Guide Iop PDF

Interoperability Guide National Air Navigation Services
Supervisory Authority (Germany)
Interoperability Guide
for
Air Navigation Service Providers
and Manufacturers
15th January 2009
Version 2.1
Federal Ministry of Transport, Building and Urban Affairs,

LR23 branch Langen
National Air Traffic Services Supervisory Authority Germany
Version 2.1 Page 1 of 28

Publication Credits
Author: Bodo Heinzl
Document name: Guide IOP V2.1 EN
Number of pages: 28
Technical responsibility and publication:
Federal Ministry of Transport, Building and Urban Affairs,

LR23 branch Langen
National Air Traffic Services Supervisory Authority Germany
Robert-Bosch-Str. 28
63225 Langen
Ref-ASt-LR23@bmvbs.bund.de
Prof. Dr. Nikolaus Herrmann

Head of German NSA – LR23, branch Langen
Note:

The official language of this guide is German. The English version is a complementary
translation only. In any case the German text shall take precedence.

Overview of revisions
Version Date Revised pages and Remarks

chapters
1.0 01/07/2007 without Annex 1 to 3
2.0 17/03/2008 New edition, annex
2.1 15/01/2009 HMI-systems; acceptance

documents; safeguards

Contents
1 Preamble ....................................................................................................7
2 General provisions ....................................................................................8

2.1 External reference documents.......................................................................................... 8
2.2 Definitions ........................................................................................................................... 8
3 Principles and procedures......................................................................13

3.1 General .............................................................................................................................. 13
3.2 National supervisory authority ....................................................................................... 13
3.3 Air Navigation Service Providers.................................................................................... 13
3.4 Manufacturer..................................................................................................................... 14
3.5 Notified bodies.................................................................................................................. 14
3.6 Systems............................................................................................................................. 14
3.7 Constituents...................................................................................................................... 15
3.8 Implementing rules .......................................................................................................... 16
3.9 Community Specifications .............................................................................................. 16
3.10 Applicability of type approvals (in accordance with FSMusterzulV) .......................... 17
4 Declarations for systems and constituents ..........................................18

4.1 General .............................................................................................................................. 18
4.2 Filing date.......................................................................................................................... 18
4.3 Predefinitions.................................................................................................................... 18
4.4 Compliance matrix ........................................................................................................... 18
4.5 EC declaration of verification for systems .................................................................... 19
4.5.1 Contents of EC declaration of verification ......................................................................... 19
4.5.2 Other documents ............................................................................................................... 21
4.5.3 Description of the process to create an EC declaration of verification ............................. 21
4.5.4 Putting systems into service.............................................................................................. 21
4.5.5 Upgrading / modification of systems ................................................................................. 21
4.6 Declaration of conformity for constituents ................................................................... 22
4.6.1 Contents of the EC declaration of conformity, EC declaration of suitability for use.......... 22
4.6.2 Relationship between the Community specifications and the EC declaration of
conformity or the EC declaration of suitability for use ....................................................... 23
4.6.3 Compliance assessment procedure.................................................................................. 23
4.6.4 Replacement of individual constituents ............................................................................. 23
5 Measures if shortcomings are identified...............................................25

5.1 Shortcomings prior to the putting into service of constituents / systems ................ 25
5.2 Shortcomings during the operational use of constituents / systems ........................ 25

6 Special cases ...........................................................................................26

6.1 EC declaration of comformity / declaration of suitability for use is not available .... 26
6.2 Records have already been delivered ............................................................................ 26
6.3 Operation of systems and constituents for testing purposes .................................... 26
6.4 Time-critical putting into service .................................................................................... 26
6.5 Systems that span multiple locations ............................................................................ 26
6.6 Systems at various locations.......................................................................................... 26
6.7 Flight inspection equipment ........................................................................................... 26
7 Transitional arrangements......................................................................27
7.1 New systems and constituents....................................................................................... 27
7.2 New systems that have already been ordered .............................................................. 27
7.3 Existing, unmodified systems......................................................................................... 27
7.4 Existing, modified systems ............................................................................................. 27
8 Annex .......................................................................................................28
8.1 Annex 1: EC declarations of verification for systems – SAMPLE............................... 28
8.2 Annex 2: EC declaration of conformity, EC declaration of suitability for use for
constituents – SAMPLE ................................................................................................... 28
8.3 Annex 3: Compliance matrix for Regulation (EC) No 552/2004 ................................... 28
8.4 Annex 4: Description of the EC verification process ................................................... 28
8.5 Annex 5: Example for classification of systems and constituents of the EATMN.... 28
8.6 Annex 6: External reference documents ....................................................................... 28

1 Preamble
The objective of the Single European Sky (SES) initiative is to enhance current safety
standards and overall efficiency for general air traffic in Europe ,to optimise capacity
meeting the requirements of all airspace users and to minimise delays. In pursuit of this
objective four regulations which make up the ‘Single European Sky’ package (the
Framework Regulation, the Service Provision Regulation, the Airspace Regulation and
the Interoperability Regulation) have been enacted, with the aim to establish a
harmonised regulatory framework for the creation of the Single European Sky by 31
December 2004.
The objective of the Interoperability Regulation (EC) No. 552/2004 is to achieve
interoperability between the different systems, constituents and associated procedures of
the EATMN and to ensure the coordinated and rapid introduction of new agreed and
validated concepts of operations or technology in air traffic management.
The Interoperability Guide is intended to provide guidance for air navigation service
providers and manufacturers of systems and constituents who are required to submit an
EC declaration of verification, an EC declaration of conformity or an EC declaration of
suitability for use in accordance with the Interoperability Regulation (EC) No 522/2004, in
order to prove that the relevant requirements have been fulfilled.

2 General provisions
2.1 External reference documents

The most important SES regulations with regard to interoperability are:
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 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)
Additional external reference documents are listed in the Annex.
2.2 Definitions
• Air navigation services

(Regulation (EC) No 549/2004, Article 2 (4))
"Air navigation services means air traffic services, communication, navigation and
surveillance services; meteorological services for air navigation; and aeronautical
information services.”
• Air navigation service provider

(Regulation (EC) No 549/2004, Article 2 (5); Regulation (EC) No 550/2004, Article 7)
“Air navigation service provider means any public or private entity providing air
navigation services for general air traffic.”
The provision of any type of air navigation services within the community is subject
to certification by the member states.
• Air Traffic Management Network

“European Air Traffic Management Network" (EATMN) means the collection of
systems listed in Annex I to Regulation (EC) No 552/2004 […] 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.”
• Community Specifications
(Regulation (EC) No 552/2004, Article 4)
In pursuit of the Regulation (EC) No 552/2004, Community Specifications may be
established. These specifications involve European standards that are developed by
European standardisation bodies (ETSI, CEN, CENELEC; etc.) in cooperation with
EUROCAE, in accordance with a mandate from the European Commission, or
specifications drawn up by EUROCONTROL on matters of operational coordination
between air navigation service providers, in response to a request from the
Commission.

• Compliance matrix
A compliance matrix serves to verify fulfilment of the essential requirements in
accordance with Regulation (EC) No 552/2004, Annex II.
• Conformity
Conformity refers to fulfilment or compliance with applicable requirements /
specifications / implementing rules.
• Conformity Assessment
A conformity assessment determines whether defined requirements related to a
product, a constituent or a system have been fulfilled.
• Constituents
“Constituents means tangible objects such as hardware and intangible objects such
as software upon which the interoperability of the EATMN depends.”
• Cutover plan
The Cutover plan comprises all activities that are related to the putting into service of
a system / a constituent; this plan is finalised upon putting into service.
Note: If these activities are extended to preliminary activities as well as an eventual
dismantling or downgrading of equipment this is called a transition plan.
• EC declaration of conformity (DoC)

Formal declaration by the manufacturer that a constituent fulfils the requirements of
the Interoperability Regulation as well as relevant implementing rules.
• EC Declaration of Suitability for Use (DSU)

Suitability for Use (usability) is defined in DIN EN ISO 9241-11 as “the extent to
which a product can be used by specified users to achieve specified goals with
effectiveness, efficiency and satisfaction in a specified context of use.
• EC declaration of verification (DoV)

Formal declaration by the respective air navigation service provider that a system
and its associated procedures fulfils the requirements of the Interoperability
Regulation as well as relevant implementing rules at the time of its entry into service,
or after significant modifications to its constituents or procedures.
• Essential requirements
The European air traffic management network, its systems and their constituents
must meet essential requirements, as required by the Interoperability Regulation
(EC) No 552/2004, Annex II; classified as general requirements (Part A) and specific
requirements (Part B).

• Functional system
“Functional system means a combination of systems, procedures and human
resources organised to perform a function within the context of air traffic
management.”
• General requirements
General requirements apply to all systems, constituents and procedures in
accordance with Regulation (EC) No 552/2004, Annex II, Part A.
• Implementing rules

“Implementing rules for interoperability shall be drawn up whenever necessary to
achieve in a coherent way the objectives of the Interoperability Regulation.”
• Integrations test / -plan
Integration test is a test for the successful combining of technical parts so that they
work together or form a whole. The implementation is laid down in an integration
plan.
• Interoperability
“Interoperability means a set of functional, technical and operational properties
required of the systems and constituents of the EATMN and of the procedures for its
operation, in order to enable its safe, seamless and efficient operation.
Interoperability is achieved by making the systems and constituents compliant with
the essential requirements.”
• Manufacturer
A manufacturer or its authorised representative established in the Community is the
person who bears responsibility for the design and manufacture of a product and the
corresponding EC declarations.
• Notified body
(Regulation (EC) No 552/2004, Article 8, Paragraph 1)
Notified bodies are bodies “…appointed to carry out tasks pertaining to the
assessment of conformity or suitability for use referred to in Article 5, and/or the
verification referred to in Article 6…". The Commission “…shall publish … the list of
bodies, their identification numbers and areas of responsibility..”.
• Operational acceptance certificate

The responsible air navigation service provider shall confirm by an operational
acceptance certificate (prior to the system being put into service in accordance with
Regulation (EC) No 552/2004 Annex I) that and to what extent the system functions,
as well as the readiness for its use in the environment intended for its installation
including the associated operating procedures, in accordance with the specifications
and requirements given at the time of the acceptance.

A positive result from the technical acceptance process is a precondition for

operational acceptance.
• Operational characteristics of a system

Operational characteristics include all properties of a system that are directly related
to its use.
• Placing on the market

Placing on the market means making available a product on the community market
for sale within the Community.
Note: Placing on the market should not be confused with putting into service (or
commissioning or operational/technical use)
• 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.”
• Putting into service

“Putting into service means the first operational use after the initial installation or an
upgrade of a system.”
• Safeguards
If a constituent or a system “…does not comply with the essential requirements
and/or relevant implementing rules for interoperability…”, the national supervisory
authority “…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.”
This is intended to protect the air navigation service provider and airspace user from
possible negative impacts. The supervisory authority shall report to the commission
on the facts of the incident and the measures taken.
• Seamless operation
“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.”
• Specific requirements
Specific requirements are system-related requirements for systems in accordance
with Regulation (EC) No 552/2004, Annex II, Part B. They supplement specify the
general requirements in Annex II, Part A of Regulation (EC) No 552/2004.

• System
“System means the aggregation of airborne and ground-based constituents, as well
as space-based equipment that provides support for air navigation services for all
phases of flight.”
• Technical acceptance certificate

By the technical acceptance certificate, the responsible air navigation service
provider confirms that and to what extent a particular system corresponds to the
specifications and verification requirements, prior to the system being put into
service. This also includes successful completion of a flight inspection, if required.
• Technical file
(Regulation (EC) No 552/2004, Annex IV, 3)
The Technical file is the collection of documents verifying compliance with the
Interoperability Regulation. It ”…must contain all the necessary documents relating
to the characteristics of the system, including condition and limits of use, as well as
the documents certifying conformity of constituents where appropriate.”
• Transition plan
The Transition plan describes all activities necessary for putting a system / a
constituent into operation.
The plan comprises all preliminary activities, the cutover activities as well as an
eventual dismantling or downgrading of equipment.
• Upgrade
“Upgrade means any modification that changes the operational characteristics of a
system.”

3 Principles and procedures
3.1 General
Systems for air traffic management may be put into service only if they are in compliance
with the essential requirements and relevant implementing rules for interoperability.
If safety-related modifications are intended to be made to a functional system, the
national supervisory authority must be notified of these plans in accordance with the
Regulation governing the safety oversight in the area of air traffic management
(Regulation (EC) 1315/2007, Art. 8). Before these modified systems may again be put
into service, the appropriate EC declarations of verification must be produced or existing
declarations must be updated accordingly.
3.2 National supervisory authority

The national supervisory authority for Germany is the
Bundesministerium für Verkehr, Bau und Stadtentwicklung
Federal Ministry of Transport Building and Urban Affairs.
The responsibilities are carried out by
Department LR 23 – branch Langen
Robert-Bosch-Str. 28
63225 Langen, Germany
email: Ref-ASt-LR23@bmvbs.bund.de
FAX: 06103 / 8043-250
3.3 Air Navigation Service Providers

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.
The result is to be submitted to the supervisory authority in the form of an EC declara-
tion of verification.
If an air navigation service provider itself manufactures constituents, the ANSP is then
considered as a manufacturer within the scope of Regulation (EC) No 552/2004 and
hence must provide the appropriate declarations for these constituents (see following
chapter).
In case constituents from other manufacturers are used, it is the responsibility of the air
navigation service provider to ensure that all constituents put into service possess an EC
declaration of conformity (DoC) and/or EU declaration of suitability for use (DSU).
If a system is modified – even if the modification does not require issuing of a new
or revised EC declaration of verification (DoV) (e.g. no new functionalities, no
change in performance) – the air navigation service provider must present the
respectively updated documents (e.g. new EC declaration of suitability for use for
constituents) to the national supervisory authority.

3.4 Manufacturer
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.
One of the following documents need to be delivered to the air navigation service
provider:
• EC declaration of conformity or
• EC declaration of suitability for use
3.5 Notified bodies

If an implementing rule requires that conformity assessments must be carried out by a
Notified Body, it is the air navigation service provider’s responsibility to involve an
appropriate Notified Body.
These bodies shall be assessed and designated by member states in accordance with
the criteria specified in the Interoperability Regulation. Their designation shall be
published in the Official Journal of the European Union.
In addition, the involvement of Notified Bodies for assessment and/or verification of
compliance is up to the air navigation service provider. The Notified Body reports the
results of the assessment or inspection to the ANSP by a declaration.
In case a Notified Bodies is involved in the verification and assessment of constituents, it
reports the result to the manufacturer.
The declarations issued by the Notified Bodies are to be presented to the national
supervisory authorities by the ANSP together with the technical file.
3.6 Systems
(Regulation (EC) No 552/2004, Annex I)
In accordance with Regulation (EC) No 552/2004 the EATMN is subdivided into eight
system classes:
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.
Note a: System No 3 may also include Air Traffic Management (ATM) equipment and
ATM technical services.

Note b: Aircraft constituents of System No. 4, 5 and 6 are outside of the scope of the
EC declaration of verification.
Examples of system classifications are given in the Annex.
The essential requirements for interoperability are defined in Annex II of the
Interoperability Regulation (EC) No. 552/2004. Additional requirements as contained in
separate Implementing Rules (IR) also apply.
Verification of the fulfilment of requirements needs to be provided using the appropriate
compliance matrix (see Annex).
Any system includes at least one constituent.
Notes to system No 3: Human-machine interface systems (HMI)

The proof that systems meet the essential requirements concerning Human-machine
interface systems shall be documented by the air navigation service provider. Even no
specific requirements for HMI exist, the requirements according to regulation (EC) No
552/2004 have to be fulfilled. In case that no specific HMI systems of the air navigation
service provider are in place, the evidence has to be supplied with the particular system
(e.g. Radar data processing and display). Requirement documents have to be submitted
to the supervisory authority together with the EC declaration of verification / the
Technical File, respectively the reference to the applicable documents has to me made.
Even though HMI is only mentioned with the system No 3 “ATM” this subject is relevant
for all systems according to Annex I that have a direct interface between a technical
system and a human being (esp. ATCO).
3.7 Constituents
The basic matching of constituents to systems is contained in the Annex. The specific
features of a system and its constituents must be described by the appropriate air
navigation service provider as part of the EC declaration of verification.
Implementing Rules, which address systems, may also contain information regarding
constituents. If no implementing rules exist, it is the responsibility of the air navigation
service provider to define the constituents of a system.
Proof that the constituents meet the essential requirements as well as requirements
stemming from relevant implementing rules for interoperability shall be provided by the
manufacturer of a constituent by issuing of an EC declaration of conformity or EC
declaration of suitability for use.

3.8 Implementing rules

Implementing rules for interoperability are topic oriented and relate to systems,
constituents and associated procedures, and are legally binding for air navigation service
providers and manufacturers.
In particular, implementing rules for interoperability:
• determine any specific requirements that complement or detail the essential
requirements,
• determine the constituents when dealing with systems,
• describe the specific conformity assessment procedures involving, where
appropriate, notified bodies to be used to assess either the conformity or suitability
for use of constituents, as well as for the verification of systems,
• specify the conditions of implementation including, where appropriate, the date by
which all relevant stakeholders are required to comply with them.
The air navigation service provider and the manufacturer must acquire knowledge of the
applicable implementing rules and ensure compliance with them.
Implementing rules are generally drafted within the EUROCONTROL Regulatory and
Advisory Framework.
An overview of current implementing rules and community specifications can be found at:
http://ec.europa.eu/transport/air_portal/traffic_management/ses/implementing_rules_en.htm
http://www.eurocontrol.int/ses/public/standard_page/sk_iop_status.html
3.9 Community Specifications

Community specifications in the area of interoperability of the European Air Traffic
Management Network (EATMN) are possible means of compliance and will be mandated
by the EC being either
a) European standards drawn up by European Standardisation Organisations
(CEN/CENELEC/ETSI) in cooperation with EUROCAE, or
b) Eurocontrol specifications for operational coordination purposes.
Compliance with Community specifications is a recognised means for verifying the
essential requirements; their application is recommended, but not mandatory. Testing
procedures are specified in the Community specifications. Application of these methods
must be demonstrated.
These specifications are published in the Official Journal of the European Union.
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 (Regulation (EC) No
552/2004, Whereas No 15).
The application of Community Specifications needs to be indicated for constituents in the
EC declaration of conformity and for systems in the EC declaration of verification.
Knowledge of current technical standards is a general duty of care on the part of
manufacturers and air navigation service providers. This includes knowledge of relevant
technical rules and applicable Community Specifications.

An overview of current implementing rules and Community Specifications can be found

at:
http://ec.europa.eu/transport/air_portal/traffic_management/ses/implementing_rules_en.htm
http://www.eurocontrol.int/ses/public/standard_page/sk_iop_status.html
3.10 Applicability of type approvals (in accordance with FSMusterzulV)

National type approval requirements for equipment or devices that are designated as
constituents /systems in connection with SES, such as the “Flugsicherungs- Anlagen-
und Geräte-Musterzulassungs-Verordnung (Type Certification Regulation for Air
Navigation Systems and Devices) 1 ”, as well as other international guidelines, continue to
apply. All requirements resulting from these need also to be verified in the required form
prior to putting such equipment or devices into service.
The issuance of the EC declaration of verification or EC declaration of compliance or EC
declaration of suitability for use remains unaffected.
1
unless new statutes rescind these regulations.

4 Declarations for systems and constituents
4.1 General
The following documents are to be delivered to the national supervisory authoritiy:
In accordance with Regulation (EC) No 552/2004

for constituents: EC declaration of conformity / EC declaration of
suitability for use
for systems: EC declaration of verification
4.2 Filing date

(Regulation (EC) No 552/2004, Art. 6)
The declaration of conformity including all required documents must be delivered to the
national supervisory authority prior to putting a constituent / a system into service.
The EC declarations of verification are to be submitted 1 month prior to the planned date
for putting the constituent/system into service.
The submission period can be shortened for time-critical procedures that are discussed
in the “Special cases” chapter.
For systems that are developed over a longer time period, contact should be established
early on with the supervisory authority and regular communication should be maintained
throughout the entire realisation process. Parts of the documentation can be submitted,
once they are prepared, to the national supervisory authority.
4.3 Prerequisites
The following prerequisites must be complied with when preparing declarations for
constituents and systems:
• Documents must be dated and signed,
• Use of the German language (technical files may be presented in English, if
necessary),
• Submission in paper form or electronic form (such as on CD-ROM),
• Retain of the Copies of the technical file by the air navigation service provider
during the system’s entire operational life,
• Adequately updated documents must be delivered to the supervisory authorities
(e.g. new EC declarations of suitability for use).
4.4 Compliance matrix

A sample compliance matrix was developed from the essential requirements in Part A –
General requirements and Part B - Specific requirements in Annex II of the Regulation
(EC) No 552/2004. Key words were extracted from the essential requirements.
Clarifications and examples are included to help explain the requirements and key
words.
Compliance matrices have to be produced for Systems and their Constituents.

Column Content
• “Requirements” Original text of the regulation
• “Key words” Key requirements of the regulation
• “Applicable (X = yes)” Check as required
• “Explanations” Explanations concerning the specific system
• “evidence documents” Designation of the reference documents
(incl. chapter designation, chapter number)
with which fulfilment of the requirement is
verified.
Form specifications for a compliance matrix can be found in the Annex.
If Community specifications are drawn upon for fulfilment of essential requirements, a
compliance matrix in accordance with Regulation (EC) No. 552/2004 is sufficient for
verification purposes.
If the modification of a system is based on modification of multiple constituents, the
prove of fulfilment of essential requirements has to be given for each constituent.
4.5 EC declaration of verification for systems

(Regulation (EC) No 552/2004, Article 6 (2) and Annex IV)
Before a system is put into service, the relevant air navigation service provider shall
establish an EC declaration of verification and shall submit it to the national supervisory
authority.
By submitting this EC declaration of verification, the air navigation service provider
confirms the fulfilment of the essential requirements of Interoperability Regulation (EC)
No 552/2004 and compliance with the Implementing Rules for interoperability.
The national supervisory authority shall make the technical file available to other EU
member states upon request.
4.5.1 Contents of EC declaration of verification

• Part 1: General information about systems (Annex IV, 1)
• Part 2: Verification procedure for systems (Annex IV, 2)
• Part 3: Technical file (Annex IV, 3)
• Part 4: Compliance matrix (Annex II)
A template for the EC declaration of verification can be found in the Annex.
4.5.1.1 Part 1: General information about systems

• the Regulation references,
• name and address of the air navigation service provider (trade name and full
address),
• a brief description of the system,

• description of the procedure followed in order to declare conformity of the system

(Article 6 of Regulation (EC) No 552/2004),
• name and address of the notified body 2 which carried out tasks pertaining to the
verification procedure, if applicable,
• the references of the documents contained in the technical file,
• where appropriate, reference to the Community specifications,
• all the relevant temporary or definitive provisions to be complied with by the
systems and in particular, where appropriate, any operating restrictions or
conditions,
• duration of validity of the EC declaration if temporary,
• identification of the signatory,
• in addition: planned date for putting into service.
4.5.1.2 Part 2: Verification procedure

In order to verify a system, the air navigation service provider must use a procedure that
confirms that a system corresponds with the Regulation (EC) No. 552/2004 and may be
put into service in accordance with this Regulation. The compliance of the system is
verified with regard to each of the following aspects:
• overall design
• development and integration of the system, including in particular constituent
assembly and overall adjustments
• operational system integration (e.g. integration plan, transition plan / cutover plan)
• specific system maintenance provisions if applicable.
4.5.1.3 Part 3: Technical file

(Regulation (EC) No 552/2004, Article 6 (2), Annex IV, 3.)
The following documents are integral parts of the technical file:
a) indication of the relevant parts of the technical specifications used for
procurement
b) list of constituents,
c) 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, and accompanied, where appropriate, by a copy of the
records of the tests and examinations carried out by the notified bodies ,
d) where a notified body has been involved in the verification of the system(s), a
certificate countersigned by this body, stating that the system complies with
this Regulation and mentioning any reservations ,
e) where there has been no involvement of a notified body, a record of the tests
and installation configurations.
The scope of the technical file does not depend upon whether a notified body is
involved in the conformity assessment (see c).
2
see the technical file section

Any existing technical and/or operational restrictions must be clearly highlighted in the
documents.
If required by an applicable implementing rule, a notified body must be included in the
verification of a system.
4.5.1.4 Part 4: Compliance matrix

Evidence of fulfilment of the essential requirements for systems is to be documented as
follows:
• Compliance matrix for Regulation (EC) No 552/2004, Annex II
and (if applicable)
• Compliance matrix for a relevant implementing rule
4.5.2 Other documents

Prior to putting into service additionally the following documents have to be delivered:
• technical acceptance documents (final version with signature),
• operational acceptance documents (final version with signature),
On request of the supervisory authority the following documents, among others, are to
be delivered:
• agreements concerning technical and operational cooperation (e.g. letter of
agreement), exchange of air navigation data),
• confidential technical files of the manufacturer,
• results of factory acceptance tests,
• application for establishing of building restriction areas,
• evidence of completed (personnel) qualification measures.
• test charts of ground measurements (verification of signal parameters in
accordance with ICAO Annex 10).
• results from flight inspections (verification of signal parameters in accordance
with ICAO Annex 10).
4.5.3 Description of the process to create an EC declaration of verification

A description of the process to create an EC declaration of verification as well as the
relevant responsibilities can be found in the Annex.
4.5.4 Putting systems into service

After delivering the EC declaration of verification and the other requested documents a
system may be put into service as scheduled unless the national supervisory authority
raises objections or imposes conditions.
The national supervisory authority must be informed in advance if there are changes to
the schedule for putting the system into service.
4.5.5 Upgrading / modification of systems

If upgrades / modifications change the operational characteristics of a system, the
verification procedure for the EC verification must be carried out anew, and the

verification must be certified with a new declaration. Safety-relevant modifications to a

functional system must be reported during the design stage to the national supervisory
authority in accordance with Regulation (EC) 1315/2007 Art. 8.
If there is an upgrade / modification to a system, a revision of the EC declaration of
verification and technical file is required.
An upgrade / modification involves:
• modification of operational characteristics
o operational functionalities,
o operational capacity,
• modification of the overall systematic of a system (e.g. switching off / permanent
decommissioning and removal of places of operation),
• modifications to interfaces with external partners,
• implementation of new requirements arising from Implementing Rules.
Note:
• An upgrade / modification to a system may involve changes to software, or an
upgrade or replacement of certain hardware elements that have a significant
impact in operational and other uses, and that require measures to be taken for
their continued use such as training for operating personnel.
4.6 Declaration of conformity for constituents

An EC declaration of conformity or EC declaration of suitability for use must be issued for
each constituent. This declaration confirms the fulfilment of the relevant requirements.
The air navigation service provider must ensure that the manufacturer fulfils his duty to
prepare an EC declaration of conformity or EC declaration of suitability for use.
4.6.1 Contents of the EC declaration of conformity, EC declaration of suitability

for use
(Regulation (EC) No 552/2004, Annex III, 3)
• the Regulation references
• name and address of the manufacturer, or its authorised representative
established within the Community (trade name and full address and, in the case
of the authorised representative, also the trade name of the manufacturer)
• description of the constituents
• description of the procedure followed in order to declare conformity or suitability
for use of the system (Article 5 of Regulation (EC) No 552/2004)
• all the relevant provisions met by the constituent and in particular its conditions of
use
• if applicable, name and address of notified body or bodies involved in the process
in respect of conformity or suitability for use and date of examination certificate
together, where appropriate, with the duration and conditions of validity of the
certificate .
• where appropriate, reference to the Community specifications followed

• identification of signatory empowered to enter into commitments on behalf of the

manufacturer or of the manufacturer’s authorised representative established in
the Community
A template for the EC declaration of conformity or EC declaration of suitability for use
can be found in the Annex.
4.6.2 Relationship between the Community specifications and the EC declaration

of conformity or the EC declaration of suitability for use
Depending on the existence or application of Community specifications, the following
cases are to be distinguished with regard to verification of the fulfilment of the
requirements:
• Community specifications do not exist:
Verification of the fulfilment of requirements with EC declaration of suitability for
use.
• Community specifications exist and are being applied:
Verification of the fulfilment of requirements with EC declaration of conformity.
• Community specifications exist, but are not applied:
Verification of the fulfilment of requirements with EC declaration of suitability for
use.
It should be noted that Community specifications can only be used as a whole as
verification for fulfilment of requirements. Partial application of Community
specifications is not allowed.
4.6.3 Compliance assessment procedure

The Interoperability Regulation does not specify the method and procedure for achieving
verification of compliance. However, it recommends application of Council Decision
93/465/EEC (Regulation (EC) No 552/2004, Whereas No 13). This Decision contains
eight modules to be applied during the design and production phase of the constituents.
If no specifications for interoperability are contained in the Implementing Rules that state
which of the modules is to be applied or which other conditions must be fulfilled in order
to follow a specific assessment process, the manufacturer is free to choose which
module he applies.
For the production process, he may choose from internally assembled and documented
procedures and verifications, type or end-product acceptances through a notified body,
or even use of a certified quality management system as designated by a notified body.
No CE label is required to designate compliance of systems and constituents that are
used exclusively for air traffic management purposes.
Remark:
The Council Decision 93/465/EEC was repealed and replaced by Council Decision
768/2008.
4.6.4 Replacement of individual constituents

If a system is modified in such a way that there is no change to the operational
characteristics, no update / amendment to the EC declaration of verification is required;
this is the case, for example, when constituents of a system are replaced with equivalent
constituents.

The air navigation service provider must keep the technical file up to date,
however, and receive from the manufacturer new EC declarations of conformity or
EC declarations of suitability for use for the replaced constituents. The documents
are to be delivered to the supervisory authority.

5 Measures if shortcomings are identified

According to Regulation (EC) No 552/2004 it is the task of the manufacturer, respectively
the air navigation service provider to make sure, that the essential requirements of this
regulation as well as the relevant implementing rules for interoperability are fulfilled prior
to the putting into service as well as during the operational use of a constituent / a
system.
If the national supervisory authority identifies, that shortcomings exist concerning the
compliance with the requirements, appropriate measures have to be taken.
5.1 Shortcomings prior to the putting into service of constituents /

systems
The following measures are taken by the national supervisory authority:
• information for the affected manufacturers / the air navigation service providers in
order to take corrective actions,
• eventually restrict the area of application of the constituent or the system
concerned (e.g. impose restrictions for a putting into service)
• prohibition to put into service.
In case of minor shortcomings of EC declaration of verification of systems it is possible to
submit missing documents later to the national supervisory authority without the need to
deliver once again the whole set of documents and to deviate of given deadlines.
The precise procedure shall be clarified with the supervisory authority.
5.2 Shortcomings during the operational use of constituents / systems

(Regulation (EC) No 552/2004, Article 7 „Safeguards“)
With due regard to the need to ensure safety and continuity of operations, the following
measures are taken by the national supervisory authority:
• information for the affected manufacturers / the air navigation service providers in
order to take corrective actions,
• restrict the area of application of the constituent or the system concerned (e.g.
impose restrictions to ensure operation),
• eventually prohibit the use of a constituent / a system,
• information of the Commission 3 .
3
by the Member State

6 Special cases
6.1 EC declaration of conformity / declaration of suitability for use is not

available
If a constituent’s manufacturer does not submit an EC declaration of conformity or EC
declaration of suitability for use to the air navigation service provider, the system may not
be put into service.
In this case, further clarification between the supervisory authority and the air navigation
service provider is required.
6.2 Records have already been delivered

If the supervisory authority has already been provided with some of the records for other
EC declarations of verification, a reference to the corresponding declaration of
verification with system designation and date of submission is sufficient.
6.3 Operation of systems and constituents for testing purposes

If a new or modified system or a constituent is intended for operational use for testing
purposes (with the operation of live traffic) this implies a putting into service.
6.4 Time-critical putting into service

In time-critical situations for putting a system or constituent into service, the supervisory
authority must be contacted in advance and the process must be coordinated.
In this case, records have to be delivered to the supervisory authority at short notice
(when the designated deadlines are not met) – prior to putting the item into service.
6.5 Systems that span multiple locations

If the constituents of a system (such as servers and clients) are distributed across
multiple locations and their operation is subject to local parameters, the EC declaration
of verification for all affected constituents must be delivered for all locations.
6.6 Systems at various locations

If a system is to be used in various locations, a separate EC declaration of verification
must be issued for each individual location.
6.7 Flight inspection equipment

Flight inspection equipment is not subject to the Interoperability Regulation. National
regulations that require a certification or declaration of conformity for the equipment are
not addressed in this document and shall remain unaffected.

7 Transitional arrangements
7.1 New systems and constituents

As of 20 Oct. 2005, the requirements of Regulation (EC) No 552/2004 must be fulfilled
prior to putting new systems and constituents into service in the Air Traffic Management
Network.
7.2 New systems that have already been ordered

Detailed information about any unfulfilled requirements is to be presented by the air
navigation service provider to the supervisory authority for systems for which legally
binding contracts have been concluded prior to 20 April 2004 and which cannot or can
only partially fulfil the requirements.
The EU Commission shall be informed by the supervisory authority on these matters.
Depending on the existing non-compliance, the EU Commission shall determine the
subsequent action to be taken after consulting with the parties.
7.3 Existing unmodified systems

No EC declarations need to be delivered for systems and constituents that were already
in operational use prior to the Interoperability Regulation (552/2004) coming into effect.
If these systems continue to be operated after 20 April 2011, EC declarations of
verification with regard to the essential requirements must be delivered well in advance
of this date. A reference and if needed an on-site inspection is sufficient for documents
that are not available in electronic form.
7.4 Existing modified systems

If modifications are made to systems that were in operation prior to the Interoperability
Regulation coming into effect, the EC declaration of verification is restricted to the
constituents that are impacted by the modifications. All interfaces must be considered
and verified.
In addition, a description of the entire system is to be delivered to the national
supervisory authority along with the EC declaration of verification.
If modified old systems are to be operated beyond 20 April 2011, verification for all
other constituents of the entire system must be delivered well in advance of this date
along with an EC declaration of verification.

8 Annex
8.1 Annex 1: EC declarations of verification for systems – SAMPLE
8.2 Annex 2: EC declaration of conformity, EC declaration of suitability

for use for constituents – SAMPLE
8.3 Annex 3: Compliance matrix for Regulation (EC) No 552/2004
8.4 Annex 4: Description of the EC verification process
8.5 Annex 5: Example for classification of systems and constituents of

the EATMN
8.6 Annex 6: External reference documents

National Air Navigation Services
Interoperability Guide Supervisory Authority (Germany)
Annex 1: EC declaration of verification -SAMPLE -
EC declaration of verification for systems

Name and address of the air navigation service
System/location
provider
………………….. Name and location or scope of the system
………………..
………………
System classification: See: Annex I of Regulation (EC) No 552/2004
Part 1: General information about the system in accordance with Regulation (EC)
No 552/2004, Annex IV, 1
1.1 Regulation reference number
[Declaration of the air navigation service provider which reference regulation has been taken as basis to
determine compliance with requirements. Example: Essential requirements in accordance with]
1.2 Description of the system.
[Brief description of the system with characteristics, conditions and limits to use.]
1.3 Description of the procedure followed in order to declare conformity of the system
[Specification of the Conformity assessment procedure in accordance with Council Decision 768/2008/EC
applied and the results of the assessment, if a special procedure was not specified in a Regulation.
Remark:
The Council Decision 93/465/EEC was repealed and replaced by Council Decision 768/2008/EC]
1.4 Notified bodies
[Name and address of the notified body which have appointed to carry out tasks pertaining to the
verification procedure, if applicable.]
1.5 Reference numbers of the documents in the technical file
All documents must be dated and signed see Part 3
1.6 References to the Community Specifications
[Community Specifications, if applicable; they can be found in the publications of the European standards
committees, among other places ]
1.7 All relevant temporary or definitive provisions to be complied with by the systems and in
particular, any operating restrictions or conditions
[Identification of any remaining technical or operational deficiencies at the start of operation as well as
duration of restrictions and any intended follow-up provision of verification (if related to requirements for
interoperability)]
1.8 Period of validity
[An EC declaration of verification generally applies for the lifetime of the system or until its next modification.
If the system is to be repaired due to deficiencies or if it is intended to be operated for a limited time,
information about these restrictions or time limits must be included.]
1.9 Date put into service [scheduled]
Part 2: Verification procedure in accordance with Regulation (EC) No 552/2004,

Annex IV,2 Verification of the system with regard to the following aspects
2.1 Overall design
2.2 Development and integration of the system
[in particular, assembly of constituents and overall adaptations]
2.3 Operational system integration
[e.g. integrationplan, transitionplan / cutoverplan]
2.4 Specific system maintenance provisions, if applicable
Version 2.1 page 1 of 2

National Air Navigation Services
Interoperability Guide Supervisory Authority (Germany)
Annex 1: EC declaration of verification -SAMPLE -
Part 3: Technical file in accordance with Regulation (EC) No 552/2004, Annex IV,3
3.1 Documents with the relevant parts of the technical specifications used for procurement.
3.2 List of constituents.
3.3 Copies of the EC declaration of conformity or EC declaration of suitability for use for the
corresponding constituents (Art. 5).
3.4 Certification of a notified body, if involved in the verification of the system.
3.5 Documents for tests and installation configurations that supply verification of compliance, if
no notified body was involved in verification of the system.
3.6 Test charts from ground measurements (verification of signal parameters in accordance with
ICAO Annex 10, if relevant).
3.7 Results from flight inspections (verification of signal parameters in accordance with ICAO
Annex 10, if relevant).
Remark:
Prior to putting into service additionally the following documents have to be delivered:
3.8 Technical acceptance documents (final version),
3.9 Operational acceptance documents (final version),
Part 4: Compliance matrices

4.1: Compliance matrix in accordance with Regulation (EC) No 552/2004, Annex II
4.2: Compliance matrix in accordance with relevant implementing Rules
Part 5: Declaration
The air navigation service provider [name, registered office] hereby declares that the system
described above has undergone the EC verification process in accordance with the relevant
implementing Rules for interoperability and hereby ensures that the essential requirements of the
designated regulations have been fulfilled.
Place of Issue, 1st signatory 2nd signatory
Date
per pro [Name and Signature in block per pro [Name and Signature in block
letters] letters]

Annex 2: EC declaration of conformity /
- SAMPLE -
EC declaration of suitability for use
EC declaration of conformity /
EC declaration of suitability for use for constituents
Name and address of the manufacturer or the air
Constituent / application area
navigation service provider (if it is the manufacturer)
………………….. Name and application area for the constituent
………………..
System classification: See: Annex I of Regulation (EC) No 552/2004
Part 1: General information about the constituent in accordance with Regulation (EC)
No 552/2004, Annex III
1.1 Regulation reference number
[Declaration of the air navigation service provider which reference regulation has been taken as basis to
determine compliance with requirements. Example: Essential requirements in accordance with Regulation
(EC) No 552]
1.2 Manufacturer information
[Name and address of the manufacturer or its authorised representative established in the Community]
1.3 Description of the constituents
[Brief description of the constituents with characteristics, conditions and limits for use, and if applicable,
technical file with reference numbers]
1.4 Description of the procedure followed in order to declare the system’s conformity or suitability
for use
[Specification of the Conformity assessment procedure in accordance with Council Decision 768/2008/EC
applied and the results of the assessment, if a special procedure was not specified in a Regulation.
Remark:
The Council Decision 93/465/EEC was suspended and replaced by Council Decision 768/2008/EC]
1.5 Relevant regulations
[All relevant regulations with which the constituents correspond, particularly those that relate to use of the
constituents.]
1.6 Notified bodies
[If applicable, name and address of the notified body or bodies that were involved in the process relating to
the compliance or usability.]
1.7 References to the Community Specifications
[Community Specifications are published in the Official Journal of the European Union (Regulation ((EC)
No 552/2004, article 4, (3)/(4))]
1.8 Information about the authorised signatories
Part 2: Declaration
The manufacturer [name, registered office] hereby declares that the constituents described
above:
• have been assessed with regard to their compliance in accordance with the
specifications to be fulfilled;
• were examined with regard to their suitability for use within their air traffic
management environment.
Place of Issue, 1st signatory 2nd signatory
Date
per pro [Name and Signature in block per pro [Name and Signature in block
letters] letters]

Annex 3: Compliance Matrix for Regulation (EC) No 552/2004 Annex II Supervisory Authority (Germany)
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System: [Name and function]
ESSENTIAL REQUIREMENTS OF THE INTEROPERABILITY REGULATION
Part A: General requirements
These are network-wide requirements that are generally applicable to each one of the systems identified in Annex I.
1. Seamless operation
Air traffic management systems and their constituents shall be designed What is the system design? System design documents; interface
designed, built, maintained and operated using Have the design specifications been fulfilled? control documents (incl. interfaces with
the appropriate and validated procedures, in such a way as to Which operational and technical requirements are external systems); documents
ensure the seamless operation of the EATMN at all placed on the system? regarding operational and technical
times and for all phases of flight. Seamless operation can be requirements
expressed, in particular, in terms of informationsharing, built How does the ANSP prove that the requirements EC declaration of conformity / suitability
including the relevant operational status information, common have been fulfilled? for use; ANSPs verification documents
understanding of information, comparable processing
performances and the associated procedures enabling
common operational performances agreed for the whole or maintained What procedures, responsibilities and rules ensure Maintenance directives; verification of
parts of the EATMN. adherence to maintenance requirements? personnel qualifications; licenses,
temporary supporting documents
operated What procedures, responsibilities and rules ensure Operational concept, letters of
adherence to operational requirements? How is the agreement, directives; inspection
use of suitable procedures ensured? How are results from the master integration tests
processes validated? or inspections; verification of personnel
qualifications
information sharing, uniform What type of operating status information is Consolidation of ATCO working
interpretation of information required? Who are the respective users of this positions; letters of agreements
information?
What type of protocol and format is used to ensure ICAO report format (e.g., ICAO flight
common understanding? plan / NOTAM format); Interface
Control Document (description of
interface between technical systems);

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Comparable processing What are the relevant system parameters? What is Technical parameters: capacity,
performance the required system performance and how is it bandwidth, processing capacity; e.g.,
verified? through SLA. Operational parameters:
aircraft per controller per hour;
What are the related procedures that ensure Handover procedures depending on the
operational performance as agreed? traffic density in the letters of
agreement with neighbouring centres
2. Support for new concepts of operation

The EATMN, its systems and their constituents shall support, Support of newly agreed and Identify how your system can support these new
on a coordinated basis, new agreed and validated validated operational concepts operational concepts. Operational concept
concepts of operation that improve the quality and through improving quality and Cite the quality and efficiency increases with respect
effectiveness of air navigation services, in particular in terms efficiency with regard to safety and to safety through the measures to be introduced
of safety and capacity. capacity
The potential of new concepts, such as collaborative decision- (not relevant for the preparation of EC declarations
making, increasing automation and alternative of verification; the results of the verification of
methods of delegation of separation responsibility, shall be potential shall be harmonized at the European level)
examined taking due account of technological
developments and of their safe implementation, following
validation.

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3. Safety
Systems and operations of the EATMN shall achieve agreed Systems and modes of operation for A safety assessment in accordance with ESARR 3,4
high levels of safety. Agreed safety management and the European air traffic management and 6 shall be conducted for the system.
reporting methodologies shall be established to achieve this. network must meet the agreed high What safety level was determined for your system?
standard for safety
In respect of appropriate ground-based systems, or parts Improvement of the level of safety Which safety nets are used to improve ground-
thereof, these high levels of safety shall be enhanced by based systems? (such as STCA) Are agreed
safety nets which shall be subject to agreed common performance characteristics considered?
performance characteristics.
A harmonised set of safety requirements for the design, (not relevant for the preparation of EC declarations
implementation, maintenance and operation of systems of verification; definition of harmonized safety
and their constituents, both for normal and degraded modes of requirements shall be harmonized at the European
operation, shall be defined with a view to level)
achieving the agreed safety levels, for all phases of flight and
for the entire EATMN.

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Systems shall be designed, built, maintained and operated, Systems are … to be designed, (see Item 1 with emphasis on human ability)
using the appropriate and validated procedures, in manufactured, maintained and
such a way that the tasks assigned to the control staff are operated
compatible with human capabilities, in both the
normal and degraded modes of Describe what constitutes normal and impaired
normal and degraded modes of operation, and are consistent
operation operating conditions.
with required safety levels.
Human capabilities How is it ensured that human ability (under normal
and impaired operating conditions) are considered?
Systems shall be designed, built, maintained and operated free from harmful interference in their Are protective facilities available that ensure
using the appropriate and validated procedures, in normal operational environment malfunction-free operation under normal conditions?
such a way as to be free from harmful interference in their (e.g., backup systems, redundant power supply,
normal operational environment. procedures for loss of radio communication)
Is emergency training carried out? (such as training
plans and confirmation of participation...)

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4. Civil-military coordination
The EATMN, its systems and their constituents shall support Progressive achievement of At what level is there flexible use of air space? Operational concept; operating
the progressive implementation of civil/military coordination between civil and Is progressive achievement observable? procedures; annual report in
coordination, to the extent necessary for effective airspace and military points by means of the To what extent does the observed system contribute accordance with 2150/05 Article 8.
air traffic flow management, and the safe and European Air Traffic Management to the efficiency of the air space management Route Availability Document (RAD)
efficient use of airspace by all users, through the application of Network between civil and military points? Compatible? from EUROCONTROL
the concept of the flexible use of airspace. (Note: civil-military coordination between DFS and
AFSBw since the 1990s).
Flexible use of air space for To what extent does the observed system contribute Operational concept, operating
efficient air traffic flow to the efficiency of the air traffic flow management procedures, statistics for checking
management between civil and military users? efficiency.
Flexible use of air space for safe To what extent does the system contribute to safe Operational concept, operating
and efficient use of air space and efficient use of air space for both civil and procedures, statistics for checking
military users? efficiency.
To achieve these objectives, the EATMN, its systems and their Timely shared use of correct and How is timely use ensured? Operational concept, operating
constituents shall support the timely sharing of consistent information for all flight Is all information current, consistent and checked for procedures
correct and consistent information covering all phases of flight, phases through civil and military accuracy?
between civil and military parties. points. Are all flight phases considered?
Account should be taken of national security requirements. national security requirements Are all national regulations for compliance with Agreements between BMVBS and
security requirements considered? BMVg, as well as between AFSBw and
Which national regulations apply to the system? air navigation service providers
How are these verified?

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5. Environmental constraints
Systems and operations of the EATMN shall take into account Minimisation of environmental Describe how it is ensured that the impact of Feasibility studies;
the need to minimise environmental impact in impact operation of the system on the environment is held operating procedures:
accordance with Community legislation. to a minimum; applicable statutory provisions must site certifications (for transmitters),
be observed. consideration process
6.Principles governing the logical architecture of

systems
Systems shall be designed and progressively integrated with Achieve a coherent, harmonized, What logical architecture forms the basis for the Documents in which the selected
the objective of achieving a coherent and increasingly upgradeable and validated logical system? (such as logical architecture in accordance logical architecture is described
harmonised, evolutionary and validated logical architecture architecture with OATA from EUROCONTROL);
within the EATMN. Describe which strategies and plans have been
developed to correspond to the prescribed logical
architecture.
How can a system be integrated in the future and
harmonized with other systems?

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7. Principles governing the construction of systems
Systems shall be designed, built and maintained on the Appropriate technical principles Which appropriate technical principals where System design document; system
grounds of sound engineering principles, in particular considered in designing the system? specifications; description of selected
those relating to modularity, enabling interchangeability of solutions from the project phase
constituents, high availability, and redundancy and
fault tolerance of critical constituents.
Modularity and replaceability of How is modularity ensured? System design document; system
constituents specifications; description of selected
solutions from the project phase
Can the replaceability of constituents be ensured? System design document; system

specifications; description of selected
solutions from the project phase;
guidelines for maintaining operation;
maintenance contracts
High availability as well as How is high availability guaranteed? System design document; system
redundancy and fault tolerance for How is this availability documented? specifications; description of selected
critical constituents solutions from the project phase
What measures can be taken to achieve the System design document; system
necessary fault tolerance? specifications; description of selected
solutions from the project phase

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Part B: Specific requirements
These are the requirements that are specific to each one of the systems and that complement or further refine the
general requirements.
1. Systems and procedures for airspace management
1.1. Seamless operation
Information relating to pre-tactical and tactical aspects of Practical and tactical information What practical and tactical information on air space System design document
airspace availability shall be provided to all about air space availability availability is made available?
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.
Correct and timely How is availability of accurate and timely information Inspection documentation; test reports
ensured?
Efficient allocation and use of the How does the system contribute to efficient use of
air space air space?
Affected parties To whom is the information made available? Operational concept
National security How are national safety requirements taken into Operational concept; military basic
consideration? documents (regarding safety of air
traffic management)

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2. Systems and procedures for air traffic flow
management
Systems and procedures for air traffic flow management shall Joint use of flight information for How does the system and the procedures support Operational concept (such as how are
support the sharing of correct, coherent and all flight phases for air traffic flow joint use of flight information? (such as data format) the guidelines from CONOPS
relevant strategic, pre-tactical and tactical, as applicable, flight management (CFMU) [EUROCONTROL] implemented?);
information covering all phases of flight and letters of agreement
offer dialogue capabilities with a view to achieving optimised
use of airspace.
Relevant strategic, pretactical and How do you define strategic, pretactical and tactical Operational concept (such as how are
tactical flight information flight information? the guidelines from CONOPS
How is it ensured that these definitions are [EUROCONTROL] implemented?);
coordinated with the affected users? letters of agreement
How is it ensured that the information is accurate
and coherent?
Dialogue functions with regard to e.g., dialogue in relation to the task of flight plans
optimised use of air space

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3. Systems and procedures for air traffic services
3.1. Flight data processing systems
3.1.1. Seamless operation
Flight data processing systems shall be interoperable in terms Timely joint use of accurate and How do you define “timely”? Use of uniform EUROCONTROL
of the timely sharing of correct and consistent consistent information How is it ensured that the definitions are coordinated formats or protocols; specific definition
information, and a common operational understanding of that with the affected users? in letters of agreement
information, in order to ensure a coherent How is it ensured that the information is accurate
and consistent planning process and resource-efficient tactical and consistent?
coordination throughout the EATMN during How is a coherent and consistent planning
all phases of flight. procedure as well as resource-efficient tactical
coordination ensured?
Uniform operational interpretation In which document is the operational interpretation Use of uniform EUROCONTROL
of information of information described? formats or protocols; specific definition
How is the uniform interpretation of information in letters of agreement
ensured?
How is a coherent and consistent planning
procedure as well as a resource-efficient tactical
coordination ensured?
In order to ensure safe, smooth and expeditious processing Capacity of systems for an How is ensured that the processing performance Operational concept; letters of
throughout the EATMN, flight data processing operational environment enables a safe, smooth and rapid processing of air agreement; feasibility studies from the
performances shall be equivalent and appropriate for a given traffic? project phase
environment (surface, terminal manoeuvring Which requirements on the processing performance
area (TMA), en-route), with known traffic characteristics and have been considered (e.g., runway capacity,
exploited under an agreed and validated controlled flights per controller)?
operational concept, in particular in terms of accuracy and How are bottlenecks to or from neighbouring ANSPs
error tolerance of processing results. avoided?
Agreed and validated operational Which is the underlying, validated operational Operational concept; letters of
concept concept? agreement
With whom was it agreed?
What level of accuracy and fault tolerance of
processing results is acceptable, and is this being
achieved?

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3.1.2. Support for new concepts of operation
Flight data processing systems shall accommodate the Introduction of advanced, agreed Which measures do support the introduction of new Operational concept
progressive implementation of advanced, agreed and and validated operating concepts operational concepts?
validated concepts of operation for all phases of flight.
Airborne and ground systems and their constituents supporting Characteristics of highly Which automated tools does the system use for the
new, agreed and validated concepts of automated tools pretactical and tactical phase?
operation shall be designed, built, maintained and operated, How is coherent and efficient processing of
using appropriate and validated procedures, in information ensured?
such a way as to be interoperable in terms of timely sharing of
Airborne and ground-based systems and their constituents that Timey joint use (see 3.1.1)
support new, agreed and validated operating concepts are to Uniform understanding of the Is the system capable of handling the current and Operational concept
be designed, manufactured, maintained and operated using current and forecast operating expected situation?
suitable and validated methods so that they are interoperable situation Does the system support the agreed operational
as relates to timely and joint use of correct and consistent concept?
information and with regard to a uniform understanding of the
current and forecast operating situation.

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3.2. Surveillance data processing systems
Surveillance data processing systems shall be designed, built, Required performance and quality What is the required performance and quality? System design document; system
maintained and operated using the appropriate specifications; description from
and validated procedures, in such a way as to provide the selected solution from project phase.
required performance and quality of service within
a given environment (surface, TMA, en-route) with known Accuracy and reliability How are accuracy and reliability of data ensured?
traffic characteristics, in particular in terms of
accuracy and reliability of computed results, correctness,
accuracy, reliability of computed How are these requirements ensured at the
integrity, availability, continuity and timeliness of
results, correctness, integrity, controller working position ?
information at the control position.
availability, continuity
Surveillance data processing systems shall accommodate the Timely sharing of information; How are relevant informations timely shared
timely sharing of relevant, accurate, consistent between users?
and coherent information between them to ensure optimised optimised operation (e.g. track data)
operations through different parts of the
EATMN.

Surveillance data processing systems shall accommodate the availability of new sources of Is the system able to process data of new sources System design document
progressive availability of new sources of surveillance information (such as new radar sensors; ADS-B; multilateration)
surveillance information in such a way as to improve the overall in order to improve the quality of service?
quality of service.

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3.3. Human-machine interface systems
Human-machine interfaces of ground air traffic management Harmonised working environment What kind of harmonized environment is made
systems shall be designed, built, maintained and available to controllers with this system? (such as
operated using the appropriate and validated procedures, in electronic display of flight strips)
such a way as to offer to all control staff a Is the system (with the known traffic caracteristics)
progressively harmonised working environment, including able to delivere the require performance?
functions and ergonomics, meeting the required
performance for a given environment (surface, TMA, en-route),
with known traffic characteristics.
Human-machine interface systems shall accommodate the Introduction of new operational How is the human capability considered concerning
progressive introduction of new, agreed and concepts; increased automation introduction of new operational concepts with regard
validated concepts of operation and increased automation, in to human-machine interfaces?
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.
normal and degraded modes of What is the concept to enable work under normal Simulation results; safety assessments
operation and degraded modes of operation?

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4. Communications systems and procedures for
ground-to-ground, air-to-ground and air-to-air
communications
Communication systems shall be designed, built, maintained Required performance Is the system able to achieve the required System design document; system
and operated using the appropriate and validated performance (such as processing time, integrity, specifications; description of selected
procedures, in such a way as to achieve the required availability, function continuity) for the given section solutions from the project phase;
performances within a given volume of airspace or for a of air space or for a specific application? required communication performance
specific application, in particular in terms of communication (ICAO requirements)
processing time, integrity, availability and
continuity of function.
The communications network within the EATMN shall be such Quality of service, coverage and Is the required quality of service, coverage and System specifications
as to meet the requirements of quality of redundancy redundancy being fulfilled by the system?
service, coverage and redundancy.
4.2. Support for new concepts of operation

Communication systems shall support the implementation of Introduction of advanced, agreed How are new operational concepts supported System specifications
advanced, agreed and validated concepts of and validated operational through the system for all phases of flight?
operation for all phases of flight. concepts
5. Navigation systems and procedures.
5.1 Seamless operation
Navigation systems shall be designed, built, maintained and Horizontal and vertical navigation Is the required horizontal and vertical precision System specifications; required
operated using appropriate and validated performance achieved? navigation performance (ICAO
procedures in such a way as to achieve the required horizontal Is the required functionality ensured by the system? requirements)
and vertical navigation performance, in
particular in terms of accuracy and functional capability, for a
given environment (surface, TMA, en-route),
with known traffic characteristics and exploited under an
agreed and validated operational concept.

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6. Surveillance systems and procedures.
Surveillance systems shall be designed, built, maintained and Required performance Is the system able to provide the required System design document; system
operated using appropriate and validated performance (such as with regard to accuracy, specifications; description of selected
procedures in such a way as to provide the required coverage, range and quality of service)? solutions from the project phase
performance applicable in a given environment (surface,
TMA, en-route) with known traffic characteristics and exploited
under an agreed and validated operational
concept, in particular in terms of accuracy, coverage, range
and quality of service.
The surveillance network within the EATMN shall be such as to Accuracy, timeliness, coverage Does the surveillance network fulfill the requirements System specifications
meet the requirements of accuracy, timeliness, and redundancy with regard to accuracy, timeliness, coverage and
coverage and redundancy. The surveillance network shall redundancy?
enable surveillance data to be shared in order to Data to be shared in order to Is EATMN supported by standardised surveillance
enhance operations throughout the EATMN. enhance operations data?

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7. Systems and procedures for aeronautical
information services
Accurate, timely and consistent aeronautical information shall Precise, timely and consistent Does it correspond to the joint agreements and
be provided progressively in an electronic aeronautical information standards?
form, based on a commonly agreed and standardised data set.
How is it ensured that precise, timely information is
made available consistently in electronic form?
Electronic form Is the information (progressively) made available in
electronic form?
Accurate and consistent aeronautical information, in particular Timely information Can the aeronautical information be made available
concerning airborne and ground-based promptly to the user (for air- and ground-based
constituents or systems, shall be made available in a timely constituents or systems)?
manner. Is this data precise and consistent?
Increasingly accurate, complete and up-to-date aeronautical Timely information How is the timely provision and use of aeronautical System design document
information shall be made available and used in information ensured?
a timely manner in order to support continuous improvement of
the efficiency of airspace and airport use.
Improvement of the efficiency of How is the information of increasing precision,

air space and airport use completeness and timeliness made available
promptly? Can the data contribute to improving the
efficiency of air space and airport use?

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8. Systems and procedures for use of meteorological
information
Systems and procedures for the use of meteorological Consistency, timeliness and Can the system/procedure be used to improve the
information shall improve the consistency and presentation quality timeliness and consistency of the meteorological
timeliness of its provision and the quality of its presentation, information as well as the manner of presentation?
using an agreed data set. What data set format is used? (LoA
Systems and procedures for the use of meteorological Improvement of the speed of Can the availability of meteorological information be
information shall improve the promptness of its availability and usability accelerated with the system/procedure?
availability and the speed with which it may be used, in order to By which means is an acceleration of the distribution
support continuous improvement of the of data to the users possible?
efficiency of airspace and airport use.

Annex 4: Description of EC inspection process Supervisory Authority (Germany)
Description of the EC verification process
Manufacturer Air navigation service provider NSA
design of a new system

Notification of
System modification Change
- Classification of the system in accordance with EC Reg.

552/2004, Annex I
- Allocation of constituent(s)
Manufacturer
Commissioning
(external/internal)
-EC declaration of
Verification of constituents:
suitability for use
- Essential requirements
-EC declaration of
- or relevant implementing rules
conformity
Regulation (EC) 552/2004 Art.5 (2)
Reg (EC) 552/2004
Annex III
Realisation of
the system
No
EC verification of the system accord.

Matrix
Yes to Reg (EC) 552/2004, Art. 6
Reg (EC) 552/2004
Minor fixes
Verification (using compliance matrix), if Annex II
essential requirements (ER) are met
No Existing relevant
implementing
rules?
Yes
EC verification of system in accord. with

relevant implementing rules (IR) Additional matrix
Verification (using an additional compliance
matrix), if requirements are met
IMPROVEMENT OF SYSTEM DEFICIENCIES
Technical file Reg (EC)

Compilation of technical file 552/2004 Annex IV, 3
Preparation of the EC declaration EC declaration of

of verification verification
Submission of EC declaration of verification

Part 1: General Information (Annex IV, Sec. 1)
Part 2: Verification procedure (Annex IV, Sec. 2)
Part 3: Technical file (Annex IV, Sec. 3)
Part 4: Compliance matrix
Yes Objections /
shortcomings?
No (eventually with
On-schedule restrictions)
putting into service
Compliance
with requirements?
OPERATION Yes Reg (EC) 552/2004
Art.7 (1), (2)
No
Operation under special

Establishment of safeguards
conditions
- Restriction of range of use /
Imposition of conditions
- Prohibition of use
Operation shut-down
Information with
indication of
reasons
EU Commission
Version 2.1
Annex 5: Example for classification of systems and constituents of the EATMN
Interoperabilität- Regulation (EC) No 552/2004 10 March 2004

Annex 5: Example for classification of systems and constituents of the EATMN
AIS Aeronautical Information Service NAV Navigation

ASM Airspace Management RDPS Radar Data Processing System
ASR Airport Surveillance Radar SDP Surveillance Data Processing
ATCISS Air Traffic Control Information Support System SMGCS Surface Movement Guidance and Control System
ATFM Air Traffic Flow Management SREM Surveillance Radar Equipment
ATS Air Traffic Service(s) STANLY Statistics and Analysis System
COM Communications STCA Short Term Conflict Alert
CWP Controller Working Position SUR Surveillance
DF Direction Finder VCS Voice Communication System
DME Distance-Measuring Equipment VOR VHF Omnidirectional Radio Range
EATMN European Air Traffic Management Network WAM Wide Area Multilateration
FDP Flight Data Processing
FDPS Flight Data Processing System
FMP Flow Management Position
GNSS Global Navigation Satellite System
HMI Human Machine Interface
ILS Instrument Landing System
LIZ Situation and Information Center
MET Meteorology
MSAW Minimum Safe Altitude Warning
MUX Multiplexer

Annex 6: External reference documents
External reference documents

Chronological list:
1. Council Decision 93/465/EEC of 22 July 1993 (including the technical harmonisation
directives on modules to be applied for various phases of the conformity assessment
procedure.
2. “Guide to the Implementation of directives based on the New Approach and the
Global Approach,” (ISBN 92-828-7449-0; European Communities, 2000)
3. 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)
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 2096/2005 of 20 December 2005 laying down
common requirements for the provision of air navigation services
6. Regulation (EC) No 2150/2005 of 23 December 2005 laying down common rules for
flexible use of airspace
7. 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
8. 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
9. Commission Regulation (EC) No 633/2007 of 6 July 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
10. Commission Regulation (EC) No 1265/2007 of 26 October 2007 laying down
requirements on air-ground voice channel spacing for the single European sky
11. Commission Regulation (EC) 1315/2007 of 8 November 2007 on safety oversight in
air traffic management and amending Regulation (EC) No 2096/2005
12. Council 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

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Interoperability Guide National Air Navigation Services

Supervisory Authority (Germany)

15th January 2009

Federal Ministry of Transport, Building and Urban Affairs,

Version 2.1 Page 1 of 28

Author: Bodo Heinzl

Document name: Guide IOP V2.1 EN

Technical responsibility and publication:

Federal Ministry of Transport, Building and Urban Affairs,

Prof. Dr. Nikolaus Herrmann

Version 2.1 Page 2 of 28

Version 2.1 Page 3 of 28

Version Date Revised pages and Remarks

2.0 17/03/2008 New edition, annex

2.1 15/01/2009 HMI-systems; acceptance

Version 2.1 Page 4 of 28

2 General provisions ....................................................................................8

3 Principles and procedures......................................................................13

4 Declarations for systems and constituents ..........................................18

5 Measures if shortcomings are identified...............................................25

Version 2.1 Page 5 of 28

6 Special cases ...........................................................................................26

Version 2.1 Page 6 of 28

Version 2.1 Page 7 of 28

2.1 External reference documents

2. Regulation (EC) No 552/2004 of the European Parliament and of the Council of

• Air navigation services

• Air navigation service provider

• Air Traffic Management Network

Version 2.1 Page 8 of 28

• EC declaration of conformity (DoC)

• EC Declaration of Suitability for Use (DSU)

• EC declaration of verification (DoV)

Version 2.1 Page 9 of 28

(Regulation (EC) No 552/2004, Article 3 (1))

• Integrations test / -plan

• Operational acceptance certificate

Version 2.1 Page 10 of 28

A positive result from the technical acceptance process is a precondition for

• Operational characteristics of a system

(Regulation (EC) No 549/2004, Article 2 (40))

• Placing on the market

• Putting into service

Version 2.1 Page 11 of 28

• Technical acceptance certificate

Version 2.1 Page 12 of 28

3 Principles and procedures

3.2 National supervisory authority

3.3 Air Navigation Service Providers

Version 2.1 Page 13 of 28

3.5 Notified bodies

Version 2.1 Page 14 of 28

Notes to system No 3: Human-machine interface systems (HMI)

Version 2.1 Page 15 of 28

3.8 Implementing rules

3.9 Community Specifications

Version 2.1 Page 16 of 28

An overview of current implementing rules and Community Specifications can be found

3.10 Applicability of type approvals (in accordance with FSMusterzulV)

Version 2.1 Page 17 of 28

4 Declarations for systems and constituents

In accordance with Regulation (EC) No 552/2004

4.2 Filing date