Guidelines for NSAs for the IOP supervision process - Eurocontrol

EUROCONTROL

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Guidelines for NSAs for the Development of the Interoperability Supervision Process

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Directorate Single Sky (DSS) Support to CAA-NSA

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EUROCONTROL

E U R O C O N T R O L

Guidelines for NSAs for the Development of

the Interoperability Supervision Process

Edition: 2.0

December 2013

DIRECTORATE SINGLE SKY (DSS) SUPPORT TO CAA-NSA

DSS/Support to CAA-NSA ii Guidelines for NSAs for the Development of the Interoperability Supervision Process

Edition 2.0 December 2013

TABLE OF CONTENTS TABLE OF CONTENTS.......................................................................................................................................... II

1. INTRODUCTION ............................................................................................................................................. 1

1.1 PURPOSE .................................................................................................................................................. 1 1.2 INTENDED AUDIENCE ................................................................................................................................... 1

2. SCOPE............................................................................................................................................................ 1

2.1 THE REGULATORY BASELINE ........................................................................................................................ 1 2.2 THE CONTEXT OF THE INTEROPERABILITY ...................................................................................................... 1

3. CONTEXT ....................................................................................................................................................... 2

3.1 THE OBJECTIVE OF THE NSA INTEROPERABILITY SUPERVISION PROCESS......................................................... 2 3.2 NSA SUPERVISION ROLE FOR INTEROPERABILITY ........................................................................................... 2 3.3. INTEROPERABILITY DOCUMENTATION ............................................................................................................ 2 3.3. OVERSIGHT ON INTEROPERABILITY ISSUES .................................................................................................... 3 3.4 RELATION TO OTHER PROCESSES ................................................................................................................. 3

4. GENERIC PROCESS STEPS ......................................................................................................................... 5

4.1 GENERAL................................................................................................................................................... 5 4.2 PROCEDURAL GUIDANCE FOR STEPS............................................................................................................. 7

ANNEX 1 – TEMPLATE FOR NOTIFICATION TO THE COMMISION ABOUT NON COMPLIANCE OF THE EATMN SYSTEM AND/OR CONSTITUENT TO THE ER AND/OR IR................................................................... 1

ANNEX 2 – SES REGULATION NR 552/2004 COMPLIANCE LIST ..................................................................... 1

ANNEX 3 – ABBREVIATIONS AND ACRONYMS................................................................................................. 1

ANNEX 4- LIST OF REFRENCE DOCUMENTS .................................................................................................... 1

ANNEX 5 - TERMINOLOGY ................................................................................................................................... 1

ANNEX 6 – LIST OF VARIOUS EATMN SYSTEMS AND CONSITUENTS AND ASSOCIATED REGULATORY AND MEANS OF COMPLIANCE BASELINES ...................................................................................................... 1

DSS/Support to CAA-NSA 1 Guidelines for NSAs for the Development of the Interoperability Supervision Process


1. INTRODUCTION

1.1 Purpose

This document provides guidelines to CAA/NSAs to set up a process of SES ANSP interoperability supervision.

Main aim of the interoperability regulation EC (No) 552/2004 (IOP-R) is to achieve interoperability between the ATM various systems, constituents and associated procedures.

ANSPs are the primary stakeholders; however the NSAs also contribute in implementation of this regulation and with two major roles:

1. the supervision of compliance; and 2. storage and maintenance of submitted

interoperability documentation, mainly the EC declaration of verification of system (DoV) accompanied by a technical file (TF).

The systems conformity assessment process is the responsibility of ANSP and manufactures, is described in the associated EUROCONTROL Guidelines on conformity assessment1 (CA GM) for the interoperability Regulation of the single European sky.

The purpose of this process is to focus on oversight of the EATMN systems and/or associated constituents’ evolution.

Apart from the SES implementing rules relating to safety regulatory auditing, several ISO international standards provide consistent procedural guidance in auditing and therefore should is considered by NSAs for their interoperability oversight processes. In particular, the ISO 9000 and 14000 series emphasise the importance of audits as a management tool for monitoring and verifying the effective implementation by an organisation of various audit criteria, i.e. a defined a set of policies, requirements and procedures. ISO 19011:2002 provides guidance for management systems auditing as regards, inter-alia, the principles of auditing, the management of audit programmes, the conduct of an audit, the competency and evaluation of auditors etc.

1.2 Intended audience

This document is mainly intended for the CAA/NSAs and other State regulators who have delegated various State legal obligations to their NSAs in accordance with prevailing national law.

1 EUROCONTROL Guidelines on conformity assessment for the interoperability Regulation of the single European sky, Edition 3/0, 20/02/2012 (CA GM)

However, this document can provide others such as ANSPs with useful information in process of interoperability.

2. SCOPE

2.1 The regulatory baseline

Article 4 of the Framework Regulation (FR-R) EC 549/2004, under which NSAs are established, requires NSA, among others, to supervise compliance of ANSPs with SES legislation. The legislation also includes the interoperability regulation EC 552/2004, as amended and consolidated up to day.

The legislative tools for the ANSP interoperability are:

1. Essential Requirements (ERs); 2. Implementing Rules (IRs) and 3. Means of compliance (MoC) including

Community Specifications (CSs) ERs are very high level legislative requirements, which are presented in the annex II of the IOP-R. Each IR prescribes requirements to ensure interoperability between functions supported by a subset of the 8 systems as a complement or refinement of the ERs (e.g. interoperability between airborne and ground components of a data link communication service) also requirements to deploy these functions over EATMN (e.g. geographic coverage, timescale, exemptions, transitional arrangements) and finally requirements to verify compliance of systems and constituents with interoperability requirements (e.g. specific verification methods, calibration parameters). CSs are voluntary means of compliance with the ERs and/or relevant IOP-IRs. These requirements are recognised as a means of compliance with the relevant regulatory baseline providing a presumption of conformity with the essential requirements and relevant implementing rules for interoperability. However, they may be insufficient to manufacture a product or put a system into service as they may only cover part of the functional requirements. They define a solution that can be implemented (voluntary, nonbinding) by a subset of the 8 systems, their constituents and associated procedures.

IOP-R does not explicitly define what supervision activities NSA shall perform, however NSAs need to demonstrate how they fulfil their responsibilities.

2.2 The context of the interoperability

Article 2(28) of FR-R EC states that interoperability means a set of functional, technical and operational properties required of the systems and/or constituents of the EATMN and of the procedures for its operation, in order to enable its



safe , seamless and efficient operation. Interoperability is therefore achieved by making the systems and constituents compliant with the essential requirements”.

Traditionally, technical experts have looked at interoperability in the sense of two compatible systems “communicating” (interchanging information) with each other The legislator’s approach is often that we don’t really need to visualise both systems in order to imagine or achieve their interoperability.

Today ATM and the provision of ANS are a result of a supporting network of systems& constituents at the European level. To achieve the required interoperability of all these systems and constituents it is necessary that specific functions and specifications are implemented in most systems, thus ensuring the compliance with defined essential requirements given laid down by the interoperability requirements/SES legislation .

Consequently, these systems will acquire the necessary functional, technical and operational properties ensuring their interoperability in the sense required by safe, seamless and efficient operation.

Interoperability mainly aims to provide all airspace users with seamless operation regardless of national boundaries or fragmentation systems/local standards; this will only be achieved through an appropriate common implementation and common understanding of standards.

3. CONTEXT

3.1 The objective of the NSA Interoperability Supervision Process

The objective of the supervision by the NSA of the ANSP’s interoperability is to assure that:

1. the ANSP’s EATMN systems and/or constituents meet the associated requirements defined in the EC Regulation 552/2004 (IOP-R) during their evolution and whole life-cycle;

2. the ANSP is competent to properly follow all those related to this IOP-R mandates; and

3. Other requirements for their deployment are met also (implementation deadlines, exemptions allowed by IRs, mandates of other partners involved e.g. military, operators, industry etc.)

3.2 NSA supervision role for interoperability

The following diagram 3.1 shows the overall context of the interoperability supervision process.

The role of the NSA in regards OP supervision includes the following particular tasks:

1. Monitor the application of IRs, CSs & other IOP MoCs;

2. Verify if ANSP demonstrates fulfilling the conditions to conduct CA without resorting to Notified Bodies (NBs);

3. Safety oversight in relation to the EATMN systems;

4. Receive the DoVs/TFs submitted by an ANSP, assess and ascertain if systems & constituents comply with applicable Regulatory and MoC baselines;

5. Determine any cases of (potential) non-compliance with ERs & relevant IRs initiating corrective actions or issuing safeguard measures, in needed;

6. Establish enhanced cooperation, collaboration & coordination with other NSA/CAA for the IOP supervision of those systems & constituents supporting cross-border service provision.

The following should also be taken into account and addressed properly :

1. The IOP oversight should be approached within the wider context of an NSA’s duties under the SES.

1. Safety oversight (SO-IR, Reg. 1034/2011);

2. Performance monitoring (amended PS-IR, Reg. 610/2010);

3. Oversight of ANSP business plans (CR-IR, Reg. 1035/2011).

2. NSA should not limit IOP oversight to the provisions of IOP-R & IOP-IRs; an NSA should not treat IOP in isolation.

3. IOP-R & IOP-IRs do not contain specific requirements ; NSA need to document & make arrangements for IOP, oversight, in consultation with ANSPs, possibly with other State authorities as well;

4. The supervision on interoperability Implementation & ensuring regulatory compliance with EU law is a State obligation; explicit references to State obligation to ensure compliance, in most IOP-IRs, where bundled to civil & military implications; the responsibility most often cascaded to the NSA, national law.

3.3. Interoperability documentation

ANSP should fulfil its responsibilities in regards to interoperability – in doing so ANSPS should provide the following documents:

1. Declaration of verification (DoV) of systems : this document is considered as a ANSP statement that ANSP has verified that system meet the essential requirements of IOR and implementing rules for interoperability (if applicable) before that system is integrated into EATMN.



2. Technical file (TF): this document is considered as a collection of evidences gathered to support the statement of DoV. The most important documents of the TF are: Declaration of Conformity (DoC) or Declaration of Suitability of Use (DSU) issued by the manufacturer of the system or component.

3. Any other documentation requested by the NSA

3.3. Oversight on interoperability issues

Apart from the initial interoperability steps (described previously) in regards to new systems or changes (IOP supervision), there will be situations when the NSA oversight activity is necessary in order to meet the full supervision on an ANSP interoperability:

1. when NSA does not have full confidence in ANSP, or

2. when there are specific activities are required by the NSA defined in implementing rules,

3. whenever a concern in constituent (accompanied by EC declaration of conformity or suitability for use) or system (accompanied by EC declaration of verification) does not comply with the essential requirements and/or relevant implementing rules for interoperability.

When oversight activity is conducted by NSA predefined process will be used.

3.4 Relation to other processes

This process is strongly linked to other NSA processes as follows:

1. ANSP safety oversight (on going and of changes) process;

2. NSA performance plan development and its implementation monitoring process.



Figure 3.1: The interoperability supervision concept and context



4. GENERIC PROCESS STEPS

4.1 General

Three (3) major steps make up the whole IOP supervision process as per the following figure 4.1.1.

Figure 4.1.1: The three major steps for the supervision of SES ANSP interoperability

Each of the major steps is analysed in more detail in the flow chart below figure 4.1.2.

Apart from the description of the relevant steps of the process, the tables in para 4.2 include short guidance material for better understanding of the associated steps (GUI).

More detailed guidance material is included in the compliance lists of Annex 2. Also, references to the existing guidance are made there. 2

2 EUROCONTROL Guidelines on conformity assessment for the interoperability Regulation of the single European sky, Edition 3/0, 20/02/2012 (CA GM) NSA Coordination Platform, Guidelines on Interoperability Oversight, Edition 1.0/28/06/2012



Figure 4.1.2: The generic interoperability supervision process



4.2 Procedural guidance for steps

Note: Blue marks generic tasks; Yellow indicates explanatory material and additional guidelines.

Tasks Description and Comments

1. Management of DoV and TF received

1.1

ANSP shall formally submit to the NSA the associated new or updated DoV accompanied by a TF according to Art. 6(2) of the IOP-R below:

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

NSA shall confirm the DoV’s and TF’s reception.

GUI An NSA procedure agreed by ANSP and NSA should be in place on the to formal submission of DoVs and TFs.

GUI

This step is a good point to check if ANSP has notified NSA of any safety related change which is associated to the introduction of this particular EATMN system (Art. 9(2) SO-IR) or there is a planed change which may affect its compliance with the applicable common requirements or with the conditions attached to the certificate (Art. 6(2), CR-IR).

1.2

NSA shall examine if the system concerned is new or existing in normal operational use.

If NSA assesses that the system already exists, they shall proceed to the step: ‘Assess the IOP doc update significance (1.3)’

If NSA assesses that the submitted documents are for a new EATMN system, they shall proceed to the step: ‘Create or update track record file (1.4)’.

GUI The NSA should proceed to a brief analysis of the submitted IOP documentation. They should focus on the DoV, especially to the part where ‘a brief description of the system’ is presented.

1.3 If NSA assess that update is important, they shall proceed to the step ‘Check if the DoV is for EATMN system (1.5)’; if no, NSA shall proceed to the step: “Create or update truck record file (1.4)”

GUI If DoV and TF concern updates of documentation previously submitted, NSA shall assess if those updates require further examination, then passing through whole process for IOP supervision, otherwise they store the updates with the retained DoV and TF.

1.4

NSA shall create a new tracking record file for the system concerned or shall update the file of an existing system for this no significant change.

Not any other action is required.

Then go to the step: ‘Notify ANSP (3.5)’.

GUI A predefined and briefly documented internal NSA procedure should be in place and followed.

1.5

In order to check the applicability of IOP regulation, NSA shall check if the DoV and TF submitted concerns EATMN system for ANS services as defined in Art. 2 of FR-R and Annex I of IOP-R and are mentioned in detail in Annex 3 of this process:

List of EATMN systems for ANS services according to Annex I of IOP-R:

1. Systems and procedures for airspace management.

2. Systems and procedures for air traffic flow management.

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

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




5. Navigation systems and procedures.

6. Surveillance systems and procedures.

7. Systems and procedures for aeronautical information services.

8. Systems and procedures for the use of meteorological information.

GUI A list of the existing and under development IRs can be found in the web site:

http://ec.europa.eu/transport/air/single_european_sky/implementing_rules_en.htm

GUI ANSP should identify level of EATMN system for which it will provide DoV and TF.

GUI The DoV and TF submitted can involve two or more systems defined by Annex I of IOR.

GUI

IOP-R is applicable only for EATMN systems. Therefore, in order to verify ANSP compliance to IOP-R, a mapping of all ANSP’s EATMN systems (by ANSP) is suggested. (EATMN representation as defined in item 3.2 of EUROCONTROL Guidelines on conformity assessment for the interoperability Regulation of the single European sky, version 3.0, CA GM).

GUI

If ANSP has submitted a DoV and TF for the system, which is not considered as EATMN system or it has submitted DoV and TF for the system which can not be considered as a single EATMN system but only as a part of larger system (for example: ILS glide path, localizer, middle marker can not be submitted as 3 or more EATMN systems but only as one EATMN system), then the process is terminated unless additional effort is requested for ANSP, depending on the subject.

1.6 The NSA shall assess if the all EATMN constituent/s involved are identified by the ANSP as such. If yes, NSA shall proceed to the next step in the chain: ‘Examine if notified bodies are involved and their validity’’(1.8) ; if no, NSA shall proceed to the step: “Request additional actions (1.7)”

GUI

The identification of EATMN constituent should be made in line with the related IR or CS or following the definition of Art 2 (19) of FR-R "constituents" means tangible objects such as hardware and intangible objects such as software upon which the interoperability of the EATMN depends”.

1.7 NSA shall request additional actions by the ANSP.

These actions depend on particular issues addressed during the examination of relevant documents received until then and the associated records kept in the part by the NSA.

GUI This sub process may take long time if there are additional test(s) to be performed by ANSP or other entity involved in the system’s verification.

1.8.

NSA shall check if there is any notify body involved in the assessment of conformity/suitability for use referred to Art. 5 of IOP-R/ and/or the verification referred to Art. 6 of IOP-R.

NSA shall also check if the nomination of the notify body is still valid. If it is the case, NSA shall proceed to the step: “Examine DoV and TF against content requirement (2.1)”; if no, NSA shall proceed to the step: “Request additional actions (1.7)”.

Note: According to Art. 5(4) and 6(3) of IOP-R notify body can be used for assessment of conformity or suitability for use of constituents or for the verification of systems. It must be appointed by a Member State as required from the Art. 8 of.IOP-R.

GUI An up-to-date list of notified bodies have been formally appointed could be found in the web site:

http://ec.europa.eu/enterprise/newapproach/nando/index.cfm

GUI Notify body must meet criteria of Annex V of IOP-R/

2. Assessment on the content

2.1 NSA shall be properly prepared for a detail examination of the documentation submitted taking into consideration the regulatory and MoC baselines of the system concerned.

GUI NSA should go through all relevant EC-EU Regulations, IRs, ICAO documents, standards and




associated guidance available on the matter in order to examine system’s compliance with them in a systematic and scrutinised manner.

2.2

NSA shall go through:

1. DoV and TF (according to IOP-R/Annex IV); 2. DoC or DSU (according to IOP-R/Annex III); and upon ad hoc decision, subject to the matter’s importance 3. DoV, TF, DoC or DSU according to the associated IR applicable. If shortcomings are identified, the NSA shall require ANSP to correct deficiencies or to provide them with additional information necessary to identify compliance (ref: IOP-R/Art. 6(2)). NSA shall assess if it is needed to “trigger” the specific domain oversight process. If yes, NSA shall proceed to step 2.3: ‘Follow oversight process (2.3) ‘, otherwise shall proceed to step 3.3: ”Issue associated report including evidence”.

GUI

Shortcomings could be as follows not exhaustively:

• DoV and TF do not cover some items of the content (IOP Annex IV (1, 3) (e.g. a brief description of the system; identification of the signatory, DoC or DSU for some of the defined constituent);

• Some references in their DoV are missing (Annex IV (1, point 1)). Those references could be: IR, ICAO SARPs, specifications, associated standards;

• Related information on when and how the system is operational is not available as appropriate.

GUI Associated check lists should be in place providing guidance of key points, evidence, MoC and ways to assess the evidence. It is recommended that those lists to be developed on the basis of the EUROCONTROL guidance material on CA.

GUI IR compliance lists could be requested from the ANSP within the agreed NSA-ANSP co-operation.

GUI

Major triggers for oversight shall be:

• when NSA does not have full confidence in ANSP;

• when there are specific activities by NSA defined in implementing rules;

• when there is a concern that constituent (accompanied by EC declaration of conformity or suitability for use) or system (accompanied by EC declaration of verification) does not comply with the essential requirements and/or relevant implementing rules for interoperability.

GUI ANSP oversight process is fully described in the associated guidelines for NSAs for the Development of the ANSP Oversight Process, Edition 2.0.

GUI Applying safeguard, as it is defined in Art. 7 of IOP-R, is one of NSAs major responsibilities, so oversight activity is recommended wherever in doubt.

GUI NSA should require ANSP to apply a formal process how they develop the regulatory baseline for EATMN system as defined in CATF GUI, Chapter 4, in particular Article 4.2.

2.3

NSA shall proceed to ad hoc ANSP oversight in the domain according to the formal related NSA process in place.

If requirements are met shall proceed to the step 3.3: “Issue associated report including evidence (Check lists etc.)”, otherwise NSA shall proceed to the check if there is any deviation from ERs and IRs.

Where the NSA ascertains that:

(a) a constituent accompanied by a DoC and DSU, or

(b) a system accompanied by DoV does not comply with the ER and/or relevant IRs for interoperability,




NSA shall , with due regard the need to ensure safety and continuity of operations, take all measures necessary to restrict the area of application of the constituent or the system concerned or to prohibit its use by the entities under the responsibility of the authority (Art. 7 of IOP-R)

And then NSA shall proceed to step Implementation of safeguard measures (3.1)” otherwise proceed to step 1.7: ‘Request additional actions (1.7)’.

GUI NSA should define the scope of the oversight activity on the basis of the relevant IRs and CSs, if applicable.

GUI If relevant IRs require an oversight activity by NSA for the system concerned (e.g. Art. 5(3) of EC (No) 633/2007), this oversight activity should take place prior to accepting the IOP documentation

3. Following actions and archive

3.1 NSA shall take safeguard measures for restriction of application of the system and/or constituents.

GUI NSA may issue a Safety Directive (Art. 13, SO-IR) or use its powers delegated by national law to restrict or prohibit use/application of system and/or constituent concerned.

GUI Clear NSA guidelines on how to apply measures for restriction of application of system for NSA stuff are required.

3.2 Member State shall inform immediately the Commission of any measures taken (IOR, Article 7(2)).

GUI NSA staff needs to have guidance how to report to Commission or relevant State entity which is responsible for performing that task.

GUI The template of Annex 1 of the process can be used for reporting on non-compliance with ER and/or IRS for interoperability.

3.3

NSA shall draft a report on interoperability supervision of the EATMN system IOP documentation.

The report shall include conclusions and observations, if any. The findings must be supported by evidence (or reference to it) and identified in terms of the applicable regulations and/or IR audit/inspection has been conducted.

GUI By writing a report NSA ensures evidences that interoperability supervision is being done and that is exercise its powers impartially, independently and transparently, as stated Art. 4(3) of SP-R.

GUI Check list is used as a tool to check if DoV / TF contain required content as defined by Annex III and IV of IOP-R.

GUI A check list with required content defined in IOP-R and additional content requirement (if agreed by NSA and ANSP) may provide a useful tool when examination is performed.

Filled in check list is also evidence that NSA has review DoVs and TFs submitted by ANSP.

3.4 NSA shall storage the IOP documentation as appropriate. In case of a new system, a new file shall be created.

GUI NSA should have created a work tracking record for each EATMN system has been identified by ANSP.

GUI

Interoperability records should be used during the preparation for safety oversight, particularly in relation to requirements of Art. 6(1)(d)(i) of SO-IR:

“declarations of verification of systems, including any relevant declaration of conformity or suitability for use of constituents of systems issued in accordance with Regulation (EC) No 552/2004;”

3.5 NSA shall formally notify ANSP that:

a. they went through the whole process of interoperability supervision;

b. they concluded that not any measures are required for restrictions of using the system




concerned;

c. no further actions are requested by the ANSP on the matter.

GUI

According to IOP-R, NSA task on interoperability supervision function is to take safeguard measures, if required.

NSA is not formally authorised to provide a kind of certification or approval or acceptance of the system concerned.

GUI It is recommended NSA to define timeframes on submission of documentation and additional information and actions required.

DSS/Support to CAA-NSA A1 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 1: TEMPLATE FOR NOTIFICATION OG NON COMLPIANCE


ANNEX 1 – TEMPLATE FOR NOTIFICATION TO THE COMMISION ABOUT NON COMPLIANCE OF THE EATMN SYSTEM AND/OR CONSTITUENT TO THE ER AND/OR IR

Under development by the NCP associated task force

DSS/Support to CAA-NSA A2 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 2: SES REGULATION NR 552/2004 COMPLIANCE LIST


ANNEX 2 – SES REGULATION NR 552/2004 COMPLIANCE LIST

DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN

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INTRO 1 NSA, ANSP, STATE, EC

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

IOP


Having regard to the Treaty establishing the European Community, and in particular Article 80(2) thereof,

IOP


Having regard to the proposal from the Commission, IOP


Having regard to the opinion of the European Economic and Social Committee,

IOP


Having regard to the opinion of the Committee of the Regions, IOP


Acting in accordance with the procedure laid down in Article 251 of the Treaty (4), in the light of the joint text approved by the Conciliation Committee on 11 December 2003,

IOP

INTRO 7 NSA, ANSP, STATE, EC Whereas:


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

IOP

Article nr TextActions needed &

planned completion date

CompliancePara.

NrAppli-cability

AreaKey Elements Evidence Domain

Edition 2.0December 2013


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CompliancePara.

NrAppli-cability



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

IOP


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

IOP


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

IOP


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

IOP



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

IOP


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

IOP


(8) The internal market is a Community objective and therefore measures taken under this Regulation should contribute to its progressive development in this sector.

IOP


(9) It is therefore appropriate to define essential requirements which should apply to the European air traffic management network, its systems, constituents and associated procedures.

IOP



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

IOP


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

IOP


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

IOP



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

IOP


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

IOP



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

IOP


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

IOP


(17) Within the framework of the relevant Community legislation, due account should be taken of the need to ensure: — harmonised conditions with regard to the availability and efficient use of radio spectrum necessary for the implementation of the Single European Sky, including electromagnetic compatibility aspects, — protection of the safety-of-life services from harmful interference, — efficient and appropriate use of frequencies allocated to and managed exclusively by the aviation sector.

IOP



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(18) Council Directive 93/65/EEC of 19 July 1993 on the definition and use of compatible technical specifications for the procurement of air traffic management equipment and systems (1) is limited to obligations of awarding entities; this Regulation is more comprehensive in that it addresses obligations of all actors, including air navigation service providers, airspace users, industry and airports, and provides both for rules applicable to all and for the adoption of Community specifications which, while being voluntary, creates a presumption of conformity with the essential requirements.

IOP

Therefore, Directive 93/65/EEC, Commission Directive 97/15/EC of 25 March 1997 adopting Eurocontrol standards and amending Council Directive 93/65/EEC on the definition and use of compatible technical specifications for the procurement of air-traffic-management equipment and systems (2) and Commission Regulations (EC) No 2082/ 2000 of 6 September 2000 adopting Eurocontrol standards and amending Directive 97/15/EC (3) and (EC) No 980/2002 of 4 June 2002 amending Regulation (EC) No 2082/2000 should be repealed after a transitional period.

IOP

NSA, ANSP, STATE, EC INTRO 25



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

IOP

NSA, ANSP, STATE, EC HAVE ADOPTED THIS REGULATION: IOP

NSA, ANSP, STATE, EC

CHAPTER IGENERAL PROVISIONS

IOP

1 NSA, ANSP, STATE, EC

Article 1Objective and scope

IOP

1 1 NSA, ANSP, STATE, EC

1. Within the scope of the framework Regulation, this Regulation concerns the interoperability of the EATMN.

IOP

The ‘European air traffic management network’ (EATMN) is a concept created for the purpose of regulating the interoperability of systems, constituents and associated procedures supporting air navigation services.Article 2(17) of F-R defines the EATMN: ‘European air traffic management network’ (EATMN) means the collection of systems listed in Annex I of the [552/2004] the interoperability Regulation (Nr 552/2004) enabling ANS in the Community to be provided, including the interfaces at boundaries with third countries;


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

IOP



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

IOP


CHAPTER IIESSENTIAL REQUIREMENTS, IMPLEMENTING RULES FOR INTEROPERABILITY AND COMMUNITY SPECIFICATIONS

IOP


Article 2Essential requirements

IOP


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

IOP

From the legislative perspective, the EATMN is subdivided into 8 systems, which must comply with essential requirements and the relevant implementing rules forinteroperability throughout their lifecycle.

The verification of compliance of the EATMN systems with the essential requirements and IRs is done through a process called conformity assessment (CA) below analysed.


Article 3Implementing rules for interoperability

IOP



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

IOP

In addition to satisfying the relevant essential requirements of the interoperability Regulation, manufacturers and ANSPs need to identify the relevant implementing rules (IRs) applicable to a constituent or system and to demonstrate compliance with these requirements. Unless, specific conformity assessment procedures are specified in the IRs, the ANSP or manufacturer is free to choose an appropriate procedure.It is to be noted that implementing rules do not contain explicit traceability to the essential requirements and the scope may not cover the entire functionality of the system. Hence the ANSP or manufacturer must verify that the system or constituent complies with both the ERs and any applicable IRs.



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

IOP

According to the Article 2 of the F-R (Nr 499/2004) important definitions in the context of SES interoperability.39. ‘system’ means the aggregation of airborne and ground-based constituents, as well as space-based equipment, that provides support for ANS for all phases of flight;19. ‘constituents’ means tangible objects such as hardware and intangible objects such as software upon which the interoperability of the EATMN depends;32. ‘procedure’, as used in the context of the interoperability Regulation, means a standard method for either the technical or the operational use of systems, in thecontext of agreed and validated concepts of operation requiring uniform implementation throughout the EATMN.

3 3 EC 3. Implementing rules for interoperability shall in particular: IOP

The IOP IRs are adopted whenever necessary to achieve the objective of the IOP Regulation. In particular they determine or complement the IOP Regulation ERs. They also specify procedures for conformity assessment of systems and constituents and the conditions of implementation, including where appropriate the date by which all stakeholders are required to comply with the IR.

3 3 a EC

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

IOP



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3 3 b EC

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

IOP

3 3 c EC (c) determine the constituents when dealing with systems; and/or IOP

3 3 d EC

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

IOP

3 3 e EC

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

IOP



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3 4 EC

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

IOP

With regard supervision the IRs do not contain specific requirements to define its content and what has to be done by NSAs to confirm compliance with IOP Regulation and IRs. This is due to that fact that Article 3 of the IOP Regulation on Implementing Rules for Interoperability, which defines the powers delegated to the European Commission to adopt these rules, does not provide the legal basis to define supervisory tasks.The tasks to ensure compliance with the IOP IRs are put on Member States. Tasks are also assigned to Member States in cases where the obligation stemming from the IR does not fall on ANSPs or operators but on other stakeholders – for example military providers or organisations. For the implementation of these legal obligations States need to adopt national arrangements to ensure compliance. Such arrangements may include assignment of tasks to NSAs where the compliance of the ANSPs is concerned.

3 5 EC

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

IOP


Article 4Community specifications

IOP



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

IOP

SES Community specifications usually contain traceability to the essential requirements and relevant implementing rules for interoperability, whichmeans that their application provides a proven satisfaction of compliance against the identified regulatory baseline.Verification methods vary from constituent to constituent but typically include flight trials, testing methods, simulations, pre-operational trials, etc. These verification methods can be specified or referenced within the Community specifications or the other standards that were implemented.Otherwise the manufacturer and ANSP will need to provide evidence of the verification procedure (such as conformity assessment modules, site acceptance test reports, flight trial results, calibration details, etc.) (Ref: CA GM/Annex F/3.2).

4 1 a NSA, ANSP, STATE, EC

(a) European standards for systems or constituents, together with the relevant procedures, drawn up by the European standardisation bodies in cooperation with Eurocae, on a mandate from the Commission in accordance with Article 6(4) of Directive 98/34/EC of the European Parliament and of the Council of 22 June 1998 laying down a procedure for the provision of information in the field of technical standards and regulations (1) and pursuant to the general guidelines on cooperation between the Commission and the standardisation bodies signed on 13 November 1984; or

IOP

Community Specifications (CSs) are defined in Article 4 of the IOP Regulation as European Standards of the European standardisation bodies CEN, CENELEC and ETSI in cooperation with EUROCAE or Eurocontrol Specifications. Community Specifications are voluntary means of compliance and may be applied for systems and associated procedure or for constituents. Both ANSPs and manufacturers can use Community Specifications.



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4 1 b NSA, ANSP, STATE, EC

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

IOP


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

IOP

Other standards & specifications may also be used as means of compliance.However, the use of Community specifications has a specific value:When the relevant requirements of CSs are followed, this automatically provides the“presumption of conformity” with the ERs and/or relevant IOP-IRs (in line with ArtR8 of Council Decision 768/2008/EC and Art 4 IOP-R).


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

IOP

Compliance with the ER and/or IRs for interoperability is presumed for systems, together with associated procedures, or constituents that meet the relevant Community Specifications and whose reference numbers have been published in the OJ of the EU (http://eurlex.europa.eu/Result.do?arg0=552%2F2004+&arg1=Article+4&arg2=&titre=titre&chlang=en&RechType=RECH_mot&Submit=Search)


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

IOP



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

IOP


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

IOP


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

IOP


CHAPTER IIIVERIFICATION OF COMPLIANCE

IOP


Article 5EC declaration of conformity or suitability for use of constituents

IOP



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

IOP

Manufacturers (or their authorised representative established in the Community) conduct the necessary verification for constituents and issue a Declaration of Conformity (DoC) or Suitability for Use (DSU) for constituents [Article 5 and Annex III of the IOP Regulation]. Constituents have to be compliant with the applicable EU legislation before being placed on the market or put into service (such cases can include constituents developed in-house by the ANSPs or remanufactured legacy constituents). Manufacturers issue DoCs when a Community Specification is used or DSU when there is no Community Specification or it is not used.

The DoC and DSU are formal documents that are evidence that a defined constituent meets the applicable ER & IR baseline. They must contain traceability to the requirements that were used for Conformitry Assessment (CA) as determined by the regulatory baseline and references to any used CS. The traceability to the requirements can be documented in the form of a compliance matrix.

How to determine whether to develop a DoC or DSU? The CA GM recommends that, depending on the existence or application of a CS, the following cases are to be distinguished with regard to verifying compliance of constituents:• Community specifications are applied for DoC• Community specifications are not applied for DSU



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IOP-R does not specify any method and procedure for achieving verification of compliance. However, it recommends the use of the modules of Council Decision 93/465/EEC, further repealed by Decision No 768/2008/EC of the EP and of the Council of 9 July 2008 on a common framework for the marketing of products, which can be applied during the design, production and final inspection of constituents. The manufacturer is free to choose which CA module is applied unless otherwise specified in the relevant IRs.

The most likely used CA module is A (internal product control). For the production process, the manufacturer may choose from internally assembled and documented procedures and verifications, type or end-product acceptances through a notified body (e.g. in line with Module B), or even use of a certified QMS as approved by a notified body (e.g. in line with Module H).No CE label is required to designate IOP compliance of systems/ constituents used exclusively for ATM.


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

IOP

The NSAs may (via the ANSPs) advise the manufacturers to prepare DoCs/DSUs which are non-site specific to facilitate a common approach to compliance for the manufacturer’s product where appropriate.

5

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

IOP

As part of the detailed processes the NSAs have to be aware of the obligations of the manufacturers under the IOP Regulationand IRs. The role of the manufacturer (or authorised representative established in the Community (now the European Union)) is to ensure and declare, by means of DoC or DSU that it has applied the provisions laid down in the IOP Regulation ERs and relevant IOP IRs. The manufacturers must be able to support the declarations they have issued with evidence and ANSPs can request supporting documentation if necessary. Usually the NSAs do not have a relationship with the manufacturers. The relationship is principally through the ANSP, as a constituent can only be integrated into the EATMN by an ANSP. If however the NSAs decides that it needs additional information to supervise compliance it may also request additional information directly from manufacturers.




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

IOP

Where an IR is identified as part of the constituent’s applicable regulatory baseline, it shall identify appropriate tasks pertaining to the assessment of conformity or suitability for use of the constituent to be carried out by notified bodies. However, the manufacturer may delegate verification tasks to a NB even when there is no such obligation in the regulatory baseline.When verification tasks are achieved by an in-house entity, the manufacturer should ensure that this entity is fully trained and organised to implement CA activities, giving credit to its EC declarations.



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Establishing the EC DoV of an EATMN system is a responsibility of the ANSP.The DoV and its associated Technical File (TF) are formal documents that confirm and provide the evidence that a defined constituent meets the applicable regulatory baseline.Development of a DoV and TF: For each identified system that is being put into service, the ANSP needs to identify the applicable regulations (regulatory baseline) and relevant MoC which will constitute the baseline for the EC verification of a system to be conducted by means of CA procedures. The consolidated results and evidence obtained in the verification/CA process should be captured in the TF and declared in the DoV. The DoV and TF must be produced under the authority of the ANSP.

The DoV and TF must contain traceability to the requirements that were used for CA as determined by the regulatory and MoC baselines and the EATMN representation. The traceability to the requirements can be documented in the form of a compliance matrix.The validity of a DoV should be linked to the life-cycle of the concerned system.

IOP

ANSPs verify the systems to make sure that they are compliant with the regulatory baseline and issue an EC DoV, accompanied by Technical File (TF). ANSPs ensure that the evidence of compliance including DoCs and DSUs is contained in the TF.

ANSPs verify that the manufacturer’s declarations give both the assurance required by the IOP Regulation i.e. either conformity or suitability for use for ATM purposes.

ANSPs also verify that these constituents are fit for the purpose of the particular system that is being brought into service.

Article 6EC declaration of verification of

systems6 NSA, ANSP,

STATE, EC



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The specific conditions cover inter alia:• reporting methods;• professional integrity and technical competence of personnel;• access to relevant equipment;• sound technical and vocational training;• satisfactory knowledge of the requirements of the verification;• impartiality.

Considering that all processes of the ANSPs, including reporting and management of human resources, are subject to supervision by the NSAs under the SES legislation, supervision of the fulfilment of the conditions of the IOP IRs may be covered in the supervision of ongoing compliance or safety oversight and confirmed and/or declared by the ANSPs with the submission of the Interoperability documentation to demonstrate compliance with the IR. Such interpretation can also be supported, for example by the text of Article 11 (1) of SPI Regulation: “ANSPs which can demonstrate or have demonstrated that they fulfil the conditions set out in Annex VIII shall conduct a verification of the systems referred”.

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

IOP

ANSPs must demonstrate that they fulfil the specific conditions, detailed in IR annexes, to conduct verification of systems without the involvement of a Notified Body. Member States may arrange that their NSA takes responsibility for the supervision of ANSPs verification of systems to IRs. NSAs may consider linking the oversight of compliance with the Common Requirements Regulation with the process of verifying that ANSPs are capable of conducting conformity assessment. Alternatively, NSAs may opt to establish separate procedures to perform oversight of the Common Requirements Regulation and IOP requirements.




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6 2 NSA, ANSP

2. Before a system is put into service, the relevant air navigation service provider shall establish an EC declaration of verification, confirming compliance, and shall submit it to the national supervisory authority together with a technical file. The elements of this declaration and of the technical file are set out in Annex IV. The national supervisory authority may require any additional information necessary to supervise such compliance.

IOP

This Article obliges the ANSPs to establish an EC declaration of verification, confirming compliance of the system with the applicable regulatory baseline.This DoV together with a TF are submitted to the NSA/NSAs before a system is put into service after the initial installation or upgrade. The TF contains all the necessary documents relating to the characteristics of the system, including conditions and limits of use as well as documents demonstrating conformity or suitability for use of constituents where appropriate. The verification results, certificate of conformity and any relevant DoC/DSU, as applicable under the respective circumstances, must all be included as part of the TF. National requirements such as for ‘operational approvals’ can be combined with the EC DoV.

To fulfil its responsibility to supervise the compliance, the NSAs assesses the Interoperability Documentation for compliance with the regulatory baseline set forth in Annexes II to IV of the IOP Regulation and the applicable requirements from the IOP IRs. This is the core task of the NSA in the supervision of compliance with IOP Regulation and IRs.

As part of the verification of Interoperability Documentation, the NSAs may also request:1. the ANSPs to provide any additional information;2. the manufacturers (primarily through the ANSP) to provide information in addition to the EC Declaration of Conformity or Suitability for Use and accompanying documents;3. additional supporting information from other NSAs.



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IOP

The CA GM recommend that ANSPs submit their EC DoV to their NSA 1 month (30 days) prior to the planned date for putting a system into service. The submission period can be shortened for time-critical procedures that are agreed with the NSA. For major systems that are developed over a long period, early contact should be established between the ANSP and their relevant NSA. Regular communication should be maintained throughout the entire system development phase. To facilitate this interaction, intermediate document parts such as the EATMN representation can be submitted to the NSA for its review and opinion before submitting the final TF and DoV (recommended).

After the systems are put into service the NSAs need to periodically supervise if ANSPs ensure compliance of the systems, constituents and associated procedures with the relevant IOP IRs throughout their lifecycle as required by Article 3 of the IOP Regulation.

6 3 EC

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

IOP



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6 4 NSA, ANSP

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

IOP

IOP-R does not specify the method and procedure for achieving verification of compliance. However, it recommends the use of the modules of Council Decision 93/465/EEC (now repealed by Decision No 768/2008/EC of the EP and Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC) which can be applied during the design, production and final inspection of constituents. The manufacturer is free to choose which module is applied unless otherwise specified in the relevant implementing rule(s). To date, no IOP-IR requires the use of a specific module for CA; therefore it is expected that manufacturers are likely to make use of Module A (internal product control).

6a Article 6aAlternative verification of compliance

IOP



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6a 1 NSA, ANSP, STATE, EC

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

IOP

SES II has provided for a new Article 6a IOP-R: Alternative verification of compliance, to minimise the potential overlap between approvals/ certificates forequipment issued under the IOP-R and EASA BR respectively, :This new (SES II) Article 6a IOP-R allows for a certificate issued in accordance with the EASA Basic Regulation to be used as a DoC, DSU or DoV if it includes ademonstration of compliance with the essential requirements of the interoperability Regulation and the relevant IRs. In other words it allows that certificates issued incompliance with Regulation (EC) No 216/2008 (the EASA Basic Regulation) are also recognised as a DoC, DSU or DoV under the IOP-R.

Certification under the EASA BR is currently applied to airborne constituents and systems of EATMN until the necessary EASA implementation measures are alsoapplied to aerodromes, ATM and ANS (iaw EC Regulation 1108/2009).EASA is in the process of preparing new certification specifications that include both interoperability and airworthiness requirements, in particular a certificationspecification applicable to airborne data link.


Article 7Safeguards

IOP



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7 1 NSA, ANSP

1. Where the national supervisory authority ascertains that: (a) a constituent accompanied by an EC declaration of conformity or suitability for use, or (b) a system accompanied by the EC declaration of verification, does not comply with the essential requirements and/or relevant implementing rules for interoperability, it shall, with due regard to the need to ensure safety and continuity of operations, take all measures necessary to restrict the area of application of the constituent or the system concerned or to prohibit its use by the entities under the responsibility of the authority.

IOP

Safeguard measures involves interactions between NSA and the ANSP, between the NSA and the Member State, between Member State and the European Commission, between Member States and the originator of the DoC/DSU or the EC DoV (ANSPs and manufacturers).As NSAs have to ascertain non-compliances it may be concluded that the reasons and the opinion of the Member State will rely on the NSA assessment of the Interoperability Documentation and the decision to take safeguard measures and will not conduct any additional supervision at State level. An unsatisfactory operation in service will be the responsibility of the ANSP and this can be seen by the NSA through safety oversight.

The process established at national level for the implementation of Safeguard measures should describe the tasks and the interfaces among all the involved parties. NSA should inform the ANSP as soon as possible when it ascertains that there are non-compliances with the ERs or the IRs. The action by the NSA may come either before the system is put into service if the non compliance is apparent from the Interoperability Documentation.


2. The Member State concerned shall immediately inform the Commission of any such measures, indicating its reasons and, in particular, whether in its opinion non-compliance with the essential requirements is due to: (a) failure to meet the essential requirements; (b) incorrect application of the implementing rules for interoperability and/or Community specifications; (c) shortcomings in the implementing rules for interoperability and/or Community specifications.

IOP

When notified by the NSA for the safeguard measures taken, the Member State shall in turn immediately inform the European Commission of the measures taken in accordance with Article 7 (2) of the IOP Regulation.Further in the process (after the Commission gets involved and in case it determines that the measures are not-justified) Member States will need to ensure that the safeguard measures are withdrawn (Article 7(4) IOP Regulation). However, if the measures are justified, Member States have to take appropriate measures against the originator of the EC DoC, DSU or DoV and inform the Commission and other Member States - Article 7 (5) of the IOP Regulation.

The NSAs may also act retrospectively regarding a non compliance if this becomes apparent though a system in service operation which was not evident from the Interoperability Documentation. It is further recommended that the NSA and the ANSP discuss the potential measures and agree on corrective actions plan. NSAs should also take into account if the measures will impact adjacent States (cross-border ANS or need to introduce contingency measures, e.g. capacity reduction). In such cases it also recommended that the NSAs inform the NSAs of these adjacent states about the measures.



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

IOPThe parties concerned involve the NSA, ANSP, manufactures and Notified Bodies, if relevant.


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

IOP


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

IOP


DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex I

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I. NSA, ANSP, STATE, EC

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

I. 1 NSA, ANSP, STATE, EC

1. Systems and procedures for airspace management. IOP


2. Systems and procedures for air traffic flow management. IOP


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

IOP


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

IOP

I. 5 NSA, ANSP, STATE, EC 5. Navigation systems and procedures. IOP

I. 6 NSA, ANSP, STATE, EC 6. Surveillance systems and procedures. IOP


7. Systems and procedures for aeronautical information services. IOP


8. Systems and procedures for the use of meteorological information. IOP

Nr.of ANNEX

Arti-cle nr

TextActions needed &


CompliancePara.

NrApplicability



DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex II: ER

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II. A NSA, ANSP, STATE, EC ESSENTIAL REQUIREMENTS IOP

II. A NSA, ANSP, STATE, EC Part A: General requirements IOP

II. A NSA, ANSP, STATE, EC

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

IOP

After the DoV and TF are submitted and the ANSPs have applied the due diligence in the conformity assessment, there should be an interaction with the NSA in order to confirm that the NSA is satisfied with the declaration of compliance of the constituents and the system with the ERs and the IRs, preferably before the system is put into service.

Following the guidance provided to the ANSPs (CA GM) prior to the submission of the interoperability documentation, the NSAs may establish an internal check list of what should be verified by them with respect to the structure and the content of the interoperability documentation. The verification action by the NSAs will be to assess whether the ANSP has adequately verified that the systems and constituents meet the general and specific essential requirements and the requirements in the relevant IRs.

II. A 1 NSA, ANSP, STATE, EC 1. Seamless operation IOP

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II. A 1 NSA, ANSP, STATE, EC

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

IOP


2. Support for new concepts of operation

IOP

II. A 2 1 NSA, ANSP, STATE, EC

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

IOP

Adequate statements on justification for the enhancement of system's quality, sustainability and effectiveness in terms of safety and capacity should be provided in the IOP documentation.Assocaited feasibility studies should be also available.



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

IOP

II. A 3 NSA, ANSP, STATE, EC 3. Safety IOP


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

IOP

This ER is a general requirement applicable to all EATMN constituents and systems. Implementing rules for interoperability do not really refine this ER. In general, they restate the obligation of developing a safety assessment prior to the initial installation and the implementation of system changes, however, it is to be noted that some implementing rules contain safety-related requirements. The development of a safety assessment for an EATMN constituent or system can be considered as a contribution to the achievement of compliance with this ER (Ref CA GM/Annex E/ER3).

It is recommended that the ER on safety ER be overseen as part of the safety oversight process for system changes (EC Reg. 1035/2011, Articles: 9 and 10). NSA should be involved in the safey domain from the planning phase of the system. The IOP supervision starts a few days before the system's operation. Certainly is upon national NSA's decision to be involved also from the planning phase.



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

IOP


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

IOP


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

IOP


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

IOP

Assocaited standrards should be taken intoconsideration during the design

II. A 4 NSA, ANSP, STATE, EC 4. Civil-military coordination IOP



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The EATMN, its systems and their constituents shall support the progressive implementation of civil/military coordination, to the extent necessary for effective airspace and air traffic flow management, and the safe and efficient use of airspace by all users, through the application of the concept of the flexible use of airspace. To achieve these objectives, the EATMN, its systems and their constituents shall support the timely sharing of correct and consistent information covering all phases of flight, between civil and military parties. Account should be taken of national security requirements.

IOP

II. A 5 NSA, ANSP, STATE, EC 5. Environmental constraints IOP


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

IOPAssociated environmental standards should be met as appropriate.

Associated requirements should be addressed to the specs for procurement and relevant contracts, manuals, handbooks.


6. Principles governing the logical architecture of systems

IOP


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

IOP


7. Principles governing the construction of systems

IOP



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

IOP

II. B NSA, ANSP, STATE, EC Part B: Specific requirements IOP

II. B NSA, ANSP, STATE, EC

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

IOP

II. B 1 NSA, ANSP, STATE, EC

1. Systems and procedures for airspace management

IOP

II. B 1 NSA, ANSP, STATE, EC 1.1. Seamless operation IOP

II. B 1 1 NSA, ANSP, STATE, EC

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

IOP


2. Systems and procedures for air traffic flow management

IOP

II. B 2 NSA, ANSP, STATE, EC 2.1. Seamless operation IOP



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

IOP


3. Systems and procedures for air traffic services

IOP

B 3 1 NSA, ANSP, STATE, EC 3.1. Flight data processing systems IOP

B 3 1.1 NSA, ANSP, STATE, EC 3.1.1. Seamless operation IOP

II. B 3 1.1. NSA, ANSP, STATE, EC

Flight data processing systems shall be interoperable in terms of the timely sharing of correct and consistent information, and a common operational understanding of that information, in order to ensure a coherent and consistent planning process and resource-efficient tactical coordination throughout the EATMN during all phases of flight.

IOP

II. B 3 1.1 NSA, ANSP, STATE, EC

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

IOP



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3.1.2. Support for new concepts of operation IOP


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

IOP


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

IOP


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

IOP


3.2. Surveillance data processing systems IOP

II. B 3 2.1 3.2.1. Seamless operation IOP



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Surveillance data processing systems shall be designed, built, maintained and operated using the appropriate and validated procedures, in such a way as to provide the required performance and quality of service within a given environment (surface, TMA, en-route) with known traffic characteristics, in particular in terms of accuracy and reliability of computed results, correctness, integrity, availability, continuity and timeliness of information at the control position. Surveillance data processing systems shall accommodate the timely sharing of relevant, accurate, consistent and coherent information between them to ensure optimised operations through different parts of the EATMN.

IOP




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

IOP


3.3. Human-machine interface systems IOP

II. B 3 3.1 NSA, ANSP, STATE, EC 3.3.1. Seamless operation IOP



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

IOP




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

IOP


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

IOP

II. B 4 1 NSA, ANSP, STATE, EC 4.1. Seamless operation IOP



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

IOP


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

IOP

II. B 4 2 4.2. Support for new concepts of operation IOP


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

IOP


5. Navigation systems and procedures

IOP




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

IOP


6. Surveillance systems and procedures

IOP



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

IOP


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

IOP



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7. Systems and procedures for aeronautical information services

IOP



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

IOP


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

IOP


7.2. Support for new concepts of operation IOP


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

IOP


8. Systems and procedures for the use of meteorological information

IOP



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

IOP


8.2. Support for new concepts of operation IOP



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

IOP


DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex III

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III. NSA, ANSP, STATE, EC CONSTITUENTS IOP

III. NSA, ANSP, STATE, EC

EC declaration of conformity of suitability for use IOP

III. 1 NSA, ANSP, STATE, EC 1. Constituents IOP

III. 1 NSA, ANSP, STATE, EC

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

IOP

III. 2 NSA, ANSP, STATE, EC 2. Scope IOP

III. 2 1 NSA, ANSP The EC declaration covers: IOP

III. 2 1 NSA, ANSP

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

IOP

III. 2 1 NSA, ANSP

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

IOP

III. 2 2 NSA, ANSP

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

IOP

III. 3 NSA, ANSP 3. Contents of the EC declaration IOP

III. 3 1 NSA, ANSP

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

IOP

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III. 3 2 NSA, ANSP

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

IOP

III. 3 2 NSA, ANSP - the Regulation references, IOP

Apart from the regulatory baseline, which represents the collection of associated regulations, also MoC baseline references should be mentioned including the CS involved.

III. 3 2 NSA, ANSP

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

IOP



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III. 3 2 NSA, ANSP

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

IOP

Indication of conformity assessment procedures pursuant to Council Decision No 768/2008/EC and results of the assessment, if a special procedure has not been stipulated by a regulation (Implementing Rule) or directive (e.g. Annex III Parts A and B of Regulation (EC) No 1265/2007).The conformity assessment procedures used must be referenced to the regulation/guidelines.If procedures are indicated which require a notified body, the details of the notified body must be given in the corresponding chapter.

The procedure should include the traceability to ERs and IR as well to CS and other MoC by means of a matrix and mapping presentation. The associated mapping file shou be included in the TF.

A clear declaration statement as follows should be included in this part of DoV:"The air navigation services provider [Name, Headquarters] hereby declares that the system described above has been the subject of an EC verification in accordance with the relevant implementing rules for interoperability and hereby confirms that the essential requirements of the aforementioned regulations have been met."



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III. 3 2 NSA, ANSP-all of the relevant provisions met by the constituent and in particular its conditions of use,

IOP

All of the relevant provisions met by the constituent and in particular its conditions of use. If no such conditions exist for its use (it may have already been covered under the section 'Description of the constituents'), then this should be explicitly indicated.The relevant provisions may be standards, or regulations/technical specifications of ANSPs, manufacturers, EUROCONTROL, EUROCAE, EASA or ICAO, which the constituent complies with in relation to Regulation (EC) No 552/2004 and relevant implementing rules on interoperability.

III. 3 2 NSA, ANSP

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

IOP

NSA should also request ANSP to submit a copy of the examination certificates of NBs involved.



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III. 3 2 NSA, ANSP- where appropriate, reference to the Community specifications followed,

IOP

Community specifications can only be applied as a whole to demonstrate compliance with the requirements. Partial use of the Community specifications is not in principle permissible.

III. 3 2 NSA, ANSP

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

IOP


DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex IV

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IV. NSA, ANSP SYSTEMS IOP

IV. NSA, ANSP EC declaration of verification of systems IOP

IV. NSA, ANSP Verification procedure for systems IOP

IV. 1 NSA, ANSP 1. Contents of EC declaration of verification of systems IOP

IV. 1 1 1 NSA, ANSP

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

IOP

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IV. 1 1 1 NSA, ANSP - the Regulation references, IOP

The regulatory baseline of an EATMN system or constituent addressed by these guidelines is the set of regulatory requirements applicable to this system or constituent that is relevant to the interoperability Regulation. The requirements will comprise essential requirements (ERs) and those from applicable implementing rules (IRs). IR articles dealing with the scope, dates ofapplication, transient and exemption measures, if any, must be carefully analysed to determine the regulatory baseline applicable to a given EATMN system or constituent.Other regulations may also apply to a given EATMN constituent or system and will need to follow the specific conformity assessment procedures defined by those regulations.

Apart from the regulatory baseline, which represents the collection of associated regulations, also MoC baseline references should be mentioned including the CS involved.

IV. 1 1 2 NSA, ANSP- name and address of the air navigation service provider (trade name and full address),

IOP



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IV. 1 1 3 NSA, ANSP -a brief description of the system, IOP

Also it is recommended to mention:1. Position of the system in EATMN representation;2. List of constituents.

IV. 1 1 4 NSA, ANSP-description of the procedure followed in order to declare conformity of the system (Article 6 of this Regulation),

IOP

Description of the procedure followed to declare conformity of the system (Article 6 of the interoperability Regulation) ensuring that it has been checked in terms of:1. overall design;2. development and integration of the system, including in particular constituent assembly and overall adjustments;3. operational system integration;4. specific system maintenance provisions if applicable;5. Role(s) of the ANSP in-house verification entity within the verification procedure;6. If applicable: a. The name, address and identification number of the notified body(ies); b. Role(s) and task(s) of the notified body(ies) within the verification procedure.



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IV. 1 1 5 NSA, ANSP

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

IOP

NSA should also request ANSP to submit a copy of the Examination Certificates of NBs involved.

Reference to the Certificate of Conformity (Annex IV/2 of Reg 552) drawn up by Notified Body should be requested.

IV. 1 1 6 NSA, ANSP - the references of the documents contained in the technical file, IOP

List of documents, and if applicable, certificates of conformity issued by notified bodies, that are included in the technical file (Ref. section 6 of CA GM).



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IV. 1 1 7 NSA, ANSP - where appropriate, reference to the Community specifications, IOP

Community specifications listed in the Official Journal of European Union which are either:1. European Norms (EN) giving a presumption of conformity with the corresponding regulations identified in III and implemented by the EATMN system;2. EUROCONTROL Specifications a giving presumption of conformity with the corresponding regulations identified in III and implemented by the EATMN system;3. Other (compliance with essential requirements of the interoperability Regulation needs to be justified);4. International standards applied as means of compliance with corresponding regulations identified in III and implemented by the EATMN system;5. Other operational and technical specifications applied as means of compliance with regulations identified in III and implemented by the EATMN system.



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IV. 1 1 8 NSA, ANSP

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

IOP

All the relevant temporary or definitive provisions to be complied with by the system:1. Key performance indicators of the EATMN system (static and dynamic parameters, such as limits, number of sectors, CNS interfaces, number of users, number of aircraft supported, etc.);2. Operating conditions or restrictions;3. Backup facilities or standby systems.

IV. 1 1 9 NSA, ANSP - if temporary: duration of validity of the EC declaration, IOP

IV. 1 1 10 NSA, ANSP - identification of the signatory. IOP

Name, position/function and signature of the person empowered to enter into commitments on behalf of the air navigation service provider.Date and signature along with identification of the signatory should be also requested.

IV. 2 2. Verification procedure for systems IOP

IV. 2 1 NSA, ANSP

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

IOP



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IV. 2 2 NSA, ANSP The system is checked for each of the following aspects: IOP

IV. 2 2 1 NSA, ANSP - overall design, IOP

The documentation must show that the system meets all the requirements. This can be done, for example, by comparing the requirements of the air navigation service provider or those of the implementing rules with the performance characteristics achieved.

The statements must include quantitative and qualitative information.Supporting documents can take the form, for example, of specifications, requirement documentation or acceptance documentation.The system's interfaces (both external and between its various constituents) may also be explained by means of a detailed diagram or a description of the system.

IV. 2 2 2 NSA, ANSP

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

IOP

As regards the system integration, it is necessary to demonstrate how the system fits into the existing system environment (in technical and operational terms).Information on the interface specifications should be provided here.



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IV. 2 2 3 NSA, ANSP - operational system integration, IOP

It must be explained how the system will be put into operation; this may be demonstrated e.g. by an integration plan or a transition planor by the results of (integration) tests, technical acceptance tests or operational acceptance tests.The documentation must demonstrate that the necessary qualification measures have been taken and that their implementation has been verified in the acceptance tests.

IV. 2 2 4 NSA, ANSP -specific system maintenance provisions if applicable. IOP

These include technical system operating instructions, operating instructions for system engineers and technical instructions on use.

IV. 2 3 NSA, ANSP

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

IOP

IV. 3 NSA, ANSP 3. Technical file IOP



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IV. 3 1 NSA, ANSP

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

IOP

Includes traceability to the requirements used for conformity assessment – Regulatory and MoC baselines. Might be supported by:1. Accompanying documents – instructions, manuals, implementation conformance statements, performance specifications, Examination Certificate (if NB has been involved;2. Compliance matrix if agreed;3. Documents on associated procedures;4. Reference to the notified change, if necessary, under the Safety Oversight Regulation;5. Indication of relevant safety objectives, safety requirements and safety related conditions met by the system;6. Documents according to local legal requirements;7. Documents according to other international legal requirements – other EU directives, regulations.

IV. 3 2 The following documents shall be included as a minimum: IOP



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IV. 3 2 1 NSA, ANSP

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

IOP

A matrix list mapping the associated specs requirements with the ERs and IRs could be useful for the NSA assessment.

IV. 3 2 2 NSA, ANSP -list of constituents as referred to in Article 3 of this Regulation, IOP

IV. 3 2 3 NSA, ANSP

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

IOP

IV. 3 2 4 NSA, ANSP

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

IOP

Where a notified body has been involved in the verification of the system, it contains a certificate countersigned by the notified body, stating that the system complies with the regulation (including any restrictions), with reference to the regulation.

IV. 3 3 NSA, ANSP

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

IOP

IV. 4 NSA, ANSP 4. Submission IOP



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IV. 4 1 NSA, ANSP

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

IOP

IV. 4 2 NSA, ANSP

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

IOP


DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex V

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V. NSA, ANSP NOTIFIED BODIES IOP

V. 1 NSA, ANSP

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

IOP

V. 2 NSA, ANSP

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

IOP

V. 3 NSA, ANSP

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

IOP

V. 4 NSA, ANSP 4. The staff responsible for inspection must have: IOP

V. 4 1 1 NSA, ANSP -sound technical and vocational training, IOP

V. 4 1 2 NSA, ANSP- satisfactory knowledge of the requirements of the inspections they carry out and adequate experience of such operations,

IOP

V. 4 1 3 NSA, ANSP- the ability required to draw up the declarations, records and reports to demonstrate that the inspections have been carried out.

IOP

V. 5 NSA, ANSP

5. The impartiality of the inspection staff must be guaranteed. Their remuneration must not depend on the number of inspections carried out or on the results of such inspections.

IOP

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DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: Compliance check list of EC No 552/2004 on the interoperability of the EATMN, Annex V

A2-60/60

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goingNo

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V. 6 NSA, ANSP

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

IOP

V. 7 NSA, ANSP7. The staff of the body must observe professional secrecy with regard to all information acquired in carrying out their tasks under this Regulation.

IOP


DSS/Support to CAA-NSA A3-1 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 3: ABBREVIATIONS


ANNEX 3 – ABBREVIATIONS AND ACRONYMS

a/c : Aircraft ADQ-IR : European Commission Regulation (EU) No

73/2010 laying down requirements on the quality of aeronautical data and aeronautical information for the single European sky

AIS : Aeronautical Information Services AMC : Acceptable means of compliance (voluntary

material such as CS) ANS : Air Navigation Service ANSP : Air Navigation Service Provider APP : Approach ASM : Airspace Management ATCO : air traffic controllers ATCO-IR : EASA/ EU Regulation (EU) No XXX/2011

repealing the ATCO Directive 2006/23/EC of the European Parliament and Council

ATFM : Air Traffic Flow Management ATFM-IR : European Commission Regulation (EU) No

255/2010 laying down common rules on air traffic flow management

ATM : Air Traffic Management ATC : Air Traffic Control ATS : Air Traffic Services AOM : Airspace Organisation and Management AOP : Airports Operations CAA : Civil Aviation Authority CBP : Core Business Processes CFMU : Central Flow Management Unit CNS : Communications, Navigation,

Surveillance, COM : Communications COTR-IR : European Commission Regulation (EU) No

1032/2006 laying down requirements for automatic systems for the exchange of flight data for the purpose of notification, coordination and transfer of flights between air traffic control units

CR : Common requirements for the provision of ANS

CR-IR : or CR-R, European Commission Implementing Regulation (EU) No 1035/2011 laying down the common requirements for the provision of ANS and amending Regulations (EC) No 482/2008 and (EU) No 691/2010

CS : Community Specification CRCO : Central Route Charges Office DL-IR : European Commission Regulation (EU) No

29/2009 laying down requirements on data link services for the single European sky

DoV : EC declaration of verification of system EAM : ESARR Advisory Material EASA : European Aviation Safety Agency EATMN : The European air traffic management network EC : European Communities ECAC : European Civil Aviation Conference EEA : European Economic Area (agreement) ESARR(s) : EUROCONTROL Safety Regulatory

Requirement(s)

EU : European Union ESSIP : European Single Sky ImPlementation EXC : Excellence, QMS Domain ENV : Environment FIN : Financial FIR : Flight Information Region FUA : Flexible Use of Airspace HUM : Human Resources Domain IANS : Institution Air Navigation Services ICAO : International Civil Aviation Organisation INF : Information; AIS Domain ECAA :

European Civil Aviation Area (multilateral agreement)

FAB : Functional Airspace Block (defined in Art 2.25 FR)

FAB-IR : European Commission Regulation (EU) No 176/2011 on the information to be provided before the establishment and modification of a functional airspace block

FR : Regulation (EU) No 549/2004 (the framework Regulation, Ref. [1])

FUA : Flexible use of airspace FUA-IR : European Commission Regulation (EU) No

2150/2005 laying down common rules for the flexible use of airspace

GAT : General Air Traffic (defined in Art 2.26 FR) HR : Human resources iaw : in accordance with ICAO : International Civil Aviation Organization IEC : International Electro technical Commission,

one of three global sister organizations (IEC, ISO, ITU) that develop International Standards for the world

IFP-IR : European Commission Regulation (EU) No 1033/2006 laying down the requirements on procedures for flight plans in the pre-flight phase for the SES

IFRS : International Financial Reporting Standards IOP : Interoperability (defined in Art 2.28 FR) IOP-IRs : European Commission regulations adopting

implementing rules for interoperability in the frame of IOR

IOR : Regulation (EU) No 552/2004 (the interoperability Regulation, Ref. [4])

ISO : International Organisation for Standardisation KPA : ey Performance Area (in relation to PS-IR) JAA : Joint Aviation Authorities LAW : Legal Framework, Law Domain LSSIP : Local Single Sky ImPlementation LSSIPD : LSSIP Document MET : Meteorological service, an air navigation

service (defined in Art 2.29 FR) METP : Meteorological service provider MIL : abbreviation used to refer in general to the

military authorities for ATM/ANS MoC : Means of compliance (voluntary material) MLO : Medium Level Objective NAV : Navigation NF-IR : Regulation (EU) No 677/2011 on the network

management and design functions NSA : National Supervisory Authority PM : Project Manager

DSS/Support to CAA-NSA A3-2 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 3: ABBREVIATIONS


PMP : Project Management Plan PRC : Performance Review Committee PS : The SES II Performance Scheme, as per

Article 11 FR and PS-IR PS-IR : European Commission Regulation (EU) No

691/2010 laying down a performance scheme for air navigation services and network functions and amending Regulation (EU) No 2096/2005

QA : Quality Assurance QE : Qualified Entity QM : Quality Management QMS : Quality Management System (e.g. ISO9001) REG : abbreviation used to refer in general to other

regulatory authorities than the NSA SAF : Safety Domain SAR : Search and Rescue SARPs : Standards and Recommended Practices

(ICAO) SEC : Security domain SES : Single European Sky SES I : The first legislative package of the single

European sky (2004) comprising EU Regulations Ref. [1], [2], [3] and [4]

SES II : The second legislative package of the single European sky (EC 691/2010)

SESAR : Single European Sky ATM Research SecS : Security System SIS : Stakeholder Implementation Support SMS : Safety Management System SBP : Strategic Business Plan SBPD : Strategic Business Plan Document SO-IR : or SO-R, European Commission Implementing

Regulation (EU) No. 1034/2011 on safety oversight in ATM and ANS and amending Regulation (EU) No 691/2010

SP-R : Regulation (EU) No 550/2004 (the service provision Regulation, Ref. [2])

STO : Strategic Objective SRRs : Safety Regulatory Requirements SUR : Surveillance SW : Software (in relation to software assurance and

(EU) Regulation 482/2008) TF : Technical file (accompanying the EC

declaration of verification of system) TMA : Terminal Control Area Note: All terms used in this document should be

interpreted with their meanings as defined (where the case) or used in the SES legislation

DSS/Support to CAA-NSA A4-1 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 4: LIST OF REFERENCE DOCUMENTS


ANNEX 4- LIST OF REFRENCE DOCUMENTS

Nr LIST OF REFERENCE DOCUMENTS

EC REGULATIONS AND ASSOCIATED LEGISLATION

[1] Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 “laying down the framework for the creation of the single European sky (the framework Regulation)”

[2] 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)”

[3] 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) “

[4] Regulation (EC) No 552/2004 of the European Parliament and of the Council of 10 March 2004 “on the interoperability of the European Air Traffic Management network (the interoperability Regulation)”.

[5] Commission Regulation (EC) No 1070/2009 of 21.08.2009 - amending Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004 and (EC) No 552/2004 in order to improve the performance and sustainability of the European aviation system

[6] 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”

[7] 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”

[8] 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

[9] Commission Regulation (EU) No 691/2010 of 29 July 2010 laying down a performance scheme for air navigation services and network functions and amending Regulation (EC) No 2096/2005 laying down common requirements for the provision of air navigation services

[10] Council Resolution No 85/C 136/01of 7 May 1985 on a new approach to technical harmonization and standards

[11] Council Resolution No 90/C 10/01of 21 December 1989 on a global approach to conformity assessment

[12] Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC

[13] Commission Regulation (EC) No 2150/2005 of 23 December 2005 laying down common rules for the flexible use of airspace

[14] Commission Regulation (EC) No 730/2006 of 11 May 2006 on airspace classification and access of flights operated under visual flight rules above flight level 195

[15] Commission Regulation (EC) No 1032/2006 of 6 July 2006 laying down requirements for automatic systems for the exchange of flight data for the purpose of notification, coordination and transfer of flights between air traffic control units

[16] Commission Regulation (EC) No 1033/2006 of 4 July 2006 laying down the requirements on procedures for flight plans in the pre-flight phase for the single European sky

[17] Commission Regulation (EC) No 1794/2006 of 6 December 2006 laying down a common charging scheme for air navigation services

[18] Commission Regulation (EC) No 633/2007 of 7 June 2007 laying down requirements for the application of a flight message transfer protocol used for the purpose of notification, coordination and transfer of flights between air traffic control units

[19] Commission Regulation (EC) No 1265/2007 of 26 October 2007 laying down requirements on air-ground voice channel spacing for the single European sky

[20] Commission Regulation (EC) No 29/2009 of 16 January 2009 laying down requirements on data link services for the single European sky

[21] Commission Regulation (EC) No 30/2009 of 16 January 2009 amending Regulation (EC) No 1032/2006 as far as the requirements for automatic systems for the exchange of flight data supporting data link services are concerned

[22] Commission Regulation (EC) No 262/2009 of 30 March 2009 laying down requirements for the coordinated allocation and use of Mode S interrogator codes for the single European sky

[23] Commission Regulation (EC) No 255/2010 of 25 March 2010 laying down common rules on air traffic flow management

[24] Commission Regulation (EC) No 73/2010 of 26 January 2010 laying down requirements on the quality of aeronautical data and aeronautical information for the single European sky.

[25] Council Directive 94/56/EC of 21 November 1994 establishing the fundamental principles governing the investigation

DSS/Support to CAA-NSA A4-2 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 4: LIST OF REFERENCE DOCUMENTS


Nr LIST OF REFERENCE DOCUMENTS

of civil aviation accidents and incidents

[26] Directive 2003/421EC of the European Parliament and the Council of 13 June 2003 “on occurrence reporting in civil aviation”.

[27] Directive 56-94 of the European Parliament and the Council establishing the fundamental principles governing the investigation of civil aviation accidents and incidents.

[28] Commission Regulation (EC) No 1321/2007 of 12 November 2007 laying down implementing rules for the integration into a central repository of information on civil aviation occurrences exchanged in accordance with Directive 2003/42/EC of the European Parliament and of the Council

[29] Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003 on occurrence reporting in civil aviation

[30] Commission Regulation (EC) No 1330/2007 of 24 September 2007 laying down implementing rules for the dissemination to interested parties of information on civil aviation occurrences referred to in Article 7(2) of Directive 2003/42/EC of the European Parliament and of the Council

[31] Directive 2006/23/EC of the European Parliament and of the Council of 5 April 2006 on a Community air traffic controller licence

[32] Commission Regulation EC) No 1108/2009 of the European Parliament and of the Council of 21 October 2009 amending Regulation (EC) No 216/2008 in the field of aerodromes, air traffic management and air navigation services and repealing Directive 2006/23/EC

[33] Commission Regulation (EU) N° 677/2011 of 7 July 20 11 laying down detailed rules for the implementation of air traffic management (ATM) network functions and amending Regulation (EU) N° 691/2010.

EUROCONTROL AND EU DOCUMENTATION

[34] EUROCONTROL Guidelines on conformity assessment for the interoperability Regulation of the single European sky, Edition 3/0, 20/02/2012 (CA GM)

[35] NSA Coordination Platform, Guidelines on Interoperability Oversight, Edition 1.0/28/06/2012

[36] Training material of the IANS course: Supervision of SES Interoperability, 11/05/2012

EASA DOCUMENTATION

[37] EASA Organisations Certification Procedure, adopted on 3 February 2004 by means of the EASA Management Board Decision 3-2004 concerning the general principles related to certification procedures to be applied by the EASA Agency for issuing certificates for organisations.

[38] EASA Internal Working Procedure for Maintenance Organisation Approval (MOAP), Issue 1, 20 December 2004

[39] EASA Internal Working Procedure for Type Certification (TCP), issue 1, 20 December 2004

[40] EASA Internal Working Procedure for Certification support for Validation of EASA Certificates in third countries (CSV) and test witnessing /conformity inspections, Issue 1, 23 August 2005.

ISO DOCUMENTATION

[41] ISO/IEC Guide 62:1996, General requirements for bodies operating assessment and certification/registration of quality systems. First Edition, 1996

[42] ISO/IEC Guide 66:1999, General requirements for bodies operating assessment and certification/registration of environmental management systems. First Edition, 1999

[43] IAF Guidance on the Application of ISO/IEC Guide 66, Issue 2, December 2001

DSS/Support to CAA-NSA A5-1 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 5: TERMINOLOGY


ANNEX 5 - TERMINOLOGY

Aeronautical information service:

A service established within the defined area of coverage responsible for the provision of aeronautical information and data necessary for the safety, regularity, and efficiency of air navigation. (Def. EC Reg. 549/2004)

Airspace management:

A planning function with the primary objective of maximising the utilisation of available airspace by dynamic time-sharing and, at times, the segregation of airspace among various categories of airspace users on the basis of short-term needs. (Def. EC Reg. 549/2004)

Airspace users: Operators of aircraft operated as general air traffic. (Def. EC Reg. 549/2004)

Air traffic control (ATC):

A service provided for the purpose of:

(a) preventing collisions:

-between aircraft, and

- in the manoeuvring area between aircraft and obstructions; and

(b) expediting and maintaining an orderly flow of air traffic. (Def. EC Reg. 549/2004)

Air traffic flow management:

A function established with the objective of contributing to a safe, orderly and expeditious flow of air traffic by ensuring that ATC capacity is utilised to the maximum extent possible, and that the traffic volume is compatible with the capacities declared by the appropriate air traffic service providers (Def. EC Reg. 549/2004).

Air traffic management:

The aggregation of the airborne and ground-based functions (air traffic services, airspace management and air traffic flow management) required to ensure the safe and efficient movement of aircraft during all phases of operations. (Def. EC Reg. 549/2004)

Area control service: An ATC service for controlled flights in a block of airspace. (Def. EC Reg. 549/2004)

Air traffic services: The various flight information services, alerting services, air

traffic advisory services and ATC services (area, approach and aerodrome control services). (Def. EC Reg. 549/2004)

Air navigation services:

Air traffic services; communication, navigation and surveillance services; meteorological services for air navigation; and aeronautical information services. (Def. EC Reg. 549/2004)

Air navigation service providers (ANSPs):

Any public or private entity providing air navigation services for general air traffic, including an organisation having applied for a certificate to provide such services. (Def. EU Reg. 1035/2011)

Airspace block: An airspace of defined dimensions, in space and time, within which air navigation services are provided. (Def. EC Reg. 549/2004)

Airspace management:

A planning function with the primary objective of maximising the utilisation of available airspace by dynamic time-sharing and, at times, the segregation of airspace among various categories of airspace users on the basis of short-term needs. (Def. EC Reg. 549/2004)

Audit: Systematic examination to determine whether activities and related results conform to planned arrangements and whether these arrangements are implemented effectively and are suitable for achieving the organization’s policy and objectives [BS EN ISO 9000:2005]

Certificate: A document issued by a National Supervisory Authority in any form complying with national law, which confirms that an air navigation service provider meets the requirements for providing a specific service. (Def. EC Reg. 549/2004)

Community: A type of stakeholder. A group of interacting people living in a common location that can take benefit of the projects settled by an Organization.

Communication services:

Aeronautical fixed and mobile services to enable ground-to-ground, air-to-ground and air-to-air communications for ATC purposes. (Def. EC Reg. 549/2004)



Constituent: A tangible objects such as hardware and intangible objects such as software upon which the interoperability of the EATMN depends. (Def. EC Reg. 549/2004)

Cross-border services Any situation where air navigation services are provided in one Member State by a service provider certified in another Member State. (Def. EC Reg. 549/2004)

Customer: A customer is usually used to refer to a current or potential buyer or user of the services of an organization. This is typically through purchasing or renting services.

Development The systematic use of the knowledge or understanding gained from research, directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes. It excludes quality control, routine product testing, and production.

European air traffic management network (EATMN):

The collection of systems listed in Annex I to Regulation (EC) No 552/2004 of the European Parliament and of the Council of 10 March 2004 on the interoperability of the European air traffic management network (the interoperability Regulation) enabling air navigation services in the Community to be provided, including the interfaces at boundaries with third countries. (Def. EC Reg. 549/2004)

European improvement plan for the European network:

Plan developed before the end of 2014 by the body entrusted with the route design function in accordance with Article 6 of the airspace Regulation (EC No 551/2004), in collaboration with States/FAB.

Flight information service:

A service provided for the purpose of giving advice and information useful for the safe and efficient conduct of flights. (Def. EC Reg. 549/2004)

Formal Review Process:

The SBP must therefore be regularly revised and monitored by the respective Stakeholder staff. It is recommended that a dedicated Strategic Planning function undertakes this

activity.

Function: 1. General: Type of action performed by a device, department, or person.

2. Management: Task oriented block of related efforts (accounting, marketing, manufacturing, etc.) organized to produce intended outputs (financial reports, sales, products, etc.).

3. Statistics: Mathematical relationship in which a quantity (dependent variable) depends on or is determined by another quantity (independent variable) or quantities. The dependent variable is said to be a function of the independent variable(s). If something is done, or something happens, to the independent variable(s), it is reflected in the dependent variable. For example, expenditure is a function of income and, for a wage earner, income is a function of two variables-per hour wage rate and number of hours worked.

Functional airspace block:

An airspace block based on operational requirements and established regardless of State boundaries, where the provision of air navigation services and related functions are performance-driven and optimised with a view to introducing, in each functional airspace block, enhanced cooperation among air navigation service providers or, where appropriate, an integrated provider. (Def. EC Reg. 549/2004)

Functional system: A combination of systems, procedures and human resources organised to perform a function within the context of ATM (Def. EU Reg. 1035/2011)

General aviation: Any civil aircraft operation other than commercial air transport or aerial work (Def. EU Reg. 1035/2011)

Handbook: Comprehensive and detailed work on a particular topic for practitioners, structured for quick reference and often used as a supplement to a text book. The term is commonly used interchangeably with manual.

ICAO Te International Civil Aviation Organisation, as established by the 1944 Chicago



Convention on International Civil Aviation. (Def. EC Reg. 549/2004)

Interoperability: A set of functional, technical and operational properties required of the systems and constituents of the EATMN and of the procedures for its operation, in order to enable its safe, seamless and efficient operation. Interoperability is achieved by making the systems and constituents compliant with the essential requirements.

Manual: Comprehensive and step-by-step guide to a particular topic for both beginners and practitioners that also serves as a reference book. A manual details what is given and what is required, explains how to put the presented information into practice, and instructs how to solve problems as they occur. This term is commonly used interchangeably with handbook.

Meteorological services:

Those facilities and services that provide aircraft with meteorological forecasts, briefs and observations as well as any other meteorological information and data provided by States for aeronautical use. (Def. EC Reg. 549/2004)

National supervisory authority (NSA):

The body or bodies nominated or established by Member States as their national authority pursuant to Article 4 of Regulation (EC) No 549/2004 (Def. EU Reg. 1035/2011)

Navigation services: Those facilities and services that provide aircraft with positioning and timing information. (Def. EC Reg. 549/2004)

Operation: Series of functions and tasks that are involved in a single process. For example, a manufacturing operation

Organisation: Means an entity providing air navigation services. (Def. EU Reg. 1035/2011)

Group of people and facilities with an arrangement of responsibilities, authorities and relationships EXAMPLE Company, corporation, firm, enterprise, institution, charity, sole trader or association, or parts or combinations thereof.

NOTE 1 The arrangement is

generally orderly.

NOTE 2 An organization can be public or private.

[BS EN ISO 9000:2005]

It is the recurring expenses which are related to the operation of a business, or to the operation of a device, component, and piece of equipment or facility.

pan-European air navigation service

An air navigation service 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. (Def. EU Reg. 1035/2011)

Procedure: "procedure", as used in the context of the interoperability Regulation, means a standard method for either the technical or the operational use of systems, in the context of agreed and validated concepts of operation requiring uniform implementation throughout the EATMN. (Def. EC Reg. 549/2004)

or

Specific way to carry out an activity [ISO 9000:2000]

or

Fixed, step-by-step sequence of activities or course of action (with definite start and end points) that must be followed in the same order to correctly perform a task. Repetitive procedures are called routines.

Process: Set of interrelated or interacting activities which transforms inputs into outputs [BS EN ISO 9000:2005]

or

Sequence of interdependent and linked procedures which, at every stage, consume one or more resources (employee time, energy, machines, money) to convert inputs (data, material, parts, etc.) into outputs. These outputs then serve as inputs for the next stage until a known goal or end result is reached.

Putting into service The first operational use after the initial installation or an upgrade of a system. (Def. EC Reg. 549/2004)



Regulator: Government body formed or mandated under the terms of a legislative act (statute) to ensure compliance with the provisions of the act, and in carrying out its purpose. Also called regulatory authority or regulatory body.

Resources: all assets, people, skills, information, technology (including plant and equipment), premises, and supplies and information (whether electronic or not) that an organization has to have available to use, when needed, in order to operate and meet its objectives.

Regulatory authority: Regulatory authority is a public authority or government agency responsible for exercising autonomous authority over the State’s FIR in a regulatory or supervisory capacity.

Role: The part played by people in meeting their objectives by working competently and flexibly within the context of the organisation’s objectives, structure and processes. (EUROCONTROL)

Safety assurance: All planned and systematic actions necessary to afford adequate confidence that a product, a service, an organisation or a functional system achieves acceptable or tolerable safety (Def. EU Reg. 1035/2011)

Safety objective: A qualitative or quantitative statement that defines the maximum frequency or probability at which a hazard can be expected to occur (Def. EU Reg. 1035/2011)

Safety regulatory audit:

A systematic and independent examination conducted by, or on behalf of, a competent authority to determine whether complete safety-related arrangements or elements thereof, related to process and their results, products or services, comply with required safety-related arrangements and whether they are implemented effectively and are suitable to achieve expected results. (Def. EU Reg. 1034/2011)

Safety requirement: A risk-mitigation means, defined from the risk-mitigation strategy that achieves a particular safety objective, including organisational, operational, procedural, functional,

performance, and interoperability requirements or environment characteristics (Def. EU Reg. 1035/2011)

Seamless operation: means the operation of the EATMN in such a manner that from the user's perspective it functions as if it were a single entity. (Def. EC Reg. 549/2004)

Services: Either an air navigation service or a bundle of air navigation services (Def. EU Reg. 1035/2011)

Service: According to ISO 9000, clause 3.4.2 Product: “Service is the result of at least one activity necessarily performed at the interface between the supplier and customer and is generally intangible. Provision of a service can involve, for example, the following:

an activity performed on a customer-supplied tangible product (e.g. automobile to be repaired);

an activity performed on a customer-supplied intangible product (e.g. the income statement needed to prepare a tax return);

the delivery of an intangible product (e.g. the delivery of information in the context of knowledge transmission);

the creation of a pleasant ambience for the customer (e.g. in hotels and restaurants).”

Stakeholders: Persons or groups having interest in the performance or success of an organisation [ISO/PAS 22399:2007]

or

Those with a vested interest in an organization’s achievements

NOTE This is a wide-ranging term that includes, but is not limited to, internal and “outsourced” employees, customers, suppliers, partners, employees, distributors, investors, insurers, shareholders, owners, government and regulators.

or

An individual or organization with a legitimate interest in a given situation, action or enterprise.



Surveillance services: Those facilities and services used to determine the respective positions of aircraft to allow safe separation. (Def. EC Reg. 549/2004)

System: set of interrelated or interacting elements [BS EN ISO 9000:2005]

the aggregation of airborne and ground-based constituents, as well as space-based equipment, that provides support for air navigation services for all phases of flight. (Def. EC Reg. 549/2004)

Suppliers: anyone who provides goods or services to a company

Upgrade: Any modification that changes the operational characteristics of a system. (Def. EC Reg. 549/2004)

DSS/Support to CAA-NSA A6 Guidelines for NSAs for the Development of the Interoperability Supervision Process Annex 6: LIST OF EATMN SYSTEMS AND CONSTITUENTS AND ASSOCIATE REGULATORY AND MoC BASELINES


ANNEX 6 - LIST OF VARIOUS EATMN SYSTEMS AND CONSITUENTS AND ASSOCIATED REGULATORY AND MEANS OF COMPLIANCE BASELINES

The list is being further updated and will be fully completed by April 2014.

DSS/Support to CAA-NSAGuidelines for NSAs for the Development of the Interoperability Supervision ProcessAnnex 6: List of various EATMN systems and constituents and associated regulatory and means of compliance baselines

A6-1

IRs Group 1 IRs Group 2 IRs Group 3

1

1.1. ASM ASM ASM

1.1.1. ASM ASMEC_Regulation 552-2004_Interoperability, amended by EC 1070/2009 (IOP-R)_Annex II

EC_Regulation 551-2004_Airspace organisation, amended by EC 1070/2009 (AO-R)

EC_Regulation 1035-2011_Common Requirements_repealing EC 2096-2005 (CR-IR)

EC_Regulation 2150-2005_Flexible Use of Airspace;

EU_Regulation 677-2011_ATM functions Regulation

EC_Regulation 730-2006_Airspace classification, amended by EU 923/2012;

EU_Regulation 923-2012_Standardised European Rules of the Air (SERA)

2

2.1. ATFM ATFM ATFM

2.1.2. ATFM ATFMWorkload

MonitoringIOP-R/Annex II AO-R

CR-IR;SO-IR.

ATFM-IR

EC_Regulation 1033-2006_Procedures for flight plans in the pre-flight phase for the single European sky

3

3.1. ATS FDPS FDPS

CR-IR;

EU_Regulation 1034-2011_Safety oversight in air traffic management and air navigation services (SO-IR)

EC_Regulation 255-2010_Traffic air flow management (ATFM), amended by EU 923/2012 (ATFM-IR)

AO-R

EC_Regulation 1033-2006_Procedures for flight plans in the pre-flight phase for the single European sky

2.1.1. ATFM ATFM IOP-R/Annex II

ASM

ATFM

ATS

EATMN Sub-

systemCode

SYSTEMS AND CONSITUENT INTEROPERABILITY DOCUMENTS OR REFERENCES REQUIRED

Regulatory Baseline

EATMN System Essensial Requirements (ER) EC Regulations (R)

EATMN Consituent

Implementing Rules



A6-2


EATMN Sub-

systemCode


Regulatory Baseline


EATMN Consituent

Implementing Rules

3.1.1. ATS FDPS FDPS IOP-R/Annex IICR-IR;SO-IR.

EC_Regulation 1032-2006_Exchange flight data

EC_Regulation 633-2007_Flight data exchange protocol.pdf

3.2. ATS SDPS SDPS

3.2.1. ATS SDPS RDPS IOP-R/Annex IICR-IR;SO-IR.

EC_Regulation 482-2008_Software safety assurance

EC_Regulation 1207-2011_Performance and interoperability surveillance

3.2.2. ATS SDPS RFS IOP-R/Annex IICR-IR;SO-IR.

3.2.3. ATS SDPS STCA IOP-R/Annex IICR-IR;SO-IR.

3.2.4. ATS SDPS MSAW IOP-R/Annex IICR-IR;SO-IR.

3.2.5. ATS SDPS APW IOP-R/Annex IICR-IR;SO-IR.

3.3. ATS HMI HMI

3.3.1. ATS HMI ODS IOP-R/Annex IICR-IR;SO-IR.

3.3.2. ATS HMI AMAN IOP-R/Annex IICR-IR;SO-IR.

3.3.3. ATS HMIConflict

toolsIOP-R/Annex II

CR-IR;SO-IR.

3.3.4. ATS HMIMonitoring

aidsIOP-R/Annex II

CR-IR;SO-IR.

3.3.5. ATS HMI DMAN IOP-R/Annex IICR-IR;SO-IR.

3.3.5. ATS HMI A-SMGCS IOP-R/Annex IICR-IR;SO-IR.



A6-3


EATMN Sub-

systemCode


Regulatory Baseline


EATMN Consituent

Implementing Rules

3.3.5. ATS HMIOperational Supervision

IOP-R/Annex IICR-IR;SO-IR.

4

4.1. COM G/G Com G/G Com

4.1.2. COM G/G Com Tel. Lines IOP-R/Annex IICR-IR;SO-IR.

4.1.3. COM G/G ComAFTN

CIDIN/AMHSIOP-R/Annex II

CR-IR;SO-IR.

4.1.4. COM G/G ComDATA

NETWORKIOP-R/Annex II

CR-IR;SO-IR.

EC_Regulation 1032-2006_Exchange flight data

EC_Regulation 633-2007_Flight data exchange protocol

4.2. COM A/G Com A/G Com

CR-IR;SO-IR.

IOP-R/Annex IIVCSG/G ComCOM4.1.1.

COM



A6-4


EATMN Sub-

systemCode


Regulatory Baseline


EATMN Consituent

Implementing Rules

4.2.1. COM A/G Com VHF Radios IOP-R/Annex IICR-IR;SO-IR.

EC_Regulation 1265-2007_Air ground voice channel space

4.2.2. COM A/G Com UHF Radios IOP-R/Annex IICR-IR;SO-IR.

4.2.3. COM A/G Com Tel. Lines IOP-R/Annex IICR-IR;SO-IR.

4.2.4. COM A/G Com

Radio Remote Control System (RCS

IOP-R/Annex IICR-IR;SO-IR.

4.2.5. COM A/G Com VDL IOP-R/Annex IICR-IR;SO-IR.

EC_Regulation 29-2009_Datalink

5

NAV

NAV IOP-R/Annex IICR-IR;SO-IR.

NAV

NAV IOP-R/Annex IICR-IR;SO-IR.

6

6.1. SUR MSSR

SUR MSSR IOP-R/Annex IICR-IR;SO-IR.

SUR MSSR IOP-R/Annex IICR-IR;SO-IR.

6.2 SUR PSR

SUR PSR IOP-R/Annex IICR-IR;SO-IR.



6.3 SURA-SMGCS (Level 1)

NAV

SUR



A6-5


EATMN Sub-

systemCode


Regulatory Baseline


EATMN Consituent

Implementing Rules

6.3.1. SURA-SMGCS (Level 1)

SMR IOP-R/Annex IICR-IR;SO-IR.


LAMCR-IR;SO-IR.


Data Fusion IOP-R/Annex IICR-IR;SO-IR.


HMI IOP-R/Annex IICR-IR;SO-IR.

6.4 SUR ADS-B

6.4.1. SUR ADS-B IOP-R/Annex IICR-IR;SO-IR.




7

AIS AIP

AIS AIP AIP IOP-R/Annex IICR-IR;SO-IR.

AIS AIS

AIS AIS AIS IOP-R/Annex IICR-IR;SO-IR.

8MET

MET IOP-R/Annex IICR-IR;SO-IR.

MET

MET IOP-R/Annex IICR-IR;SO-IR.

MET

AIS



A6-6

1

1.1. ASM ASM ASM

1.1.1. ASM ASM

2

2.1. ATFM ATFM ATFM

2.1.2. ATFM ATFMWorkload

Monitoring

3

3.1. ATS FDPS FDPS

2.1.1. ATFM ATFM

ASM

ATFM

ATS

EATMN Sub-

systemCode

EATMN System

EATMN Consituent

Specification for the application of the Flexible Use Airspace (FUA)RNr: Commission Communication OJC 196/5, 20.08.09

EUROCONTROL Specification for the application of the Flexible Use Airspace (FUA), Edition 1.1, Date: 01.01.2009RNr:EUROCONTROL-SPEC_0112

1. Network Cooperatve Decision Making, Responsibilities Document for the Application of ATFM - Attachement D, Eddition 1.0, Date 25/10/12;2. ATFM Handbook including: - CFMU Supplement – ATFCM Operating Procedures for FMPIFPS; - IFPS Users Manual;

3. European Route Network Improvement Plan – Part 3 - ASM Handbook4. Handbook for Air Traffic Flow and Capacity Management, Edition 14.3

1. ICAO EUR ANP FASID - Doc 7754;2. ICAO Annex 11;3. ICAO PANS-ATM - Doc. 4444;4. ICAO Doc 6426;5. ICAO Regional Supplementary Procedures - Doc 7030;6. ICAO Air Traffic Services Planning Manual – Doc 9426.


Means of Compliance (MoC) Baseline

Community Specs (CS)

SESAR ATM Mater plan documents

ETSI, EUROCAE, CCIR, ITU, ECMA and

other standardsICAO DocumentsEUROCONTROL Specs

EUROCONTROL Guidelines



A6-7

EATMN Sub-

systemCode

EATMN System

EATMN Consituent

3.1.1. ATS FDPS FDPS

3.2. ATS SDPS SDPS

3.2.1. ATS SDPS RDPS

3.2.2. ATS SDPS RFS

3.2.3. ATS SDPS STCA

3.2.4. ATS SDPS MSAW

3.2.5. ATS SDPS APW

3.3. ATS HMI HMI

3.3.1. ATS HMI ODS

3.3.2. ATS HMI AMAN

3.3.3. ATS HMIConflict

tools

3.3.4. ATS HMIMonitoring

aids

3.3.5. ATS HMI DMAN

3.3.5. ATS HMI A-SMGCS








1. EUROCONTROL _Spec_0106_OLDI_V4.1.;2. EUROCONTROL _Spec_0107_ADEXP_V3.0.;3. EUROCONTROL _Spec_0100_FMTP Performance requirements_V2.0.

EUROCONTROL Specifications for Surveillance System Performance (EUROCONTROL SPEC-0147)

1. Other as they are referred in the DSU of ARTAS sw version V8B1;2. ARTAS sw V8B1constituent compliance matrix (ARTAS-DSU-MATRIX-V8B1), V1.0, 14 April 2012.



A6-8

EATMN Sub-

systemCode

EATMN System

EATMN Consituent

3.3.5. ATS HMIOperational Supervision

4

4.1. COM G/G Com G/G Com

4.1.2. COM G/G Com Tel. Lines

4.1.3. COM G/G ComAFTN

CIDIN/AMHS

4.1.4. COM G/G ComDATA

NETWORK

4.2. COM A/G Com A/G Com

VCSG/G ComCOM4.1.1.

COM








1. Annex 10, Volume II, Chapter 3.3.6.1;2. Annex 10, Volume II, Chapter 2.2;3. Annex 10, Volume I, Annex F;4. Annex 10, Volume I Att. C, chapter 8.1;5. Annex 10, Volume I, Chapter 2.9;

6. Annex 10, Volume II, Chapter 5.1.2, 5.1.3;7. Annex 10, Volume III, Part II, Chapter 4;8. Annex 10, Volume III, Part II, Chapter 1 (definitions);

9. Annex 10, Volume II, Part II, Chapter 3.5;10. Annex 11, V, Chapter 6.1 Aeronautical mobile service (A-G communications), Chapter 6.2 Aeronautical fixed service (G-G communications);11. Manual on ATS G-G Voice Switching and Signalling, Doc 9804.

1. ICAO Annex 10/; 1. ITU;

EUROCONTROL_Spec_0136_AMHS_V2.0.


EUROCONTROL_Spec_0100_FMTP Performance requirements_V2.0.




A6-9

EATMN Sub-

systemCode

EATMN System

EATMN Consituent

4.2.1. COM A/G Com VHF Radios

4.2.2. COM A/G Com UHF Radios

4.2.3. COM A/G Com Tel. Lines

4.2.4. COM A/G Com

Radio Remote Control System (RCS

4.2.5. COM A/G Com VDL

5

NAV

NAV

NAV

NAV

6

6.1. SUR MSSR

SUR MSSR

SUR MSSR

6.2 SUR PSR

SUR PSR

SUR PSR

SUR PSR

6.3 SURA-SMGCS (Level 1)

NAV

SUR








ETSI EN 302 617-1 V1.1.1 (2009-01)/ Part 1



A6-10

EATMN Sub-

systemCode

EATMN System

EATMN Consituent


SMR


LAM


Data Fusion


HMI

6.4 SUR ADS-B

6.4.1. SUR ADS-B

6.4.2. SUR ADS-B

6.4.3. SUR ADS-B

6.4.4. SUR ADS-B

7

AIS AIP

AIS AIP AIP

AIS AIS

AIS AIS AIS

8MET

MET

MET

MET

MET

AIS









Guidelines for NSAs for the IOP supervision process - Eurocontrol

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