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
Regulation (EU) 2017/373
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC5 OJ L 79, 19.3.2008, p. 1., and in particular Article 8b(6) thereof,
Having regard to Regulation (EC) No 550/2004 of the European Parliament and of the Council of 10 March 2004 on the provision of air navigation services in the single European sky (the service provision Regulation)6 OJ L 96, 31.3.2004, p. 10., and in particular Articles 4 and 6 thereof,
Having regard to Regulation (EC) No 551/2004 of the European Parliament and of the Council of 10 March 2004 on the organisation and use of the airspace in the single European sky (the airspace Regulation)7 OJ L 96, 31.3.2004, p. 20., and in particular Article 6(7) thereof,
Whereas:
(1) Commission Implementing Regulations (EU) No 1034/20118 Commission Implementing Regulation (EU) No 1034/2011 of 17 October 2011 on safety oversight in air traffic management and air navigation services and amending Regulation (EU) No 691/2010 (OJ L 271, 18.10.2011, p. 15). and (EU) No 1035/20119 Commission Implementing Regulation (EU) No 1035/2011 of 17 October 2011 laying down common requirements for the provision of air navigation services and amending Regulations (EC) No 482/2008 and (EU) No 691/2010 (OJ L 271, 18.10.2011, p. 23). lay down requirements on safety oversight in air traffic management and air navigation services and common requirements for the provision of air navigation services, respectively. Those latter requirements are to be complied with by the service providers concerned in order for them to be issued the certificates referred to in Article 7(1) of Regulation (EC) No 550/2004 and Article 8b(2) of Regulation (EC) No 216/2008. Those Regulations also lay down requirements concerning the competent authorities, which are responsible for issuing those certificates and exercising oversight and enforcement tasks, in accordance with Article 4 of Regulation (EC) No 549/2004 of the European Parliament and of the Council10 Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 laying down the framework for the creation of the single European Sky (OJ L 96, 31.3.2004, p. 1)., Articles 2 and 7(7) of Regulation (EC) No 550/2004 and Articles 10 and 22a of Regulation (EC) No 216/2008.
(2) The requirements set out in Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 serve in particular to implement, at an initial stage, the essential requirements concerning the provision of air traffic management and air navigation services (‘ATM/ANS’) set out in Regulation (EC) No 216/2008, in particular to ensure compliance with Articles 8b and 22a of Regulation (EC) No 216/2008 and Annex Vb thereto and to allow the commencement of standardisation inspections in accordance with Article 24 of Regulation (EC) No 216/2008.
(3) Those requirements set out in Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 should now be complemented and updated, in light of technical progress. It should also be clarified that, for service providers to be issued and retain a certificate, or to make a declaration, in accordance with this Regulation, they must comply, and continue to comply, with those requirements as well as with the essential requirements referred to in Article 8b(1) of Regulation (EC) No 216/2008. In addition, consistency should be ensured between those requirements and the requirements set out in Commission Regulations (EU) No 965/201211 Commission Regulation (EU) No 965/2012 of 5 October 2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (OJ L 296, 25.10.2012, p. 1)., (EU) No 1178/201112 Commission Regulation (EU) No 1178/2011 of 3 November 2011 laying down technical requirements and administrative procedures related to civil aviation aircrew pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (OJ L 311, 25.11.2011, p. 1)., (EU) No 139/201413 Commission Regulation (EU) No 139/2014 of 12 February 2014 laying down requirements and administrative procedures related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (OJ L 44, 14.2.2014, p. 1). and (EU) 2015/34014 Commission Regulation (EU) 2015/340 of 20 February 2015 laying down technical requirements and administrative procedures relating to air traffic controllers' licences and certificates pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council, amending Commission Implementing Regulation (EU) No 923/2012 and repealing Commission Regulation (EU) No 805/2011 (OJ L 63, 6.3.2015, p. 1)., thus moving towards a ‘total system approach’, which entails a logical and technologically consistent approach across the various domains. Therefore, the requirements set out in Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 should now be laid down in a single instrument and Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 should be repealed.
(4) Common rules for the certification and oversight of the service providers concerned are essential to increase the Member States' confidence in each other's systems. Therefore, and in order to ensure the highest level of safety and security, uniform requirements for the provision of services and their oversight should be strengthened. That should ensure the safe, high-quality provision of services for the purpose of air navigation and the mutual recognition of certificates throughout the Union, thereby increasing freedom of movement and improving the availability of those services.
(5) In order to ensure a harmonised approach to certification and oversight, the measures to be implemented for security of systems, constituents in use and data should be coordinated across Member States, functional airspace blocks and the network formed by the services, functions and products offered by service providers, the Network Manager, aerodromes and other persons providing the necessary infrastructure for flight operations.
(6) Safety management ensures the identification, assessment and minimisation of safety risks as well as security vulnerabilities which have an impact on safety. Therefore, it is necessary to further elaborate the requirements related to the safety assessment of changes to the functional system by a certified organisation. Those requirements should be adapted taking into account the integration of requirements relating to change management into the common regulatory structure for civil aviation safety, as well as the experience gained by stakeholders and competent authorities in the field of safety oversight.
(7) It is appropriate to introduce safety culture as an aspect of the management systems of the service providers in a manner that promotes understanding and improvement of those systems, while acknowledging the need to strengthen management systems further, especially by integrating reliable occurrence reporting.
(8) It should be specified which authorities are responsible for the tasks related to certification, oversight and enforcement in respect of the service providers that are subject to this Regulation, in line with the criterion set out in Article 7(2) of Regulation (EC) No 550/2004 and the tasks of the European Aviation Safety Agency (‘the Agency’) pursuant to Article 22a of Regulation (EC) No 216/2008, and without prejudice to the requirements of Article 2 of Regulation (EC) No 550/2004. The Agency should be the competent authority for providers of data services and for the Network Manager, in light of the nature and scale of the services provided. In order to fulfil the objectives of Regulation (EC) No 216/2008, in particular the objective set out in point (d) of Article 2(2) thereof, and the objective set out in Article 1(3) of Regulation (EC) No 549/2004, it is also appropriate to align the requirements for the competent authorities with the progress in International Civil Aviation Organisation (‘ICAO’) safety management concepts, in particular the introduction of the authority management system, as well as in the implementation of the state safety programme and in ensuring coordination between those authorities.
(9) It should be clarified that, when exercising their certification, oversight and enforcement tasks under this Regulation, the competent authorities should be independent from any service provider, through ensuring adequate separation of those authorities from those providers at least at the functional level, and that any possible conflict of interest should be avoided. The aim is to guarantee the objectivity and impartiality of those authorities and to ensure that the exercise of their tasks under this Regulation is of high quality.
(10) The Agency should establish a database with relevant information relating to the competent authorities, so as to facilitate standardisation inspections of, and coordination with, the competent authorities, as well as to support the Commission in carrying out its tasks.
(11) With a view to ensuring that the requirements for service providers set out in this Regulation are complied with at all times and the competent authorities can effectively exercise their tasks under this Regulation, in accordance with Article 4(3) and (4) of Regulation (EC) No 549/2004, those authorities should be granted certain specific investigatory powers, in addition to the possibility to carry out investigations and surveys referred to in Article 2(2) of Regulation (EC) No 550/2004 and Article 10(2) and (3) of Regulation (EC) No 216/2008. It is appropriate to clarify that those powers should be exercised in accordance with the applicable rules of national law, while having due regard to a number of specific elements, which are meant to ensure a fair balance between all rights and interests at issue in a particular case.
(12) The air traffic safety electronics personnel employed by a service provider or the Network Manager should be subject to a harmonised training and competence assessment scheme. The service provider or Network Manager should also ensure that the personnel of contracted organisations are appropriately qualified. Therefore, detailed provisions on training and competence assessment of such personnel should be included in this Regulation.
(13) In order to ensure a high level of civil aviation safety in the Union, the measures set out in this Regulation should reflect the state of the art in aviation safety, including best practice and scientific and technical progress in the field of meteorological services. Therefore, this Regulation should be based on the applicable ICAO standards and recommended practices, specifically Annex 3 to the Convention on International Aviation, signed in Chicago on 7 December 1944 (‘Chicago Convention’) on ‘Meteorological Service for International Air Navigation’, while drawing on the experience of Union and worldwide meteorological service provision and ensuring proportionality according to the size, type and complexity of the meteorological services provider.
(14) Common requirements should be established for the certification and oversight of data services providers to ensure that the providers of aeronautical data for use on aircraft process the data in an appropriate manner, which meets the airspace end-users' requirements and allows for safe performance-based navigation operations.
(15) The aeronautical industry and the competent authorities of the Member States should be allowed sufficient time to adapt to the new regulatory framework established by this Regulation and to replace certificates issued before the date of application of this Regulation.
(16) However, in order to ensure consistency with Regulation (EU) No 965/2012, the relevant provisions of this Regulation should apply to data services providers already from an earlier date. Moreover, those providers should be allowed, on a voluntary basis, to apply for, and be granted, the relevant certificates already immediately upon the entry into force of this Regulation, so as to allow them, as entities that are not subject to Implementing Regulation (EU) No 1035/2011 but that are subject to the practice of issuing voluntary letters of acceptance by the Agency, to benefit from an early application of this Regulation in this regard and the mutual recognition of those certificates. Such early application of this Regulation with respect to data services providers would also relieve aircraft operators from their oversight responsibilities when contracting the services of those providers, once the provider is certified for aeronautical databases. Where such a provider makes use of that possibility, it should be bound by the applicable requirements of this Regulation for the purposes of obtaining a certificate and subsequently continue to be bound by those requirements. In view of this possibility for data service providers, the relevant provisions of this Regulation concerning the competent authority in respect of those providers, which is in this case only the Agency, should also apply already from the date of entry into force of this Regulation.
(17) The provisions contained in Commission Implementing Regulation (EU) No 923/201215 Commission Implementing Regulation (EU) No 923/2012 of 26 September 2012 laying down the common rules of the air and operational provisions regarding services and procedures in air navigation and amending Implementing Regulation (EU) No 1035/2011 and Regulations (EC) No 1265/2007, (EC) No 1794/2006, (EC) No 730/2006, (EC) No 1033/2006 and (EU) No 255/2010 (OJ L 281, 13.10.2012, p. 1). should be complemented with aspects related to the provision of air traffic services, to ensure consistency of service provision with pilot and air traffic service personnel actions and requirements under that Regulation.
(18) The safety acceptability of any change proposed by a service provider should be assessed based on the analysis of the risks posed by the introduction of a change to its functional system, differentiated under either quantitative or qualitative objective assessment criteria, or a combination of both, to be determined at a local level.
(19) For reasons of consistency and ease of application, the provisions of Commission Regulation (EC) No 482/200816 Commission Regulation (EC) No 482/2008 of 30 May 2008 establishing a software safety assurance system to be implemented by air navigation service providers and amending Annex II to Regulation (EC) No 2096/2005 (OJ L 141, 31.5.2008, p. 5). should be integrated in this Regulation and Commission Regulation (EC) No 482/2008 should therefore be repealed.
(20) The requirements of Articles 12 and 21 of Commission Regulation (EU) No 677/201117 Commission Regulation (EU) No 677/2011 of 7 July 2011 laying down detailed rules for the implementation of air traffic management (ATM) network functions and amending Regulation (EU) No 691/2010 (OJ L 185, 15.7.2011, p. 1). and Annex VI thereto should be integrated in this Regulation in order to ensure a harmonised approach to all service providers. Therefore, those provisions should be deleted.
(21) Commission Implementing Regulation (EU) 2016/137718 Commission Implementing Regulation (EU) 2016/1377 of 4 August 2016 laying down common requirements for service providers and the oversight in air traffic management/air navigation services and other air traffic management network functions, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 and amending Regulation (EU) No 677/2011 (OJ L 226, 19.8.2016, p. 1)., which has not yet become applicable, contains numerous errors. In order to eliminate those errors, while at the same time ensuring the required legal clarity, it is appropriate to repeal Implementing Regulation (EU) 2016/1377 in its entirety and to replace it with the rules set out in this Regulation.
(22) The measures provided for in this Regulation are based on the opinion of the Agency in accordance with Articles 17(2)(b) and 19(1) of Regulation (EC) No 216/2008.
(23) The measures provided for in this Regulation are in accordance with the opinion of the Committee established by Article 5(3) of Regulation (EC) No 549/2004,
HAS ADOPTED THIS REGULATION:
Commission Implementing Regulation (EU) 2020/469
This Regulation lays down common requirements for:
(a) the provision of air traffic management and air navigation services (‘ATM/ANS’) for general air traffic, in particular for the legal or natural persons providing those services and functions;
(b) the competent authorities and the qualified entities acting on their behalf, which perform certification, oversight and enforcement tasks in respect of the services referred to in point (a);
(c) the rules and procedures for the design of airspace structures.
GM1 Article 1 ‘Subject matter’
ED Decision 2017/001/R
SCOPE
In reference to the ‘scope’, please refer to GM1 ATM/ANS.OR.A.001 ‘Scope’.
ED Decision 2020/008/R
DESIGN OF AIRSPACE STRUCTURES
(a) Article 46 of Regulation (EU) 2018/1139 requires Member States to ensure that airspace structures are properly designed, surveyed and validated before they can be deployed and used by aircraft.
(b) The designation of airspace is an obligation of the Member States, where civil and military national authorities are involved. The designation of airspace should include, but not be limited to, the design of airspace structure, the classification of the airspace and its approval.
(c) The (possible) certification and oversight of the design of airspace structure activities is left to the Member State discretion, if it wishes so and this Regulation provides only the design criteria that need to be met as laid down in Appendix 1 to Part-FPD.
Commission Implementing Regulation (EU) 2020/469
For the purposes of this Regulation, the definitions in Annex I and the following definitions shall apply:
(1) the definitions in Article 2 of Regulation (EC) No 549/2004 and Article 3 of Regulation (EC) No 216/2008, except for the definition of ‘certificate’ in Article 2(15) of Regulation (EC) No 549/2004;
(2) ‘ATM/ANS provider’ means any legal or natural person providing any of the ATM/ANS as defined in Article 3 (5) of Regulation (EU) 2018/1139, either individually or bundled, for general air traffic;
(3) ‘Network Manager’ means the body established in accordance with Article 6 of Regulation (EC) No 551/2004 to perform the duties provided for in that Article and in Articles 3 and 4 of Regulation (EU) No 677/2011;
(4) ‘pan-European service’ means an activity which is designed and established for users within most or all Member States and which may also extend beyond the airspace of the territory to which the Treaty applies;
(5) ‘data services provider (DAT provider)’ means an organisation, which is:
(a) type 1 DAT provider that processes aeronautical data for use on aircraft and provides an aeronautical database meeting the DQRs, under controlled conditions, for which no corresponding airborne application/equipment compatibility has been determined;
(b) type 2 DAT provider that processes aeronautical data and provides an aeronautical database for use on certified aircraft application/equipment meeting the DQRs for which compatibility with that application/equipment has been determined.
(6) ‘design of airspace structures’ means a process that ensures that airspace structures are properly designed, surveyed and validated before they are deployed and used by aircraft;
(7) ‘airborne collision avoidance system (ACAS)’ means an aircraft system based on secondary surveillance radar (SSR) transponder signals which operates independently of ground-based equipment to provide advice to the pilot on potential conflicting aircraft that are equipped with SSR transponders;
(8) ‘entity originating aeronautical data and aeronautical information’ – means any public or private entity responsible for origination of aeronautical data and aeronautical information used as a source for aeronautical information products and services. These entities do not include ATM/ANS providers referred to in point (2) of Article 2 of this Regulation and aerodromes defined in point (1)(e) of Article 2 of Regulation(EU) 2018/1139.’
ED Decision 2020/008/R
GENERAL
(a) Point (5) of Article 3 of Regulation (EU) 2018/1139 defines ATM/ANS as ‘the air traffic management functions and services as defined in point 10 of Article 2 of Regulation (EC) No 549/2004; the air navigation services defined in point 4 of Article 2 of that Regulation, including the network management functions and services referred to in Article 6 of Regulation (EC) No 551/2004, as well as services which augment signals emitted by satellites of core constellations of GNSS for the purpose of air navigation; flight procedures design; and services consisting in the origination and processing of data and formatting and delivering data to general air traffic for the purpose of air navigation’.
(b) It should, therefore, be noted that ‘ATM/ANS’ includes more services and functions than ‘air traffic management’ and ‘air navigation services’ together.
(c) It is important to note that ATS is included in ATM and ANS.
(d) As already defined, ‘ATM network functions’ refers to functions performed by the Network Manager in accordance with Regulation (EU) 2019/123.
Article 3 Provision of ATM/ANS and design of airspace structures
Commission Implementing Regulation (EU) 2020/469
1. Member States shall ensure that the appropriate ATM/ANS are provided and airspace structures are designed in accordance with this Regulation in a manner that facilitates general air traffic, while taking into account safety considerations, traffic requirements and environmental impact.
2. When Member States adopt additional provisions to complement this Regulation on any matters left to the Member States under this Regulation, those provisions shall follow the standards and recommended practices set by the Chicago Convention. Where use is made of the provisions of Article 38 of the Chicago Convention, in addition to notifying the International Civil Aviation Organisation, the Member States shall notify the European Aviation Safety Agency (‘Agency’), with due justification, at the latest two months after the additional provisions have been adopted.
3. Member States shall publish, in accordance with the Chicago Convention, those additional provisions through their aeronautical information publications.
4. Where a Member State decides to organise the provision of certain specific air traffic services in a competitive environment, that Member State shall take all appropriate measures to ensure that the providers of those services shall neither engage in conduct that would have as its object or effect the prevention, restriction or distortion of competition, nor shall they engage in conduct that amounts to an abuse of a dominant position, in accordance with applicable Union and national law.
5. Member States shall ensure that:
(a) entities originating aeronautical data or aeronautical information meet the requirements laid down in:
(i) point ATM/ANS.OR.A.085 of Annex III, except those in points (c), (d), (f)(1) and (i) thereof;
(ii) point ATM/ANS.OR.A.090 of Annex III;
(b) aeronautical data and aeronautical information are originated, processed and transmitted by adequately trained, competent and authorised personnel. When aeronautical data or aeronautical information is intended to be used for the purpose of IFR or special VFR flights, the requirements referred to in letters (a) and (b) of the first subparagraph shall apply to all entities originating such data and information.
6. Where it is determined that air traffic services are to be provided in particular portions of the airspace or at particular aerodromes, Member States shall ensure that those portions of the airspace or those aerodromes are specified in relation to the air traffic services that are to be provided.
7. Member States shall ensure that appropriate arrangements between the relevant ATM/ANS providers and aircraft operators are established for the adequate coordination of activities and services provided as well as for the exchange of relevant data and information.
8. Member States shall identify the persons or organisations, which are responsible for the design of airspace structures and shall ensure that those persons or organisations apply the requirements laid down in Appendix 1 to Annex XI (Part-FPD).
9. Member States shall ensure that maintenance and periodic review of flight procedures for aerodromes and airspace under their authority are conducted. For that purpose, Member States shall identify the persons or organisations, which are responsible for those tasks and shall ensure that the persons or organisations comply with the requirements laid down in Article 6, points (a) and (k).
GM1 Article 3(1) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
AIRSPACE STRUCTURE
Airspace structure refers to a specific volume of airspace designed to ensure the safe and optimal operation of aircraft. Airspace structures may consist of:
(a) controlled airspace, namely control zones and control areas, including terminal control areas and airways or free route airspace;
(b) airspace restrictions, namely danger, restricted, prohibited areas, temporary segregated areas and temporary reserved areas; and
(c) other volumes of airspace as specified by the competent authority when defining the airspace change process, such as e.g. flight information zones, aerodrome traffic zone, RMZ/TMZ (XXX).
GM1 Article 3(5) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
AERONAUTICAL INFORMATION — DATA ORIGINATION
(a) In order to ensure that parties originating aeronautical data and aeronautical information that are neither subject to the applicable requirements in Regulation (EU) 2017/373 nor to the data quality requirements in Regulation (EU) No 139/2014, comply with the provisions relevant to them, Member States may consider establishment of measures, at national level, that such parties meet the aeronautical data quality management requirements laid down in point ATM/ANS.OR.A.085 of Annex III, except those in points (c), (d), (f)(1) and (i) thereof, and that their working methods and operating procedures comply with the requirements laid down in ATM/ANS.OR.A.090.
(b) The objectives in point (a) may be achieved through continuous oversight by the competent authorities on the basis of which measures, at national level, a certificate or approval has been issued or a declaration by these parties has been made.
(c) When a contract is agreed between the services provider and the parties originating aeronautical data and aeronautical information, it should clearly define the contracted activities and the applicable requirements, including the necessary certificate, approval or declaration as required.
AMC1 Article 3(6) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
DESIGNATION
The designation of the particular portions of the airspace should be as follows:
(a) flight information regions;
(b) control areas and control zones; and
(c) flight information zones.
AMC2 Article 3(6) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
AERODROMES
The designation of the particular aerodromes should be as follows:
(a) controlled aerodromes; and
(b) aerodrome flight information services (AFIS) aerodromes.
GM1 to AMC2 Article 3(6) (a) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
AERODROMES
The aerodrome traffic zone should be linked to controlled aerodromes as potential aerodrome delineation.
AMC3 Article 3(6) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
AIRSPACE
Those portions of the airspace where it is determined that ATC service will be provided to IFR flights should be designated as control areas or control zones.
GM1 Article 3(6) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
DESIGNATION — GENERAL
(a) The airspace where air traffic services are provided is classified and designated in accordance with requirements found in Commission Implementing Regulation (EU) 923/2012, SERA.6001 ‘Classification of airspaces’ and Appendix 4 ‘ATS airspace classes — services provided and flight requirements’, and in the associated Acceptable Means of Compliance and Guidance Material.
(b) The delineation of airspace, wherein air traffic services are to be provided, should be related to the nature of the route structure and the need for efficient service rather than to national boundaries.
(c) In the context of the provision of air traffic services across national boundaries:
(1) agreements to permit the delineation of airspace lying across national boundaries are advisable, when such action will facilitate the provision of air traffic services; agreements, which permit delineation of airspace boundaries by straight lines, will, for example, be most convenient where data processing techniques are used by air traffic services units.
(2) where delineation of airspace is made by reference to national boundaries, there is a need for suitably sited transfer points to be mutually agreed upon.
GM1 Article 3(8) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
GENERAL — PROCESS DESIGN OF AIRSPACE STRUCTURES AND FLIGHT PROCEDURES CONTAINED THEREIN
(a) An airspace change is a change to an airspace structure.
(b) The process for the airspace change should include the following elements:
(1) Initiation for an airspace change, including briefing by an initiator
DRIVERS FOR AIRSPACE CHANGES
Drivers for airspace changes include, but are not limited to, business, technological, legal and social aspects, such as:
(i) enhancing operational safety and/or efficiency;
(ii) meeting airspace capacity requirements;
(iii) reducing the environmental impacts of aircraft operations;
(iv) enabling changes to the CNS infrastructure; or
(v) correcting identified deficiencies.
INITIATION
Initiator may be, but is not limited to, any of the following:
(i) the Member State;
(ii) the competent authority;
(iii) an aerodrome operator;
(iv) an ATM/ANS provider; or
(v) an airspace user.
In undertaking an airspace change, the initiator:
(i) proposes an airspace modification whilst ensuring that the airspace change satisfies and/or enhances safety, improves capacity and mitigates, as far as practicable, any environmental impacts in line with the applicable requirements and design criteria;
(ii) follows the national airspace change processes, where specified; and
(iii) identifies relevant stakeholders and conducts consultation(s).
(2) Data collection
(3) Initial proposal development
(4) Consultation with affected stakeholders
Affected stakeholders should be considered to be, but not limited to:
(i) ATM/ANS providers;
(ii) airspace users (including military);
(iii) aerodrome operators;
(iv) State’s authorities;
(v) other groups affected by the airspace change (e.g. local municipalities, environmental organisations, adjacent States, etc.).
The initiator should ensure that an assessment is carried out before deploying the airspace change.
If a change to the airspace results in a change to the functional system(s) of the ATS providers serving the affected airspace, those affected ATS providers need to perform a safety assessment as per ATS.OR.205 of this Regulation.
(5) Design and documentation
(6) Validation
The airspace change may be validated using one or more of the following methodologies:
(i) airspace modelling;
(ii) ATC simulation;
(iii) live trials;
(iv) flight simulation;
(v) data analytical tools;
(vi) statistical analysis;
(vii) collision risk modelling; and
(viii) noise and emissions modelling.
(7) State’s approval,
The airspace change proposal should be submitted to the State’s authority for assessment addressing the following, as applicable:
(i) Operational requirements
(A) Justification for the change;
(B) Technical description of the change:
(a) airspace description;
(b) traffic forecasts;
(c) supporting infrastructure/resources;
(d) operational impact;
(e) supporting maps, charts and diagrams; and
(f) airspace and infrastructure requirements; and
(C) Validation report.
(ii) Assessment report
(iii) Environmental report
(iv) Consultation report
(v) Implementation plan
(A) Target implementation date and alternative date (or dates), taking due account of the predetermined agreed AIRAC dates in addition to the time needed by the AIS provider for the preparation, production and issuance of relevant material for promulgation; and
(B) Planned awareness and education activities.
(vi) Economic impact.
(8) Implementation of the airspace change
The initiator should implement those aspects of the airspace change that are under its remit; however, the implementation of the airspace change may require other stakeholders implementing changes in their services.
The implementation of the airspace change could include amendment in the aeronautical information publication (AIP), changes in the procedures of the ATS providers, etc.
(9) Post implementation review
(10) Maintenance and periodic review
GM2 Article 3(8) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
GENERAL — INTERACTIONS BETWEEN AIRSPACE CHANGE PROCESS AND FLIGHT PROCEDURE DESIGN PROCESS
When an airspace change includes the design of a new flight procedure or the modification of an existing flight procedure and the initiator is at the same time the flight procedure design service provider, both processes might run in parallel.
When the initiator is a different organisation than the flight procedure design service provider, this flight procedure design process can be regarded as a sub-process of the wider process as depicted in Figure 1.
Figure 1 shows the interactions between the airspace change process and the flight procedure design process.
Figure 1: Interactions between airspace change process and flight procedure design process
AMC1 Article 3(9) Provision of ATM/ANS and design of airspace structures
ED Decision 2020/008/R
PERIODIC REVIEW
Periodic review should be conducted at an interval not exceeding 5 years.
Article 3a Determination of the need for the provision of air traffic services
Commission Implementing Regulation (EU) 2020/469
1. Member States shall determine the need for the provision of air traffic services by taking into account all of the following factors:
(a) the types of air traffic involved;
(b) the density of air traffic;
(c) the meteorological conditions;
(d) other relevant factors related to the objectives of the air traffic services defined in point ATS.TR.100 of Annex IV.
2. While determining the need for the provision of air traffic services Member States shall not take into account the carriage of airborne collision avoidance systems by aircraft.
GM1 Article 3a(1) Determination of the need for the provision of air traffic services
ED Decision 2020/008/R
ELEMENTS TO DETERMINE THE NEED FOR AIR TRAFFIC SERVICES PROVISION
The determination of the need for air traffic services provision in a given area and/or aerodrome may be subject to consideration and evaluation of a great number and typology of elements, such as:
(a) a mixture of different types of air traffic with aircraft of varying speeds (conventional, jet, etc.) might necessitate the air traffic services provision, whereas a relatively greater density of traffic where only one type of operation is involved would not;
(b) meteorological conditions might have considerable effect in areas where there is a constant flow of air traffic (e.g. scheduled traffic), whereas similar or worse meteorological conditions might be relatively unimportant in an area where air traffic would be discontinued in such conditions (e.g. local visual flight rules (VFR) flights);
(c) open stretches of water, mountainous, uninhabited or desert areas might necessitate the air traffic services provision even though the frequency of operations is extremely low;
(d) the complexity of the airspace concerned; and
(e) the language(s) to be used in air-ground communications, in the case of AFIS.
GM2 Article 3a(1) Determination of the need for the provision of air traffic services
ED Decision 2020/008/R
NON-ATS (AIR TRAFFIC SERVICES) AERONAUTICAL STATIONS
(a) Description of non-ATS aeronautical stations
Where a Member State determines that no requirement exists for the air traffic services provision at an aerodrome and its vicinity or in other airspace, a universal communication (UNICOM)-type aeronautical station may be established (with call signs like RADIO, UNICOM, name of the aero club, etc.). Such a station should be established following the Member State arrangements, to facilitate the activities of aircraft (for example, a frequency used by pilots to announce their intentions at an aerodrome where air traffic services are not provided).
It may be established in an airspace where Member States have decided that whilst en-route flight information service will be provided by a designated and certified flight information service provider, there is no requirement for mandatory two-way radio communication. In such cases, the Member State should ensure that the aeronautical station does not provide air traffic services, but acts as an informal facility for exchanges on, for example, aerodrome conditions or other activities at the aerodrome.
(b) Promulgation of information for non-ATS aeronautical stations
The arrangements established for non-ATS aeronautical stations should ensure that information regarding their availability are included in the relevant parts of the AIP. The information should include, as a minimum, the following:
(1) identification of the aerodrome, where applicable;
(2) location and identification of the aeronautical station, where applicable;
(3) hours of operation of the aeronautical station, where applicable;
(4) language(s) used;
(5) detailed description of the facilitation provided and its limitations;
(6) special procedures for application by pilots; and
(7) any other pertinent information.
(c) Identification of non-ATS aeronautical stations
Where a non-ATS aeronautical station is established:
(1) the station should normally be identified by the name of the aerodrome at which they are providing air-ground or air-air communication, or by the name of a nearby town or city or geographic feature or area, or by the name of the aero club it facilitates; and
(2) the name of the station should be complemented by the suffix ‘RADIO’, as established in Section 5.2.1.7.1.2 of ICAO Annex 10 Volume II.
Article 3b Coordination between military units and air traffic service providers
Commission Implementing Regulation (EU) 2020/469
Without prejudice to Article 6 of Regulation (EC) No 2150/2005, Member States shall establish special procedures so that:
(a) air traffic service providers are notified if a military unit observes that an aircraft, which is, or might be, a civil aircraft is approaching, or has entered, any area in which interception might become necessary;
(b) the air traffic service provider shall in close coordination with the military unit confirm the identity of the aircraft and provide it with the navigational guidance necessary to avoid the need for interception.
GM1 to Article 3b(b) Coordination between military authorities and air traffic service providers
ED Decision 2020/008/R
The requirement is generic and includes but is not limited to the need to designate areas or routes where the requirements concerning flight plans, two-way communications and position reporting are applicable to all flights. This should be done to ensure that all pertinent data is available for the use of the appropriate air traffic services units specifically for the purpose of facilitating identification of civil aircraft and thus of eliminating or reducing the need for interceptions.
Article 3c Coordination of air operations potentially hazardous to civil aviation
Commission Implementing Regulation (EU) 2020/469
1. Member States shall ensure that operations potentially hazardous to civil aircraft over their territory are coordinated, including over the high seas, in case the competent authority has accepted, pursuant to an ICAO Regional Air Navigation Agreement, the responsibility to provide air traffic services within the airspace concerned. The coordination shall be effected early enough to permit timely promulgation of information regarding those activities.
2. Member States shall establish arrangements for the promulgation of information regarding the activities referred to in paragraph 1.
GM2 Article 3c(1) Coordination of air operations potentially hazardous to civil aviation
ED Decision 2020/008/R
COORDINATION OF MILITARY ACTIVITIES POTENTIALLY HAZARDOUS TO CIVIL AVIATION
Guidance for the coordination of such activities is provided in ICAO Doc 9554 ‘Manual Concerning Safety Measures Relating to Military Activities Potentially Hazardous to Civil Aircraft Operations’.
GM1 Article 3c(2) Coordination of air operations potentially hazardous to civil aviation
ED Decision 2020/008/R
In determining these arrangements, the following should be applied:
(a) the locations or areas, times and durations for the activities should be selected to avoid closure or realignment of established air traffic services routes, blocking of the most economic flight levels, or delays of scheduled aircraft operations, unless no other options exist;
(b) the size of the airspace designated for the conduct of the activities should be kept as small as possible; and
(c) direct communication between the appropriate air traffic services unit(s) and the organisation or unit conducting the activities should be provided for use in the event that civil aircraft emergencies or other unforeseen circumstances require discontinuation of the activities.
Article 3d Very-high frequency (VHF) emergency frequency
Commission Implementing Regulation (EU) 2020/469
1 Without prejudice to paragraph 2, Member States shall ensure that the VHF emergency frequency (121,500 MHz) is only used for genuine emergency purposes as specified in point ATS.OR.405(a) of Annex IV.
2. Member States may exceptionally allow the use of the VHF emergency frequency referred to in paragraph 1 for other purposes than those specified in point ATS.OR.405(a) of Annex IV, if those are limited to the extent necessary to achieve their aim and in order to reduce the impact upon aircraft in distress or emergency and upon the operations of air traffic services units.
GM1 Article 3d(2) Very-high frequency (VHF) emergency frequency
ED Decision 2020/008/R
When Member States consider the possibility to allow the use of the VHF emergency frequency for other activities related to the intended use of this frequency (e.g. for training), consideration should be given to the impact on the operations of the air traffic services units located in the neighbouring States, in order to prevent triggering unnecessary actions related to the use of the emergency frequency.
Article 4 Competent authority for certification, oversight and enforcement
Regulation (EU) 2017/373
1. The competent authority responsible for the issuing of certificates to service providers, for the acknowledgment of receipts of declarations made by providers of flight information services referred to in Article 7 where relevant, and for the oversight and enforcement in respect of service providers shall be the national supervisory authority referred to in Article 4 of Regulation (EC) No 549/2004 of the Member State where the legal or natural person applying for the certificate or making the declaration has its principal place of operation or, if any, its registered office, unless the Agency is the competent authority pursuant to Article 22a of Regulation (EC) No 216/2008.
For the purposes of this Regulation, data services providers and the Network Manager shall be considered to be pan-European service providers in respect of which, in accordance with point (c) of Article 22a of Regulation (EC) No 216/2008, the Agency is the competent authority.
2. The competent authorities referred to in paragraph 1 shall comply with the requirements laid down in Annex II.
3. Where one of the service providers concerned is an organisation in respect of which the Agency is the competent authority, the competent authorities of the Member States concerned shall coordinate with the Agency in order to ensure that the requirements set out in points (1), (2) and (3) of point ATM/ANS.AR.A.005(b) of Annex II are complied with where, alternatively:
(a) service providers provide services in respect of functional airspace blocks that extend across the airspace falling under the responsibility of more than one Member State, as referred to in Article 2(3) of Regulation (EC) No 550/2004;
(b) service providers provide cross-border air navigation services as referred to in Article 2(5) of Regulation (EC) No 550/2004.
4. Where a Member State has nominated or established more than one competent authority in accordance with Article 4 of Regulation (EC) No 549/2004 or as referred to in Article 2(3) to (6) of Regulation (EC) No 550/2004 to exercise the certification, oversight and enforcement tasks under this Regulation, it shall ensure that the areas of competence of each of those authorities are clearly defined, in particular in terms of responsibilities and geographic and airspace limitation. In such a case, those authorities shall establish coordination between them, based on written arrangements, so as to ensure effective oversight and enforcement in respect of all service providers to which they issued certificates or, where relevant, which made declarations to them.
5. When exercising their certification, oversight and enforcement tasks under this Regulation, the competent authorities shall be independent of any service provider. That independence shall be ensured by adequate separation, at least at the functional level, between the competent authorities and the service providers. In this context, Member States shall ensure that the competent authorities exercise their powers impartially and transparently.
6. Member States and, where the Agency is the competent authority, the Commission shall ensure that their competent authorities do not allow their personnel to be involved in the exercise of the certification, oversight and enforcement tasks of that authority under this Regulation where there are indications that such involvement could result, directly or indirectly, in a conflict of interest, in particular relating to family or financial interests.
7. The Agency shall maintain a database of contact details of the competent authorities referred to in paragraph 1. For this purpose, Member States shall notify the Agency of the names and addresses of their competent authorities, and of any subsequent changes thereto.
8. Member States and, where the Agency is the competent authority, the Commission shall determine the necessary resources and capabilities required by the competent authorities for the exercise of their tasks, in accordance with Article 4(4) of Regulation (EC) No 549/2004 and Article 22a of Regulation (EC) No 216/2008, taking into account all relevant factors, including an assessment carried out by the respective competent authorities to determine the resources needed for the exercise of their tasks under this Regulation.
GM1 Article 4(5) ‘Competent authority for certification, oversight and enforcement’
ED Decision 2017/001/R
SEPARATION AT THE FUNCTIONAL LEVEL
‘Functional level separation’ means that a competent authority may be engaged in operational activities and the oversight of organisations in the same domain, provided that the different functions are clearly separated and that the organisational governance ensures effective oversight by avoiding conflicts of interest by personnel and preventing their engagement in operational activities of the entities that they are meant to oversee. This could be achieved by applying appropriate management and control mechanisms.
GM2 Article 4(5) ‘Competent authority for certification, oversight and enforcement’
ED Decision 2017/001/R
SEPARATION AT THE FUNCTIONAL LEVEL
When achieving independence between the competent authority and the service provider(s) through functional level separation, the Member State should ensure that:
(a) the responsibility for the service provision and the responsibility for the certification, receipt of declarations and oversight activities are allocated to separate personnel;
(b) the former should not have any control over the latter; and
(c) this happens within a just culture environment.
AMC1 Article 4(8) ‘Competent authority for certification, oversight and enforcement’
ED Decision 2017/001/R
REGULARITY OF THE ASSESSMENT CARRIED OUT BY THE COMPETENT AUTHORITY
The competent authorities should establish, and update every two years, an assessment of the resources needed to effectively exercise their certification, oversight and enforcement tasks under this Regulation, based on an analysis of the processes and other measures necessary to that end.
Article 5 Powers of the competent authority referred to in Article 4
Regulation (EU) 2017/373
1. The competent authorities shall, where required for the exercise of their certification, oversight and enforcement tasks under this Regulation, be empowered to:
(a) require the service providers subject to their oversight to provide all necessary information;
(b) require any representative, manager or other member of the personnel of those service providers to provide oral explanations on any fact, document, object, procedure or other subject matter relevant to the oversight of the service provider;
(c) enter any premises and land, including operating sites, and means of transport of those service providers;
(d) examine, copy or make extracts from any document, record or data held by or accessible to those service providers, irrespective of the medium on which the information in question is stored;
(e) carry out audits, assessments, investigations and inspections of those service providers.
2. The competent authorities shall, where required for the exercise of their certification, oversight and enforcement tasks under this Regulation, also be empowered to exercise the powers set out in paragraph 1 in relation to the contracted organisations subject to the service providers' oversight, as referred to in point ATM/ANS.OR.B.015 of Annex III.
3. The powers provided for in paragraphs 1 and 2 shall be exercised in compliance with the national law of the Member State where the activities in question take place, with due regard for the need to ensure the effective exercise of those powers and for the rights and legitimate interests of the service provider and any third persons concerned, and in compliance with the principle of proportionality. Where, in accordance with the applicable national law, prior authorisation from the judicial authority of the Member State concerned is needed to enter premises, land and means of transport as referred to in point (c) of paragraph 1, the related powers shall be exercised only after having obtained such prior authorisation.
When exercising the powers provided for in paragraphs 1 and 2, the competent authority shall ensure that the members of its staff and, where relevant, any other expert participating in the activities in question are duly authorised.
4. The competent authorities shall take or initiate any appropriate enforcement measure necessary to ensure that the service providers to which they issued a certificate or, where relevant, which made a declaration to them, comply and continue to comply with the requirements of this Regulation.
AMC1 Article 5 ‘Powers of the competent authority referred to in Article 4’
ED Decision 2017/001/R
ASSESSMENTS AND INVESTIGATIONS
Investigations and assessments should include tests and exercises as determined by the competent authority.
Commission Implementing Regulation (EU) 2020/469
Service providers shall be granted a certificate and be entitled to exercise the privileges granted within the scope of that certificate, where, in addition to the requirements referred to in Article 8b(1) of Regulation (EC) No 216/2008, they comply and continue to comply with the following requirements:
(a) for all service providers, the requirements laid down in Annex III (Part-ATM/ANS.OR), Subparts A and B, and in Annex XIII (Part-PERS);
(b) for service providers other than providers of air traffic services, in addition to the requirements of point (a), the requirements laid down in Annex III (Part-ATM/ANS.OR), Subpart C;
(c) for providers of air navigation services, providers of air traffic flow management and the Network Manager, in addition to the requirements of point (a), the requirements laid down in Annex III (Part-ATM/ANS.OR), Subpart D;
(d) for providers of air traffic services, in addition to the requirements of points (a) and (c), the requirements laid down in Annex IV (Part-ATS) and the requirements laid down in Regulation (EU) No 923/2012;
(e) for providers of meteorological services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex V (Part-MET);
(f) for providers of aeronautical information services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex VI (Part-AIS);
(g) for data services providers, in addition to the requirements of points (a) and (b), the requirements laid down in Annex VII (Part-DAT);
(h) for providers of communication, navigation or surveillance services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex VIII (Part-CNS);
(i) for providers of air traffic flow management, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex IX (Part-ATFM);
(j) for providers of airspace management, in addition to the requirements of points (a) and (b), the requirements laid down in Annex X (Part-ASM);
(k) for providers of flight procedure design services, in addition to the requirements of points (a) and (b), the requirements laid down in Annex XI (Part-FPD);
(l) for the Network Manager, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex XII (Part-NM).
GM1 Article 6 ‘Service providers’
ED Decision 2017/001/R
PROVISION OF ATFM AND/OR ASM
(a) In most cases, the provision of ATFM and/or ASM takes place in a bundled service performed by the ATS providers. However, the provision of ATFM and/or ASM as a bundled service is not a legal requirement.
(b) Initially under the single European sky (SES) I initiative in 2004 with the adoption of Regulation (EC) No 549/2004, functions were not subject to certification; they were only subject to continuous oversight. This difference between functions and services was removed in the 2009 with the SESII initiative and the amendments to Regulation (EC) No 216/2008 (the EASA Basic Regulation), with the effect that the two concepts now have an identical certification and oversight regime.
Article 7 Declaration by providers of flight information services
Regulation (EU) 2017/373
Where Member States allow providers of flight information services to declare their capability and means of discharging the responsibilities associated with the services provided in accordance with Article 8b(3) of Regulation (EC) No 216/2008, those providers shall fulfil, in addition to the requirements referred to in Article 8b(1) of Regulation (EC) No 216/2008, the requirements laid down in point ATM/ANS.OR.A.015 in Annex III to this Regulation.
Article 8 Existing certificates
Regulation (EU) 2017/373
1. Certificates that have been issued in accordance with Implementing Regulation (EU) No 1035/2011 shall be deemed to have been issued in accordance with this Regulation.
2. Member States shall replace the certificates referred to in paragraph 1 with certificates complying with the format laid down in Appendix 1 to Annex II by 1 January 2021 at the latest.
Article 9 Repeal and amendment
Regulation (EU) 2017/373
1. Regulation (EC) No 482/2008 and Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 are repealed.
2. Implementing Regulation (EU) 2016/1377 is repealed.
3. Articles 12 and 21 of Regulation (EU) No 677/2011 and Annex VI to that Regulation are deleted.
Regulation (EU) 2017/373
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
It shall apply from 2 January 2020.
However:
(1) Article 9(2) shall apply from the date of entry into force of this Regulation;
(2) in respect of the Agency, Article 4(1), (2), (5), (6) and (8) and Article 5 shall apply from the date of entry into force of this Regulation;
(3) in respect of data services providers, Article 6 shall apply in any case from 1 January 2019 and, where such a provider applies for and is granted a certificate in accordance with Article 6, from the date of entry into force of this Regulation.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
GM1 Article 10 ‘Entry into force’
ED Decision 2017/001/R
DAT PROVIDERS
In respect of DAT providers, Regulation (EU) 2017/373 applies from 1 January 2019.
However, DAT providers are allowed, on a voluntary basis, to apply for, and be granted, the relevant certificates upon the entry into force of this Regulation (before 1 January 2019).
Where a DAT provider makes use of this possibility and is issued a certificate, it is bound by the applicable requirements of this Regulation.
Until 1 January 2019, DAT providers may continue to apply for the issuance of a Letter of Acceptance (LoA) by the Agency, in accordance with the terms and conditions set out in EASA Opinion 1/2005 issued on 21 January 2005.
Regulation (EU) 2017/343
Done at Brussels, 1 March 2017.
For the Commission
The President
Jean-Claude JUNCKER