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Commission Implementing Regulation (EU) No 1207/2011Show full title

Commission Implementing Regulation (EU) No 1207/2011 of 22 November 2011 laying down requirements for the performance and the interoperability of surveillance for the single European sky (Text with EEA relevance)

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Article 1U.K.Subject matter

This Regulation lays down requirements on the systems contributing to the provision of surveillance data, their constituents and associated procedures in order to ensure the harmonisation of performance, the interoperability and the efficiency of these systems [F1of the United Kingdom Air Traffic Management System (UK ATMS) in relation to] the European air traffic management network (EATMN) and for the purpose of civil-military coordination.

Article 2U.K.Scope

1.This Regulation shall apply to the surveillance chain constituted of:

(a)airborne surveillance systems, their constituents and associated procedures;

(b)ground-based surveillance systems, their constituents and associated procedures;

(c)surveillance data processing systems, their constituents and associated procedures;

(d)ground-to-ground communications systems used for distribution of surveillance data, their constituents and associated procedures.

[F22.This Regulation shall apply to all flights operating as general air traffic in accordance with instrument flight rules within the [F3airspace provided for in Article 1(3) of Regulation (EC) No 551/2004 of the European Parliament and of the Council] with the exception of Article 7(3) and 7(4) which shall apply to all flights operating as general air traffic]

3.This Regulation shall apply to air traffic service providers which provide air traffic control services based on surveillance data, and to communication, navigation or surveillance service providers which operate systems laid down in paragraph 1.

Article 3U.K.Definitions

For the purpose of this Regulation, the definitions in Article 2 of Regulation (EC) No 549/2004 shall apply.

The following definitions shall also apply:

(1)

‘surveillance data’ means any data item, time stamped or not, within the surveillance system that pertains to:

(a)

aircraft 2D position;

(b)

aircraft vertical position;

(c)

aircraft attitude;

(d)

aircraft identity;

(e)

24-bit ICAO aircraft address;

(f)

aircraft intent;

(g)

aircraft velocity;

(h)

aircraft acceleration;

(2)

‘operator’ means a person, organisation or enterprise engaged in or offering to engage in an aircraft operation;

(3)

‘ADS-B’ means automatic dependent surveillance — broadcast, a surveillance technique in which aircraft automatically provide, via a data link, data derived from on-board navigation and position-fixing systems;

(4)

‘ADS-B Out’ means the provision of ADS-B surveillance data from an aircraft transmit perspective;

(5)

‘harmful interference’ means interference that prevents the achievement of the performance requirements;

(6)

‘surveillance chain’ means a system composed of the aggregation of airborne and ground-based constituents used to determine the respective surveillance data items of aircraft, including the surveillance data processing system, if deployed;

(7)

‘cooperative surveillance chain’ means a surveillance chain requiring both ground and airborne components to determine surveillance data items;

(8)

‘surveillance data processing system’ means a system that processes all surveillance inputs received to form a best estimate of the current aircraft surveillance data;

(9)

‘aircraft identification’ means a group of letters, figures or a combination thereof which is either identical to, or the coded equivalent of, the aircraft call sign to be used in air-to-ground communications, and which is used to identify the aircraft in ground-to-ground air traffic services communications;

(10)

‘State aircraft’ means any aircraft used for military, customs and police purposes;

(11)

‘transport type State aircraft’ means fixed wing State aircraft that are designed for the purpose of transporting persons and/or cargo;

(12)

‘extrapolate’ means to project, predict or extend known data based upon values within an already observed time interval;

(13)

‘coasted’ means extrapolated for a period longer than the ground surveillance systems update period;

(14)

‘time of applicability’ means the time at which the data item has been measured by the surveillance chain or the time for which it has been calculated by the surveillance chain;

(15)

‘accuracy’ means the degree of conformity of the provided value of a data item with its actual value at the time when the data item is output from the surveillance chain;

(16)

‘availability’ means the degree to which a system or component is operational and accessible when required for use;

(17)

‘integrity’ means the degree of undetected (at system level) non-conformity of the input value of the data item with its output value;

(18)

‘continuity’ means the probability that a system will perform its required function without unscheduled interruption, assuming that the system is available at the initiation of the intended operation;

(19)

‘timeliness’ means the difference between the time of output of a data item and the time of applicability of that data item.

Article 4U.K.Performance requirements

1.Air navigation service providers shall ensure seamless operations within the airspace under their responsibility and at the boundary with adjacent airspaces by applying appropriate minimum requirements for the separation of aircraft.

2.Air navigation service providers shall ensure that systems referred to in points (b), (c) and (d) of Article 2(1) are deployed as necessary to support the minimum requirements for the separation of aircraft applied in accordance with paragraph 1.

3.Air navigation service providers shall ensure that the output of the surveillance chain referred to in Article 2(1) complies with the performance requirements set out in Annex I provided that the airborne constituent functions used are compliant with the requirements set out in Annex II.

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Article 5U.K.Interoperability requirements

1.Air navigation service providers shall ensure that all surveillance data transferred from their systems identified in points (b) and (c) of Article 2(1) to other navigation service providers complies with the requirements set out in Annex III.

2.Air navigation service providers when transferring surveillance data from their systems identified in points (b) and (c) of Article 2(1) to other air navigation service providers, shall establish formal arrangements with them for the exchange of the data in accordance with the requirements set out in Annex IV.

3.Air navigation service providers shall ensure that, by 2 January 2020 at the latest, the cooperative surveillance chain has the necessary capability to allow them to establish individual aircraft identification using downlinked aircraft identification made available by aircraft equipped in accordance with Annex II.

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[F25.By 7 December 2020 operators shall ensure that:

(a)aircraft operating flights referred to in Article 2(2) are equipped with serviceable secondary surveillance radar transponders that comply with the following conditions:

(i)

they have the capabilities set out in Part A of Annex II;

(ii)

they have the continuity sufficient to avoid presenting an operational risk;

(b)aircraft with a maximum certified take-off mass exceeding 5 700 kg or having a maximum cruising true airspeed capability greater than 250 knots, operating flights referred to in Article 2(2), with an individual certificate of airworthiness first issued on or after 7 June 1995, are equipped with serviceable secondary surveillance radar transponders that comply with the following conditions:

(i)

they have the capabilities set out in Parts A and B of Annex II;

(ii)

they have the continuity sufficient to avoid presenting an operational risk;

(c)fixed wing aircraft with a maximum certified take-off mass exceeding 5 700 kg or having a maximum cruising true airspeed capability greater than 250 knots, operating flights referred to in Article 2(2), with an individual certificate of airworthiness first issued on or after 7 June 1995, are equipped with serviceable secondary surveillance radar transponders that comply with the following conditions:

(i)

they have the capabilities set out in Parts A, B and C of Annex II;

(ii)

they have the continuity sufficient to avoid presenting an operational risk.

Points (b) and (c) of the first subparagraph shall not apply to aircraft that operate within the [F6airspace provided for in Article 1(3) of Regulation (EC) No 551/2004 of the European Parliament and of the Council] and that belong to one of the following categories:

(i)

they are being flown to undergo maintenance;

(ii)

they are being flown for export;

(iii)

their operations will be ceased by 31 October 2025.

Operators of aircraft with a first certificate of airworthiness issued before 7 December 2020 shall comply by 7 June 2023 with the requirements set out in points (b) and (c) of the first subparagraph, subject to the following conditions:

(i)

they have established before 7 December 2020 a retrofit programme demonstrating compliance with points (b) and (c) of the first subparagraph;

(ii)

those aircraft have not benefitted from any Union funding granted to bring such aircraft in compliance with the requirements set out in points (b) and (c) of the first subparagraph.

For aircraft where the capability of the transponders to comply with the requirements of points (b) and (c) of the first subparagraph is temporarily inoperative, operators shall be entitled to operate that aircraft in the [F6airspace provided for in Article 1(3) of Regulation (EC) No 551/2004 of the European Parliament and of the Council] for a maximum of 3 consecutive days.

6.Operators shall ensure that aircraft equipped in accordance with paragraph 5 and having a maximum certified take-off mass exceeding 5 700 kg or having a maximum cruising true airspeed capability greater than 250 knots, operate with antenna diversity, with a minimum performance as prescribed in paragraph 3.1.2.10.4 of Annex 10 to the Chicago Convention, Volume IV, Third Edition, including all amendments up to No 77.]

F47.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8.Air navigation service providers shall ensure that, before putting into service the systems referred to in points (b), (c) and (d) of Article 2(1), they are implementing the most efficient deployment solutions taking into account the local operating environments, constraints and needs as well as airspace users capabilities.

Article 6U.K.Spectrum protection

1.By [F72 January 2020] at the latest [F8the CAA] shall ensure that a secondary surveillance radar transponder on board any aircraft flying over [F9the United Kingdom] is not subject to excessive interrogations that are transmitted by ground-based surveillance interrogators and which either elicit replies or whilst not eliciting a reply are of sufficient power to exceed the minimum threshold level of the receiver of the secondary surveillance radar transponder.

F42.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3.By [F72 January 2020] at the latest [F10the CAA] shall ensure that the use of a ground based transmitter operated in [F11the United Kingdom] does not produce harmful interference on other surveillance systems.

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Textual Amendments

Article 7U.K.Associated procedures

1.Air navigation service providers shall assess the level of performance of ground based surveillance chain before putting them into service as well as regularly during the service, in accordance with the requirements set out in Annex V.

F42.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F23.[F13The CAA] shall ensure that the assignment of 24-bit ICAO aircraft addresses to aircraft equipped with a Mode S transponder complies with Chapter 9 and its appendix of Annex 10 to the Chicago Convention, Volume III, Second Edition including all amendments up to No 90.]

4.Operators shall ensure that on board the aircraft they are operating, any Mode S transponder operates with a 24-bit ICAO aircraft address that corresponds to the registration that has been assigned by the State in which the aircraft is registered.

Article 8U.K.State aircraft

[F21.[F14The Secretary of State] shall ensure that, by 7 December 2020 at the latest, State aircraft comply with point (a) of Article 5(5).

2.[F15The Secretary of State] shall ensure that, by 7 December 2020 at the latest, transport-type State aircraft comply with point (c) of Article 5(5).]

F163.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F174.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

5.Air traffic service providers shall ensure that [F18: ]

[F19(a)State aircraft that cannot be equipped with secondary surveillance radar transponders that comply with the requirements set out in Part A of Annex 2, and

(b)transport-type State aircraft with a maximum certified take-off mass exceeding 5 700 kg or having a maximum cruising true airspeed capability greater than 250 knots, that cannot be equipped with secondary surveillance radar transponders that comply with the requirements set out in Part B and Part C of Annex 2,]

can be accommodated, provided that they can be safely handled within the capacity of the air traffic management system.

6.[F20The Secretary of State] shall publish the procedures for the handling of State aircraft which are not equipped in accordance with paragraphs 1 or 2 in national aeronautical information publications.

7.Air traffic service providers shall communicate on an annual basis to the [F21CAA] their plans for the handling of State aircraft which are not equipped according with paragraphs 1 or 2. Those plans shall be defined by taking into account the capacity limits associated with the procedures referred to in paragraph 6.

[F228.For State aircraft where the capability of the transponders to comply with the requirements of paragraphs 1 and 2 is temporarily inoperative, [F23the Secretary of State] shall be entitled to allow the operation of that aircraft in the [F24airspace provided for in Article 1(3) of Regulation (EC) No 551/2004 of the European Parliament and of the Council] for a maximum of 3 consecutive days.]

Textual Amendments

Article 9U.K.Safety requirements

F251.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2.[F26The CAA] shall ensure that any changes to the existing systems referred to in points (b), (c) and (d) of Article 2(1) or the introduction of new systems are preceded by a safety assessment, including hazard identification, risk assessment and mitigation, conducted by the parties concerned.

3.During the assessments identified in [F27paragraph 2], the requirements set out in Annex VI shall be taken into consideration as a minimum.

Article 10U.K.Conformity or suitability for use of constituents

Before issuing [F28a] declaration of conformity or suitability for use provided in Article 5 of Regulation (EC) No 552/2004, manufacturers of constituents of the systems referred to in Article 2(1) of this Regulation or [F29if the manufacturer is not established in the United Kingdom] their authorised representatives established in the [F30United Kingdom], shall assess the conformity or suitability for use of those constituents in compliance with the requirements set out in Annex VII.

However, certification processes complying with Regulation (EC) No 216/2008 of the European Parliament and of the Council(1), shall be considered as acceptable procedures for the conformity assessment of constituents if they include the demonstration of compliance with the applicable interoperability, performance and safety requirements of this Regulation.

Article 11U.K.Verification of systems

1.Air navigation service providers which can demonstrate or have demonstrated that they fulfil the conditions set out in Annex VIII shall conduct a verification of the systems referred to in points (b), (c) and (d) of Article 2(1) in compliance with the requirements set out in Part A of Annex IX.

2.Air navigation service providers which cannot demonstrate that they fulfil the conditions set out in Annex VIII shall subcontract to [F31an appointed] body a verification of the systems referred to in points (b), (c) and (d) of Article 2(1). This verification shall be conducted in compliance with the requirements set out in Part B of Annex IX.

3.Certification processes complying with Regulation (EC) No 216/2008 shall be considered as acceptable procedures for the verification of systems if they include the demonstration of compliance with the applicable interoperability, performance and safety requirements of this Regulation.

Article 12U.K.Additional requirements

1.Air navigation service providers shall ensure that all personnel concerned are made duly aware of the requirements laid down in this Regulation and that they are adequately trained for their job functions.

2.Air navigation service providers shall:

(a)develop and maintain operations manuals containing the necessary instructions and information to enable all personnel concerned to apply this Regulation;

(b)ensure that the manuals referred to in point (a) are accessible and kept up to date and that their update and distribution are subject to appropriate quality and documentation configuration management;

(c)ensure that the working methods and operating procedures comply with this Regulation.

3.Operators shall take the necessary measures to ensure that the personnel operating and maintaining surveillance equipment are made duly aware of the relevant provisions of this Regulation, that they are adequately trained for their job functions, and that instructions about how to use this equipment are available in the cockpit where feasible.

4.[F32The CAA] shall ensure compliance with this Regulation including the publication of the relevant information on surveillance equipment in the national aeronautical information publications.

F33Article 13U.K.Exemptions on the cooperative surveillance chain

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F4Article 14U.K. [F4Exemptions on aircraft]

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F22Article 14aU.K. Flight Plans

Operators of non-equipped State aircraft F34... and operators of aircraft not equipped in accordance with Article 5(5) operating within the [F35airspace provided for in Article 1(3) of Regulation (EC) No 551/2004 of the European Parliament and of the Council], shall include the indicators SUR/EUADSBX or SUR/EUEHSX or SUR/EUELSX or a combination thereof, in Item 18 of the flight plan.]

F36Article 15U.K.Entry into force and application

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F37...

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