Commission Regulation (EC) No 262/2009Show full title

ANNEX I U.K. [F1 International Civil Aviation Organisation provisions referred to in Article 3(1) and Annex III point 2

Textual Amendments

F1 Substituted by Commission Implementing Regulation (EU) 2016/2345 of 14 December 2016 amending Regulation (EC) No 262/2009 and Implementing Regulation (EU) No 1079/2012 as regards references to ICAO provisions (Text with EEA relevance).

1. Chapter 3 ‘ Surveillance systems ’ , Section 3.1.2.5.2.1.2 ‘ IC: Interrogator code ’ of ICAO Annex 10 ‘ Aeronautical Telecommunications ’ , Volume IV ‘ Surveillance and Collision Avoidance Systems ’ (Fifth Edition, July 2014, incorporating Amendment 89). U.K.

2. Chapter 5 ‘ SSR Mode S Air-Ground Data Link ’ , Section 5.2.9 ‘ The data link capability report ’ of ICAO Annex 10 ‘ Aeronautical Telecommunications ’ , Volume III ‘ Communication Systems ’ (Second Edition, July 2007, incorporating Amendment 90).] U.K.

ANNEX II U.K.

Part A: U.K. Requirements concerning the application for interrogator codes referred to in Articles 4(2), 5(1) and 5(2)

An IC application shall include the following key items, as a minimum:

(a)

a unique application reference from the [F2 CAA];

(b)

F3 ...

(c)

full details of the Mode S operator point of contact for Mode S IC Allocation matters;

(d)

Mode S interrogator name;

(e)

Mode S interrogator use (operational or test);

(f)

Mode S interrogator location;

(g)

Mode S interrogator planned date of first Mode S transmission;

(h)

requested Mode S coverage;

(i)

specific operational requirements;

(j)

SI code capability;

(k)

‘II/SI code operation’ capability;

(l)

coverage map capability.

Textual Amendments

F2 Word in Annex 2 Pt. A point (a) substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 152(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

F3 Annex 2 Pt. A point (b) omitted (31.12.2020) by virtue of The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 152(2)(b); 2020 c. 1, Sch. 5 para. 1(1)

Part B: U.K. Requirements concerning the allocation of interrogator codes referred to in Articles 2(10), 4(3) and 4(4)

An IC allocation shall include the following minimum items:

(a)

the corresponding application reference from the [F4 CAA];

(b)

a unique allocation reference from the IC allocation service;

(c)

superseded allocation references, as required;

(d)

allocated IC;

(e)

surveillance and lockout coverage restrictions under the form of sectored ranges or Mode S coverage map;

(f)

implementation period during which the allocation needs to be registered into the Mode S interrogator identified in the application;

(g)

implementation sequence which needs to be complied with;

(h)

optionally and associated with other alternatives: cluster recommendation;

(i)

specific operational restrictions, as required.

Textual Amendments

F4 Word in Annex 2 Pt. B point (a) substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 152(3); 2020 c. 1, Sch. 5 para. 1(1)

ANNEX III U.K. II/SI code operation referred to in Article 3(2)

1. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall also acquire targets through all call replies which are encoded using the matching II code. U.K.

2. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall consider transponders replying with all call replies encoded using the matching II code as non-SI equipped transponders, irrespectively of the SI capability reported in the data link capability report defined in the document referred to in Annex I point 2. U.K.

3. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall interrogate transponders lacking SI code capability using the Mode S multisite lockout protocol messages foreseen for II code operation. The II code to be used shall be the matching II code. U.K.

4. Mode S interrogators, when operating with an SI code and if enabled by an appropriate operational parameter, shall be configurable by the operator to either: U.K.

• not use lockout on the matching II code for transponders lacking SI code capability, or

• use intermittent lockout on the matching II code for transponders lacking SI code capability.

5. Mode S interrogators, when operating with an II code and if enabled by an appropriate operational parameter, shall be configurable by the operator to either: U.K.

• not use lockout for transponders which report no SI capability in their data link capability report or cannot report their data link capability, or

• use intermittent lockout for transponders which report no SI capability in their data link capability report or cannot report their data link capability.

6. When the II/SI code operation is activated, the lockout maps shall not be taken into account for transponders lacking SI code capability. U.K.

ANNEX IV U.K.

Part A: U.K. Requirements for the assessment of the conformity or suitability for use of constituents of the systems referred to in Article 10

1. The verification activities shall demonstrate the conformity of constituents supporting II code and SI code lockout protocols and II/SI code operation with the interoperability and performance requirements of this Regulation, or their suitability for use whilst these constituents are in operation in the test environment. U.K.

2. The application by the manufacturer, or [F5 if the manufacturer is not established in the United Kingdom] its authorised representative established in the [F6 United Kingdom], of the module described in Part B shall be considered as an appropriate conformity assessment procedure to ensure and declare the compliance of constituents. Equivalent or more stringent procedures are also authorised. U.K.

Textual Amendments

F5 Words in Annex 4 Pt. A point 2 inserted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

F6 Words in Annex 4 Pt. A point 2 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(2)(b); 2020 c. 1, Sch. 5 para. 1(1)

Part B: U.K. Internal production control module

1. This module describes the procedure whereby the manufacturer or [F7 , if the manufacturer is not established in the United Kingdom] its authorised representative established in the [F8 United Kingdom] who carries out the obligations laid down in point 2, ensures, and declares that the constituents concerned satisfy the requirements of this Regulation. The manufacturer or [F7 , if the manufacturer is not established in the United Kingdom] his authorised representative established within the [F8 United Kingdom] must draw up a written declaration of conformity or suitability for use in accordance with Annex III point 3 of Regulation (EC) No 552/2004. U.K.

Textual Amendments

F7 Words in Annex 4 Pt. B point 1 inserted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(a)(i); 2020 c. 1, Sch. 5 para. 1(1)

F8 Words in Annex 4 Pt. B point 1 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(a)(ii); 2020 c. 1, Sch. 5 para. 1(1)

2. The manufacturer must establish the technical documentation described in point 4 and [F9 the manufacturer, or if the manufacturer is not established in the United Kingdom the manufacturer's] authorised representative established within the [F10 United Kingdom] must keep it for a period ending at least 10 years after the last constituents has been manufactured at the disposal of the [F11 CAA] for inspection purposes and at the disposal of the air navigation service providers that integrate these constituents in their systems. The manufacturer or [F12 , if the manufacturer is not established in the United Kingdom] its authorised representative established within the [F10 United Kingdom] shall inform the [F13 CAA] on where and how the above technical documentation can be made available. U.K.

Textual Amendments

F9 Words in Annex 4 Pt. B point 2 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(b)(i); 2020 c. 1, Sch. 5 para. 1(1)

F10 Words in Annex 4 Pt. B point 2 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(b)(ii); 2020 c. 1, Sch. 5 para. 1(1)

F11 Word in Annex 4 Pt. B point 2 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(b)(iii); 2020 c. 1, Sch. 5 para. 1(1)

F12 Words in Annex 4 Pt. B point 2 inserted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(b)(iv); 2020 c. 1, Sch. 5 para. 1(1)

F13 Word in Annex 4 Pt. B point 2 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(b)(v); 2020 c. 1, Sch. 5 para. 1(1)

3. Where the manufacturer is not established within the [F14 United Kingdom], he shall designate the person(s) who place(s) the constituents on the [F14 United Kingdom] market. These person(s) shall inform the [F15 CAA] on where and how the technical documentation can be made available. U.K.

Textual Amendments

F14 Words in Annex 4 Pt. B point 3 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

F15 Word in Annex 4 Pt. B point 3 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 153(3)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)

4. Technical documentation must enable the conformity of the constituents with the requirements of this Regulation to be assessed. It must, as far as relevant for such assessment, cover the design, manufacture and operation of the constituents. U.K.

5. The manufacturer or his authorised representative must keep a copy of the declaration of conformity or suitability for use with the technical documentation. U.K.

ANNEX V U.K. Conditions referred to in Article 11

1. The air navigation service provider must have in place reporting methods within the organisation which ensure and demonstrate impartiality and independence of judgement in relation to the verification activities. U.K.

2. The air navigation service provider must ensure that the personnel involved in verification processes, carry out the checks with the greatest possible professional integrity and the greatest possible technical competence and are free of any pressure and incentive, in particular of a financial type, which could affect their judgment or the results of their checks, in particular from persons or groups of persons affected by the results of the checks. U.K.

3. The air navigation service provider must ensure that the personnel involved in verification processes, have access to the equipment that enables them to properly perform the required checks. U.K.

4. The air navigation service provider must ensure that the personnel involved in verification processes, have sound technical and vocational training, satisfactory knowledge of the requirements of the verifications they have to carry out, adequate experience of such operations, and the ability required to draw up the declarations, records and reports to demonstrate that the verifications have been carried out. U.K.

5. The air navigation service provider must ensure that the personnel involved in verification processes, are able to perform their checks with impartiality. Their remuneration shall not depend on the number of checks carried out, or on the results of such checks. U.K.

ANNEX VI U.K.

Part A: U.K. Requirements for the verification of systems referred to in Article 11(1)

1. The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance, contingency and safety requirements of this Regulation in an assessment environment that reflects the operational context of these systems. In particular, the verification of Mode S interrogators shall demonstrate: U.K.

• the correct operation on an SI code, including II/SI code operation,

• that the combination of IC conflict monitoring systems and/or procedures, and fallback mode of operation properly mitigate the IC conflict hazards,

• that the fallback mode of operation does not conflict with the IC allocation plan.

2. The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised testing practices. U.K.

3. Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities. U.K.

4. The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements: U.K.

• description of the implementation,

• the report of inspections and tests achieved before putting the system into service.

5. The air navigation service provider shall manage the verification activities and shall in particular: U.K.

• determine the appropriate operational and technical assessment environment reflecting the operational environment,

• verify that the test plan describes the integration of systems identified in Article 1(2) in an operational and technical assessment environment,

• verify that the test plan provides full coverage of the applicable interoperability, performance, contingency and safety requirements of this Regulation,

• ensure the consistency and quality of the technical documentation and the test plan,

• plan the test organisation, staff, installation and configuration of the test platform,

• perform the inspections and tests as specified in the test plan,

• write the report presenting the results of inspections and tests.

6. The air navigation service provider shall ensure that the systems identified in Article 1(2) operated in an operational assessment environment meet the interoperability, performance, contingency and safety requirements of this Regulation. U.K.

7. Upon satisfying completion of verification of compliance, air navigation service providers shall draw up the F16 ... declaration of verification of system and submit it to the [F17 CAA] together with the technical file as required by Article 6 of Regulation (EC) No 552/2004. U.K.

Textual Amendments

F16 Word in Annex 6 Pt. A point 7 omitted (31.12.2020) by virtue of The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(2)(a); 2020 c. 1, Sch. 5 para. 1(1)

F17 Word in Annex 6 Pt. B point 7 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(2)(b); 2020 c. 1, Sch. 5 para. 1(1)

Part B: U.K. Requirements for the verification of systems referred to in Article 11(2)

1. The verification of systems shall demonstrate the conformity of these systems with the interoperability, performance, contingency and safety requirements of this Regulation in an assessment environment that reflects the operational context of these systems. In particular, the verification of Mode S interrogators shall demonstrate: U.K.

• the correct operation on an SI code, including II/SI code operation,

• that the combination of IC conflict monitoring systems and fallback mode of operation properly mitigate the IC conflict hazards,

• that the fallback mode of operation does not conflict with the IC Allocation plan.

2. The verification of systems identified in Article 1(2) shall be conducted in accordance with appropriate and recognised testing practices. U.K.

3. Test tools used for the verification of systems identified in Article 1(2) shall have appropriate functionalities. U.K.

4. The verification of systems identified in Article 1(2) of this Regulation shall produce the elements of the technical file required by Annex IV point 3 of Regulation (EC) No 552/2004, including the following elements: U.K.

• description of the implementation,

• the report of inspections and tests achieved before putting the system into service.

5. The air navigation service provider shall determine the appropriate operational and technical assessment environment reflecting the operational environment and shall have verification activities performed by [F18 an appointed] body. U.K.

Textual Amendments

F18 Words in Annex 6 Pt. B point 5 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(a); 2020 c. 1, Sch. 5 para. 1(1)

6. The [F19 appointed] body shall manage the verification activities and shall in particular: U.K.

• determine the appropriate operational and technical assessment environment reflecting the operational environment,

• verify that the test plan describes the integration of systems identified in Article 1(2) in an operational and technical assessment environment,

• verify that the test plan provides full coverage of the applicable interoperability, performance, contingency and safety requirements of this Regulation,

• ensure the consistency and quality of the technical documentation and the test plan,

• plan the test organisation, staff, installation and configuration of the test platform,

• perform the inspections and tests as specified in the test plan,

• write the report presenting the results of inspections and tests.

Textual Amendments

F19 Word in Annex 6 Pt. B point 6 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(b); 2020 c. 1, Sch. 5 para. 1(1)

7. The [F20 appointed] body shall ensure that the implementation of information exchanges supporting the process of allocation and use of Mode S IC, integrated in systems operated in a simulated operational environment meets the interoperability, performance, contingency and safety requirements of this Regulation. U.K.

Textual Amendments

F20 Word in Annex 6 Pt. B point 7 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(b); 2020 c. 1, Sch. 5 para. 1(1)

8. Upon satisfying completion of verification tasks, the [F21 appointed] body shall draw up a certificate of conformity in relation to the tasks it carried out. U.K.

Textual Amendments

F21 Word in Annex 6 Pt. B point 8 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(b); 2020 c. 1, Sch. 5 para. 1(1)

9. Then, the air navigation service provider shall draw up the F22 ... declaration of verification of system and submit it to the [F23 CAA] together with the technical file as required by Article 6 of Regulation (EC) No 552/2004. U.K.

Textual Amendments

F22 Word in Annex 6 Pt. B point 9 omitted (31.12.2020) by virtue of The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(c)(i); 2020 c. 1, Sch. 5 para. 1(1)

F23 Word in Annex 6 Pt. B point 9 substituted (31.12.2020) by The Air Traffic Management (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/459), regs. 1(2), 154(3)(c)(ii); 2020 c. 1, Sch. 5 para. 1(1)