Cover Regulation to Delegated Regulation (EU) 2023/1768

Commission Delegated Regulation (EU) (EU) 2023/1768 laying down detailed rules for the certification and declaration of air traffic management/air navigation services systems and air traffic management/air navigation services constituents

Powers and recitals

Regulation (EU) 2023/1768

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005, (EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91(¹⁴OJ L 212, 22.8.2018, p. 1.), and in particular Articles 47(1) and 62(13),

Whereas:

(1) Regulation (EU) 2018/1139 establishes common essential requirements to provide for a high uniform level of civil aviation safety in the Union and to ensure that the integrity and safety-related performance of systems and constituents are fit for their intended purpose. The interoperability of the air traffic management/air navigation service (ATM/ANS) systems and ATM/ANS constituents should ensure the seamless operation of the European air traffic management network (EATMN).

(2) Detailed specifications should be established to ensure compliance with the essential requirements; those detailed specifications should whenever possible rely on recognised industry standards from Standards Developing Organisations (SDOs) that reflect the state of the art and best design practices. The design and production of ATM/ANS systems and ATM/ANS constituents should be carried out with consideration given to requirements to issue certification and declarations of design compliance and in line with detailed specifications issued by the European Union Aviation Safety Agency (‘the Agency’).

(3) It is appropriate to establish different attestation methods for assessing conformity with the requirements set out in an Annex to this Regulation and detailed specifications of ATM/ANS systems and ATM/ANS constituents. More stringent attestation methods should be used as regards the safe operation of aircraft, and as regards equipment that is critical in terms of the interoperability and security of the EATMN.

(4) Within the ATM/ANS, the air traffic control (ATC) services are the most important as regards the safety risks related to navigation of aircraft, in particular due to issuing instructions to ensure aircraft separation and collision avoidance. Providers of ATC have the most complete view regarding the safety of the airspace. Therefore, the most critical ATM/ANS equipment, namely the equipment supporting ATC should be subject to more stringent attestation methods, namely certification.

(5) ATM/ANS equipment that supports air-to-ground communications delivers direct instructions to aircraft and should be subject to certification too.

(6) The Communication, Surveillance, and Navigation services are used directly by the ATS to ensure safe navigation of aircraft, but the three services referred to do not have a complete view of traffic and do not play an active control over aircraft separation. Consequently, they play a less critical role. The ATM/ANS systems and ATM/ANS constituents that support them should be subject to a less stringent attestation method, namely declaration of design compliance.

(7) Lastly, other less critical ATM/ANS systems and equipment that support meteorological services, aeronautical information services, airspace management services and air traffic flow management services should be subject to the least stringent attestation method, namely statement of compliance.

(8) Additional criteria are possible to decide on criticality of ATM/ANS systems and ATM/ANS constituents in addition to the managerial control over safety risks of the services and functions that they support.

(9) Therefore, three different levels of requirements and detailed specifications should be established, namely: (i) certification by the Agency, the most stringent level; (ii) declaration by an approved organisation involved in the design or production of ATM/ANS equipment, the medium level; and (iii) statement of compliance by the ATM/ANS provider that integrates the ATM/ANS equipment into its functional system, as defined in Commission Implementing Regulation (EU) 2017/373(¹⁵Commission Implementing Regulation (EU) 2017/373 of 1 March 2017 laying down common requirements for providers of air traffic management/air navigation services and other air traffic management network functions and their oversight, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011, (EU) No 1035/2011 and (EU) 2016/1377 and amending Regulation (EU) No 677/2011 (OJ L 62, 8.3.2017, p. 1).), or, upon ATM/ANS provider’s request, by an approved organisation involved in the design or production of ATM/ANS equipment.

(10) In accordance with Article 29(2), point (a), of Regulation (EU) 2021/696 of the European Parliament and of the Council(¹⁶Regulation (EU) 2021/696 of the European Parliament and of the Council of 28 April 2021 establishing the Union Space Programme and the European Union Agency for the Space Programme and repealing Regulations (EU) No 912/2010, (EU) No 1285/2013 and (EU) No 377/2014 and Decision No 541/2014/EU (OJ L 170, 12.5.2021, p. 69).), the European Union Agency for the Space Programme (EUSPA) has been entrusted with managing the European Geostationary Navigation Overlay Service (EGNOS), including the exploitation of EGNOS that covers, amongst other actions, support to certification and standardisation efforts.

(11) Under Regulation (EU) 2021/696 both EUSPA and the European Space Agency (ESA) are responsible for the design of the EGNOS system and its equipment. The Agency should oversee the declarations of design compliance of the equipment of EGNOS in accordance with specific arrangements to be concluded with EUSPA. Those arrangements are to address technical, administrative, and financial aspects such as a requirement to consult EUSPA as regards the development of detailed specifications; the oversight by EASA of the declarations of design compliance of the EGNOS system; and the exchange of data between both agencies regarding the relevant International Civil Aviation Organization (ICAO) Standards and Recommended Practices (SARPS) compliance. Those arrangements are to ensure a level of safety and interoperability equivalent to the requirements of this Regulation.

(12) In certain remote territories, outside the ICAO European (EUR) region as defined in the European (EUR) Air Navigation Plan Volume I (Doc 7754) of ICAO, with low traffic volume and where that airspace borders only with airspace under the responsibility of third-country ATM/ANS providers, the application of the attestation methods of certification and declaration of design compliance of ATM/ANS equipment may be challenging or even unfeasible, due to their specific safety and interoperability needs. In such cases, for ATM/ANS equipment that is used by ATM/ANS providers in remote areas outside of the ICAO EUR region, it is deemed appropriate to provide derogations from the certification or declaration requirements applicable to such ATM/ANS equipment. Instead, in order to provide for safe and interoperable provision of ATM/ANS, the ATM/ANS provider in that region needs to ensure that applicable specifications are being met by issuing a statement of compliance.

(13) It is necessary to ensure a smooth transition to the new regulatory framework established by this Regulation and to ensure that a high and uniform level of civil aviation safety in the Union is maintained. It is therefore necessary to provide sufficient time for the design and manufacturing industry of the ATM/ANS systems and ATM/ANS constituents, and for the Agency and Member States’ administrations to adapt to this new framework. It is appropriate that the ATM/ANS equipment that is in operation and that was attested under the previous framework is considered as if it had been issued with certificates or declarations issued under the new framework during a transition period, unless the Agency states that such equipment does not ensure the level of safety and interoperability required by Regulation (EU) 2018/1139.

(14) During the transition period, as regards any new ATM/ANS system and ATM/ANS constituent put into operation, a statement of compliance, issued by the ATM/ANS provider that integrates it in its functional system, or, upon request, by the design and production organisation that designs and manufactures it, should be submitted to the competent authority of the referred ATM/ANS provider defined in Article 4(1) of Implementing Regulation (EU) 2017/373.

(15) After the transition period the Agency should be solely responsible for certification and for receiving declarations concerning certain ATM/ANS equipment; it is therefore appropriate for the Agency to evaluate the compliance information submitted to national authorities under the previous framework, before such ATM/ANS equipment comes under the remit of the Agency. Therefore, national authorities should make this information available to the Agency. After the evaluation by the Agency, the ATM/ANS equipment should be deemed to have been issued with a certificate or declaration of compliance. The evaluation needs to be made public by decision of the Agency’s executive director.

(16) The measures provided for in this Regulation are based on Opinion No 01/2023, issued by the European Union Aviation Safety Agency in accordance with Article 75(2), points (b) and (c), and Article 76(1) of Regulation (EU) 2018/1139,

HAS ADOPTED THIS REGULATION:

Article 1 — Subject matter and scope

Regulation (EU) 2023/1768

This Regulation lays down common technical requirements and administrative procedures for the certification and declaration of design compliance of ATM/ANS systems and ATM/ANS constituents. This Regulation lays down the rules on:

(a) identifying ATM/ANS systems and ATM/ANS constituents which are either subject to certification, declaration, or a statement of compliance;

(b) issuing certificates for ATM/ANS systems and ATM/ANS constituents;

(c) issuing declarations of design compliance of ATM/ANS systems and ATM/ANS constituents by organisations involved in the design or production of ATM/ANS systems and ATM/ANS constituents and which were approved in accordance with Commission Implementing Regulation (EU) 2023/1769 (¹⁷Commission Implementing Regulation (EU) 2023/1769 of 12 September 2023 laying down technical requirements and administrative procedures for the approval of organisations involved in the design or production of air traffic management/air navigation services systems and constituents and amending Implementing Regulation (EU) 2023/203 (see page 19 of this Official Journal).) to have the privileges to issue such declarations of compliance;

(d) issuing statements of compliance of ATM/ANS systems and ATM/ANS constituents by ATM/ANS providers certified in accordance with Implementing Regulation (EU) 2017/373 or by organisations involved in the design or production thereof approved in accordance with Implementing Regulation (EU) 2023/1769;

(e) issuing ATM/ANS equipment directives by the Agency.

Article 2 — Definitions

Regulation (EU) 2023/1768

For the purpose of this Regulation, the following definitions apply:

(1) ‘ATM/ANS equipment’ means ATM/ANS constituents as defined by Article 3(6) of Regulation (EU) 2018/1139 and ATM/ANS systems as defined by Article 3(7) of that Regulation, excluding airborne constituents, which are subject to Commission Regulation (EU) No 748/2012 (¹⁸Commission Regulation (EU) No 748/2012 of 3 August 2012 laying down implementing rules for the airworthiness and environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design and production organisations (OJ L 224, 21.8.2012, p. 1).);

(2) ‘ATM/ANS equipment directive’ means a document issued by the Agency which mandates actions to be performed by ATM/ANS providers on ATM/ANS equipment to address an unsafe and/or insecure condition that has been identified and restore the performance and interoperability of that ATM/ANS equipment when evidence shows that the safety, security, performance or interoperability of that particular equipment may otherwise be compromised;

(3) ‘European air traffic management network’ (EATMN) means the collection of systems, listed in point 3.1 of Annex VIII to Regulation (EU) 2018/1139, enabling air navigation services in the Union to be provided, including the interfaces at boundaries with third countries;

(4) ‘functional system’ means a combination of procedures, human resources and equipment, including hardware and software, organised to perform a function within the context of ATM/ANS and other ATM network functions.

Article 3 — Competent authority

Regulation (EU) 2023/1768

1. The competent authority responsible for issuing certificates for ATM/ANS equipment in accordance with Article 4, for accepting declarations of design compliance of ATM/ANS equipment issued in accordance with Article 5, and for the oversight of certificate and declarations, shall be the Agency. For that purpose, the Agency shall comply with the requirements laid down in Annex I.

2. The competent authority responsible for the oversight of the statement of compliance issued by an ATM/ANS provider in accordance with Article 6 shall be the same competent authority as the authority responsible for the certification and oversight of that ATM/ANS provider.

AMC1 Article 3(2) Competent authority; Article 6(1) Statement of compliance

ED Decision 2023/016/R

GENERAL

The competent authority for the oversight of a statement of compliance (SoC) issued by an organisation involved in the design or production of ATM/ANS equipment (DPO) approved in accordance with Commission Implementing Regulation (EU) 2023/1769 should be the competent authority responsible for the certification and oversight of the ATM/ANS provider requesting the DPO to issue the SoC on its behalf.

GM1 Article 3(2) Competent authority; Article 6(1) Statement of compliance

ED Decision 2023/016/R

GENERAL

As part of the support during the oversight activities, the ATM/ANS provider may request the presence of a representative of the approved DPO.

Article 4 — Certification of ATM/ANS equipment

Regulation (EU) 2023/1768

1. The following ATM/ANS equipment shall be issued with a certificate as set out in Annex II:

(a) equipment supporting controller–pilot communications;

(b) equipment supporting air traffic control (ATC) services when enabling the separation of aircraft or the prevention of collisions.

2. The certificate referred to in paragraph 1 shall be issued by the Agency.

3. The certificate referred to in paragraph 1 shall be issued for an unlimited duration. It shall remain valid indefinitely except where:

(a) the certificate holder no longer complies with the requirements of this Regulation; or

(b) as regards ATM/ANS equipment, there is no valid organisation approval issued by the Agency in accordance with Implementing Regulation (EU) 2023/1769; or

(c) the ATM/ANS equipment no longer complies with its certification basis in accordance with point ATM/ANS.EQMT.CERT.025 of Annex II; or

(d) the certificate has been surrendered by its holder or revoked by the Agency.

Upon surrender or revocation of the certificate, if issued in a paper format, it shall be returned to the Agency without delay.

4. By way of derogation from paragraph 1, ATM/ANS equipment that is solely being used in a limited part of airspace outside of the ICAO EUR region with low traffic volume, and where that part of the airspace borders only with airspace under the responsibility of a third country, shall not be required to be issued with a certificate. In such a case, the ATM/ANS equipment shall be issued with a statement of compliance in accordance with Article 6.

GM1 Article 4 Certification of ATM/ANS equipment; Article 5 Declaration of design compliance of the ATM/ANS equipment; Article 6 Statement of compliance

ED Decision 2023/016/R

SCOPE OF ATM/ANS EQUIPMENT SUBJECT TO CERTIFICATION, DECLARATION AND STATEMENT OF COMPLIANCE

The table below provides a pictorial representation of which means of conformity assessment applies for the various types of ATM/ANS equipment.

GM1 Article 4 Certification of ATM/ANS equipment

ED Decision 2024/001/R

GENERAL INTERACTIONS AMONG INVOLVED PARTIES

For ATM/ANS equipment subject to certification in accordance with Article 4 of this Regulation, the approved DPO, following the acceptance of the certification programme by EASA, demonstrates compliance with the ATM/ANS equipment certification basis before a certificate against the design is issued. The DPO produces ATM/ANS equipment against the design data and issues an EASA release form to be provided to the ATM/ANS provider. Figure 1 shows the interactions between the regulated parties when the ATM/ANS equipment is subject to certification.

Figure 1

Article 5 — Declaration of design compliance of the ATM/ANS equipment

Regulation (EU) 2023/1768

1. The following ATM/ANS equipment when it generates, receives, and transmits data and/or signals in space for the purpose of ensuring safe and interoperable air navigation shall be issued with a declaration of design compliance as set out in Annex III:

(a) equipment supporting ground-to-ground communications;

(b) equipment supporting navigation or surveillance.

2. Declarations of design compliance shall be issued by organisations involved in the design or production of ATM/ANS equipment and which are approved in accordance with Implementing Regulation (EU) 2023/1769.

3. Declarations of design compliance of the ATM/ANS equipment shall be issued for an unlimited duration. Declarations shall remain valid unless they have been deregistered in accordance with point DPO.AR.C.015(g)(6) of Annex I to Implementing Regulation (EU) 2023/1769 as a result of one of the following:

(a) the ATM/ANS equipment no longer complies with the detailed specifications which enabled the declaration to be issued;

(b) the issuer of the declaration no longer complies with the applicable requirements of Implementing Regulation (EU) 2023/1769 or its approval has been surrendered, suspended or revoked;

(c) the ATM/ANS equipment has proved to give rise to unacceptable risk or unacceptable performance in service;

(d) the organisation has withdrawn the declaration of design compliance.

4. By way of derogation from paragraph 1, ATM/ANS equipment that is solely being used in a limited part of airspace outside of the ICAO EUR region with low traffic volume, and where that part of the airspace borders only with airspace under the responsibility of a third country, shall not be required to be issued with a declaration of design compliance. In such a case, the ATM/ANS equipment shall be issued with a statement of compliance in accordance with Article 6.

5. As regards the ATM/ANS equipment of the European Geostationary Navigation Overlay Service (EGNOS) system, the declaration of design compliance as set out in Annex III to this Regulation shall be issued by the European Union Agency for the Space Programme (EUSPA) established by Regulation (EU) 2021/696, which shall be considered as an organisation involved in the design or production of EGNOS equipment.

6. Points ATM/ANS.EQMT.DEC.005 and ATM/ANS.EQMT.DEC.045 of Annex III shall not be applicable to EUSPA. EUSPA shall ensure that the Agency is given access to evidence from the different entities involved in the design and production of the ATM/ANS equipment of the EGNOS system, in order to determine continued compliance with the applicable technical specifications against which the ATM/ANS equipment declaration was made in accordance with Annex III.

GM1 Article 5 Declaration of design compliance of the ATM/ANS equipment

ED Decision 2024/001/R

GENERAL INTERACTIONS AMONG INVOLVED PARTIES

For ATM/ANS equipment subject to declaration of design compliance in accordance with Article 5 of this Regulation, the DPO is privileged to design and produce ATM/ANS equipment in accordance with the terms of the EASA approval. The test and verification activities leading to the issue of declaration of design compliance will be subject to continuous oversight by EASA. Figure 2 shows the interactions between the regulated parties when the ATM/ANS equipment is subject to declaration of design compliance.

Figure 2

Article 6 — Statement of compliance

Regulation (EU) 2023/1768

1. The following ATM/ANS equipment shall be issued with a statement of compliance:

(a) equipment that is neither subject to certification in accordance with Article 4 nor to a declaration of compliance in accordance with Article 5; and

(b) it supports air traffic services, communication, navigation or surveillance services, airspace management, air traffic flow management, aeronautical information services or meteorological services.

The statement of compliance shall confirm that the ATM/ANS equipment complies with the detailed specifications issued by the Agency in accordance with Article 76(3) of Regulation (EU) 2018/1139.

2. A statement of compliance for ATM/ANS equipment shall be issued by the ATM/ANS provider that integrates such ATM/ANS equipment in its functional system or, upon request of the ATM/ANS provider, by an organisation involved in the design or production of such ATM/ANS equipment approved in accordance with Implementing Regulation (EU) 2023/1769.

3. A statement of compliance for ATM/ANS equipment shall be issued for an unlimited duration. It shall remain valid unless any of the following applies:

(a) the ATM/ANS equipment no longer complies with the essential requirements set out in Annex VIII and, if applicable, in Annex VII to Regulation (EU) 2018/1139;

(b) the ATM/ANS provider no longer complies with the applicable requirements of Implementing Regulation (EU) 2017/373 or it has surrendered the certificate issued in accordance with Article 6 of Implementing Regulation (EU) 2017/373, or the certificate has been suspended or revoked;

(c) the ATM/ANS provider has withdrawn the statement of compliance or enforcement measures have been taken in accordance with point ATM/ANS.AR.C.050(e) of Annex II to Implementing Regulation (EU) 2017/373.

AMC1 Article 6 Statement of compliance

ED Decision 2023/016/R

REISSUE

(a) Having identified the need for a change (modification) to ATM/ANS equipment, the ATM/ANS provider or an approved DPO acting on its behalf should classify the change as minor unless one or more of the following apply, in which case the change is classified as major and a reissue of the SoC is required:

(1) The change (modification) includes one of the following technological evolutions:

(i) new concept of operation;

(ii) new technologies in the ATM/ANS equipment;

(iii) new or modified functionalities to the ATM/ANS equipment software;

(iv) changes in the ATM/ANS equipment hardware; or

(v) modified ATM/ANS equipment architecture.

(2) The change (modification) introduces a new or modified means of compliance with the detailed specifications.

(3) The change (modification) introduces a modification in the limitation(s) to or a deviation from the detailed specifications.

(b) Minor changes should be processed according to the approved ATM/ANS equipment change management procedure ensuring that the change (modification) does not adversely affect the compliance with the detailed specifications. For minor changes, the ATM/ANS provider should:

(1) record the change description and the justification for the change classification;

(2) update all related technical documents including the user manual;

(3) record continued compliance with the ATM/ANS equipment SoC.

(c) For major changes, the ATM/ANS provider should apply Article 6 of this Regulation and reissue a SoC.

(d) The procedure, which could be part of an integrated ATM/ANS provider’s change management procedure, addressing the changes (modifications) to ATM/ANS equipment should also include the process for the reaction by the ATM/ANS provider to an unplanned (major) change (modification) that may arise with the need for urgent action. This is the case in which the ATM/ANS provider responds immediately to a safety, security or interoperability problem or when an emergency situation arises in which the ATM/ANS provider has to take immediate action (e.g. security patches) to ensure the safety, security or interoperability of its equipment in operation.

GM1 Article 6 Statement of compliance

ED Decision 2024/001/R

GENERAL INTERACTIONS AMONG INVOLVED PARTIES

(a) To issue a SoC for ATM/ANS equipment, the ATM/ANS provider must perform the necessary verification and test activities, as required. The competent authority oversees the SoC as part of the management of changes to the functional system or during the continuous oversight of the ATM/ANS provider and, as necessary, applies enforcement measures to the ATM/ANS provider. Figure 3 shows the interactions between the regulated parties when the ATM/ANS equipment is subject to a SoC and such SoC is issued by the ATM/ANS provider.

Figure 3

(b) A DPO can obtain privileges in accordance with the terms of the EASA approval to issue a SoC on behalf of an ATM/ANS provider, upon its request. There is an expectation that DPOs apply all processes and procedures under its EASA’s approval terms for such ATM/ANS equipment in accordance with Implementing Regulation (EU) 2023/1769, although this is not explicitly required, and thus, an EASA release form may be issued. Such EASA release form will provide additional assurance to competent authorities that finished ATM/ANS equipment ready to be delivered has been manufactured in conformity with the design data. The competent authority oversees the SoC as part of the management of changes to the functional system or during the continuous oversight of the ATM/ANS provider. If, during the continuous oversight of the ATM/ANS provider, the competent authority identifies any non-compliance of the SoC, that competent authority will inform EASA about any enforcement measures required. Figure 4 shows the interactions between the regulated parties when the ATM/ANS equipment is subject to a SoC and such SoC is issued by the DPO.

Figure 4

AMC2 Article 6(1) Statement of compliance

ED Decision 2023/016/R

ISSUE

(a) The SoC should contain the following information:

—             a brief description, identification and scope of the ATM/ANS equipment;

—             the Regulation reference requiring the issue of the SoC¹⁹Note:

For ATM/ANS equipment subject to statement of compliance, Article 6 of Commission Delegated Regulation (EU) 2023/1768 should be indicated.

During the transition period (until 13 September 2028), for ATM/ANS equipment subject to certification and declaration in accordance with Articles 4 and 5 respectively, a reference to Article 7(3) of Commission Delegated Regulation (EU) 2023/1768 should be indicated. ;

—             the name and address of the certified, in accordance with Regulation (EU) 2017/373, ATM/ANS provider, where the ATM/ANS equipment will be deployed or on its behalf, the trade name and full address of the DPO approved in accordance with Regulation (EU) 2023/1769 issuing the SoC;

—             the reference to the detailed specifications adopted by EASA in accordance with Article 76(3) of Regulation (EU) 2018/1139, as far as applicable, for the intended use, and any deviations therefrom;

—             the reference to the procedure followed in order to declare compliance with the applicable ATM/ANS equipment detailed specifications;

—             deviations;

—             remarks;

—             limitations;

—             conditions;

—             date and version;

—             identification of the signatory.

(b) The SoC should be accompanied by all documents that form the basis for the issuance of it and, when issued by an approved DPO, an EASA release form issued in accordance with DPO.OR.C.001(d) of Commission Implementing Regulation (EU) 2023/1769 by the same DPO.

AMC3 Article 6(1) Statement of compliance

ED Decision 2023/016/R

ACTIVITIES

The ATM/ANS provider should verify the functionalities of the ATM/ANS equipment subject to conformity assessment in accordance with Commission Delegated Regulation (EU) 2023/1768 to ensure that it complies with the applicable detailed specifications in the context in which it is intended to operate within the functional system.

AMC4 Article 6(1) Statement of compliance

ED Decision 2023/016/R

RECORD-KEEPING

(a) In the context of ATM/ANS.OR.B.030 of Regulation (EU) 2017/373, a copy of the SoC should be kept by the ATM/ANS provider throughout the service life of the ATM/ANS equipment and should be provided to the competent authority concerned upon request.

(b) The ATM/ANS provider should keep the records for a period of at least 3 years after the end of the service life of the ATM/ANS equipment unless otherwise specified by other applicable requirements.

GM1 Article 6(1) Statement of compliance

ED Decision 2023/016/R

STANDARD FORM

SoC No [internal numbering]

Issue No [version of this SoC²⁰A ‘new’ version is introduced in the case of major changes.]

1. Name and address of ATM/ANS provider

2. Description, identification and scope of the ATM/ANS equipment

Note: It should include e.g. type, SW/HW version number and master drawing record, as applicable.

3. Regulation reference requiring the issue of the SoC

4. Specification reference, i.e. EASA detailed specification No.

5. Reference to the qualification test report to show compliance with the applicable detailed specifications and the procedure followed in order to be compliant

6. Service and instruction manual reference number

7. SoC with the applicable EASA detailed specification, as far as applicable for the intended use, and any deviations, remarks, limitations, conditions.

8. The declaration in this document is made under the authority of ………………………………………. (Name of ATM/ANS provider or approved DPO)

(approved DPO’s name) cannot accept responsibility for equipment used outside the limiting conditions stated above without their agreement.

Date: …… Signed……………(ATM/ANS provider’s or approved DPO’s authorised representative)

GM2 Article 6(1) Statement of compliance

ED Decision 2023/016/R

RESPONSIBILITY WHEN PURCHASING ATM/ANS EQUIPMENT SUBJECT TO SoC

(a) The procurement contract between the ATM/ANS provider and the manufacturer(s) should clearly define the ATM/ANS equipment to be purchased and the applicable detailed specifications.

(b) The contract should address that the ATM/ANS equipment purchased from the manufacturer(s) is manufactured and verified and the ATM/ANS functions thereof have been tested for the intended use.

GM3 Article 6(1) Statement of compliance

ED Decision 2023/016/R

DOCUMENTS

The documents that form the basis for the issuance of the SoC encompass, but are not limited to:

(a) test results; and

(b) descriptions of the test environment.

AMC1 Article 6(2) Statement of compliance

ED Decision 2023/016/R

SoC ISUUED BY DPO

During the oversight activities on a SoC issued by an approved DPO, that DPO should support the ATM/ANS provider to the extent required.

Article 7 — Transitional provisions

Regulation (EU) 2023/1768

1. The following transitional provisions shall apply to ATM/ANS equipment holding EC declarations issued in accordance with Articles 5 or 6 of Regulation (EC)              No 552/2004 of the European Parliament and of the Council (²¹Regulation (EC) No 552/2004 of the European Parliament and of the Council of 10 March 2004 on the interoperability of the European Air Traffic Management network (OJ L 96, 31.3.2004, p. 26).) and that has been put into operation before the date of entry into force of this Regulation:

(a) ATM/ANS equipment which falls within the category of ATM/ANS equipment that requires certification in accordance with Article 4 shall be deemed to have been issued with a certificate in accordance with Article 4 unless the Agency determines, following the evaluation referred to in paragraph 2, that such ATM/ANS equipment does not ensure a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation;

(b) ATM/ANS equipment which falls within the category of ATM/ANS equipment that is required to be declared in accordance with Article 5 shall be deemed to have been issued with a declaration of design compliance in accordance with Article 5 unless the Agency determines, following the evaluation referred to in paragraph 2, that such ATM/ANS equipment does not ensure a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation;

(c) as regards ATM/ANS equipment which is subject to a statement of compliance in accordance with Article 6, the EC declarations of verification of systems that have been issued or recognised in accordance with Article 6 of Regulation (EC) No 552/2004 shall continue to be valid for an unlimited duration and shall be deemed to have a statement of compliance pursuant to Article 6.

2. The Agency shall evaluate the ATM/ANS equipment referred to in paragraph 1, points (a)and (b), within 5 years from the date of entry into force of this Regulation and shall publish the results of that evaluation. For that purpose, the competent authorities responsible for the certification and oversight of the ATM/ANS providers referred to in Article 4(1) of Implementing Regulation (EU) 2017/373 shall provide the Agency with the relevant information to facilitate this evaluation. The objective of that evaluation shall be to determine whether the relevant ATM/ANS equipment ensures a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation. The result of the evaluation shall be published and any measure to change the ATM/ANS equipment identified by the evaluation shall be applied after 5 years from the date of entry into force of this Regulation, regardless of the actual date when the evaluation takes place, unless the evaluation reveals a deficiency that may have a detrimental effect on safety. In the case a deficiency that may have a detrimental effect is detected, any measure to change the ATM/ANS equipment revealed by the evaluation shall be applied immediately. After 5 years from the date of entry into force of this Regulation, the ATM/ANS equipment referred to in paragraph 1, points (a) to (b), shall be deemed to comply with the requirements of this Regulation.

3. ATM/ANS equipment that is subject to certification in accordance with Article 4 or a declaration in accordance with Article 5 may be put into operation from the date of entry into force of this Regulation until 12 September 2028 on the basis of a statement of compliance made in accordance with Article 6. As from 13 September 2028, the following provisions shall apply to such ATM/ANS equipment:

(a) ATM/ANS equipment which falls within the category of ATM/ANS equipment that requires certification in accordance with Article 4 and for which a statement of compliance was issued by the ATM/ANS provider shall be deemed to have been issued with a certificate in accordance with Article 4 unless the Agency determines, following the evaluation referred to in paragraph 4, that such ATM/ANS equipment does not ensure a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation;

(b) ATM/ANS equipment which falls within the category of ATM/ANS equipment that requires a declaration of design compliance in accordance with Article 5 and for which a statement of compliance was issued by the ATM/ANS provider shall be deemed to have been issued with a declaration of design compliance in accordance with Article 5 unless the Agency determines, following the evaluation referred to in paragraph 4 that such ATM/ANS equipment does not ensure a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation.

4. The Agency shall evaluate the ATM/ANS equipment referred to in paragraph 3 not later than 12 September 2030. For that purpose, the competent authorities responsible for the certification and oversight of the ATM/ANS providers referred to in Article 4(1) of Implementing Regulation (EU) 2017/373 shall provide the Agency with the relevant information to facilitate this evaluation. The objective of that evaluation shall be to determine whether the particular ATM/ANS equipment meets a level of safety, security, performance and interoperability equivalent to that required by Regulation (EU) 2018/1139 and this Regulation.

AMC1 Article 7(2) Transitional provisions

ED Decision 2023/016/R

RELEVANT INFORMATION

For the purpose of the evaluation referred to in Article 7(2), the competent authorities responsible for the certification and oversight of the ATM/ANS providers referred to in Article 4(1) of Implementing Regulation (EU) 2017/373 should provide the following information to EASA upon request:

ATM/ANS provider’s name: the name of the ATM/ANS provider(s) that has deployed the ATM/ANS equipment subject to Articles 4 or 5 of this Regulation and has issued the declaration of verification (DoV) in accordance with Article 6 of Regulation (EC) No 552/2004.

Company Name: the name of the responsible DPO(s)²²DPO should be understood as the manufacturer or its authorised representative established within the Community. that has (have) issued the Declaration(s) of Compliance (DoC) or the Declaration(s) for Suitability for Use (DSU).

Date: the date on which the information was released.

Description: a brief description of the ATM/ANS equipment.

Reference: reference to the Community specifications, when available, and the references to the documents contained in the technical file.

Additional information: additional information, if any, that has been required and requested by the competent authority to oversee the DoV(s) confirming compliance.

Limitations/Remarks:

—             all the relevant temporary or definitive provisions to be complied with by the ATM/ANS equipment and in particular, where appropriate, any operating restrictions or conditions;

—             if temporary: duration of validity of DoV.

Authorised signature: identification of the signatory empowered to enter into commitments on behalf of the manufacturer or of the manufacturer’s authorised representative, where available.

GM1 Article 7(2) Transitional provisions

ED Decision 2023/016/R

SUBMISSION OF INFORMATION

The relevant information may be provided in a form of the DoV for the ATM/ANS system(s), including its (their) technical file(s), issued by the ATM/ANS provider under the oversight of the competent authority.

GM2 Article 7(2) Transitional provisions

ED Decision 2023/016/R

RELEVANT INFORMATION

For the purpose of the evaluation referred to in Article 7(2), the competent authorities responsible for the certification and oversight of the ATM/ANS providers referred to in Article 4(1) of Implementing Regulation (EU) 2017/373 may provide EASA with any certificate, approval, licence, authorisation, attestation, technical file or other document issued as a result of a process attesting compliance of the ATM/ANS equipment with the applicable essential requirements laid down in Regulation (EC) No 552/2004.

AMC1 Article 7(3) Transitional provisions

ED Decision 2023/016/R

STATEMENT OF COMPLIANCE

(a) In order to issue a SoC for ATM/ANS equipment that is subject to certification in accordance with Article 4 or a declaration in accordance with Article 5 of Regulation (EU) 2023/1768, the ATM/ANS providers or the organisations involved in the design or production of ATM/ANS equipment (DPOs) acting on their behalf, should demonstrate compliance of ATM/ANS equipment with:

(1) the detailed specifications (DSs) set out in Part 1 — General of the Detailed Specifications and Acceptable Means of Compliance & Guidance Material for certification or declaration of design compliance of ATM/ANS ground equipment (DS-GE.CER/DEC); and

(2) the additional specific DS set out in Part 2 — ATM/ANS equipment subject to certification or Part 3 — ATM/ANS equipment subject to declaration of design compliance of (DS-GE.CER/DEC), if available.

(b) The basis for the issue of a SoC should be the DSs that are applicable to the ATM/ANS equipment on the date of the issue of the SoC.

Article 8 — Entry into force

Regulation (EU) 2023/1768

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

Signature

Regulation (EU) 2023/1768

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

Done at Brussels, 14 July 2023.

For the Commission

The President

Ursula VON DER LEYEN