CELEX: 52002PC0658(04)
Language: en
Date: 2002-11-26
Title: Amended proposal for a regulation of the European Parliament and of the Council on the interoperability of the European Air Traffic Management network (presented by the Commission pursuant to Article 250 (2) of the EC-Treaty)

COMMISSION OF THE EUROPEAN COMMUNITIES
                                               Brussels, 26.11.2002
                                               COM(2002) 658 final
                                               2001/0060 (COD)
                                               2001/0235 (COD)
                                               2001/0236 (COD)
                                               2001/0237 (COD)
                              Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
    laying down the framework for the creation of the Single European Sky
                              Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
     on the provision of air navigation services in the Single European Sky
                              Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
     on the organisation and use of the airspace in the Single European Sky
                              Amended proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
   on the interoperability of the European Air Traffic Management network
             (presented by the Commission pursuant to Article 250 (2)
                                 of the EC-Treaty)
 ---pagebreak---                               EXPLANATORY MEMORANDUM
1.     PRINCIPLES
1.1.   In October 2001 the Commission submitted four legislative proposals for the creation
       of the Single European Sky1 with a view to their adoption under the codecision
       procedure provided for in Article 251 of the Treaty establishing the European
       Community. On 15 May 2002, the Committee of the Regions delivered a favourable
       opinion. On 17 July 2002, the Economic and Social Committee delivered a
       favourable opinion.
       On 3 September 2002 the European Parliament adopted a number of amendments at
       its first reading and approved the Commission proposals as amended. The
       Commission then indicated its position on each amendment, specifying which
       amendments it could accept and which it could not.
       Subsequently the Commission drafted the following amended proposals.
1.2.   The modifications incorporate the amendments accepted as such by the Commission,
       as well as the new provisions resulting from the amendments which were accepted in
       principle though worded differently or partially accepted.
       Pursuant to Article 250(2) of the EC Treaty, the Commission amends the proposals
       as described below.
       The amendments to the Commission’s initial proposals are shown as follows: deleted
       passages are struck through and new or amended passages are indicated in bold and
       underlined characters.
2.     AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
       THE COUNCIL LAYING DOWN THE FRAMEWORK FOR THE CREATION OF THE SINGLE
       EUROPEAN SKY (2001/0060 (COD))
2.1.   Amendments accepted as such
       • Amendments 4 and 30
       The purpose of these amendments is to introduce an effective sanctioning mechanism
       against the operators that breach the rules. The current system is open to misuse and
1
     Proposal for a Regulation of the European Parliament and of the Council laying down the framework
     for the creation of the Single European Sky (COM(2001) 123 final/2 of 30/11/2001 – 2001/0060
     (COD).
     Proposal for a Regulation of the European Parliament and of the Council on the provision of air
     navigation services in the Single European Sky (COM(2001) 564 final/2 of 11/12/2001 – 2001/0235
     (COD).
     Proposal for a Regulation of the European Parliament and of the Council on the organisation and use of
     the airspace in the Single European Sky (COM(2001) 564 final/2 of 11/12/2001 – 2001/0236 (COD).
     Proposal for a Regulation of the European Parliament and of the Council on the interoperability of the
     European Air Traffic Management network (COM(2001) 564 final/2 of 11/12/2001 – 2001/0237
     (COD).
                                                   2
 ---pagebreak---        to risk of abuse, in particular with regard to air traffic flow management. The
       Commission accepts these amendments.
       • Amendments 7, 8, 15, 16, 17, 18, 20, 21 and 32
       These amendments clarify or improve the text of the regulation by reinforcing the
       reference to the consultation of social stakeholders (7), national defence needs (8),
       capacity needs (15), flight efficiency (16), performance indicators (18), safety (20,
       21) and progress reporting (32). The Commission accepts these amendments.
2.2.   Amendments accepted in principle but not as regards the wording
       • Amendment 3
       This amendment affirms the nature of public service of air navigation services.
       Nevertheless this nature primarily belong to air traffic control. Thus the Commission
       can accept this principle if referred to this function.
       • Amendment 9
       This amendment refers to the co-operation between the Community and Eurocontrol.
       The relationship between the Community and Eurocontrol is addressed through the
       imminent accession of the Community to this organisation. The principle of
       developing “the highest level of co-operation” between the two organisations will be
       a consequence of this event, as enshrined in the protocol of accession2. Parallel
       references to this cooperation in a Community measure are superfluous and create
       confusion. The Commission can accept to recall this principle in a recital and to
       introduce a provision referring to its co-operation with the executive body of
       Eurocontrol, namely the Eurocontrol Agency, which will develop on a purely
       administrative basis. However, the wording of such a provision shall comply with the
       institutional principles concerning the performance of the duties of the Commission.
       • Amendment 10
       This amendment clarifies that simply adopting the legislative package consisting of
       the framework regulation and the three specific regulations will not be sufficient for
       the early implementation of the Single European Sky. Additional measures are
       necessary within the agreed term (end 2004). The Commission will adopt such
       measures pursuant to the procedures set up in the legislative package. The
       Commission accepts this principle.
       • Amendment 12
       The purpose of this amendment is to affirm the role of States in deciding the statute
       and structure for providers and the nature of public interest of air navigation service
       providers, which is particularly relevant for air traffic control. The Commission can
       accept this principle subject to rewording.
2
     “Whereas the purpose of the accession of the European Community to the Convention is to assist the
     European Organisation for the Safety of Air Navigation, hereinafter referred to as “EUROCONTROL”,
     in achieving its objectives as set out in the Convention, notably that of being a single and efficient body
     for Air Traffic Management policy making in Europe”.
                                                      3
 ---pagebreak---      • Amendment 14
     The amendment aims at clarifying the scope of application of the Single European
     Sky. The term “jurisdiction” would implicitly refer to the airspace over international
     waters. However, the scope of application of the regulation cannot be enlarged
     beyond the scope of the Treaty. Therefore it is preferable to refer to “the airspace
     under the responsibility of Member States”.
     • Amendments 22 and 23
     These amendments aim at clarifying that the development and implementation of
     technical and operational concepts shall be done within programmes involving all
     parties and taking into account of international standards. The Commission can
     accept this principle.
     • Amendment 26
     The amendment refers to the rules of procedures of the Committee but it does not
     comply with the drafting practices. Thus the Commission can accept it in principle.
     • Amendment 33
     The amendment extends the scope of safeguards for security and defence reasons, to
     cover the prompt availability of airspace for the rapid reaction of armed forces. The
     text of the article has been worded as closely as possible to Article 297 of the Treaty.
     It refers to exceptional situations. The amendment refers to operational situations
     (conditions necessary for the rapid mobilisation of armed forces). Thus it would
     introduce a too generous leeway to waive the application of the regulation. The
     Commission can accept the principle of ensuring the Member States capability of
     maintaining and improving the availability of armed forces. However this principle
     should not result in unilateral exemptions from the application of the regulation. If
     so, the efficient management of airspace would be affected.
2.3. Amendments accepted in part with or without wording changes
     • Amendment 5
     Requirements for consultation of social partners under the Single European Sky may
     or may not fall within the scope of Article 138 of the Treaty. The formulation of such
     requirements should be defined in a more flexible way. Hence the Commission can
     only accept to reinforce the first sentence of the recital.
     • Amendments 6 and 28
     Amendment 28, which proposes the setting up of an industry advisory group having
     a institutional role, would result in affecting the right of initiative of the Commission.
     The Commission agrees on the need for the interested parties to contribute to the
     implementation of the reform. Hence the Commission can accept to express the
     principle of consultation of industry in a recital. This principle is also provided for in
     more detail in the proposal for a regulation on the interoperability of the air traffic
     management network under article 14.
                                              4
 ---pagebreak---      • Amendment 11
     The Commission can partially accept this amendment. The reference to radar would
     unacceptably restrict the scope of the surveillance infrastructure, which can also rely
     upon other technical means (such as satellite or datalink).
     • Amendment 31
     The Commission can accept this amendment provided that the reference to the
     European Union is amended to refer to the Community.
2.4. Rejected amendments
     • Amendment 1
     This amendment recalls the Member States obligations under the ICAO and
     Eurocontrol Conventions. The Community is not yet member of these two
     international organisations, though in the process of adhering to Eurocontrol.
     Obligations stemming from the membership of the two organisations at present only
     bind Member States. Thus, for the moment, the Commission can not accept this
     amendment.
     • Amendments 2 and 13
     These amendments eliminate the reference to economic aspects in recital 8 and in
     article 13. This reference is addressing the charging system, which is covered by the
     provisions of chapter III in the relevant proposal. Hence elimination of this reference
     is not acceptable.
     • Amendment 19
     This amendment restricts the decision-making process to one stakeholder (airspace
     users) and makes it dependent upon a specific requirement (interoperability). The
     introduction of new services relies upon all stakeholders concerned and depends on
     various requirements. Hence this amendment is not acceptable.
     • Amendments 24 and 27
     These amendments do not comply with the drafting rules adopted to implement the
     Decision concerning comitology (Decision of the Council 1999/468/CE). The nature
     of the Committee cannot be established “a priori” but it will depend upon the
     measures to be adopted. With regard to the Eurocontrol participation in the work the
     Committee, it would be desirable to decide so within the rules of procedures of the
     Committee. Therefore the Commission can not accept these amendments.
     • Amendment 29
     This amendment impacts on the right of initiative of the Commission. Hence it is not
     acceptable.
                                            5
 ---pagebreak---      • Amendment 34
     This amendment states the obvious and it is therefore superfluous. Furthermore a
     Community measure can not reiterate the obligations of Member States stemming
     from existing international treaties.
3.   AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
     THE COUNCIL ON THE PROVISION OF AIR NAVIGATION SERVICES IN THE SINGLE
     EUROPEAN SKY (2001/0235(COD))
3.1. Amendments accepted as such
     • Amendments 1, 2, 4, 7, 9, 11, 15, 17, 19, 24, 25, 31, 33 and 34
     These amendments clarify or improve the text of the regulation by reinforcing the
     reference to safety (1, 9, 11, 19, 31), qualification of recognised organisations (2, 15,
     33, 34), recruitment of controllers (4), international standards (7), co-operation
     between service providers (17), co-operation between civil and military authorities
     (24), use of data (25). The Commission accepts these amendments.
     • Amendment 3
     The purpose of this amendment is to introduce a recital reflecting the provision of the
     second paragraph of article 5 concerning the future role and responsibilities of the
     European Aviation Safety Agency. Hence the amendment is acceptable.
     • Amendment 5
     The purpose of this amendment is to call for the Commission’s action to help solving
     the problem of the lack of controllers. The Commission is already active in this field
     and it has recently launched a study in conjunction with social parties. The
     Commission accepts this amendment.
     • Amendment 23
     This amendment states the prime responsibility of Member States with regard to the
     relations between their civil and military authorities. The Commission accepts this
     amendment.
3.2. Amendments accepted in principle but not as regards the wording
     • Amendments 6 and 18
     These amendments specify a period of duration of authorisations. Authorisations are
     not meant to be licenses but rather certifications of suitability of the service
     providers. The period of validity of such authorisations will be defined within the
     context of the definition of harmonised conditions (refer to Annex III to the
     Regulation). Thus the Commission can accept the principle the amendment puts
     forwards.
                                             6
 ---pagebreak---      • Amendments 20 and 21
     The amendments introduce two new requirements for defining harmonised
     conditions attached to authorisations. The Commission can agree on these
     requirements but it believes that they should eventually appear as conditions for the
     operation of air navigation services. These conditions will be further detailed through
     comitology.
     • Amendment 22
     The amendment clarifies that, notwithstanding the right given to existing air traffic
     service providers to carry out their operations after the entry into force of this
     regulation, these should be subject to an obligation of continued and increased
     performance in terms of safety and efficiency. The Commission can accept this
     principle provided that this obligation is clearly spelt out.
     Amendment 28
     The amendment would make the proposed charging scheme fully dependent upon the
     route charging system laid down in the multilateral agreement of Eurocontrol. The
     proposed charging scheme would not only apply to route charges (as is the case for
     the multilateral agreement) but also to terminal and approach charges (where
     Eurocontrol has no competence). Furthermore the Eurocontrol scheme leaves
     margins of interpretation and the Commission intends to come to harmonised and
     binding rules within the Community. Therefore the amendment could be accepted
     provided that it does not restrict the scope of Community action in this field.
     • Amendment 29
     The principle puts forward by this amendment is already in force and it will not be
     modified by the present regulation. Member States remain responsible for setting
     unit rates of charges. Hence the Commission can accept this amendment in principle.
     • Amendment 32
     Amendment 32, which proposes the setting up of an industry advisory group having
     a institutional role, would result in affecting the right of initiative of the Commission.
     The Commission agrees on the need for the interested parties to contribute to the
     implementation of the reform. Hence the Commission can accept to express the
     principle of consultation of industry in a recital. This principle is also provided for in
     more detail in the proposal for a regulation on the interoperability of the air traffic
     management network under article 14.
3.3. Amendments accepted in part with or without wording changes
     • Amendment 8
     The Commission can partially accept this amendment. The reference to radar would
     unacceptably restrict the scope of the surveillance infrastructure, which can also rely
     upon other technical means (such as satellite or datalink).
                                              7
 ---pagebreak---      • Amendment 10
     The purpose of this amendment is to justify a review of the charging system to
     introduce more flexibility in the definition of the cost-base. This flexibility would be
     used to cope with sudden downturns of air traffic which cause immediate rises in
     charges. The Commission can partially accept this amendment. Its last sentence
     affects the right of initiative of the Commission. Thus it is not acceptable.
     • Amendment 16
     The purpose of this amendment is to specify in detail the fields of action to counter
     the problem of the lack of human resources. However, as it stands it would impinge
     upon the right of initiative of the Commission. Hence only its first part can be
     accepted.
     • Amendment 27
     The purpose of this amendment is to better specify conditions for the exchange of
     operational data. While the Commission can accept the first part of this amendment,
     confidentiality conditions will be defined, at a later stage, under the relevant
     implementing rules. Furthermore some identification would be impossible to avoid
     for operational reasons. Therefore the Commission can not accept the second part of
     this amendment.
     • Amendment 30
     The Commission can accept the first part of this amendment where it is recalled that
     improvements to economic efficiency should not jeopardise safety levels. With
     regard to cross-subsidies, the characteristics of the sector do not allow the exclusion,
     in principle, of cross-subsides when justified by technical and operational
     circumstances. Thus, the second part of the amendment can not be accepted.
     • Amendment 35
     The Commission can accept the first part of this amendment. The reference to
     Eurocontrol safety requirements in the second part of the amendment is not
     appropriate and it can not be accepted.
3.4. Rejected amendments
     • Amendment 12
     The Commission can not accept this amendment. The reference to radar would
     unacceptably restrict the scope of the surveillance infrastructure, which can also rely
     upon other technical means (such as satellite or datalink).
                                              8
 ---pagebreak--- • Amendment 13
This amendment introduces the principle of a strict (structural) separation between
national supervisory authorities and air navigation service providers. While the
Commission is not against this principle, it considers that its application should be
gradual and proportional to take account of current circumstances. Therefore we
consider that Member States should have the opportunity to choose the functional
separation as a first step. Thus this amendment is not accepted.
• Amendment 14
This amendment introduces an appeals mechanism in the case of dispute between
airspace users and Member States. Arrangements for allowing this are already
available at national and Community level. Thus the Commission can not accept this
amendment.
• Amendment 26
This amendment establishes the principle of commercial value of operational data.
However, commercial conditions, if any, relating to the exchange of data should be
defined in the relevant implementing measures. They may require free exchanges in
a number of cases. Hence the Commission can not accept this amendment.
• Amendments 87, 88, 89 and 99
The purpose of these amendments is to affirm the principle of the integrity of air
navigation services, the need to have them provided within a single organisation. The
Commission can not accept these amendments for a number of reasons:
–     Currently, most of the “ancillary” services are usually fully integrated in the
      same organisation, which provides air traffic services. However, some specific
      functions are already today usually not performed by the providers of air traffic
      services (e.g. ground-ground telecommunications and air ground data link). In
      these cases, services are used on a commercial contractual basis. Some service
      providers are also developing new co-operative approaches to service
      provision, which lead to the removal of fragmentation and to service
      unbundling. The main reason for doing this is the provision of regional
      services. Examples of these ventures are the EAD (European aeronautical
      information services) or the EAN (European aeronautical telecommunication
      network). Another example of unbundled service for navigation is Galileo.
–     The aim of the regulation is to introduce a framework, which allows and
      facilitates individual service providers – at their own discretion and under the
      State control – to separate the “ancillary” services from the core function of air
      traffic services. This would give a concrete opportunity to service providers to
      establish regional services and it would facilitate removing existing
      fragmentation and promoting consolidation (the current infrastructures have
      been established at national level and there is a strong need to design and
      implement them at regional level). This could be achieved through joint
      ventures and strategic alliances where service providers could obtain better use
      of services by optimising the allocation of resources on larger scales thus
      leading to cost-savings and integration of the air traffic management systems.
                                        9
 ---pagebreak---      –      The creation of functional airspace blocks requires flexibility in the provision
            of supporting services. The current Nordic experience (creation of an airspace
            block involving the upper airspace of Denmark, Sweden, Finland and Norway)
            is an example (but also Maastricht UAC). These entities for the provision of air
            traffic services at regional level rely on the services already provided by
            current service providers (in particular with regard to the infrastructure:
            communication, navigation and surveillance).
     –      The requirement of having air navigation services organised by an integrated
            body would freeze the existing situation and hamper progress in the
            development and deployment of new technologies. Most of these are of cross-
            border nature and associate with regional rather than national services.
            Preventing this by stipulating the concept of “an integrated body” would
            deprive the Community of a concrete opportunity to become a leader in the
            market of air traffic management technologies.
     –      Any concern about a possible impact on safety of unbundling is unjustified. If a
            service provider wants to use the services of another provider it will define and
            control the “ancillary” services it will rely upon through the specification of
            technical and operational conditions and quality control. Furthermore this will
            be under the strict control of the national supervisory authority. Finally, since
            supporting services (such as communication, navigation and surveillance)
            should also be authorised, this will allow to survey of the application of safety
            standards.
4.   AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
     THE COUNCIL ON THE ORGANISATION AND USE OF THE AIRSPACE IN THE SINGLE
     EUROPEAN SKY (2001/0236(COD))
4.1. Amendments accepted as such
     • Amendments 38, 44, 45, 52, 53, 54 and 62
     These amendments clarify or improve the text of the regulation by reinforcing the
     reference to operational conditions (38, 44, 54, 62) and safety (45, 52, 53). The
     Commission accepts these amendments.
4.2. Amendments accepted in principle but not as regards the wording
     • Amendment 36
     This amendment introduces a reference to the need of a proper interface of the air
     traffic management network between the Community and adjacent countries. This
     principle can be accepted provided that it does not lead to an exclusive requirement.
     • Amendment 42
     This amendment qualifies safety standards by using the word “maximum”. This
     would pose a question of interpretation since safety standards should be set at an
     adequate level. Thus the Commission can accept this amendment subject to
     redrafting.
                                            10
 ---pagebreak---      • Amendment 48
     This amendment fixes a term of five years for the extension of the concept of the
     single Flight information region to the lower airspace. The Commission prefers to
     retain a period of three years but it can accept to link this period to the results of
     application of this concept in the upper airspace.
     • Amendment 49
     The purpose of this amendment is to reflect the situations stemming from the
     mandates of ICAO to States to manage airspace over international waters. The
     Commission can accept the amendment subject to drafting changes.
     • Amendment 64
     This amendment, which proposes the setting up of an industry advisory group having
     a institutional role, would result in affecting the right of initiative of the Commission.
     The Commission agrees on the need for the interested parties to contribute to the
     implementation of the reform. Hence the Commission can accept to express the
     principle of consultation of industry in a recital. This principle is also provided for in
     more detail in the proposal for a regulation on the interoperability of the air traffic
     management network under article 14.
4.3. Amendments accepted in part with or without wording changes
     • Amendment 37
     This amendment specifies the role of Eurocontrol in the creation of functional blocks
     of airspace. The principle of Eurocontrol acting as an interface and an advisor in the
     process of definition of functional airspace blocks is not under question. However
     this role can not go as far as dictating solutions but it should take into account the
     responsibilities of the various parties involved.
     • Amendment 39, 43 and 55
     The purpose of these amendments is to clarify the principles guiding the definition of
     the route network. The Commission can accept these principles. With regard to
     amendment 55, the reference to Eurocontrol is not appropriate, as it puts an
     obligation on an international organisation which is outside the jurisdiction of the
     Community. Thus the Commission can not support this reference.
     • Amendment 40
     The purpose of this amendment is to refer to civil-military cooperation at national
     and international level. With regard to the latter the Commission favours a reference
     to the European Union to mean that adequate solutions could be found under the
     provisions of the 2nd pillar.
                                             11
 ---pagebreak---      • Amendment 41
     This amendment stresses the role of Eurocontrol, namely the Central Flow
     Management Unit, in the process of flow management. The Commission can accept
     a wording more focussed on the operational nature of this Unit. With regard to
     sanctions, they are already foreseen in the proposal for a regulation laying down the
     framework for the creation of the Single European Sky.
     • Amendment 47
     The purpose of this amendment is to make the division level between upper and
     lower airspace dependent upon operational requirements. The Commission believes
     that a common division level is required to harmonise and coordinate procedures. It
     can however accept that operational requirements could suggest marginal deviations
     from such a common level.
4.4. Rejected amendments
     • Amendment 46
     This amendment establishes a deadline for the creation of the European Upper Flight
     Information Region (EUIR). The creation of the EUIR should start after adoption of
     this regulation and is independent of the creation of the functional airspace blocks.
     Thus the Commission can not accept this amendment.
     • Amendment 50
     This amendment is superfluous since it reiterates criteria, which are already specified
     in article 5(2). Hence the amendment is not acceptable.
     • Amendment 51
     This amendment aims at introducing a dispute settlement mechanism in the case
     where Member States disagree on the definition of (cross-border) functional airspace
     blocks. Arbitration between States on such a definition will eventually occur within
     the comitology procedure. Thus this amendment is not acceptable.
     • Amendment 56
     This amendment suggests that the airspace design process is developed at a central
     level. In reality the process of definition of airspace configuration and planning of
     routes is usually developed at a local level and coordinated centrally. Therefore, the
     Commission can not accept this amendment.
     • Amendments 57 and 59
     These amendments reinforce the provisions concerning civil-military co-operation.
     However the suggested wording is too prescriptive and it may impact on the
     competence of Member States as far as defence matters are concerned. Hence these
     amendments are not acceptable.
                                           12
 ---pagebreak---      • Amendment 58
     This amendment makes the concept of the flexible use of airspace subject to air
     traffic flow management rules. The Commission can not accept this amendment.
     • Amendments 60, 61 and 63
     The purpose of these amendments is to introduce references to the Eurocontrol
     organisation. While the Commission looks forward to the involvement of
     Eurocontrol in the implementation of the Single European Sky, these references to
     Eurocontrol are not appropriate as it puts an obligation on an international
     organisation. With regard to amendment 61, it has to be stressed that, at present, no
     rules exist at the Eurocontrol level concerning flow management. Thus the
     Commission can not support this reference.
5.   AMENDED PROPOSAL FOR A REGULATION OF THE EUROPEAN PARLIAMENT AND OF
     THE COUNCIL ON THE INTEROPERABILITY OF THE EUROPEAN AIR TRAFFIC
     MANAGEMENT NETWORK (2001/0237(COD))
5.1. Amendments accepted as such
     • Amendments 65, 67, 68, 69, 70, 71, 72 and 74
     These amendments clarify or improve the text of the regulation by reinforcing the
     reference to safety and the need for consultation of interested parties. The
     Commission accepts these amendments.
5.2. Amendments accepted in principle but not as regards the wording
     • Amendment 73
     This amendment, which proposes the setting up of an industry advisory group having
     a institutional role, would result in affecting the right of initiative of the Commission.
     The Commission agrees on the need for the interested parties to contribute to the
     implementation of the reform. Hence the Commission can accept to express the
     principle of consultation of industry in a recital. This principle is also provided for in
     more detail under article 14 of this proposal for a regulation.
     • Amendment 76
     This amendment stresses the need for the systematic analysis of incidents. The
     Commission can support this principle. However, it is misplaced in the text of the
     regulation. It should eventually appear in the implementing rules and related
     standards.
                                             13
 ---pagebreak--- 5.3. Rejected amendments
     • Amendment 66
     This amendment makes reference to the European Aviation Safety Agency. The role
     of this Agency will be to complement interoperability requirements, defined by
     means of this regulation, by issuing safety requirements with regard to airborne
     equipment. Thus the Commission can not accept this amendment.
     • Amendment 75
     The purpose of this amendment is to ensure the involvement of system users in the
     definition of systems. However, some of these users (such as controllers) are not
     appropriate to contribute to all the phases of the development process. For example
     the design phase pertains to engineers on the basis of requirements formulated by
     controllers. Thus the Commission can not accept this amendment.
     • Amendment 77, 78 and 79
     These amendments are not necessary since they replicate essential requirements
     already provided for in Annex II, Part A, point 3. Thus the Commission can not
     accept this amendment.
                                           14
 ---pagebreak---                                                       2001/0060 (COD)
                                    Amended proposal for a
    REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
          laying down the framework for the creation of the Single European Sky
                                  (Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular Article
80(2) thereof,
Having regard to the proposal from the Commission3,
Having regard to the opinion of the Economic and Social Committee4,
Having regard to the opinion of the Committee of the Regions5,
Acting in accordance with the procedure laid down in Article 251 of the Treaty6,
Whereas:
(1)     Implementation of the common transport policy requires an efficient air transport
        system allowing safe, regular operation of air transport services and, consequently,
        facilitating the free movement of goods, persons and services.
(2)     At its Extraordinary Meeting in Lisbon on 23 and 24 March 2000, the European
        Council called on the Commission to put forward proposals on airspace, air traffic and
        flow management, based on the work of the High Level Group on the Single European
        Sky set up by the Commission. This Group, made up largely of the civil and military
        air navigation authorities in the Member States, submitted its report in November
        2000.
(3)     Smooth operation of the air transport system requires air navigation services allowing
        optimum use of Europe's airspace and a consistent, high level of safety in air travel, in
        keeping with the duty of general economic interest of the air navigation service
        providers.
(4)     Air navigation services should be developed in line with the general safety and
        performance objectives, in accordance with the principles laid down by the
        Convention on International Civil Aviation signed at Chicago on 7 December 1944.
3
        OJ C
4
        OJ C
5
        OJ C
6
        OJ C
                                              15
 ---pagebreak--- (5)  For all these reasons, and with a view to extending the Single European Sky to include
     a larger number of European States, the Community should, while taking into account
     the developments occurring- within the European Organisation for the Safety of Air
     Navigation (Eurocontrol), lay down common objectives and an action programme to
     mobilise the efforts by the Community, the Member States and the various economic
     stakeholders in order to create a single European airspace: the Single European Sky.
(6)  The closer co-operation between civil and military bodies, which is essential for
     efficient use of the airspace, should be pursued, using where possible existing co-
     operation frameworks and making use of all appropriate instruments for any matter
     concerning air traffic and air navigation services for exclusively military purposes.
(7)  The establishment of rules at Community level should permit the optimal use of the
     airspace as a whole and the performance of the air navigation services.
(8)  These rules should cover organisation and use of the airspace and the relevant
     procedures, provision of air navigation services, including the economic aspects, and
     air navigation equipment and systems and the associated procedures.
(9)  Air traffic control is a service of general interest with the aim of protecting both
     air transport users and residents affected by over-flying aircraft. It should
     therefore be carried out to the highest standards of responsibility and
     competence.
(10) Use of the airspace should be organised and managed efficiently and in total safety, to
     meet the needs of both civil and military users and allow equitable, non-discriminatory
     allocation of the resources between all users.
(11) The air navigation services provided should ensure uniform, high safety standards for
     the air traffic which depends on these services. Provision of these services should be
     optimised to guarantee the best use of Europe's airspace resources.
(12) The technical and operational solutions should secure and raise safety standards, the
     overall capacity of the system, and full, efficient use of the capacity available.
(13) Some of the measures necessary for creating the Single European Sky call for the
     Commission to exercise the implementing powers under Council Decision
     1999/468/EC of 28 June 1999 laying down the procedures for the exercise of
     implementing powers conferred on the Commission7, for the sake of efficiency and
     speed. Creation of the Single European Sky therefore necessitates the establishment of
     a mechanism for co-operation with the Member States by the setting-up of a
     committee of representatives from the Member States which permits consideration of
     both civil and military interests and which allows the participation of outside experts.
(14) In the process of creating the Single European Sky, the Community should,
     where appropriate, develop the highest level of cooperation with Eurocontrol in
     order in particular to ensure regulatory synergies and consistent approaches, and
     to avoid any duplication between the two organisations. Pending the outcome of
     negotiations for the accession of the Community to Eurocontrol, which remains an
     important component in the creation of a pan-European airspace, the Commission and
7
     OJ L 184, 17.7.1999, p. 23.
                                             16
 ---pagebreak---      Eurocontrol may conclude appropriate arrangements to enable Eurocontrol to
     contribute to the preparation of Community legislation.
(15) It is desirable to extend the Single European Sky to non-Community countries, either
     within the framework of participation by the Community in the work of Eurocontrol,
     subject to accession by the Community to that international organisation, or by means
     of agreements concluded by the Community with the non-Community countries.
(16) It is necessary to make provision for procedures for assisting the Commission in its
     task of supervising and monitoring the creation of the Single European Sky in an
     efficient and regular fashion, notably by drawing on the expertise of the Member
     States and of Eurocontrol.
(17) The performance of the air navigation services system as a whole at European level
     need to be constantly assessed to check the effectiveness of the measures adopted and
     to propose further measures.
(18) In the general interest of safety of operations and in order to guarantee the
     enforcement of this regulation, there should be a scale of effective, proportionate
     and dissuasive penalties against airlines and service providers that breach the
     provision of this Regulation.
(19) The social partners may should be informed and consulted in an appropriate way on
     all measures having significant social implications. The Sectoral Dialogue Committee
     set up under Commission Decision 1998/500/EC of 20 May 1998 on the establishment
     of Sectoral Dialogue Committees promoting the Dialogue between the social partners
     at European level8 may also be consulted.
(20) The associations of airspace users, of air navigation service providers and of
     manufacturing industry should be informed and consulted on all measures
     concerning the technical aspects of the implementation of the Single European
     Sky.
(21) The drafting of the measures necessary in order to create the Single European Sky
     requires broad-based consultations with the industrial partners all the economic and
     social stakeholders concerned.
(22) 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.
(23) Since the objective of the action envisaged, namely the laying-down of the framework
     for the creation of the Single European Sky, cannot be sufficiently achieved by the
     Member States, by reason of the transnational scale of the action, and can therefore be
     better achieved by the Community, while allowing for detailed implementing rules
     that take account of specific local conditions, the Commission may take measures in
     accordance with the subsidiarity principle set out in Article 5 of the Treaty. In
     accordance with the principle of proportionality as set out in that Article this
     Regulation does not go beyond what is necessary in order to achieve the objectives
     pursued,
8
     OJ L 225, 12.8.1998, p. 27.
                                             17
 ---pagebreak--- HAVE ADOPTED THIS REGULATION:
                                            Article 1
                                            Objective
The objective of this Regulation is to create, by 31 December 2004 at the latest, a European
airspace, conceived and managed as a single airspace, offering optimum safety conditions and
overall efficiency for air traffic in the Community and ensuring a level of capacity meeting
the requirements of civil and military users. This single airspace is hereinafter referred to as
the "Single European Sky".
This Regulation lays down the general lines of approach governing creation of the
Single European Sky and identifies the fields for action by the Community and the
means necessary, in terms of structures, procedures and resources, in order to create the
Single European Sky, while taking into account the Member States’ defence needs and
Eurocontrol’s task of establishing a pan European airspace.
The measures taken to apply the lines of approach referred to in the second paragraph shall
take the form of implementation of common safety and performance rules for air navigation
services, by means of mechanisms allowing optimum use of airspace at Community level and
the involvement of all economic and social stakeholders concerned.
The decisions on measures to create the Single European Sky shall be adopted without
delay in order to derive the first beneficial effects before the end of 2004.
                                            Article 2
                                           Definitions
For the purposes of this Regulation:
(a)      "air navigation services" means all air traffic control services, including ancillary
         services providing communication, air navigation and surveillance infrastructure
         and functions, meteorological services for airspace users, search and rescue services
         and aeronautical information services, all those services being provided to airspace
         users during every phase of the flight;
(b)      "air navigation service providers" means any public or private entity, in accordance
         with the Member State choice thereof, responsible for operating and managing air
         navigation services in the discharge of missions of general interest that have been
         assigned to them;
(c)      "air traffic" means all movements of civil and State aircraft, including military,
         customs and police aircraft;
(d)      "airspace users" means all civil and State aircraft, including military, customs and
         police aircraft;
                                               18
 ---pagebreak--- (e)    "Eurocontrol" means the European Organisation for the Safety of Air Navigation set
       up by the International Convention of 13 December 1960 relating to Cooperation for
       the Safety of Air Navigation9.
                                           Article 3
                             Fields for action by the Community
1.     The measures necessary in order to create the Single European Sky shall be
       established in the following fields, whilst ensuring maximum safety standards for air
       navigation:
       (a)    organisation and use of the airspace and the relevant procedures;
       (b)    provision of air navigation services, including the economic aspects;
       (c)    air navigation equipment and systems and the associated procedures.
2.     The measures set out in paragraph 1 shall aim to define the objectives and, where
       appropriate, the means of attaining these objectives in such a way as to safeguard the
       public interest.
                                           Article 4
                            Organisation and use of the airspace
Measures on the organisation and use of airspace shall be such that:
(a)    the airspace above the territory of the Community under the responsibility of
       Member States is treated as a common resource constituting a continuum;
(b)    use of the airspace is flexible, with no permanent segregation and optimising the
       duration of any temporary segregation for military purposes;
(c)    sufficient capacity is made available to accommodate demand;
(d)    most flights take a straight line between the points of departure and destination or
       take the route closest to this straight line, and can operate at their optimum flight
       level, subject to compliance with the demands of safety, defence, energy-saving,
       environmental protection and greater effectiveness in the management of air traffic;
(e)    the airspace is divided into air traffic control sectors giving priority to operational
       requirements;
(f)    air traffic flow planning and management allow smooth, flexible air traffic making
       optimum use of the capacity available.
9
      Convention as amended by the Protocol of 12 February 1981, and revised by the Protocol of
      27 June 1997.
                                               19
 ---pagebreak---                                             Article 5
                             Provision of air navigation services
Measures relating to the provision of air navigation services shall be such that:
(a)    definition and monitoring of application of the rules referred to in Article 1 are kept
       separate from operation of the air navigation services subject to these rules;
(b)    air navigation service providers hold regular, formal consultations with airspace
       users on the arrangements and costs for air navigation services to ensure that these
       users' needs are taken into account in definition of, while providing these services;
(c)    air navigation service providers ensure appropriate transparency in air navigation
       services, in the form of publication of financial accounts and annual reports, and
       performance indicators, and regularly undergo an independent audit;
(d)    operation of air navigation services is harmonised to ensure integration and
       consistency of the operations of air navigation service providers, airspace users and
       airports;
(e)    co-operation between civil air navigation service providers is reinforced, in particular
       by facilitating the establishment of groupings of two or more service providers ;
(f)    co-operation between civil and military air navigation service providers is
       encouraged;
(g)    new services are established at the same time for all interested parties in the Member
       States concerned;
(h)    air navigation service providers exchange all data on the situation of flights during
       every phase of the flight in order to facilitate operation of air navigation services;
       access to these data shall be open to all concerned on a non-discriminatory basis,
       without prejudice to safety requirements;
(i)    the economic regulations favour more efficient provision of air navigation services
       and provision of services releasing capacity meeting Europe's needs;
(j)    mechanisms providing performance incentives are developed to stimulate new
       investment in this sector and to reward timely provision of high-quality services
       meeting high safety and quality standards and the demand from airspace users.
                                            Article 6
                            Air navigation equipment and systems
Measures on air navigation equipment and systems shall be such that:
(a)    the technical and operational solutions allow uniform planning and operation of the
       European system, including interoperability;
                                               20
 ---pagebreak--- (b)      creation of the Single European Sky favours the introduction of new technical and
         operational solutions for air navigation where these improve safety, efficiency
         and/or capacity;
(c)      the development and validation of technical and operational solutions conform to
         programmes on the basis of advanced international standards, meet airspace
         users' common needs and take account of the demand from such users with regard to
         choice of routes and flight profiles;
(d)      regulations are developed relating to on-board equipment in order to meet the
         implementation date.
                                             Article 7
                                     Single Sky Committee
1.       A committee, hereinafter referred to as “the Single Sky Committee", is hereby set up,
         composed of the representatives of the Member States and chaired by the
         representative of the Commission.
2.       The Single Sky Committee shall establish its own rules of procedures.
3.       Each Member State shall appoint two representatives and two alternates.
4.       Non-Community States committed to air transport agreements with the Community
         shall be associated with the work of the committee, in accordance with the
         arrangements laid down in the agreements.
                                             Article 8
                                 Relations with third countries
When drafting the measures taken to implement this Regulation, the Commission shall keep
open the possibility of extending the Single European Sky to countries which are not
members of the Community, whether under bilateral agreements concluded with the non-
member countries or within the framework of Eurocontrol.
                                            Article 9
                   Relationship between the Commission and Eurocontrol
When drafting implementing rules for the measures referred to in Article 3, the
Commission shall, where appropriate, endeavour to obtain the technical basis for these
rules from Eurocontrol, for subjects where this organisation has relevant expertise.
                                                21
 ---pagebreak---                                            Article 910
                                   Supervision and monitoring
1.       The measures adopted pursuant to Article 3 shall define appropriate mechanisms for
         assisting the Commission in its responsibilities for supervising and monitoring
         application of those rules, including the creation of civil and military technical
         expertise.
2.       The supervision and monitoring methods shall be based on the submission of regular
         reports by air navigation service providers on implementation of the measures
         adopted.
                                            Article 11
                                            Penalties
Member States shall lay down a system of penalties for breaches of the provisions of this
Regulation and shall take all the measures necessary to ensure that these penalties are
applied. The penalties thus provided for, shall be effective, proportionate and dissuasive.
                                           Article 1012
                                       Performance review
The Commission shall ensure the examination and comparison of air navigation performance
involving, in particular, Eurocontrol's Performance Review Commission.
The Commission shall ensure the dissemination of best practice at the Community level.
                                           Article 1113
                                        Impact assessment
Every five years after the entry into force of this Regulation and for the first time no later than
30 June 2005, the Commission shall submit to the European Parliament and to the Council a
report assessing the measures taken to create the Single European Sky.
For the purposes of drafting this report, the Commission may request the opinion of the
Single Sky Committee.
The report shall contain an evaluation of the results achieved by the measures taken pursuant
to this Regulation in the various fields of action including appropriate information about
the developments in the sector, in particular concerning economic, social, employment
and technological aspects, as well as quality of service, and in the light of the original
objectives and of future needs.
                                                22
 ---pagebreak---                                           Article 1214
                                           Safeguards
This Regulation shall not prevent Member States from adopting or applying measures
warranted by serious internal disturbances affecting the maintenance of law and order, in
the event of war, serious international tension constituting a threat of war, or in order to
carry out obligations they have accepted for the purpose of maintaining peace and
international security.
                                          Article 1315
                                        Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament                   For the Council
The President                                 The President
                                                23
 ---pagebreak---                                                        2001/0235 (COD)
                                    Amended proposal for a
    REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
           on the provision of air navigation services in the Single European Sky
                                  (Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission10,
Having regard to the opinion of the Economic and Social Committee11,
Having regard to the opinion of the Committee of the Regions12,
Acting in accordance with the procedure laid down in Article 251 of the Treaty13,
Whereas:
(1)     Member States have restructured, to varying degrees, their national air navigation
        service providers by increasing their level of autonomy and freedom to provide
        services. It is increasingly necessary to ensure that minimum public interest
        requirements are satisfied under this new environment.
(2)     The report of the High Level Group on the Single European Sky has confirmed the
        need for rules at Community level to distinguish between regulation and service
        provision and to introduce a system of authorisation to preserve public interest
        requirements, most notably in terms of safety, and a charging mechanism to
        stimulate cost-effectiveness.
(3)     Regulation (EC) No XXX/XX of the European Parliament and of the Council14 lays
        down the framework for the creation of the Single European Sky.
(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 XXX/XX of the European
        Parliament and of the Council of … 2001 [on the organisation and use of the airspace
10
        OJ C
11
        OJ C
12
        OJ C
13
        OJ C
14
        OJ L
                                               24
 ---pagebreak---      in the Single European Sky]15. The establishment of a harmonised organisation of the
     provision of such services is important to respond adequately to the demand of
     airspace users and to operate air traffic safely and efficiently.
(5)  The verification of compliance by air navigation service providers and other relevant
     operators with Community requirements is predominantly a task for the Member
     States. It means that the authorities performing such verifications should be
     sufficiently independent of air navigation service providers.
(6)  Member States should be permitted to entrust to recognised and technically
     experienced organisations the verification and certification of compliance of air
     navigation service providers and other relevant operators with Community
     requirements.
(7)  Smooth operation of the air transport system also requires uniform, high safety
     standards of air navigation service providers. The implementation of such safety
     requirements is without prejudice to the role and responsibilities of the European
     Safety Agency which, with regard to the creation of the Single European Sky,
     should have to be more clearly defined in the longer term.
(8)  Arrangements should be proposed to overcome the lack of controllers, through the
     improvement and harmonisation of the procedures for selection, training
     authorisation, rating and licensing, and through the harmonisation of such
     procedures at Community level the mutual recognition of licences, and the
     development of recruitment programmes.
(9)  The Commission should monitor the development of recruitment programmes by
     Member States to determine whether it will be necessary to provide Community
     support for the development of these programmes.
(10) Whilst guaranteeing the continuity of service provision, a common system should be
     established for authorising air navigation services which constitutes a means for
     defining the rights and obligations of air navigation service providers.
(11) The authorisation system should provide for the means to control access to the
     activity. It should take into account the need to facilitate the introduction of new
     services as well as new rules for service provision. Accordingly, authorisations should
     provide for the most adequate control compatible with the fulfilment of applicable
     requirements. It is also important to define non-discriminatory requirements in relation
     to the location and surveillance of a service provider, in particular of air traffic
     services, applying for authorisation.
(12) Conditions attached to authorisations are necessary in order to attain public interest
     objectives for the benefit of airspace users and the air transport passengers. They
     should be objectively justified and should be non-discriminatory, proportionate and
     transparent and compatible with applicable, internationally standards.
(13) The harmonisation of conditions attached to authorisations and of the procedures for
     the granting of authorisations should significantly facilitate the provision of air
     navigation services in the Community.
15
     OJ L
                                              25
 ---pagebreak--- (14) Existing air navigation service providers should be allowed a reasonable period of
     time within which to adjust to the requirements of the new system of authorisation,
(15) The authorisations should be mutually recognised by all Member States in order to
     allow air navigation service providers to provide services in a Member State other than
     where they obtained their authorisations, within the limits of the requirements of
     safety.
(16) In the interest of facilitating the safe handling of air traffic across the boundaries of the
     Member States for the benefit of the airspace users and their passengers, the system of
     authorisation should provide for a framework to enable Member States to designate
     service providers for providing air traffic services, regardless of where they have been
     authorised.
(17) The provision of ancillary services communication services, air navigation and
     surveillance services, meteorological services and aeronautical information services
     should be organised under market conditions whilst taking into account the special
     features of such services and simultaneously maintaining a high level of safety.
(18) Cooperation between service providers, airspace users and other operators should be
     enhanced on a contractual basis.
(19) Air navigation service providers should establish and maintain close cooperation with
     military authorities responsible for activities that may affect air traffic, through
     appropriate arrangements.
(20) The accounts of all air navigation service providers should provide for maximum
     transparency: to this end, the accounts should be separated for each service and control
     centre.
(21) The introduction of harmonised principles and conditions for access to operational
     data should facilitate the provision of air navigation services and the operations of
     airspace users and airports under a new environment.
(22) Charging conditions applying to airspace users should be fair and transparent.
(23) User charges should provide remuneration for the facilities and services provided by
     air navigation service providers. Such services and facilities can, by their nature, only
     be provided by air navigation service providers themselves; in view of this monopoly
     situation, the level of user charges should be proportionate to the costs incurred in the
     provision of such facilities and services, taking into consideration the objective of
     economic efficiency, while maintaining a high level of safety.
(24) There should be no discrimination between airspace users for the provision of
     equivalent air navigation services.
(25) Air navigation service providers offer a certain number of facilities and services
     directly related to the operation of aircraft, the costs of which they should be able to
     recover according to the “user pays” principle, which is to say that airspace users
     should pay for the costs they impose at, or as close as possible to, the point of use.
                                               26
 ---pagebreak--- (26) It is important to ensure the transparency of the costs to which such services or
     facilities give rise. Accordingly, any changes made to the system or level of charges
     should be explained to airspace users; such changes or investment proposed by air
     navigation service providers should be explained as part of an exchange of information
     between their management bodies and airspace users.
(27) There should be scope for modulating charges that contribute to maximising system-
     wide capacity. Financial incentives are a useful way of accelerating the introduction of
     ground-based or airborne equipment that increases capacity, of rewarding high
     performance or of offsetting the inconvenience of choosing less desirable routings.
(28) In the context of revenues raised to provide a reasonable return on assets, and in
     direct correlation with the saving made from efficiency improvements, it should
     also be possible to allow the establishment of a reserve to avoid a sudden increase
     in charges to airspace users at times of reduced levels of traffic.
(29) The Commission should examine the feasibility of organising a temporary financial
     aid for measures to increase the capacity of Europe's air traffic control system as a
     whole.
(30) The establishment and imposition of charges on airspace users should be constantly
     reviewed by the Commission, in collaboration with the European Organisation for the
     Safety of Air Navigation (“Eurocontrol”), and in cooperation with national
     supervisory authorities and airspace users.
(31) The performance of the air navigation services system as a whole at European level
     needs to be constantly examined, with due regard to the maintenance of a high
     level of safety, to check the effectiveness of the measures adopted and to propose
     further measures.
(32) Owing to the particular sensitivity of information concerning service providers,
     national supervisory authorities should not disclose information covered by the
     obligation of professional secrecy, without prejudice to the organisation of a system
     for monitoring and publishing the performance of service providers,
(33) The associations of airspace users, of air navigation service providers and of
     manufacturing industry should be informed and consulted in an appropriate way
     on all measures concerning the technical aspects of the implementation of the
     Single European Sky.
(34) Since the objectives of the proposed action, namely to promote the safe and efficient
     provision of air navigation services, cannot be sufficiently achieved by the Member
     States, by reason of the transnational scale of this action, and can therefore be better
     achieved at Community level, whilst ensuring that the implementing procedures take
     account of the specific local conditions, the Community may adopt measures in
     accordance with the principle of subsidiarity as set out in Article 5 of the Treaty. In
     accordance with the principle of proportionality, as set out in that Article, this Regulation
     does not go beyond what is necessary in order to achieve those objectives.
                                            27
 ---pagebreak--- (35)    Since most of the measures necessary for the implementation of this Regulation
        are measures of general scope within the meaning of Article 2 of Council
        Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of
        implementing powers conferred on the Commission16, they should be adopted by use
        of the regulatory procedure provided for in Article 5 of that Decision. However, in
        accordance with Article 2(c) of that Decision, some measures should be adopted by
        use of the advisory procedure provided for in Article 3 of that Decision,
HAVE ADOPTED THIS REGULATION:
                                           Chapter I
                                            GENERAL
                                            Article 1
                                              Scope
This Regulation shall apply to the provision of air navigation services for civil aviation,
including air traffic services, meteorological services, search and rescue services and ancillary
services providing communication, navigation and surveillance infrastructure and
aeronautical information services as specified in Annex I, in accordance with and within the
scope of Regulation (EC) No XXX/XX [laying down the framework for the creation of the
Single European Sky].
                                            Article 2
                                           Definitions
For the purposes of this Regulation the definitions set out in Article 2 of Regulation (EC)
No XXX/XX [laying down the framework for the creation of the Single European Sky]
shall apply.
The following definitions shall also apply:
(a)      “national supervisory authority” means the body or bodies, appointed by a
         Member State for the supervision of air navigation service providers;
(b)      "recognised organisation” means a private or public body, recognised in conformity
         with Article 4, carrying out assessment work for a national supervisory authority;
(c)      “authorisation” means a permission which is granted by a Member State and
         which certifies that an air navigation service provider is suitable for providing a
         specific service;
(d)      “bundle of services” means two or more air navigation services as listed in Annex I;
16
        OJ L 184, 17.7.1999, p. 23.
                                                28
 ---pagebreak--- (e) “air traffic services” means all flight information services, alerting services, air
    traffic advisory services and air traffic control services, including area control
    services, approach control services and aerodrome control services as defined in
    Annex I;
(f) “designation” means an appointment by a Member State or Member States in
    accordance with this Regulation, giving a service provider the responsibility for
    providing air traffic services on an exclusive basis;
(g) “ancillary services” means communication, navigation and surveillance services as
    further defined in Annex I;
(h) “airspace block” means an airspace of defined dimensions, above land or waters,
    within which air navigation services are provided;
(i) “functional airspace block” means an airspace block of optimally defined
    dimensions;
(j) “operational data” means information and/or data used by air navigation service
    providers and airspace users during the execution of their operational activities;
(k) “charges” means the price related to the operating and investment costs of air
    navigation services and related facilities.
                                        Article 3
                            National supervisory authorities
1.  A national supervisory authority shall be established by each Member State in order
    to assume the relevant responsibilities and obligations under the requirements of this
    Regulation. The national supervisory authorities shall be independent of the air
    navigation service providers. This independence shall be achieved through adequate
    separation, at the functional level at least, between the national supervisory
    authorities and such providers.
2.  The national supervisory authority shall ensure the appropriate oversight and
    enforcement of this Regulation, in particular with regard to the safe and efficient
    operations of air navigation service providers. To this end, the national supervisory
    authority shall perform proper inspections and surveys to verify compliance with the
    requirements of this Regulation.
3.  Member States shall inform the Commission of the names and addresses of the
    national supervisory authorities and of the measures undertaken to ensure
    compliance with the provisions of paragraph 1. Member States may conclude an
    agreement on the supervisory role provided for in this Article in respect of regional
    service providers.
4.  Member States shall notify any changes to the information supplied under
    paragraph 3, within one month of their introduction.
                                           29
 ---pagebreak---                                             Article 4
                                   Recognised organisations
1.      National supervisory authorities may decide with respect to air navigation service
        providers that operate under their responsibility to instruct recognised and
        technically experienced organisations to undertake fully or in part the inspections
        and surveys.
2.      Member States may only recognise those organisations which fulfil the requirements
        laid down in paragraph 4 and which have submitted to the national supervisory
        authorities a request for recognition.
3.      A recognition granted by a national supervisory authority shall be valid within the
        Community. National supervisory authorities may instruct any of the recognised
        organisations located in the Community to undertake the inspections and surveys
        under Article 3(2).
4.      Recognised organisations shall comply with the minimum requirements set out in
        Annex II together with any further measures defined in accordance with the
        procedure referred to in Article 19(2), including the procedures for the granting of
        recognition, their monitoring and the working relationship and the liability between
        recognised organisations and the national supervisory authorities.
                                            Article 5
                                      Safety requirements
1.      The Eurocontrol Safety Regulatory Requirements (ESARRs) and subsequent
        amendments to those requirements shall be identified and adopted in accordance with
        the procedure referred to in Article 19(2). Publication shall take the form of
        references to such ESARRs in the Official Journal of the European Communities.
2.      Paragraph 1 shall be without prejudice to Article 1(2) of Regulation (EC)
        No XXX/XX of the European Parliament and of the Council17 [on establishing
        common rules in the field of civil aviation and creating a European Aviation Safety
        Agency].
                                            Article 6
                             Licensing and training of controllers
The mobility of air traffic controllers together with enhanced training conditions shall be
developed On the basis of a Commission proposal by the European Parliament and of the
Council, on the basis of a Commission proposal shall, where appropriate, adopt measures
to overcome the lack of controllers and air traffic management personnel.
17
       OJ L
                                               30
 ---pagebreak---                                        Chapter II
                       RULES FOR THE PROVISION OF SERVICES
                                        Article 7
                                System of authorisation
1. The provision of air navigation services shall be subject to a system of authorisation
   certifying the suitability of service providers to provide such services and enabling
   co-operation between service providers.
2. Member States shall issue and monitor authorisations for air navigation services.
   Authorisations may be granted for each separate air navigation service as listed in
   Annex I or for a bundle of such services.
3. Member States shall accept any authorisation granted in the Community according to
   the requirements of this Article. Without prejudice to international agreements and
   conventions to which the Community is a contracting party, providers of air traffic
   services shall be owned and continue to be owned directly, or through majority
   ownership, by Member States and/or nationals of Member States. They shall at all
   times be effectively controlled by such Member States or such nationals.
4. Air navigation service providers meeting the requirements of the system of
   authorisation shall be entitled to an authorisation for the purpose of providing air
   navigation services. To that end, air navigation service providers shall apply to the
   national supervisory authority of the Member State where they have their principal
   place of operation and, if any, their registered office.
5. Authorisations shall specify the conditions in terms of rights and obligations of air
   navigation service providers, with particular regard to safety, that are objectively
   justified in order to meet the objectives of this Regulation. The conditions attached to
   authorisations and the procedures for their grant shall:
   (a)    comply with the general lines of approach set out in Annex III;
   (b)    be non-discriminatory, proportionate and transparent,
   (c)    avoid any conflict of interest in the management or operation of air navigation
          services and ensure fair access by all airspace users,
   (d)    reflect the public interest nature of air navigation services.
6. The authorisation system, including harmonised conditions in respect of the various
   air navigation services and the relevant conditions and procedures for the granting of
   authorisations, shall be established in accordance with the procedure referred to in
   Article 19(2).
7. Providers of air navigation services at the time of entry into force of this Regulation
   shall be authorised to continue to do so, provided that they comply with paragraphs 1
   to 5 within a period of six months of the adoption of implementing rules for
   authorisations in accordance with paragraph 5.
                                            31
 ---pagebreak--- 8. No air navigation service provider established in the Community shall be permitted
   to operate within the Community unless it has been granted the appropriate
   authorisation.
                                       Article 8
                           Designation of service providers
1. The provision of air traffic services shall be subject to a system of designation
   allowing the service provider to operate on an exclusive basis within specific
   airspace blocks and defining the obligations and requirements of the operation.
   Member States shall designate service providers to provide air traffic services in
   respect of the airspace over their territory. For this purpose, Member States may
   designate any service providers holding a valid authorisation within the Community.
2. Air traffic services that are, at the time of entry into force of this Regulation,
   operated by an air navigation service provider in respect of specific airspace blocks
   shall entitle that service provider to be designated for the same services in the same
   airspace blocks for a maximum period of three years without prejudice to the
   application of the provisions of Article 5 of Regulation (EC) No XXX/XX
   [airspace regulation]. Air navigation service providers shall be subject to
   continuous operational and safety improvements.
3. With regard to ancillary services, meteorological services and aeronautical
   information services, the granting of authorisations confers to service providers the
   right of providing such services within the Community, subject to their notification
   to the relevant national supervisory authorities of the Member States and to the
   Commission of the airspace blocks in respect of which such services will be
   provided.
4. Air navigation service providers shall provide their services in an open, non-
   discriminatory and transparent manner. Such services shall be delivered in
   accordance with the terms of the relevant authorisations and, where appropriate, of
   the relevant designations.
5. In respect of functional airspace blocks as laid down in accordance with Article 5 of
   Regulation (EC) No XXX/XX [airspace regulation] and when the configuration of
   such functional airspace blocks differ from that of airspace blocks assigned on the
   basis of paragraphs 1 and 2 of this Article, Member States shall designate service
   providers to deliver air traffic services in functional airspace blocks. When a
   functional airspace block extends over the territory of more than one Member State,
   the Member States concerned shall, within one month of the establishment of the
   functional airspace block, jointly designate the service providers.
   Such service providers shall be immediately notified to the Commission.
                                          32
 ---pagebreak---                                               Article 9
                                Relations between service providers
Air navigation service providers may avail themselves of the services of other service
providers, in particular for ancillary services, meteorological services and aeronautical
information services. In such cases, air navigation service providers shall formalise their
working relationships by means of written agreements or equivalent legal arrangements
setting out the specific duties and functions assumed by the providers. Those arrangements
shall comply with the relevant provisions of this Regulation.
                                             Article 10
                                 Relations with military authorities
1.       Air navigation service providers Member States shall take the necessary steps with
         a view to entering to ensure that air navigation service providers enter into
         written agreements or equivalent legal arrangements with military authorities for the
         blocks of airspace where they are designated. Those arrangements shall set out the
         specific obligations of each party, including the scope and procedures for exchanging
         data and for the transfer of control following the adoption of the measures referred to
         in Article 12 of Regulation (EC) No XXX/XX [framework regulation]. Those
         arrangements shall comply with the relevant provisions of this Regulation.
2.       As long as Member States have separate entities to provide air traffic services to civil
         and military air traffic, they shall keep inform the Commission informed of the way
         in which the cooperation between such entities is organised and the actions taken to
         enhance this cooperation or, where possible, to integrate such entities with one
         another.
                                             Article 11
                                      Unbundling of accounts
1.       Air navigation service providers, whatever their system of ownership or legal form,
         shall draw up, submit to audit and publish their annual accounts in accordance with
         International Accounting Standards adopted by the Community.
2.       When providing a bundle of services, air navigation service providers shall, in their
         internal accounting, keep separate accounts for each service as listed in Annex I, and,
         where appropriate, shall keep consolidated accounts for other, non-air navigation
         services, as they would be required to do if the services in question were carried out
         by separate undertakings. When providers of air traffic services operate within
         functional airspace blocks, they shall, in their internal accounting, keep separate
         accounts for each control centre responsible for that block.
3.       Service providers shall inform the Commission of the rules for the allocation of
         assets, liabilities, expenditure and income which service providers follow in drawing
         up the separate accounts referred to in paragraph 2.
                                                 33
 ---pagebreak--- 4.       Member States or any competent authority which they designate, as well as the
         Commission, shall have a right of access to the accounts of service providers.
                                            Article 12
                                 Access to and protection of data
1.       Operational data shall be exchanged in real-time between service providers and
         between such service providers and airspace users to facilitate the operational needs
         of both. It shall only be used for operational purposes.
2.       Access to operational data shall be granted to all authorised air navigation service
         providers, airspace users and other operators concerned on a non-discriminatory
         basis.
3.       Each service provider shall establish standard conditions of access to its operational
         data from other service providers and airspace users. National supervisory authorities
         shall approve such standard conditions and take the necessary measures to ensure
         that this data is only used for operational purposes. Detailed rules relating to such
         conditions shall be established, where appropriate, in accordance with the procedure
         referred to in Article 19(2).
                                           Chapter III
                                       CHARGING SCHEMES
                                            Article 13
                                             General
A charging scheme for air navigation services shall be established, in accordance with the
requirements of Articles 14 and 15, that contributes to the achievement of greater
transparency with respect to the determination, imposition and enforcement of charges to
airspace users. This charging scheme shall also be consistent with the provisions of Article 15
of the 1944 Chicago Convention on International Civil Aviation and, where relevant, with
Eurocontrol’s Multilateral Agreement relating to Route Charges.
                                            Article 14
                                        General principles
1.       The charging scheme shall proceed by the account of costs for air navigation services
         incurred by service providers on behalf of airspace users.
         It shall allocate the costs of air navigation services among categories of users and
         shall develop a charging policy.
                                                34
 ---pagebreak--- 2. The following principles shall be applied when establishing the cost-base for
   charges:
   (a)   The cost to be shared among airspace users shall be the full cost of providing
         air navigation services, including appropriate amounts for interest on capital
         investment and depreciation of assets, as well as the costs of maintenance,
         operation, management and administration.
   (b)   The cost to be taken into account shall be those assessed in relation to
         the facilities and services, provided for and implemented under the 24th edition
         of 1998 of the ICAO Regional Air Navigation Plan, European Region
         Doc No 7754.
   (c)   The cost of different air navigation services shall be identified separately as
         provided for in Article 11.
   (d)   Cross-subsidy between different air navigation services shall be clearly
         identified.
   (e)   Costs that are external to the operation of facilities and of services to airspace
         users, such as environmental costs, shall become a component of user charges
         in whichever way is most appropriate.
   (f)   Air navigation services may produce sufficient revenues to exceed all direct
         and indirect operating costs and to provide for a reasonable return on assets to
         contribute towards necessary capital improvements.
3. As far as charges are concerned, the following principles in particular shall apply:
   (a)   Charges shall be set for the availability of air navigation services under
         non-discriminatory conditions. No distinction shall be made between charges
         imposed on different airspace users for the use of the same service in relation
         to the nationality or category of the airspace user.
   (b)   Charges shall reflect the cost of air navigation services and facilities used by
         airspace users who generate them.
   (c)   Transparency of the cost-base for charges shall be guaranteed. Standards shall
         be set for the provision of informationby the service providers in order to
         permit reviews of the provider’s forecasts, actual costs and income.
         Information shall be regularly exchanged between the national supervisory
         authorities, service providers, airspace users, the Commission and Eurocontrol.
   (d)   Charges shall encourage allow for the safe, efficient and effective provision of
         air navigation services at the lowest possible cost compatible with the
         maintenance of a high level of safety and shall stimulate integrated service
         provision. They may provide incentives and deterrents consisting of financial
         advantages and disadvantages which apply to air navigation service providers
         and/or airspace users. They may also provide revenues to benefit projects
         designed to assist specific categories of users and/or air navigation service
         providers in order to improve collective air navigation infrastructures, the
         provision of air navigation services and the use of airspace
                                          35
 ---pagebreak--- 4.       The implementing rules in the fields covered by paragraphs 1, 2 and 3 shall be
         established in accordance with the procedure referred to in Article 19(2).
                                            Article 15
                                        Review of charges
1.       The Commission shall provide for the ongoing review of compliance with the
         principles and rules referred to in Article 13 and 14, acting in collaboration with, in
         particular, national supervisory authorities. The Commission may also establish the
         necessary mechanisms for making use of Eurocontrol expertise.
2.       At the request of one or more Member States which consider that the principles and
         rules have not been properly applied, or on its own initiative, the Commission shall
         carry out an investigation on any allegation of non-compliance or non-application of
         the principles by service providers. Within two months of receipt of a request and
         after consulting the “Single Sky Committee” in accordance with the procedure
         referred to in Article 19(3), the Commission shall take a decision on the application
         of Articles 13 and 14 and shall decide whether the service provider may continue to
         apply the principle or rule concerned.
3.       The Commission shall communicate its decision to the Member States and to the
         service provider concerned. Any Member State may refer the Commission’s decision
         to the Council within one month. The Council, acting by a qualified majority, may
         take a different decision within a period of one month.
                                           Chapter IV
                                       FINAL PROVISIONS
                                            Article 16
                                      Performance regime
Detailed rules for the submission of information required pursuant to Article 10 of
Regulation (EC) No XXX/XX [framework regulation] shall be established in accordance
with the procedure referred to in Article 19(2) of this Regulation, with a view to allowing
the comparison and improvement of air navigation service provision within the Single Sky.
The submission of this information shall:
(a)      promote the wide performance of a network of air navigation service providers
         within the Community;
(b)      offer a prospect of enabling air navigation service providers to deliver the required
         services;
(c)      improve the consultation process between airspace users and air navigation service
         providers;
                                                36
 ---pagebreak--- (d)       allow the identification and the promotion of best practice, in particular by means
          of a set of safety indicators.
                                            Article 17
                                 Adjustment to technical progress
1.        In order to make adaptations to technical developments, adjustments may be made,
          in accordance with the procedure referred to in Article 19(2), to:
          (a)   the Annexes;
          (b)   the reference to the ICAO Regional Air Navigation Plan contained in
                Article 14(2).
2.        The Commission shall publish implementing rules adopted on the basis of this
          Regulation in the Official Journal of the European Communities.
                                            Article 18
                                         Confidentiality
National supervisory authorities shall not disclose information covered by the obligation of
professional secrecy, in particular information about service providers, their business relations
or their cost components.
The first paragraph shall be without prejudice to the right of national supervisory authorities
to mandate disclosure where it is essential for the purposes of fulfilling their duties, in which
case such disclosure shall be proportionate and shall have regard to the legitimate interests of
service providers in the protection of their business secrets.
Moreover, the first paragraph shall not preclude publication of information on the conditions
and performance of service provision which does not include information of a confidential
nature as required by Article 16.
                                            Article 19
                                      Committee procedures
1.        The Commission shall be assisted by the “Single Sky Committee” instituted by
          Article 7 of Regulation (EC) No XXX/XX [framework regulation].
2.        Where reference is made to this paragraph, the regulatory procedure laid down in
          Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
          Article 8 thereof.
          The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
3.        Where reference is made to this paragraph, the advisory procedure laid down in
          Article 3 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
          Article 8 thereof.
                                                37
 ---pagebreak---                                             Article 20
                                        Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament                   For the Council
The President                                 The President
                                                38
 ---pagebreak---                                         ANNEX I
                            AIR NAVIGATION SERVICES
                                    Air traffic services
(1) Area control services, means air traffic control for controlled flights in control
    areas. Air traffic control is a service provided for the purpose of preventing collisions
    between aircraft, and on the manoeuvring area between aircraft and obstructions, and
    expediting and maintaining an orderly flow of air traffic.
(2) Approach control services, means air traffic control service for arriving or
    departing controlled flights.
(3) Aerodrome control services, means air traffic control service for aerodrome traffic.
                                      Other services
(4) Search and rescue services, means a service to provide assistance to aircraft in
    distress and to survivors of aircraft accidents.
(5) Meteorological services, means a service to supply operators, flight crew members,
    air traffic services units, search and rescue services units, airports and other
    concerned with the conduct or development of air navigation with the meteorological
    information necessary for the performance of their respective functions.
(6) Aeronautical information services, means a service provided for the purpose of
    ensuring the flow of information necessary for the safety, regularity, and efficiency
    of international air navigation.
                                    Ancillary services
(7) Communication services, means a communication service provided for any
    aeronautical purpose.
(8) Navigation services, means a navigation service provided for any aeronautical
    purpose.
(9) Surveillance services, means a surveillance service provided for any aeronautical
    purpose.
                                             39
 ---pagebreak---                                            ANNEX II
         MINIMUM REQUIREMENTS FOR RECOGNISED ORGANISATIONS
The recognised organisation must:
–       be able to document extensive experience in assessing public and private entities in
        the air transport sectors, in particular air navigation service providers, and in other
        similar sectors in one or more of the fields covered by this Regulation;
–       have comprehensive rules and regulations for the periodic survey of the above
        mentioned entities, published and continually upgraded and improved through
        research and development programmes;
–       not be economically linked to or controlled by air navigation service providers, or
        be economically linked to or controlled by others engaged commercially in the
        provision of air navigation services or in air transport services;
–       be established with a significant and qualified technical, managerial, support and
        research staff commensurate with the tasks to be carried out;
–       be managed and administered in such a way as to ensure the confidentiality of
        information required by the administration;
–       be prepared to provide relevant information to the national supervisory authority and
        to the Commission;
–       have defined and documented its policy and objectives for, and commitment to,
        quality and has ensured that this policy is understood, implemented and maintained
        at all levels in the organisation;
–       have developed, implemented and maintains an effective internal quality system
        based on appropriate parts of internationally recognised quality standards and in
        compliance with EN 45004 (inspection bodies) and with EN 29001, as interpreted by
        the IACS Quality System Certification Scheme Requirements;
–       be subject to certification of its quality system by an independent body of auditors
        recognised by the administration of the Member State in which it is located.
                                               40
 ---pagebreak---                                     ANNEX III
    CONDITIONS WHICH MAY BE ATTACHED TO AUTHORISATIONS
1. General information relating to
   –    the recipient of the authorisation;
   –    a general description of the purpose of the authorisation;
   –    confirmation of the authority of the issuing body to issue the authority;
   –    comprehensive references to the governing legislation under which the
        authorisation is issued and under which it will operate;
   –    a clear specification of the period for which the authorisation is to run;
   –    the notice period required for the authorised service provider to surrender the
        authorisation or for the national supervisory authority to revoke it;
   –    a definition of terms referred to in the authorisation.
2. Conditions relating to:
   –    the organisational structure and ownership of the service provider, including
        the prevention of conflict of interest;
   –    the financial strength of the service provider and insurance in respect of
        liability risks;
   –    the suitability of the holder of the authorisations, particularly in terms of past
        experience and credibility, safety and quality management systems and
        processes, human resource policies and adequate staffing plans for all
        categories of air traffic management personnel;
   –    the provision of information reasonably required for the verification of
        compliance with applicable conditions, including the regular publication by the
        service providers of business plans, financial and operational data and the
        reporting of safety occurrences;
   –    the management of assets relevant to the provision of the authorised service,
        including capital and human resources;
   –    the non-discriminatory access to services from airspace users and the required
        level of performance of such service, including safety and interoperability
        levels;
   –    ring-fencing or restriction of operation of business other than those related to
        the provision of air navigation services;
   –    any other legal conditions which are not specific to air navigation services;
                                         41
 ---pagebreak--- – measures taken by Member States in accordance with public interest
  requirements recognised by the Treaty specifically in relation to public
  morality, public security, including the investigation of criminal activities, and
  public policy.
                                  42
 ---pagebreak---                                                         2001/0236 (COD)
                                      Amended proposal for a
    REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
          on the organisation and use of the airspace in the Single European Sky
                                   (Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission18,
Having regard to the opinion of the Economic and Social Committee19,
Having regard to the opinion of the Committee of the Regions20,
Acting in accordance with the procedure laid down in Article 251 of the Treaty21,
Whereas:
(1)     The creation of the Single European Sky requires a harmonised approach for
        regulation of the organisation and the use of airspace.
(2)     The report of the High Level Group on the Single European Sky
        (hereinafter: “the High Level Group”) has confirmed the need for rules at Community
        level to design, regulate and strategically manage airspace on a European basis and
        enhance air traffic flow management.
(3)     The Communication of the Commission on the creation of the Single European Sky22,
        calls for structural reform to permit the creation of the Single European Sky by way of
        integrated management of airspace and the development of new concepts and
        procedures of air traffic management.
(4)     Regulation (EC) No XXX/XX of the European Parliament and of the Council23 lays
        down the framework for the creation of the Single European Sky,
18
        OJ C
19
        OJ C
20
        OJ C
21
        OJ C
22
        COM(2001) 123 final.
23
        OJ L
                                                43
 ---pagebreak--- (5)  Airspace is a common resource and needs to be used flexibly, ensuring fairness and
     transparency for all users whilst taking into account security and defence needs of
     Member States and their commitments in international organisations.
(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.
(7)  The activities of the European Organisation for the Safety of Air Navigation
     (“Eurocontrol”) confirm that the route network and airspace structure cannot
     realistically be developed in isolation, as each individual Member State is an integral
     element of the European Air Traffic Management network. Therefore it is important
     that this regulation also takes due account of the European Air Traffic
     Management network beyond the Community.
(8)  A single airspace should be established for en-route air traffic in the upper airspace;
     the interface between such airspace and the lower, that is regional and local, airspace
     should be identified accordingly.
(9)  The delineation of airspace wherein air traffic services are to be provided should be
     related to the need for efficient services, rather than to national boundaries. The plan
     for creating functional airspace blocks should take into account, whenever
     possible and appropriate, the recommendations of Eurocontrol.
(10) Airspace users face disparate conditions of access to, and freedom of movement
     within, the Community airspace. This is due to t The lack of harmonisation in the
     classification of airspace has an impact on its optimal operational organisation.
(11) Constraints in the definition of the route network cause concentration of air traffic
     flows at fixed crossing points or junctions of airways whilst the principle introduction
     of direct optimised routings, subject to the maintenance of a high level of safety, is
     the preferred, economical and ecological way to use Community airspace.
(12) It is essential to achieve a common, harmonised airspace structure, to base the present
     and future allocation of airspace on common principles, and to design and manage
     airspace in accordance with harmonised rules.
(13) It is desirable to extend that harmonised airspace structure to the lower airspace.
(14) Variations in the organisation of civil-military cooperation in the Community prevent
     uniform and timely airspace management and the implementation of changes. The
     success of the Single European Sky is dependent upon an effective cooperation
     between civil and military authorities, at national level and within the European
     Union.
(15) There should be an effective functioning of the flexible use of airspace concept and
     collaborative management to smoothly adapt military training with civil air traffic; it is
     necessary to optimise the location, size and time periods of usage of sectors of
     airspace allocated to military needs, especially during peak periods for civil air traffic
     and in high-density airspace.
(16) Military operations should be safeguarded whenever the application of common
     principles and criteria is detrimental to their safe and efficient performance.
                                              44
 ---pagebreak--- (17) Adequate measures should be introduced to improve the effectiveness of air traffic
     flow management, in order to assist existing operational units, including, where
     appropriate, the Eurocontrol Central Flow Management Unit, to ensure efficient
     flight operations.
(18) In accordance with the conclusions of the High Level Group, Eurocontrol is the body
     that has the appropriate expertise to support the Community in its role as regulator.
     Accordingly, Eurocontrol should be permitted to develop draft measures, under
     appropriate arrangements subject to the observance by Eurocontrol of the conditions to
     be included in a framework of cooperation between the Commission and Eurocontrol.
(19) The associations of airspace users, of air navigation service providers and of
     manufacturing industry should be informed and consulted in an appropriate way
     on all measures concerning the technical aspects of the implementation of the
     Single European Sky.
(20) Since the objectives of the proposed action, namely to establish a European airspace as
     a single operating airspace, cannot be sufficiently achieved by the Member States, by
     reason of the transnational scale of this action, and can therefore be better achieved at
     Community level, whilst ensuring that the implementing procedures take account of
     the specific local conditions, the Community may adopt measures in accordance with
     the principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the
     principle of proportionality, as set out in that Article, this Regulation does not go
     beyond what is necessary in order to achieve those objectives.
(21) Since the measures necessary for the implementation of this Regulation are measures
     of general scope within the meaning of Article 2 of Council Decision 1999/468/EC of
     28 June 1999 laying down the procedures for the exercise of implementing powers
     conferred on the Commission24, they should be adopted by use of the regulatory
     procedure provided for in Article 5 of that Decision,
HAVE ADOPTED THIS REGULATION:
                                          Chapter I
                                          GENERAL
                                           Article 1
                                            Scope
1.     This Regulation concerns the organisation and the use of airspace in accordance
       with, and within the scope of, Regulation (EC) No XXX/XX [laying down the
       framework for the creation of the Single European Sky].
2.     This Regulation shall apply to the airspace where Member States designate air
       navigation service providers as provided for in Article 8 of Regulation (EC)
       No XXX/XX of the European Parliament and of the Council25 [service provision].
24
     OJ L 184, 17.7.1999, p. 23.
25
     OJ L
                                               45
 ---pagebreak---                                                Article 2
                                              Objective
The objective of this Regulation is to establish a Community airspace as a single operating
airspace where common procedures for design, planning and management ensure the efficient
and safe performance of air traffic management.
The use of Community airspace shall support the operation of the air navigation services as a
coherent and consistent whole in accordance with the provisions of Regulation (EC)
No XXX/XX [service provision].
                                               Article 3
                                             Definitions
For the purposes of this Regulation the definitions set out in Article 2 of Regulation (EC)
No XXX/XX [framework regulation] shall apply.
The following definitions shall also apply:
(a)      “single operating airspace” means an airspace in which uniform airspace
         management procedures and common safety standards are applied to ensure the
         efficient and safe in the provision of Air Traffic Control;
(b)      “airspace design” means an appropriate, efficient and effective process for
         structuring, dividing and categorising airspace together with the planning of routes
         and airspace;
(c)      “flight information region” means an airspace of defined dimensions within which
         flight information services and alerting services are provided;
(d)      “division level” means the boundary between upper and lower airspace;
(e)      “upper airspace” means the airspace above a certain flight level;
(f)      “lower airspace” means the airspace below a certain flight level;
(g)      “flight level” means a surface of constant atmospheric pressure which is related to
         specific pressure datum 1013.2 hectopascals and is separated from other such
         surfaces by specific pressure intervals;
(h)      “airspace block” means an airspace of defined dimensions, above land or waters,
         within which air navigation services are provided;
(i)      “functional airspace block” means an airspace block of optimally defined
         dimensions;
(j)      "area control centre" means an operational unit established to provide air traffic
         control services to air traffic in a block of airspace under its jurisdiction;
                                                  46
 ---pagebreak--- (k) “airspace classification” means the International Civil Aviation Organisation (ICAO)
    classification of airspaces alphabetically designated as classes A to G, as specified in
    Appendix 4 to the twelfth edition of July 1998 of Annex 11 to the 1944 Chicago
    Convention on International Civil Aviation, also defined as airspaces of defined
    dimensions, alphabetically designated, within which specific types of flight may
    operate and for which air traffic services and rules of operation are specified;
(l) “direct optimised routing” means an aircraft operation allowing an aircraft in flight
    to proceed directly between two points outside the scheme of routes provided that
    technological means exist to support this operation;
(m) “route network” means a network of specified routes for channelling the flow of air
    traffic as necessary for the provision of air traffic services.
(n) “sector” means a subdivision of the totality of control tasks the airspace block into
    manageable airspace portions at which throughput and capacity can be measured;
(o) “flexible use of airspace” means an airspace management concept applied in the
    European Civil Aviation Conference area, as specified in the first edition of
    5 February 1996 of the “Airspace Management Handbook for the application of the
    Concept of the Flexible Use of Airspace” issued by Eurocontrol;
(p) “airspace management” means a planning function with the primary objective of
    maximum utilisation of available airspace by dynamic time-sharing and, at times, the
    segregation of airspace among various categories of airspace users based on
    short-term needs;
(q) “air traffic flow management” means a service established with the objective of
    contributing to a safe, orderly and expeditious flow of air traffic by ensuring that air
    traffic control capacity is utilised to the maximum extent possible in a safe and
    efficient way, and that traffic volume is compatible with the capacities declared by
    the appropriate air traffic services providers;
(r) “collaborative decision making” means a process for exchanging information
    between air traffic service providers, airport operators, air traffic flow management
    providers and airspace users to instil more flexibility in slot/route allocation and
    flight coordination processes in order to optimise utilisation of scarce capacity.
                                       Chapter II
                               AIRSPACE ARCHITECTURE
                                         Article 4
               Creation of a European Upper Flight Information Region
1.  Taking due account of ICAO requirements, as specified in the twelfth edition of
    July 1998 of Annex 11 to the 1944 Chicago Convention on International Civil
    Aviation, a single European Upper Flight Information Region (EUIR) shall be
    established in the upper airspace.
                                            47
 ---pagebreak--- 2. The division level between upper and lower airspace shall be set at flight level 285
   subject to marginal deviations decided in accordance with the procedure
   referred to in Article 16(2) and that are justified by a safe, orderly, efficient and
   expeditious flow of air traffic and an optimal provision of air traffic services.
3. Within three years after the establishment of the EUIR and in the light of progress
   achieved, the European Parliament and the Council shall, on the basis of a proposal
   from the Commission, extend the concept referred to in paragraph 1 to include the
   creation of a European Flight Information Region in the lower airspace.
4. The Commission shall take the necessary measures in order to have the EUIR
   recognised by ICAO as required by the tenth edition of July 1997 of Annex 15 to the
   1944 Chicago Convention on International Civil Aviation. The Commission, in
   collaboration with Eurocontrol, shall also organise the publication of a single
   aeronautical information relating to the EUIR through the consolidation of
   existing national aeronautical information. This publication shall incorporate all
   changes to requirements and procedures introduced by the implementation of the
   Single European Sky.
5. In the performance of its tasks, the Commission shall take account of the
   obligations stemming from regional agreements concluded within ICAO in
   relation to airspace where the provision of air traffic services is entrusted to
   Member States.
                                       Article 5
                        Reconfiguration of the upper airspace
1. The EUIR shall be reconfigured into functional airspace blocks of minimum size on
   the basis of safety and efficiency. The borders of such functional airspace blocks do
   not need to coincide with national boundaries. Functional airspace blocks shall be
   created to support the provision of air traffic services within area control centres
   responsible for an optimal size of airspace in the EUIR.
2. Functional airspace blocks shall be defined in accordance with the procedure referred
   to in Article 16(2). The definition of such functional airspace blocks shall:
   (a)   support safely and efficiently the existing and future pattern of air traffic;
   (b)   ensure that each airspace block is designed to maximise the efficiency of
         European airspace as a whole with due regard to the maintenance of a high
         level of safety;
   (c)   take into account the human and capital resources of various air navigation
         service providers;
   (d)   minimise the transaction costs optimise coordination between various area
         control centres;
   (e)   ensure coherence between the configurations of upper and lower airspace.
                                          48
 ---pagebreak---                                              Article 6
                                       Airspace classification
The EUIR shall be designated in accordance with a harmonised airspace classification to
ensure the seamless provision of air navigation services throughout the Community and to
establish a single category of environment within which all air traffic is known to providers of
air traffic services, both with position and with flight intentions.
This classification shall be established on a common and simplified application of the
classification of airspace currently prescribed in chapter 2 of twelfth edition of July 1998 of
Annex 11 to the 1944 Chicago Convention on International Civil Aviation.
The necessary implementing rules in the fields covered by the first and second paragraphs
shall be prescribed in accordance with the procedure referred to in Article 16(2) of
this Regulation.
                                             Article 7
                          Direct Optimised routing in the upper airspace
Subject to safety analysis and taking account of overall capacity aspects, air navigation
service providers shall organise the phased implementation of direct optimised routings in the
EUIR as the optimum economic and environmentally friendly usage of Community airspace.
Service providers shall regularly report to the Commission on this implementation.
                                             Article 8
                                      Uniform airspace design
The structuring, division and categorising of airspace together with the planning of routes
shall rely on a uniform, efficient and effective design process within the agreed concept of
operation. To this end, airspace rules, common principles and criteria for sector design,
especially the design of cross-border sectors, and route design shall be established on the
basis of the “Concept and Criteria for Medium Term EUR Route Network and Associated
Airspace Sectorisation”, EATMP ARN Version 4 issued by Eurocontrol on 1 April 2001.
The implementing rules in the fields covered by the first paragraph shall be adopted in
accordance with the procedure referred to in Article 16(2).
                                             Article 9
                          Consistency with the design for lower airspace
On the basis of the criteria specified in Article 5(2), as regards the concept of functional
airspace blocks, the planning and design of lower airspace shall be harmonised to be
consistent with upper airspace and shall take account of the environment at and around
airports in accordance with the procedure referred to in Article 16(2). The concept shall be
extended to establish similar blocks in the lower airspace, particularly to address cross border
problems for short to medium flights.
                                                 49
 ---pagebreak--- Air navigation service providers shall harmonise operations and practices concerning
approaches and departures of aircraft to/from airports and their movement on the airport
surface. A common procedure for the definition of such practices shall be laid down in
accordance with the procedure referred to in Article 16(2), including risk assessment methods
to verify the local feasibility of the procedures.
                                             Chapter III
                                 CIVIL-MILITARY COORDINATION
                                              Article 10
                                     Civil-Military Cooperation
1.        Member States shall ensure an efficient allocation and use of airspace by civil and
          military airspace users through the uniform and full application of the concept of the
          Flexible Use of Airspace.
2.        Member States shall facilitate the organisation of civil-military cooperation
          particularly in all aspects of airspace management and air-traffic flow management.
          Civil and military providers of air navigation services shall exchange data under the
          agreements provided for in Article 10 of Regulation (EC) No XXX/XX [on the
          provision of air navigation services in the Single European Sky].
3.        Taking into account the general conditions for air traffic flow management, as
          defined under Article 13, criteria shall, in accordance with the procedure referred to
          in Article 16(2), be established:
          (a)    for the use of segregated airspace, including factors for the determination of
                 horizontal and vertical extensions, the location of such airspace, and its sub-
                 division into functional elements to be activated according to demand;
          (b)    for the application of the concept of flexible use of airspace.
          The criteria shall implement the principles provided for in Article 4 of Regulation
          (EC) No XXX/XX [framework regulation].
4.        Member States shall encourage the full integration of air defence in airspace
          management ensuring full exploitation of airspace under certain agreed conditions
          and arrangements, taking into account national security requirements.
5.        Without prejudice to international agreements and conventions to which the
          Community is a contracting party and in order to ensure the safety of civil aviation,
          Member States may require submission of a flight plan for any military flight
          entering the airspace where they have designated air traffic services providers in
          accordance with Article 8 and 9 of Regulation (EC) No XXX/XX [on the provision
          of air navigation services in the Single European Sky], regardless of the origin and/or
          the destination of the flight.
                                                  50
 ---pagebreak---                                               Article 11
                               Temporary exemption for adjustments
In the event of serious disturbance of military operations, one or more Member States may
request the Commission to propose adjustments to the criteria defined in accordance with
Article 10(3) in their territory. Pending the drafting of such adjustments the Commission shall
exempt on a temporary basis the Member States from the application of these criteria.
                                              Article 12
                                       Information disclosure
Pursuant to Article 10 of Regulation (EC) No XXX/XX [framework regulation],
Member States shall submit to the Commission the necessary information on the demand and
actual use of airspace prohibited, closed, or restricted for military reasons, for further analysis
and publication.
                                            Chapter IV
                                        FLOW MANAGEMENT
                                              Article 13
                                   Air Traffic Flow Management
Rules for air traffic flow management shall be established in order to optimise
available capacities in the use of airspace and to enhance flow management processes.
These rules shall be based on transparency and efficiency ensuring that capacity is
provided flexibly and in a timely manner. They shall support a framework for operational
decisions by air navigation service providers, airport owners and airspace users, based on
Collaborative Decision Making. These rules shall cover:
(a)      a consistent route and traffic orientation policy defined in a single publication;
(b)      consistency between airport slots and slots assigned in the management of air traffic
         flows;
(c)      inconsistencies in flight planning;
(d)      options for diversion of air traffic from congested areas into routes in less congested
         areas;
(e)      priority rules in access to airspace, particularly during periods of congestion
         and crisis, that allow the safe and orderly flow of traffic.
The implementing rules shall be laid down in accordance with the procedure referred to in
Article 16(2).
                                                  51
 ---pagebreak---                                              Chapter V
                                        FINAL PROVISIONS
                                              Article 14
                                             Procedures
When drafting implementing rules covered by this Regulation, the Commission may, where
appropriate, ask Eurocontrol to draw up draft measures on the basis of a work programme laid
down by the Commission.
                                              Article 15
                                        Review of measures
1.      In order to make adaptations to technical developments adjustments may be made, in
        accordance with the procedure referred to in Article 16(2), to:
        (a)    the flight level referred to in Article 4(2) of this Regulation;
        (b)    references to ICAO and Eurocontrol documents as referred to in Articles 3, 4, 6
               and 8.
2.      The Commission shall publish implementing rules adopted on the basis of this
        Regulation in the Official Journal of the European Communities.
                                              Article 16
                                      Committee Procedures
1.      The Commission shall be assisted by the “Single Sky Committee” instituted by
        Article 7 of Regulation (EC) No XXX/XX [framework regulation].
2.      Where reference is made to this paragraph, the regulatory procedure laid down in
        Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
        Article 8 thereof.
3.      The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
                                                  52
 ---pagebreak---                                             Article 17
                                        Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament                   For the Council
The President                                 The President
                                                53
 ---pagebreak---                                                       2001/0237 (COD)
                                     Amended proposal for a
    REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
         on the interoperability of the European Air Traffic Management network
                                   (Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty establishing the European Community, and in particular
Article 80(2) thereof,
Having regard to the proposal from the Commission26,
Having regard to the opinion of the Economic and Social Committee27,
Having regard to the opinion of the Committee of the Regions28,
Acting in accordance with the procedure laid down in Article 251 of the Treaty29,
Whereas:
(1)     In order to create the Single European Sky, measures should be adopted in relation to
        equipment, systems and associated procedures with the objective of ensuring seamless
        operations of the air traffic management network consistent with the provision of air
        navigation services as provided for in Regulation (EC) No XXX/XX of the European
        Parliament and of the Council of … 2001 on the provision of Air Navigation Services
        in the Single European Sky30 and the organisation and use of airspace as provided for
        in Regulation (EC) No XXX/XX of the European Parliament and of the Council of …
        2001 [on the organisation and use of the airspace in the Single European Sky]31.
(2)     The report of the High Level Group on the Single European Sky (hereinafter referred
        to as: “the High Level Group”) has confirmed the need to establish technical
        regulation on the basis of the "new approach" in accordance with the Council
        resolution of 7 May 1985 on a new approach to technical harmonisation and
        standards32 where essential requirements, rules and standards are complementary and
        consistent.
26
        OJ C
27
        OJ C
28
        OJ C
29
        OJ C
30
        OJ L
31
        OJ L
32
        OJ C 136, 4.6.1985, p. 1
                                               54
 ---pagebreak--- (3)  Regulation (EC) No XXX/XX of the European Parliament and of the Council33 lays
     down the framework for the creation of the Single European Sky.
(4)  The air traffic management network is a complex, highly interactive structure
     involving large numbers of systems and components on the ground, in the air and in
     space including facilities, equipment, and computer hardware and software as well as
     the people that operate them.
(5)  The report of the High Level Group has confirmed that even though progress has been
     realised during the last few years towards a seamless operation of the air traffic
     management network in Europe, the situation still remains unsatisfactory with a low
     level of integration between national air traffic management systems and a slow pace
     in the introduction of new concepts of operation and technology necessary to deliver
     the additional required capacity.
(6)  This low level of integration at Community level results in a number of severe
     inefficiencies and additional costs for procurement and maintenance and in difficulties
     in operational coordination.
(7)  The predominance of national technical specifications used in procurement, often
     developed between the air navigation service provider and the national manufacturing
     industry, has led to fragmentation of market equipment and does not facilitate the
     industrial cooperation at Community level; as a result industry is particularly affected
     since it needs to considerably adapt its products for each national market; these
     practices render development and implementation of new technology unnecessarily
     difficult and slow down the introduction of new operational concepts that are required
     to increase capacity.
(8)  It is therefore in the interest of all those involved in the air traffic management to
     develop a new partnership approach allowing the balanced involvement of all,
     stimulating creativity and the sharing of knowledge, experience and risks; such
     partnership should aim at defining, in cooperation with the manufacturing industry, a
     coherent set of Community specifications that can fulfil the widest possible range of
     needs from which an air navigation service provider can choose the elements that best
     suit its circumstances and limit the local adaptations as much as possible.
(9)  It is therefore appropriate to define essential requirements which will apply to the
     systems and constituents of the air traffic management network; in view of the
     complexity of the air traffic management network it has proven necessary to break it
     down to a number of systems.
(10) The development and adoption of Community specifications concerning the air traffic
     management network, its systems and constituents is an appropriate means of defining
     the technical and operational conditions necessary to achieve the essential
     requirements; compliance with these Community specifications should create a
     presumption of conformity with the essential requirements.
33
     OJ L
                                             55
 ---pagebreak--- (11) For some systems that are important to the fulfilment of the essential requirements of
     this Regulation, implementation rules should be adopted; implementation rules should
     also be adopted to facilitate the coordination and introduction of new concepts in air
     traffic management; compliance with the implementation rules should be permanently
     maintained; these implementation rules should rely on rules and standards developed
     by international organisations such as Eurocontrol or ICAO.
(12) In accordance with the conclusions of the High Level Group, Eurocontrol is the body
     that has the appropriate expertise to support the Community in its role as regulator.
     Accordingly, Eurocontrol should be permitted to develop draft measures, under
     appropriate arrangements subject to the observance by Eurocontrol of the conditions to
     be included in a framework of cooperation between the Commission and Eurocontrol.
(13) In order to ensure separation between the rule-making and standardisation
     functions, Community specifications should predominantly be developed by the
     European standardisation bodies in conjunction with the European Organisation
     for Civil Aviation Equipment (“Eurocae”) and should take the form of
     European standards.
(14) Eurocae is a non-profit making organisation in charge of preparing drafts of technical
     specifications for civil aviation equipment; its membership is open to all aviation
     stakeholders including, in particular, air navigation service providers, airspace users
     and manufacturing industry; Eurocae must establish formal relationships with the
     European standardisation bodies so that its specifications can be recognised
     as European standards according to the procedures set out by the
     European standardisation organisations.
(15) Eurocontrol should also be permitted to develop, where necessary, Community
     specifications, subject to compliance with the principles of the Council Resolution of
     7 May 1985 and in accordance with general Community standardisation procedures;
     such procedures should include as a minimum the observance of the principles of
     openness, transparency, impartiality, consensus, maintenance, public access to
     specifications, efficiency, accountability and coherence; detailed provisions to that
     effect will be included in a document forming the framework of cooperation with
     Eurocontrol.
(16) The procedures governing the assessment of conformity or suitability of use of
     constituents should be based on the use of the modules covered by Council
     Decision 93/465/EEC of 22 July 1993 concerning the modules for the various phases
     of the conformity assessment procedures and the rules for the affixing and use of the
     CE conformity marking, which are intended to be used in the technical harmonisation
     directives34; as far as necessary these modules should be expanded to cover specific
     requirements of the industries concerned.
(17) The market concerned is of small size and consists of systems and constituents of an
     almost exclusive use to air traffic management purposes and not destined to the
     general public; it would be therefore excessive to affix the CE mark to constituents as,
     on the basis of the assessment of conformity and/or suitability for use, the
     manufacturer's declaration of conformity is sufficient; that should not affect the
34
     OJ L 220, 30.8.1993, p. 23.
                                            56
 ---pagebreak---      obligation on manufacturers to affix the CE mark to certain constituents in order to
     certify their compliance with other Community provisions relating to them.
(18) The putting into service, renewal or upgrading of air traffic management systems,
     should be subject to verification of compliance with the essential requirements; this
     compliance is based on implementation rules; use of Community specifications should
     create a presumption of conformity to the essential requirements; depending on the
     system, the intervention of a notified body should be deemed necessary in particular
     for safety reasons.
(19) In accordance with the conclusions of the report of the High Level Group, the
     Commission should consult industry with a view to facilitating the establishment of a
     coherent strategic management programme for the introduction of new concepts in air
     traffic management.
(20) The full application of the provisions of this Regulation should be done according to a
     transition strategy which should endeavour to maintain the objective of the seamless
     operation of the air traffic management network while not creating unjustified cost-
     benefit barriers to the preservation of the existing infrastructure.
(21) Since the objectives of the proposed action, namely to achieve interoperability within
     the Community air traffic management network, cannot be sufficiently achieved by the
     Member States and can therefore, by reason of its wide scale, be better achieved at
     Community level, the Community may adopt measures, in accordance with the
     principle of subsidiarity as set out in Article 5 of the Treaty. In accordance with the
     principle of proportionality, as set out in that Article, this Regulation does not go
     beyond what is necessary in order to achieve those objectives.
(22) Within the framework of the relevant Community legislation, due account shall be
     taken of the need to ensure harmonised conditions with regard to the availability and
     efficient use of radio spectrum necessary for the implementation of the Single
     European Sky, including electromagnetic compatibility aspects; an efficient and
     appropriate use of frequencies exclusively allocated to and managed by the aviation
     sector shall be ensured.
(23) Council Directive 93/65/EEC of 19 July 1993 on the definition and use of compatible
     technical specifications for the procurement of air-traffic-management equipment and
     systems35, is limited to obligations of awarding entities; the present Regulation is more
     comprehensive in that it addresses obligations of all actors, including air navigation
     service providers, airspace users, manufacturing industry and airports, and allows both
     for stipulating rules applicable to all, as well as adoption of Community specifications
     which, while being of voluntary use, give presumption of conformity to the essential
     requirements. Therefore Directive 93/65/EEC should be repealed.
(24) Since Commission Directive 97/15/EC of 25 March 1997 adopting Eurocontrol
     standards and amending Council Directive 93/65/EEC on the definition and use of
     compatible technical specifications for the procurement of air-traffic management
     equipment and systems36 has become obsolete, it should be repealed.
35
     OJ L 187, 29.7.1993, p. 52.
36
     OJ L 95, 10.4.1997, p. 16.
                                               57
 ---pagebreak--- (25)   The measures for the application of Directive 93/65/EEC as set out in Annexes I, II
       and III to Commission Regulation (EC) No 2082/2000 of 6 September 2000 adopting
       Eurocontrol standards and amending Directive 97/15/EC, adopting Eurocontrol
       standards and amending Council Directive 93/65/EEC37 are compatible with the
       provisions of this Regulation.
(26)   Since most of the measures necessary for the implementation of this Regulation
       are measures of general scope within the meaning of Article 2 of Council
       Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of
       implementing powers conferred on the Commission38, they should be adopted by use
       of the regulatory procedure provided for in Article 5 of that Decision. However, in
       accordance with Article 2(c) of that Decision, some measures should be adopted by
       use of the advisory procedure provided for in Article 3 of that Decision,
HAS ADOPTED THIS REGULATION:
                                           Chapter I
                                    GENERAL PROVISIONS
                                            Article 1
                                             Scope
1.       This Regulation shall apply to equipment, systems and associated procedures for the
         establishment of the air traffic management network and its concept of operation in
         accordance with and within the scope of Regulation (EC) No XX/XXX [laying down
         the framework for the creation of the Single European Sky].
2.       General conditions that are linked to the rights and obligations of air navigation
         service providers in the sense of Regulation (EC) No XXX/XX [on the provision of
         Air Navigation Services in the Single European Sky] shall be excluded from the
         scope of this Regulation.
                                            Article 2
                                           Objectives
The main objective of this Regulation is to define the conditions to be met in order to achieve
interoperability within Community territory between the different systems and constituents of
the air traffic management network, including their safe and seamless operation and
development and upgrading to new technology, without prejudice to the ultimate aim of
achieving global interoperability.
In the pursuit of the objective referred to in the first paragraph, this Regulation shall also
contribute to the progressive creation of the internal market in equipment, systems and
associated services.
37
       OJ L 254, 9.10.2000, p. 1.
38
       OJ L 184, 17.7.1999, p. 23
                                               58
 ---pagebreak---                                             Article 3
                                           Definitions
For the purposes of this Regulation the definitions set out in Article 2 of Regulation (EC)
No XX/XXX [laying down the framework for the creation of the Single European Sky]
shall apply.
The following definitions shall also apply:
(a)      "air traffic management network" means a system comprising ground elements and
         airborne elements, enabling the provision of air navigation services, with the
         objective of allowing airspace users to meet their planned times of departure and
         arrival and adhere to their preferred flight profiles with minimum constraints,
         without compromising agreed levels of safety;
(b)      "systems" means that the air traffic management network consists of systems as
         described in Annex I, for which essential requirements must be laid down; each
         system is made up of a number of constituents and has interfaces with other systems;
         the concept of a "constituent" covers both tangible objects and intangible objects
         such as software or procedures;
(c)      "concept of operation" means the specification of the criteria for the operational use
         of air navigation equipment and systems; it provides information concerning the
         operational elements involved, the requirements of all those involved in their
         operational use, ground and airborne equipment functionality and the measures
         needed to ensure continued safe and efficient air traffic management;
(d)      "seamless operation" means the operation of the whole system in such a manner that
         from the user's perspective it functions as if it were a single system;
(e)      "essential requirements" means all the conditions set out in Annex II which must be
         met by the air traffic management network, its systems and their constituents;
(f)      "Community specification" means a European standard within the meaning of
         Article 1 of Directive 98/34/EC of the European Parliament and of the Council39 or a
         Eurocontrol technical specification whose references have been published in the
         Official Journal of the European Communities;
(g)      "implementation rules" means the rules by which a system or part of a system is
         covered in order to meet the essential requirements and ensure the seamless
         operation of the air traffic management network, including its interoperability;
(h)      "national supervisory authority" means the body or bodies, appointed by a
         Member State for the supervision of air navigation service providers;
(i)      "upgrading" means any major modification work on a system or part of a system
         which requires the drawing up of a declaration of verification;
39
        OJ L 204, 21.7.1998, p. 37
                                                59
 ---pagebreak--- (j)      "renewal" means any major substitution work on a system or part of a system which
         requires the drawing up of a declaration of verification
                                             Chapter II
  ESSENTIAL REQUIREMENTS, COMMUNITY SPECIFICATIONS AND IMPLEMENTATION RULES
                                              Article 4
                                      Essential requirements
The European Air Traffic Management network, its systems and their constituents shall meet
the essential requirements described in Annex II.
                                              Article 5
                                    Community specifications
1.       Compliance with the essential requirements referred to in Annex II shall be
         presumed in relation to systems or constituents that meet the relevant Community
         specifications or parts thereof whose reference numbers have been published in the
         Official Journal of the European Communities.
2.       Where a Member State or the Commission considers that conformity with a
         Community specification does not ensure compliance with the essential requirements
         referred to in Annex II which the said Community specification is intended to cover,
         the procedure referred to in Article 16(3) shall apply.
3.       In the case of shortcomings of European standards with respect to essential
         requirements, partial or total withdrawal of the standards concerned from the
         publications containing them, or their amendments, may be decided upon in
         accordance with the procedure laid down in Article 5 of Directive 98/34/EC.
4.       In the case of shortcomings of technical specifications drawn up by Eurocontrol with
         respect to essential requirements, partial or total withdrawal of the specifications
         concerned from the publications containing them, or their amendments, may be
         decided upon in accordance with the procedure referred to in Article 16(3).
                                              Article 6
                                       Implementation rules
1.       Implementation rules shall be drawn up:
         (a)    for systems which are essential to achieve the objectives of this Regulation;
         (b)    to support the coordinated and rapid introduction of new concepts of operations
                or technology in air traffic management.
2.       Where necessary, especially for treating categories of systems or to solve certain
         problems as a matter of priority or to reflect the evolutionary introduction of new
         technology, a system, or part of a system, may be covered by more than one
         implementation rule. Inversely, achievement of particular operational performances
                                                 60
 ---pagebreak---    in parts of the network might imply the drawing up of rules that impose requirements
   on more than one system.
3. Systems, or parts thereof, shall comply with the relevant implementation rules; this
   compliance shall be permanently maintained while each system is in use.
4. To the extent necessary to achieve the objectives defined in Article 2, each
   implementation rule, shall:
   (a)   determine any specific requirements for seamless operations, including
         interoperability, safety or performance that are essential to achieve the
         objectives of this Regulation;
   (b)   state in each case under consideration which of the modules defined in
         Decision 93/465/EEC or where appropriate which specific procedures are to be
         used in order to assess either the conformity or the suitability for use of the
         constituents essential for seamless operation, safety or performances as well as
         the verification of systems.
5. Where a Member State or the Commission considers that conformity with an
   implementation rule does not ensure compliance with the essential requirements
   referred to in Annex II which the said implementation rule is intended to cover, the
   procedure referred to in Article 16(2) shall apply.
6. In the case of shortcomings of implementation rules with respect to essential
   requirements, partial or total withdrawal of the rules concerned from the publications
   containing them, or their amendments, may be decided upon in accordance with the
   procedure referred to in Article 16(2).
                                      Chapter III
                                     PROCEDURES
                                       Article 7
                              Community specifications
1. Community specifications shall consist of European standards drawn up by
   the European standardisation bodies in cooperation with Eurocae under a
   mandate from the Commission in accordance with the provisions of Article 6(4) of
   Directive 98/34/EC.
   In certain specialised fields, in particular on matters of internal coordination between
   air navigation service providers, such as procedures, the Commission may request
   Eurocontrol to draw up technical specifications within a list to be established in
   accordance with the procedure referred to in Article 16(3).
2. The Commission shall publish the references to the European standards referred to in
   paragraph 1 in the Official Journal of European Communities.
3. The references to the Eurocontrol technical specifications, referred to in paragraph 1
   shall be published in the Official Journal of European Communities, in accordance
   with the procedure referred to in Article 16(3).
                                           61
 ---pagebreak---                                        Article 8
                                Implementation rules
1. When preparing for implementation rules referred to in Article 6, the Commission
   may request, where appropriate, Eurocontrol to draw up draft measures on the basis
   of a work programme laid down by the Commission. Implementation rules shall be
   adopted and reviewed by the procedure set out in Article 16(2). They shall be
   published in the Official Journal of the European Communities.
2. The preparation, adoption and review of implementation rules shall take into account
   the estimated cost of technical solutions by which they may be met, with a view to
   defining the most viable solution, with due regard to the maintenance of a high
   level of safety. To this end, an assessment of the costs and benefits of those solutions
   for all stakeholders concerned as well as for the European Air Traffic Management
   network shall be attached to each draft implementation rule.
3. When each implementation rule is adopted, the date of entry into force shall be laid
   down in accordance with the procedure referred to in Article 16(2). Where
   simultaneous actions of the different stakeholders are required to achieve the
   objectives of this Regulation, the date of entry into force can shall, where
   appropriate, be also a target date by which all stakeholders have to equip
   themselves with systems compliant to the relevant implementation rule.
                                     Chapter IV
                          VERIFICATION OF COMPLIANCE
                                       Article 9
          EC declaration of conformity or suitability to use of constituents
1. Compliance with the essential requirements of this Regulation shall be presumed in
   relation to those constituents that bear the EC declaration of conformity or suitability
   for use the components of which are set out in Annex III.
2. In order to draw up the EC declaration of conformity or suitability of use, the
   manufacturer, or its authorised representative established in the Community, must
   apply the provisions laid down in the relevant implementation rules. Where so
   required by the implementation rule, the assessment of the constituent shall be
   appraised by the notified body referred to in Article 12, with which the manufacturer
   or his authorised representative has lodged the application.
3. Where constituents are the subject of other Community provisions covering other
   aspects, the EC declaration of conformity or suitability for use shall state that the
   constituent also meets the requirements of those other provisions.
                                          62
 ---pagebreak---                                         Article 10
                       EC declaration of verification of systems
1. The putting into service, renewal and upgrading of those systems constituting the
   Community air traffic management network shall be subject to verification with a
   view to ensuring that these systems are designed, developed, installed and operated
   in such a way as to meet the essential requirements concerning them when integrated
   into the European Air Traffic Management network.
2. Prior to the putting into service, the air navigation service provider shall send to the
   national supervisory authority concerned, an EC declaration of verification
   confirming compliance to the essential requirements, accompanied by a technical
   file, the components of which are set out in Annex IV. This technical file will include
   results of verification by a notified body referred to in Article 12, when so required
   by the applicable implementation rule(s).
3. In the event of upgrading involving airborne components the airspace users shall
   declare conformity with the provisions of this Regulation at the same time they
   request a safety approval by the national supervisory authority.
                                        Article 11
                                    Safeguard clause
1. Where the national supervisory authority finds that a constituent bearing the
   EC declaration of conformity or suitability of use or a system accompanied by the
   EC declaration of verification is likely, when used as intended, not to meet the
   essential requirements it shall take all necessary measures to restrict its area of
   application, prohibit its use or withdraw it from the market.
   The national supervisory authority shall immediately inform the Commission of any
   such measures, indicating its reasons and in particular, whether non-compliance is
   due to:
   (a)     failure to meet the essential requirements referred to in Annex II;
   (b)     incorrect application of the implementation rules or Community specifications;
   (c)     shortcomings in the implementation rules or Community specifications.
2. The Commission shall enter into consultation with the parties concerned as soon as
   possible forthwith. Where following the consultation, the Commission establishes
   that the measure is justified, it shall forthwith so inform the Member State that has
   taken the initiative and the other Member States. Where the decision referred to in
   paragraph 1 is justified by shortcomings in the implementation rules or Community
   specifications, the procedure referred to in Articles 5 and 6 shall apply. Where
   following the this consultation the Commission establishes that the measure is
   unjustified, it shall forthwith so inform the Member State that has taken the initiative
   and the manufacturer or its authorised representative established within the
   Community.
                                            63
 ---pagebreak--- 3.        Where a constituent bearing the EC declaration of conformity or suitability for use or
          a system accompanied by the EC declaration of verification, fails to comply, the
          Member State shall take appropriate action against whomsoever has drawn the
          EC declaration of conformity or suitability for use or the EC declaration of
          verification.
                                              Article 12
                                           Notified bodies
1.        Member States shall notify to the Commission and the other Member States the
          bodies responsible for carrying out the procedure for the assessment of conformity or
          suitability for use referred to in Article 9 and the verification procedure referred to in
          Article 10, indicating each body's area of responsibility, and the identification
          numbers obtained in advance from the Commission.
          The Commission shall publish in the Official Journal of the European Communities
          the list of bodies, their identification numbers and areas of responsibility, and shall
          keep the list updated.
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.
3.        A Member State shall withdraw approval from a body which no longer meets the
          criteria referred to in Annex V.
          It shall forthwith inform the Commission and the other Member States thereof.
4.        Without prejudice to the requirements referred to in paragraphs 1, 2 and 3,
          Member States may decide to notify as notified body(ies) the organisation(s)
          recognised in conformity with Article 4 of Regulation (EC) XX/XXX [on the
          provision of Air Navigation Services in the Single European Sky].
                                             Chapter V
                                         FINAL PROVISIONS
                                              Article 13
                                         Revision of annexes
In order to make adaptations to technical developments, in particular progress in the definition
of the concept of operations referred to in Article 14, adjustments may be made to Annexes I
and II in accordance with the procedure referred to in Article 16(2).
                                                  64
 ---pagebreak---                                            Article 14
 Introduction of new technology and industry consultation process for consulting interested
                                             parties
1.      The Commission shall work on the concept of operations to be implemented under
        this Regulation with a view to achieving safe and efficient airspace use for all phases
        of flight.
2.      To support the timely introduction of the future concept of operation referred to in
        paragraph 1, the Commission shall consult stakeholders, including air navigation
        service providers, professional associations, airspace users, users of air navigation
        systems and manufacturing industry with the objective of establishing a widely
        supported strategic management programme for the introduction of new concepts
        and technologies in the Community air traffic management network.
3.      In the accomplishment of its tasks, the Commission may take the advice of industry
        through the process referred to in paragraph 2 so as to ensure the feasibility,
        proportionality and cost-effectiveness of implementation rules and Community
        specifications proposed for adoption under this Regulation.
                                           Article 15
                                   Transitional arrangements
1.      Starting from 1 January 2003 the essential requirements of Annex II shall apply to
        the putting into service, renewal and upgrading of systems and constituents of the air
        traffic management network.
2.      Compliance with the essential requirements of Annex II shall be required for all
        systems and constituents in operation by 1 January 2009.
                                           Article 16
                                     Committee Procedures
1.      The Commission shall be assisted by the “Single Sky Committee” as provided for in
        Article 7 of Regulation (EC) No XXX/XX [laying down the framework for the
        creation of the Single European Sky].
2.      Where reference is made to this paragraph, the regulatory procedure laid down in
        Article 5 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
        Article 8 thereof.
        The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.
3.      Where reference is made to this paragraph, the advisory procedure laid down in
        Article 3 of Decision 1999/468/EC shall apply, in compliance with Article 7 and
        Article 8 thereof.
                                               65
 ---pagebreak---                                             Article 17
                                             Repeal
Directives 93/65/EEC and 97/15/EC are hereby repealed.
References to the repealed Directives shall be construed as references to this Regulation.
                                            Article 18
                                        Entry into force
This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Communities.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament                   For the Council
The President                                 The President
                                                66
 ---pagebreak---                                           ANNEX I
                          LIST OF AIR NAVIGATION SYSTEMS
For the purpose of this Regulation the air traffic management network is subdivided in seven
systems.
When so required, the system is meant to include not only the ground part but also the
airborne equipment and procedures related to air traffic management operations and the
airport equipment and procedures related to air traffic management operations.
1.       Equipment and procedures used for flow management.
2.       Equipment and procedures used for airspace management.
3.       Equipment and procedures for air traffic control, in particular for flight data
         processing systems, surveillance data processing systems and human-machine
         interface.
4.       Communications equipment and procedures for ground-to-ground, air-to-ground and
         air-to-air communications.
5.       Navigation equipment and procedures.
6.       Surveillance equipment and procedures.
7.       Equipment and procedures for aeronautical information and meteorological
         information.
                                               67
 ---pagebreak---                                            ANNEX II
                               ESSENTIAL REQUIREMENTS
Part A: General requirements
1.      Seamless operation
        Air traffic management systems and their constituents shall be designed, built,
        maintained and operated in such a way so as to ensure the seamless operation of the
        air traffic management network throughout the Community at all times and for all
        phases of flight. Seamless operation can be expressed, in particular, in terms of
        information exchange, common understanding of information, comparable
        processing performances and the associated procedures enabling common
        operational performances agreed for the whole or parts of the air traffic management
        network.
2.      Support to new concepts of operation
        The air traffic management network, its systems and their constituents shall support,
        on a coordinated basis, new agreed concepts of operation that improve the quality of
        air navigation services, in particular in terms of safety and capacity, taking due
        account of technology development and of their safe introduction.
3.      Safety
        Evolution of systems and operations of the air traffic management network shall
        achieve agreed high levels of safety. Agreed safety management methodologies shall
        be established to achieve this. A harmonised set of safety requirements for the
        systems and their constituents shall be defined with a view to achieving the agreed
        safety levels.
4.      Integrated civil/military operation
        The air traffic management network, its systems and their constituents shall support
        integrated civil/military operations, to the extent necessary for the efficient use of
        airspace
5.      Environmental constraints
        The evolution of systems and operations of the air traffic management network shall
        minimise environmental impact in compliance to safety requirements and in
        accordance with applicable Community legislation.
6.      System construction principles
        Systems shall be designed, built and maintained on the grounds of sound engineering
        principles, in particular those relating to high availability, redundancy and fault
        tolerance of critical constituents.
                                              68
 ---pagebreak--- Part B: Specific requirements
1.      Equipment and procedures used for airspace management
1.2.    Seamless operation
        Information relating to pre-tactical and tactical aspects of airspace availability shall
        be provided to whomever concerned in a correct and timely way so as to ensure an
        efficient allocation and use of airspace by all airspace users. This should take into
        account national security requirements.
1.3.    Safety
        The design, implementation, maintenance and operation of equipment and
        procedures for airspace management shall be compliant with the safety requirements
        in force for the relevant parts of the network (or the relevant volumes of airspace).
1.4.    Integrated civil/military operation
        Equipment and procedures used for airspace management shall support and facilitate
        the gradual implementation of integrated civil/military operations, in particular the
        Flexible Use of Airspace.
2.      Equipment and procedures used for flow management
2.1     Seamless operation
        Equipment and procedures shall support the bi-directional exchange of correct,
        coherent and relevant strategic and pre-tactical flight information and offer dialogue
        capabilities in view of an optimised use of airspace.
        Provision of accurate and relevant tactical flight information covering all phases of
        flight shall be ensured to further optimise the use of airspace.
2.2.    Safety
        In order to ensure that the network load remains within the boundaries dictated by
        separation and safety standards, equipment and procedures shall match demand for
        airspace use with available airspace capacity while providing an optimised use of
        airspace.
2.3.    Integrated civil/military operation
        Equipment and procedures shall support and facilitate the gradual implementation of
        integrated civil/military operation, in particular the Flexible Use of Airspace.
3.      Equipment and procedures for air traffic control
3.1.    General requirements
                                                69
 ---pagebreak--- 3.1.1. System construction principles
       Systems shall be designed, built and maintained on the grounds of sound engineering
       principles, in particular those relating to modularity supporting inter-changeability of
       constituents.
3.1.2. Safety
       Systems shall be designed, built, maintained and operated in such a way as to
       maintain high levels of safety both under nominal and degraded modes of operation,
       in particular when implementing increased levels of automation.
       Systems shall be designed, built, maintained and operated in such a way as to
       provide, in the event of failure, a gradual and graceful transition between nominal
       levels of automation and the degraded mode operation.
3.2.   Flight data processing systems
3.2.1. Seamless operation
       Flight data processing systems shall be interoperable in terms of timely exchange of
       correct and consistent information, sharing a common operational understanding of
       that information, in order to ensure a coherent and consistent planning process and
       resource-efficient tactical coordination throughout the Community during all phases
       of flight.
       In order to ensure a safe, smooth and expeditious processing throughout the
       Community, flight data processing performances shall be equivalent and appropriate
       for a given environment (surface, terminal manoeuvring area, en-route), with known
       traffic characteristics and exploited under a certain operational concept, in particular
       in terms of accuracy and error tolerance of processing results.
3.2.2. Support to new concepts of operation
       Flight data processing systems shall accommodate the gradual implementation of
       advanced concepts of operation for all phases of flight, in particular those relating to
       Collaborative Decision Making, increased automation and the delegation of
       separation responsibility to the airborne side.
       The characteristics of automation-intensive tools must be such as to enable a
       coherent and efficient pre-tactical and tactical processing of flight information in
       parts of the network.
       Airborne and ground systems and their constituents supporting Collaborative
       Decision Making and the delegation of separation responsibility to the airborne side
       shall be designed, built, maintained and operated in such a way as to be interoperable
       in terms of the timely exchange of correct and consistent information and share a
       common understanding of the current and future operational situation.
                                               70
 ---pagebreak--- 3.2.3. Safety
       Flight data processing systems' design, building, maintenance and operation shall
       achieve high levels of safety, both in nominal and degraded modes, with a view to
       decreasing the number of air traffic management induced accidents or risk bearing
       incidents, for all phases of flight and for the entire European Air Traffic Management
       network.
       Safety nets shall be subject to agreed common performance characteristics as derived
       from the agreed safety levels for the whole or parts of the network
3.2.4. Integrated civil/military operation
       Flight data processing systems' design, building, maintenance and operation shall
       support the timely exchange of correct and consistent information between civil and
       military counterparts, covering all phases of flight and for the entire European Air
       Traffic Management network and, as much as possible, a similar working
       environment.
3.3.   Surveillance data processing systems
3.3.1. Seamless operation
       Surveillance data processing systems shall be designed, built, maintained and
       operated in such a way so as to provide the required quality of service within a given
       environment (surface, terminal manoeuvring area, en-route) with known traffic
       characteristics, in particular in terms of accuracy and reliability of computed results,
       correctness, integrity, availability, continuity and timeliness of information at the
       controller position.
       Surveillance data processing systems shall accommodate the timely exchange of
       relevant, accurate, consistent and coherent information between them to ensure
       optimised operations through different parts of the network.
3.3.2. Support to new concepts of operation
       Surveillance data processing systems shall accommodate the gradual availability of
       new sources of surveillance information in such a way as to ensure the overall
       quality of service.
3.4.   Human-machine interface
3.4.1. Seamless operation
       Human-machine interfaces of ground air traffic management systems shall be
       designed, built, maintained and operated in such a way as to offer a similar working
       environment to all controllers.
                                               71
 ---pagebreak--- 3.4.2. Safety
       Human-machine interfaces shall be designed, built, maintained and operated in such
       a way so that the tasks given to the controller are consistent with human capabilities
       in both normal and degraded modes of operation in a way compatible with required
       safety levels.
4.     Communications equipment and procedures for ground-to-ground, air-to-ground and
       air-to-air communications
4.1.   Seamless operation
       Communication systems shall be designed, built, maintained and operated in such a
       way so as to achieve the required performances within a given volume of airspace or
       for a specific application, in particular in terms of communication processing time,
       integrity, availability and continuity of function.
       The communications network throughout the Community shall be such as to meet
       the requirements of quality of service, coverage and redundancy.
4.2.   Support to new concepts of operation
       Communication systems shall support the agreed implementation of advanced
       concepts of operation for all phases of flight, in particular those relating to
       Collaborative Decision Making and delegation of separation responsibility to he
       airborne side.
4.3.   Environmental constraints
       The siting and the operation of ground-based communication systems shall take into
       account environmental constraints.
       Ground-based communication systems shall be designed, built, installed, maintained
       and operated in such a way as to be electromagnetically immune and not interfere
       with the installations, equipment and public or private networks in their normal
       environment.
5.     Navigation equipment and procedures
5.1.   Seamless operation
       Navigation systems shall be designed, built, maintained and operated in such a way
       so as to achieve the required horizontal and vertical navigation accuracy for a given
       environment (surface, terminal manoeuvring area, en-route), with known traffic
       characteristics and exploited under a certain operational concept.
5.2.   Safety
       The design, building, maintenance and operation of navigation systems shall be such
       as to guarantee safety at the level set for the network or parts thereof, including that
       for specific degraded modes.
                                              72
 ---pagebreak--- 5.3. Environmental constraints
     The siting and the operation of ground-based navigation systems shall take into
     account environmental constraints as well as compliance with requirements of
     electromagnetic compatibility.
     Ground-based navigation systems shall be designed, built, installed, maintained and
     operated in such a way as to be electromagnetically immune and not interfere with
     the installations, equipment and public or private networks in their normal
     environment.
6.   Surveillance equipment and procedures
6.1. Seamless operation
     Surveillance systems shall be designed, built, maintained and operated in such a way
     so as to achieve the required separation minima applicable in a given environment
     (surface, terminal manoeuvring area, en-route) with known traffic characteristics and
     exploited under a certain operational concept, in particular in terms of accuracy at the
     control position, coverage, range and quality of service.
     The surveillance network throughout the Community shall be such as to meet the
     requirements of accuracy, coverage and redundancy, including availability of
     information, to ensure optimised operations through different parts of the network.
6.2. Environmental constraints
     The siting and the operation of ground-based surveillance systems shall take into
     account environmental constraints.
     Ground-based surveillance systems shall be designed, built, installed, maintained and
     operated in such a way as to be electromagnetically immune and not interfere with
     the installations, equipment and public or private networks in their normal
     environment.
7.   Equipment and procedures for aeronautical and meteorological information
7.1. Seamless operation
     Accurate and consistent aeronautical information shall gradually be provided in an
     electronic form, based on a commonly agreed and standardised data model.
     Accurate, complete and up-to-date meteorological information shall be made
     available in a timely manner, based on a commonly agreed data set.
                                           73
 ---pagebreak--- 7.2. Support to new concepts of operation
     Increasingly accurate, complete and up-to-date aeronautical information shall be
     made available and used in a timely manner, in order to support the continuous
     improvement of the efficiency of airspace use.
     Increasingly accurate, complete and up-to-date meteorological information shall be
     made available and used in a timely manner, in order to support the continuous
     improvement of the efficiency of airspace use.
7.3. Safety
     Accurate and consistent aeronautical information, in particular between airborne and
     ground-based constituents or systems, shall be made available in a timely manner.
                                          74
 ---pagebreak---                                             ANNEX III
                                       CONSTITUENTS
EC declaration
– of conformity
– of suitability for use
1.      Constituents
The EC declaration applies to the constituents that are essential to achieve the objectives of
this Regulation. These constituents will be identified in the implementation rules in
accordance with the provisions of Article 6 of this Regulation.
2.      Scope
The EC declaration covers:
– either the assessment by a notified body or bodies of the intrinsic conformity of a
   constituent, considered in isolation to the Community specifications to be met; or
– the assessment/judgement by a notified body or bodies of the suitability for use of a
   constituent, considered within its air traffic management environment.
The assessment procedures implemented by the notified bodies at the design and production
stages will draw upon the modules defined in Decision 93/465/EEC, in accordance with the
conditions referred to in the implementation rules.
3       Contents of the EC declaration
The EC declaration of conformity or suitability for use and the accompanying documents
must be dated and signed.
That declaration must be written in the same language as the instructions and must contain the
following:
– the Regulation references and where appropriate the references of other Community
   provisions applied;
– the name and address of the manufacturer or his authorised representative established
   within the Community (give trade name and full address and in the case of the authorised
   representative also give the trade name of the manufacturer);
– description of the constituent;
– description of the procedure followed in order to declare conformity, suitability for use
   (Article 9 of this Regulation);
– all of the relevant descriptions met by the constituent and in particular its conditions of use;
                                                 75
 ---pagebreak--- – if applicable, name and address of notified body or bodies involved in the procedure
  followed in respect of conformity or suitability for use and date of examination certificate
  together, where appropriate, with the duration and conditions of validity of the certificate;
– where appropriate, reference to the Community specifications followed;
– identification of signatory empowered to enter into commitments on behalf of the
  manufacturer or of the manufacturer's authorised representative established within the
  Community.
                                              76
 ---pagebreak---                                           ANNEX IV
                                           SYSTEMS
EC declaration of verification of systems
Verification procedure for systems
1       Contents of declaration of verification of systems
The EC declaration of verification and the accompanying documents must be dated and
signed.
That declaration must be written in the same language as the technical file and must contain
the following:
– the Regulation references and where appropriate the references of other Community
   provisions applied;
– name and address of the contracting entity or its authorised representative established
   within the Community (trade name and full address, and in case of the authorised
   representative also the trade name of the contracting entity);
– a brief description of the system;
– description of the procedure followed in order to declare conformity of the system (Article
   10 of this Regulation);
– name and address of the notified body which conducted the verification procedure, if
   applicable;
– the references of the documents contained in the technical file;
– where appropriate, reference to the Community specifications;
– all the relevant temporary or definitive provisions to be complied with by the systems and
   in particular, where appropriate, any operating restrictions or conditions;
– if temporary: duration of validity of the EC declaration;
– identification of the signatory.
2.      Verification procedure for systems
Verification of systems is the procedure whereby an air navigation service provider, or a
notified body where so required by the applicable implementation rule, checks and certifies
that a system:
– complies with this Regulation;
– complies with other applicable Community provisions;
and may be put into operation.
                                               77
 ---pagebreak--- The system is checked at each of the following stages:
– overall design;
– development and integration of the system, including in particular constituent assembly
   and overall adjustments;
– operational system integration.
Where a notified body is involved, it draws up a certificate of conformity intended for the
contracting entity or its authorised representative established within the Community. The
contracting entity then draws up the declaration of verification intended for the national
supervisory authority.
3.      Technical file
The technical file accompanying the EC declaration of verification must contain all the
necessary documents relating to the characteristics of the system, including conditions and
limits of use, as well as the documents certifying conformity of constituents where
appropriate.
The following documents shall be included as a minimum:
– indication of the relevant parts of the technical specifications used for procurement that
   ensure compliance with the applicable implementation rules, and, where appropriate, the
   Community specifications;
– list of constituents essential for seamless operations, safety or performance, as referred to
   in Article 6 of this Regulation;
– copies of the EC declaration of conformity or suitability for use with which the above
   mentioned constituents must be provided in accordance with Article 9 of this Regulation
   accompanied, where appropriate, by a copy of the records of the tests and examinations
   carried out by the notified bodies;
– where a notified body has been involved in the verification of the system(s), certificate
   countersigned by itself, stating that the system complies with this Regulation and
   mentioning any reservations recorded during performance of activities and not withdrawn;
– where there has not been involvement of a notified body, a record of the tests and
   installation configurations made in view of ensuring compliance with essential
   requirements and any particular requirements contained in the relevant implementation
   rules.
4       Submission
The technical file must be attached to the declaration of verification which the contracting
entity sends to the national supervisory authority.
A copy of the technical file must be kept by the contracting entity throughout the service life
of the system. It must be sent to any other Member States which so request.
                                               78
 ---pagebreak---                                      ANNEX V
                                NOTIFIED BODIES
1. The body, its Director and the staff responsible for carrying out the checks may not
   become involved, either directly or as authorised representatives, in the design,
   manufacture, marketing or maintenance of the constituents or systems or in their use.
   This does not exclude the possibility of an exchange of technical information
   between the manufacturer or constructor and that body.
2. The body and the staff responsible for the checks must carry out the checks with the
   greatest possible professional integrity and the greatest possible technical
   competence and must be free of any pressure and incentive, in particular of a
   financial type, which could affect their judgement or the results of their inspection, in
   particular from persons or groups of persons affected by the results of the checks.
3. The body must employ staff and possess the means required to perform adequately
   the technical and administrative tasks linked with the checks; it should also have
   access to the equipment needed for exceptional checks.
4. The staff responsible for inspection must have:
   –     sound technical and vocational training;
   –     satisfactory knowledge of the requirements of the inspections they carry out
         and adequate experience of such operations;
   –     the ability required to draw up the declarations, records and reports to
         demonstrate that the inspections have been carried out.
5. The impartiality of the inspection staff must be guaranteed. Their remuneration must
   not depend on the number of inspections carried out, nor on the results of such
   inspections.
6. The body must take out liability insurance unless its liability is assumed by the State
   in accordance with national law, or the Member State itself is directly responsible for
   the inspections.
7. The staff of the body must observe professional secrecy with regard to all
   information gained in carrying out their tasks under this Regulation.
                                         79