5a(1),  (2),  (4),(6)  and  Article 7  of 
Decision 1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

(cid:208) 1070/2009 Art. 1.4 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

Article 2810 

⌦ Consultation of stakeholders by the Commission ⌫ 

12. The Commission shall establish a consultation mechanism at Community ⌦ Union ⌫ 
level (cid:214) to consult on matters related to the implementation of this Regulation where 
appropriate . The specific Sectoral Dialogue Committee set up under ⌦ Commission ⌫ 
Decision 98/500/EC shall be involved in the consultation.  

3. Consultation of stakeholders shall cover, in particular, the development and introduction of 
new concepts and technologies in the EATMN. 

2. The stakeholders may include: 

– 

– 

– 

– 

– 

– 

air navigation service providers, 

airport operators, 

relevant airspace users or relevant groups representing airspace users, 

military authorities, 

manufacturing industry, and, 

professional staff representative bodies. 

(cid:208) 1070/2009 Art. 1.5 (adapted) 

Article 296 

Industry consultation body 

Without  prejudice  to  the  role  of  the  Committee  and  of  Eurocontrol,  the  Commission  shall 
establish  an  ‘industry  consultation  body’,  to  which  air  navigation  service  providers, 
associations of airspace users, airport operators, the manufacturing industry and professional 
staff  representative  bodies  shall  belong.  The  role  of  this  body  shall  solely  be  to  advise  the 
Commission on the implementation of the sSingle European sSky. 

Article 307 

Relations with European third countries 

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69 

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(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

The Community ⌦ Union ⌫ and its Member States shall aim at and support the extension 
of the sSingle European sSky.to countries which are not members of the European Union. To 
that  end,  they  shall  endeavour,  either  in  the  framework  of  agreements  concluded  with 
neighbouring  third  countries  or  in  the  context  of  agreements  on  functional  airspace  blocks 
(cid:214) joint designations of functional airspace blocks or agreements on network functions  , to 
extend  the  application  (cid:214) further  the  objectives   of  this  Regulation,  and  of  the  measures 
referred to in Article 3, to those countries. 

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

Article 318  

⌦ Support by outside bodies ⌫ Implementing rules 

1.  For  the  development  of  implementing  rules  tThe  Commission  may  (cid:214) request  support 
from  issue mandates to Eurocontrol or, where appropriate, to another (cid:214) an outside  body 
(cid:214) for  the  fulfilment  of  its  tasks  under  this  Regulation   .,  setting  out  the  tasks  to  be 
performed and the timetable for this and taking into account the relevant deadlines laid down 
in  this  Regulation.  The  Commission  shall  act  in  accordance  with  the  advisory  procedure 
referred to in Article 5(2). 

2. When the Commission intends to issue a mandate in accordance with paragraph 1 it shall 
endeavour to make the best use of existing arrangements for the involvement and consultation 
of  all  interested  parties,  where  these  arrangements  correspond  to  Commission  practices  on 
transparency and consultation procedures and do not conflict with its institutional obligations. 

(cid:208) 1070/2009 Art. 2.1  

Article 4 

Safety requirements 

The Commission shall, in accordance with the regulatory procedure referred to in Article 5(3) 
of the framework Regulation, adopt implementing rules incorporating the relevant provisions 
of the Eurocontrol safety regulatory requirements (ESARRs) and subsequent amendments to 
those  requirements  falling  within  the  scope  of  this  Regulation,  where  necessary  with 
appropriate adaptations. 

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(cid:208) 550/2004 (adapted) 

CHAPTER IV 

FINAL PROVISIONS 

(cid:208) 1070/2009 Art. 4.2  

Article 9 

Revision of Annexes 

Measures,  designed  to  amend  non-essential  elements  of  the  Annexes,  in  order  to  take  into 
account  technical  or  operational  developments,  shall  be  adopted  in  accordance  with  the 
regulatory procedure with scrutiny referred to in Article 5(4) of the framework Regulation. 

(cid:208) 1070/2009 Art. 2.11  

Article 3218 

Confidentiality 

1.  Neither  the  national  supervisory  authorities,  acting  in  accordance  with  their  national 
legislation,  nor  the  Commission  shall  disclose  information  of  a  confidential  nature,  in 
particular information about air navigation service providers, their business relations or their 
cost components. 

2.  Paragraph 1  shall  be  without  prejudice  to  the  right  of  disclosure  by  national  supervisory 
authorities  or  the  Commission  where  this  is  essential  for  the  fulfilment  of  their  duties,  in 
which  case  such  disclosure  shall  be  proportionate  and  shall  have  regard  to  the  legitimate 
interests  of  air  navigation  service  providers,  airspace  users,  airports  or  other  relevant 
stakeholders in the protection of their business secrets. 

3. Information and data provided pursuant to the charging scheme referred to in Article 1214 
shall be publicly disclosed.  

(cid:208) 1070/2009 Art. 1.5 (adapted) 
(cid:214) new 

Article 339 

Penalties 

The penalties that Member States shall lay  down ⌦ rules on  penalties applicable  to ⌫ for 
infringements of this Regulation, and of the measures referred to in Article 3 in particular by 
airspace users  and service  providers (cid:214) ,and shall take all measures necessary to ensure that 
they  are  implemented.  The  penalties  provided  for   shall  be  effective,  proportionate  and 
dissuasive. 

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(cid:208) 549/2004 (adapted) 

Article 3412 

Supervision, monitoring ⌦ Review ⌫ and methods of impact assessment 

1.  The  supervision,  monitoring  and  methods  of  impact  assessment  shall  be  based  on  the 
submission  of  annual  reports  by  the  Member  States  on  implementation  of  the  actions  taken 
pursuant to this Regulation and to the measures referred to in Article 3. 

(cid:208) 1070/2009 Art. 1.6(a) (adapted) 
(cid:214) new 

12.  The  Commission  shall  periodically  review  the  application  of  this  Regulation  and  of  the 
measures referred to in Article 3, and shall firstly report to the European Parliament and to the 
Council  by  4 June  2011,  and  at  the  end  of  each  reference  period  referred  to  in  Article 
11(53)(d). thereafter. When justified for this purpose, the Commission may request from the 
Member  States  information  additional  to  the  information  contained  in  the  reports  submitted 
by them in accordance with paragraph 1 of this Article (cid:214) relevant to the application of this 
Regulation . 

3. For the purposes of drafting the reports referred to in paragraph 2,  the Commission shall 
request the opinion of the Committee. 

(cid:208) 549/2004 

(cid:208) 1070/2009 Art. 1.6(b) 

24.  The  reports  shall  contain  an  evaluation  of  the  results  achieved  by  the  actions  taken 
pursuant  to  this  Regulation  including  appropriate  information  about  developments  in  the 
sector, 
in  particular  concerning  economic,  social,  environmental,  employment  and 
technological aspects, as well as about quality of service, in the light of the original objectives 
and with a view to future needs. 

(cid:208) 1070/2009 Art. 2.12 (adapted) 

Article 18a 

Review 

The Commission shall submit a study to the European Parliament and to the Council no later 
than 4 December 2012 evaluating the legal, safety, industrial, economic and social impacts of 
the  application  of  market  principles  to  the  provision  of  communication,  navigation, 
surveillance  and  aeronautical  information  services,  compared  to  existing  or  alternative 
organisational  principles  and  taking  into  account  developments  in  the  functional  airspace 
blocks and in available technology. 

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(cid:208) 551/2004 (adapted) 

CHAPTER IV 

FINAL PROVISIONS 

Article 10 

Review 

In  the  context  of  the  periodical  review  referred  to  in  Article 12(2)  of  the  framework 
Regulation,  the  Commission  shall  finalise  a  prospective  study  on  the  conditions  for  future 
application of the concepts referred to in Articles 3, 5 and 6 to lower airspace. 

On  the  basis  of  the  study's  conclusions  and  in  the  light  of  the  progress  achieved,  the 
Commission  shall  submit  at  the  latest  by  31 December  2006  a  report  to  the  European 
Parliament  and  to  the  Council  accompanied,  if  appropriate,  by  a  proposal  to  extend  the 
application of these concepts to lower airspace, or to determine any other steps. In the event 
of such an extension being envisaged, the relevant decisions should preferably be taken before 
31 December 2009. 

(cid:208) 549/2004 (adapted) 

Article 3513 

Safeguards 

This Regulation shall not prevent the application of measures by a Member State to the extent 
to  which  ⌦ that ⌫  these  are  needed  to  safeguard  essential  security  or  defence  policy 
interests. Such measures are in particular those which are imperative: 

(a) 

(b) 

(c) 

(d) 

(e) 

for  the  surveillance  of  airspace  that  is  under  its  responsibility  in  accordance  with 
ICAO  Regional  Air  Navigation  agreements,  including  the  capability  to  detect, 
identify  and  evaluate  all  aircraft  using  such  airspace,  with  a  view  to  seeking  to 
safeguard safety of flights and to take action to ensure security and defence needs, 

in  the  event  of  serious  internal  disturbances  affecting  the  maintenance  of  law  and 
order, 

in the event of war or serious international tension constituting a threat of war, 

for  the  fulfilment  of  a  Member  State's  international  obligations  in  relation  to  the 
maintenance of peace and international security, 

in  order  to  conduct  military  operations  and  training,  including  the  necessary 
possibilities for exercises. 

(cid:208) 1070/2009 Art. 1.7 (adapted) 
(cid:214) new 

European (cid:214) Union Agency for  Aviation Safety Agency (cid:214) (EAA)  

Article 3613a 

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When implementing this Regulation and Regulations (EC) No 550/2004, (EC) No 551/2004, 
(EC) No 552/2004 and Regulation (EC) No 216/2008 of the European Parliament and of the 
Council of 20 February 2008 on common rules in the field of civil aviation and establishing a 
European Aviation Safety Agency52, Member States and the Commission, in accordance with 
their respective roles as provided for by this Regulation, shall coordinate as appropriate 
with (cid:214) EAA  the European Aviation Safety Agency to ensure that all safety aspects are 
properly addressed. 

(cid:208) 552/2004 (adapted) 

Article 10 

Transitional arrangements 

1.  Starting  from  20  October  2005,  the  essential  requirements  shall  apply  to  the  putting  into 
service of systems and constituents of the EATMN, if not otherwise specified by the relevant 
implementing rules for interoperability. 

2.  Compliance  with  the  essential  requirements  shall  be  required  for  all  systems  and 
constituents  of  the  EATMN  currently  in  operation  by  20  April  2011,  if  not  otherwise 
specified by the relevant implementing rules for interoperability. 

2a. For the purposes of paragraph 2 of this Article, Member States may declare systems and 
constituents of the EATMN as compliant with the essential requirements and exempt from the 
provisions of Articles 5 and 6. 

(cid:208) 1070/2009 Art. 4.3 (adapted) 

(cid:208) 552/2004 (adapted) 

3. Where systems of the EATMN have been ordered or binding contracts to that effect have 
been signed 

– 

– 

before the date of entry into force of this Regulation, or, where appropriate, 

before  the  date  of  entry  into  force  of  one  or  more  relevant  implementing  rules  for 
interoperability, 

so that compliance with the essential requirements and/or the relevant implementing rules for 
interoperability  cannot  be  guaranteed  within  the  time  limit  mentioned  in  paragraph 1,  the 
Member State concerned shall communicate to the  Commission  detailed information on the 
essential  requirements  and/or  implementing  rules  for  interoperability  where  uncertainty  of 
compliance has been identified. 

The Commission shall enter into consultation with the parties concerned, after which it shall 
take a decision in accordance with the procedure referred to in Article 5(3) of the framework 
Regulation.  

52 

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(cid:208) 552/2004 (adapted) 

Article 3711 

Repeal 

Directives  93/65/EEC  and  97/15/EC  and  Regulations  (EC)  Nos 2082/2000  ⌦ 549/2004, 
550/2004,  551/2004 ⌫  and  980/2002  ⌦ 552/2004 ⌫  shall  be  ⌦ are ⌫  repealed  on  20 
October 2005. 

⌦ References to the repealed Regulations shall be construed as references to this Regulation 
and shall be read in accordance with the correlation table in Annex III. ⌫ 

(cid:208) 550/2004 (adapted) 

Article 3819 

Entry into force 

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

2. However, Articles 7 and 8 shall enter into force one year after publication of the common 
requirements, as referred to in Article 6, in the Official Journal of the European Union. 

(cid:208) 550/2004 (adapted) 

(cid:208) 550/2004 

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

Done at Strasbourg,  

For the European Parliament 
The President 

For the Council 
The President

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(cid:208) 550/2004 
(cid:206)1 1070/2009 Art. 2.13(a) 
(cid:206)2 1070/2009 Art. 2.13(b) 

ANNEX I 

(cid:206)1 REQUIREMENTS FOR QUALIFIED ENTITIES  

(cid:206)2 The qualified entities must:  

– 

– 

– 

– 

be able to document extensive experience in assessing public and private entities in 
the  air  transport  sectors,  in  particular  air  navigation  service  providers,  and  in  other 
similar sectors in one or more of the fields covered by this Regulation,; 

have  comprehensive  rules  and  regulations  for 
the 
abovementioned entities, published and continually upgraded and improved through 
research and development programmes,; 

the  periodic  survey  of 

(cid:208) 1070/2009 Art. 2.13(b) 

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

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

(cid:208) 552/2004 

- 6. The body must take out liability insurance unless its liability is assumed by the Member 
State  in  accordance  with  national  law,  or  the  Member  State  itself  is  directly  responsible  for 
the inspections. 

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

(cid:208) 552/2004 (adapted) 
(cid:214) new 

ANNEX V 

NOTIFIED BODIES 

1 The body (cid:214) qualified entity  , its Director and the staff responsible for carrying out the 
checks  may  not  become  involved,  either  directly  or  as  authorised  representatives,  in  the 
design, manufacture, marketing or maintenance of the constituents or systems or in their use. 
This  does  not  exclude  the  possibility  of  an  exchange  of  technical  information  between  the 
manufacturer or constructor and that body. 

2. The body and the staff responsible for the checks (cid:214) The qualified entity  must carry out 
the checks with the greatest possible professional integrity and the greatest possible technical 
competence and must be free of any pressure and incentive, in particular of a financial type, 
which  could  affect  ⌦ its ⌫  their  judgment  or  the  results  of ⌦ its ⌫  their  inspection,  in 
particular from persons or groups of persons affected by the results of the checks. 

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

(cid:208) 552/2004 (adapted) 
(cid:214) new 

4. The staff (cid:214) of the qualified entity  responsible for inspection must have: 

– 

– 

– 

sound technical and vocational training, 

satisfactory  knowledge  of  the  requirements  of  the  inspections  they  carry  out  and 
adequate experience of such operations, 

the  ability  required  to  draw  up  the  declarations,  records  and  reports  to  demonstrate 
that the inspections have been carried out. 

-  5.  The  (cid:214) guaranteed   impartiality  of  the  inspection  staff  must  be  guaranteed.  Their 
⌦ staff's ⌫ remuneration must not depend on the number of inspections carried out or on 
the results of such inspections.  

(cid:208) 1070/2009 Art. 2.13(b) 
(cid:214) new 

– 

– 

– 

– 

– 

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

be  prepared  to  provide  relevant  information  to  the  national  supervisory  authority 
concerned,; 

have  defined  and  documented  its  policy  and  objectives  for  and  commitment  to 
quality and have ensured that this policy is understood, implemented and maintained 
at all levels in the organisation,; 

have  developed,  implemented  and  maintained  an  effective  internal  quality  system 
based  on  appropriate  parts  of  internationally  recognised  quality  standards  and  in 
compliance with EN 45004 (inspection bodies) and with EN 29001, as interpreted by 
the IACS Quality System Certification Scheme Requirements,; 

be  subject  to  certification  of  its  quality  system  by  an  independent  body  of  auditors 
recognised by the authorities of the Member State in which it is located.;  

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(cid:208) 550/2004 
(cid:214) new 

ANNEX II 

CONDITIONS TO BE ATTACHED TO CERTIFICATES 

1. Certificates shall specify: 

(a) the national supervisory authority issuing the certificate; 

(b) the applicant (name and address); 

(c) the services which are certified; 

(d)  a  statement  of  the  applicant's  conformity  with  the  common  requirements,  as 
defined in Article 6 (cid:214) 8b  of this Regulation (cid:214) (EC) No 216/2008  ; 

(e) the date of issue and the period of validity of the certificate. 

2. Additional conditions attached to certificates may, as appropriate, be related to: 

(a) non-discriminatory access to services for airspace users and the required level of 
performance of such services, including safety and interoperability levels; 

(b) the operational specifications for the particular services; 

(c) the time by which the services should be provided; 

(d) the various operating equipment to be used within the particular services; 

(e) ring-fencing or restriction of operations of services other than those related to the 
provision of air navigation services; 

(f)  contracts,  agreements  or  other  arrangements  between  the  service  provider  and  a 
third party and which concern the service(s); 

(g) provision of information reasonably required for the verification of compliance of 
the  services  with  the  common  requirements,  including  plans,  financial  and 
operational  data,  and  major  changes  in  the  type  and/or  scope  of  air  navigation 
services provided; 

(h) any other legal conditions which are not specific to air navigation services, such 
the  certificate.
as  conditions  relating 

the  suspension  or  revocation  of 

to 

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(cid:208) 552/2004 

ANNEX I 

LIST OF SYSTEMS FOR AIR NAVIGATION SERVICES 

For the purpose of this Regulation the EATMN is subdivided into eight systems. 

1. Systems and procedures for airspace management. 

2. Systems and procedures for air traffic flow management. 

3. Systems and procedures for air traffic services, in particular flight data processing 
systems, surveillance data processing systems and human-machine interface systems. 

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

5. Navigation systems and procedures. 

6. Surveillance systems and procedures. 

7. Systems and procedures for aeronautical information services. 

8.  Systems  and  procedures 

for 

the  use  of  meteorological 

information.

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ANNEX II 

ESSENTIAL REQUIREMENTS 

PART A: GENERAL REQUIREMENTS 

These are network-wide requirements that are generally applicable to each one of the systems 
identified in Annex I. 

1. Seamless operation 

Air traffic management systems and their constituents shall be designed, built, maintained and 
operated  using  the  appropriate  and  validated  procedures,  in  such  a  way  as  to  ensure  the 
seamless operation of the EATMN at all times and for all phases of flight. Seamless operation 
can  be  expressed,  in  particular,  in  terms  of  information-sharing,  including  the  relevant 
operational status information, common understanding of information, comparable processing 
performances  and  the  associated  procedures  enabling  common  operational  performances 
agreed for the whole or parts of the EATMN. 

2. Support for new concepts of operation 

The  EATMN,  its  systems  and  their  constituents  shall  support,  on  a  coordinated  basis,  new 
agreed  and  validated  concepts  of  operation  that  improve  the  quality,  sustainability  and 
effectiveness of air navigation services, in particular in terms of safety and capacity. 

(cid:208) 1070/2009 Art. 4.4(a) 

(cid:208) 552/2004 

The potential of new concepts, such as collaborative decision-making, increasing automation 
and  alternative  methods  of  delegation  of  separation  responsibility,  shall  be  examined  taking 
due  account  of  technological  developments  and  of  their  safe  implementation,  following 
validation. 

3. Safety 

Systems  and  operations  of  the  EATMN  shall  achieve  agreed  high  levels  of  safety.  Agreed 
safety management and reporting methodologies shall be established to achieve this. 

In  respect  of  appropriate  ground-based  systems,  or  parts  thereof,  these  high  levels  of  safety 
shall  be  enhanced  by  safety  nets  which  shall  be  subject  to  agreed  common  performance 
characteristics. 

A  harmonised  set  of  safety  requirements  for  the  design,  implementation,  maintenance  and 
operation of systems and their constituents, both for normal and degraded modes of operation, 
shall be defined with a view to achieving the agreed safety levels, for all phases of flight and 
for the entire EATMN. 

Systems shall be designed, built, maintained and operated, using the appropriate and validated 
procedures,  in  such  a  way  that  the  tasks  assigned  to  the  control  staff  are  compatible  with 
human capabilities, in both the normal and degraded modes of operation, and are consistent 
with required safety levels. 

Systems shall be designed, built, maintained and operated using the appropriate and validated 
procedures, in such a way as to be free from harmful interference in their normal operational 
environment. 

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4. Civil-military coordination 

The EATMN, its systems and their constituents shall support the progressive implementation 
of civil/military coordination, to the extent necessary for effective airspace and air traffic flow 
management, and the safe and efficient use of airspace by all users, through the application of 
the concept of the flexible use of airspace. 

To achieve these objectives, the EATMN, its systems and their constituents shall support the 
timely  sharing  of  correct  and  consistent  information  covering  all  phases  of  flight,  between 
civil and military parties. 

Account should be taken of national security requirements. 

5. Environmental constraints 

Systems  and  operations  of  the  EATMN  shall  take  into  account  the  need  to  minimise 
environmental impact in accordance with Community legislation. 

6. Principles governing the logical architecture of systems 

Systems  shall  be  designed  and  progressively  integrated  with  the  objective  of  achieving  a 
coherent and increasingly harmonised, evolutionary and validated logical architecture within 
the EATMN. 

7. Principles governing the construction of systems 

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

PART B: SPECIFIC REQUIREMENTS 

These are the requirements that are specific to each one of the systems and that complement 
or further refine the general requirements. 

1. Systems and procedures for airspace management 

1.1. Seamless operation 

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

2. Systems and procedures for air traffic flow management 

2.1. Seamless operation 

Systems and procedures for air traffic flow management shall support the sharing of correct, 
coherent  and  relevant  strategic,  pre-tactical  and  tactical,  as  applicable,  flight  information 
covering  all  phases  of  flight  and  offer  dialogue  capabilities  with  a  view  to  achieving 
optimised use of airspace. 

3. Systems and procedures for air traffic services 

3.1. Flight data processing systems 

3.1.1. Seamless operation 

Flight data processing systems shall be interoperable in terms of the timely sharing of correct 
and consistent information, and a common operational understanding of that information, in 

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order  to  ensure  a  coherent  and  consistent  planning  process  and  resource-efficient  tactical 
coordination throughout the EATMN during all phases of flight. 

In  order  to  ensure  safe,  smooth  and  expeditious  processing  throughout  the  EATMN,  flight 
data  processing  performances  shall  be  equivalent  and  appropriate  for  a  given  environment 
(surface, terminal manoeuvring area (TMA), en-route), with known traffic characteristics and 
exploited  under  an  agreed  and  validated  operational  concept,  in  particular  in  terms  of 
accuracy and error tolerance of processing results. 

3.1.2. Support for new concepts of operation 

Flight  data  processing  systems  shall  accommodate  the  progressive  implementation  of 
advanced, agreed and validated concepts of operation for all phases of flight, in particular as 
envisaged in the ATM Master Plan. 

(cid:208) 1070/2009 Art. 4.4(b) 

(cid:208) 552/2004 

The  characteristics  of  automation-intensive  tools  must  be  such  as  to  enable  coherent  and 
efficient pre-tactical and tactical processing of flight information in parts of the EATMN. 

Airborne  and  ground  systems  and  their  constituents  supporting  new,  agreed  and  validated 
concepts of operation shall be designed, built, maintained and operated, using appropriate and 
validated procedures, in such a way as to be interoperable in terms of timely sharing of correct 
and  consistent  information  and  a  common  understanding  of  the  current  and  predicted 
operational situation. 

3.2. Surveillance data processing systems 

3.2.1. Seamless operation 

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

Surveillance  data  processing  systems  shall  accommodate  the  timely  sharing  of  relevant, 
accurate,  consistent  and  coherent  information  between  them  to  ensure  optimised  operations 
through different parts of the EATMN. 

3.2.2. Support for new concepts of operation 

Surveillance data processing systems shall accommodate the progressive availability of new 
sources of surveillance information in such a way as to improve the overall quality of service, 
in particular as envisaged in the ATM Master Plan. 

(cid:208) 1070/2009 Art. 4.4(b) 

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3.3. Human-machine interface systems 

3.3.1. Seamless operation 

(cid:208) 552/2004 

Human-machine interfaces of ground air traffic management systems shall be designed, built, 
maintained and operated using the appropriate and validated procedures, in such a way as to 
offer to all control staff a progressively harmonised working environment, including functions 
and ergonomics, meeting the required performance for a given environment (surface, TMA, 
en-route), with known traffic characteristics. 

3.3.2. Support for new concepts of operation 

Human-machine  interface  systems  shall  accommodate  the  progressive  introduction  of  new, 
agreed  and  validated  concepts  of  operation  and  increased  automation,  in  such  a  way  as  to 
ensure that the tasks assigned to the control staff remain compatible with human capabilities, 
in both the normal and degraded modes of operation. 

4.  Communications  systems  and  procedures  for  ground-to-ground,  air-to-ground  and 

air-to-air communications 

4.1. Seamless operation 

Communication  systems  shall  be  designed,  built,  maintained  and  operated  using  the 
appropriate and validated procedures, in such a way as to achieve the required performances 
within  a  given  volume  of  airspace  or  for  a  specific  application,  in  particular  in  terms  of 
communication processing time, integrity, availability and continuity of function. 

The communications network within the EATMN shall be such as to meet the requirements of 
quality of service, coverage and redundancy. 

4.2. Support for new concepts of operation 

Communication systems shall support the implementation of advanced, agreed and validated 
concepts of operation for all phases of flight, in particular as envisaged in the ATM Master 
Plan. 

(cid:208) 1070/2009 Art. 4.4(b) 

5. Navigation systems and procedures 

5.1. Seamless operation 

(cid:208) 552/2004 

Navigation  systems  shall  be  designed,  built,  maintained  and  operated  using  appropriate  and 
validated  procedures  in  such  a  way  as  to  achieve  the  required  horizontal  and  vertical 
navigation  performance,  in  particular  in  terms  of  accuracy  and  functional  capability,  for  a 
given environment (surface, TMA, en-route), with known traffic characteristics and exploited 
under an agreed and validated operational concept. 

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6. Surveillance systems and procedures 

6.1. Seamless operation 

Surveillance systems shall be designed, built, maintained and operated using appropriate and 
validated  procedures  in  such  a  way  as  to  provide  the  required  performance  applicable  in  a 
given environment (surface, TMA, en-route) with known traffic characteristics and exploited 
under  an  agreed  and  validated  operational  concept,  in  particular  in  terms  of  accuracy, 
coverage, range and quality of service. 

The  surveillance  network  within  the  EATMN  shall  be  such  as  to  meet  the  requirements  of 
accuracy,  timeliness,  coverage  and  redundancy.  The  surveillance  network  shall  enable 
surveillance data to be shared in order to enhance operations throughout the EATMN. 

7. Systems and procedures for aeronautical information services 

7.1. Seamless operation 

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

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

7.2. Support for new concepts of operation 

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

8. Systems and procedures for the use of meteorological information 

8.1. Seamless operation 

Systems  and  procedures  for  the  use  of  meteorological  information  shall  improve  the 
consistency and timeliness of its provision and the quality of its presentation, using an agreed 
data set. 

8.2. Support for new concepts of operation 

Systems  and  procedures  for  the  use  of  meteorological  information  shall  improve  the 
promptness  of  its  availability  and  the  speed  with  which  it  may  be  used,  in  order  to  support 
use.
efficiency 
continuous 

improvement 

airspace 

airport 

and 

the 

of 

of 

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ANNEX III 

CONSTITUENTS 

EC declaration 

– 

– 

of conformity 

of suitability for use 

1. CONSTITUENTS 

The constituents will be identified in the implementing rules for interoperability in accordance 
with the provisions of Article 3 of this Regulation. 

2. SCOPE 

The EC declaration covers: 

– 

– 

either  the  assessment  of  the  intrinsic  conformity  of  a  constituent,  considered  in 
isolation, with the Community specifications to be met, or 

the assessment/judgment of the suitability for use of a constituent, considered within 
its air traffic management environment. 

The assessment procedures implemented by the notified bodies at the design and production 
stages will draw upon the modules defined in Decision 93/465/EEC, in accordance with the 
conditions set out in the relevant implementing rules for interoperability. 

3. CONTENTS OF THE EC DECLARATION 

The  EC  declaration  of  conformity  or  suitability  for  use  and  the  accompanying  documents 
must be dated and signed. 

That declaration must be written in the same language as the instructions and must contain the 
following: 

– 

– 

– 

– 

– 

– 

the Regulation references, 

the name and address of the manufacturer or its authorised representative established 
within  the  Community  (give  trade  name  and  full  address  and,  in  the  case  of  the 
authorised representative, also give the trade name of the manufacturer), 

description of the constituent, 

description of the procedure followed in order to declare conformity or suitability for 
use (Article 5 of this Regulation), 

all of the relevant provisions met by the constituent and in particular its conditions of 
use, 

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

– 

where appropriate, reference to the Community specifications followed, 

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– 

identification of signatory empowered to enter into commitments on behalf of the 
manufacturer or of the manufacturer's authorised representative established in the 
Community.

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ANNEX IV 

SYSTEMS 

EC declaration of verification of systems 

Verification procedure for systems 

1. CONTENTS OF EC DECLARATION OF VERIFICATION OF SYSTEMS 

The  EC  declaration  of  verification  and  the  accompanying  documents  must  be  dated  and 
signed. That declaration must be written in the same language as the technical file and must 
contain the following: 

– 

– 

– 

– 

– 

– 

– 

– 

– 

– 

the Regulation references, 

name  and  address  of  the  air  navigation  service  provider  (trade  name  and  full 
address), 

a brief description of the system, 

description  of  the  procedure  followed  in  order  to  declare  conformity  of  the  system 
(Article 6 of this Regulation), 

name  and  address  of  the  notified  body  which  carried  out  tasks  pertaining  to  the 
verification procedure, if applicable, 

the references of the documents contained in the technical file, 

where appropriate, reference to the Community specifications, 

all the relevant temporary or definitive provisions to be complied with by the systems 
and in particular, where appropriate, any operating restrictions or conditions, 

if temporary: duration of validity of the EC declaration, 

identification of the signatory. 

2. VERIFICATION PROCEDURE FOR SYSTEMS 

Verification  of  systems  is  the  procedure  whereby  an  air  navigation  service  provider  checks 
and certifies that a system complies with this Regulation and may be put into operation on the 
basis of this Regulation. 

The system is checked for each of the following aspects: 

– 

– 

– 

– 

overall design, 

development  and  integration  of  the  system,  including  in  particular  constituent 
assembly and overall adjustments, 

operational system integration, 

specific system maintenance provisions if applicable. 

Where  involvement  of  a  notified  body  is  required  by  the  relevant  implementing  rule  for 
interoperability,  the  notified  body,  after  having  carried  out  the  tasks  incumbent  upon  it  in 
accordance with the rule, draws up a certificate of conformity in relation to the tasks it carried 
out.  This  certificate  is  intended  for  the  air  navigation  service  provider.  This  provider  then 
draws up the EC declaration of verification intended for the national supervisory authority. 

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3. TECHNICAL FILE 

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

The following documents shall be included as a minimum: 

– 

– 

– 

– 

– 

indication of the relevant parts of the technical specifications used for procurement 
that  ensure  compliance  with  the  applicable  implementing  rules  for  interoperability 
and, where appropriate, the Community specifications, 

list of constituents as referred to in Article 3 of this Regulation, 

copies  of  the  EC  declaration  of  conformity  or  suitability  for  use  with  which  the 
above mentioned constituents must be provided in accordance with Article 5 of this 
Regulation accompanied, where appropriate, by a copy of the records of the tests and 
examinations carried out by the notified bodies, 

where  a  notified  body  has  been  involved  in  the  verification  of  the  system(s),  a 
certificate  countersigned  by  itself,  stating  that  the  system  complies  with  this 
Regulation  and  mentioning  any  reservations  recorded  during  performance  of 
activities and not withdrawn, 

where  there  has  not  been  involvement  of  a  notified  body,  a  record  of  the  tests  and 
installation  configurations  made  with  a  view  to  ensuring  compliance  with  essential 
requirements and any particular requirements contained in the relevant implementing 
rules for interoperability. 

4. SUBMISSION 

The  technical  file  must  be  attached  to  the  EC  declaration  of  verification  which  the  air 
navigation service provider submits to the national supervisory authority. 

A  copy  of  the  technical  file  must  be  kept  by  the  provider  throughout  the  service  life  of  the 
system. It must be sent to any other Member States which so request. 

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ANNEX III 

CORRELATION TABLE 

Regulation 
549/2004 

Regulation 
550/2004 

Regulation 
551/2004 

Regulation 
552/2004 

This Regulation 

Article  1(1)  to 
(3) 

Article 1(4) 

Article 1 

Article 1(3) 

Article  1(1),  (2) 
and (4) 

Article  1(1) 
(3) 

to 

Article 1(4) 

Article 1(5) 

-------------- 

-------------- 

Article 1 

-------------- 

Article 2 Nos (1) 
to (35) 

Article  2  Nos 
17,  18,  23,  24, 
32, 35, 36 

Article 3 

Article  4(1)  and 
(2) 

Article 4(3) 

Article 2 Nos (1) 
to (35) 

Article  2  Nos 
(36) to (38) 

--------------- 

--------------- 

Article  3(1)  and 
(2) 

Article  3(3)  and 
(4) 

Article 3(5) 

Article 3(6) 

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Article  3(4)  to 
(5) 

Article 2(1) 

Article 2(2) 

Article  2(3) 
(6) 

to 

Article  3(1)  and 
(2) 

Article 6 

Article 10(1) 

Article 7(1) 

Article  7(4)  and 
(6) 

Article  3(7)  and 
(8) 

Article 3(9) 

Article 4(1a) 

Article  4(1b)  to 
(1g) 

Article 4(2) 

Article  5(1)  and 
(2) 

Article  5(3) 
(6) 

to 

Article  6(1)  and 
(2) 

Article  8(1)  and 
(3) 

Article  6(3)  and 
(4) 

Article 6(5) 

Article  8(2)  and 
(4) 

------------- 

----------- - 

Article 7(1) 

Article 7(2) 

Article 8(1) 

Article 8(2) 

Article  8(3)  and 
(4) 

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Article 11 

Article  7(2),  (3), 
(5), (7) to (9) 

Article 8 

Article 9 

Article 14 

Article 15 

Article 16 

Article 15a 

Article 9a(1) 

Article 
point (i) 

9a(2) 

Article 9a(2) 

Article  9a(3)  to 
(9) 

Article 9b 

Article  6(1) 
(2b) 

to 

-------------  

Article 9 

Article 10 

-------------  

Article 11 

Article 12 

Article 13 

Article 14 

Article 15 

Article 
and (3) 

16(1) 

Article 16(2) 

------------ 

Article 16(4)  

Article 16(5) 

Article  16(6)  to 
(12) 

-------------- 

Article 
and (2b) 

17(1) 

Article 17(2c) to 
(2e) 

EN 

91 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Article  6(3)  –
(4d) 

Article  6(4e)  to 
(4f) 

Article  6(5)  and 
(7) 

Article  6(8)  and 
(9) 

Article 3 

Article 3a 

Article 4 

Article 7 

Article 8 

Article 10 

Article 11 

Article 12 

Article 13 

Article  17(3)  to 
(4d) 

Article 17(4e) 

Article 
and (4g) 

17(4f) 

Article 
and (6) 

17(5) 

------------- 

Article 18 

Article 19 

Article 20 

Article 21 

Article 22 

--------------- 

Article 23 

---------- ---- 

---------- ---- 

---------- ---- 

Article 
and (2) 

24(1) 

Article 3(3) 

---------- ---- 

Article 2 to 3(2) 

------------- 

Article 3(4) to 7 

------------- 

EN 

92 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Article 17(1) 

Article 4 

Article 18 

Article 18a 

Article 10 

Article  5(1)  to 
(3) 

Article  5(4)  and 
(5) 

Article 
and (3) 

10(2) 

Article 6 

Article 7 

Article 8 

Article 9 

Article  12(2)  to 
(4) 

Article 12(1) 

Article 13 

Article 13a 

Article 25 

Article 26 

Article  27(1)  to 
(3) 

------------- 

Article 
and (2) 

28(1) 

Article 29 

Article 30 

Article 31 

------------- 

Article 9 

------------- 

Article 32 

Article 33 

Article  34(1)  to 
(3) 

------------- 

---- -------- 

----- ------- 

Article 35 

Article 36 

Article 10 

------------- 

EN 

93 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Article 19(1) 

Article 19(2) 

Annex I 

Article 11 

Article 37 

Article 38 

------------- 

Annex V 

Annex I 

Annex I 

----------- 

Annex II 

Annex II 

Annex II 

---------- 

Annex III 

Annex III 

---------- 

Annex IV 

----------- 

(cid:207) 

EN 

94 

   EN