HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"EN
4.5.2013 Official
Journal
of
the
European
Union L
123/1
II
(Non-legislative acts)
REGULATIONS
COMMISSION IMPLEMENTING REGULATION (EU) No 409/2013
of 3 May 2013
on the definition of common projects, the establishment of governance and the identification of
incentives supporting the implementation of the European Air Traffic Management Master Plan
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
(4) Regulation
(EC)
No
550/2004
aims
to
help
airspace
users
and air navigation service providers improve collective air
navigation infrastructure, the provision of air navigation
Having regard to the Treaty on the Functioning of the European
services and the use of airspace by working together in
Union,
common projects. The aim is also to speed up the
deployment of the Single European Sky Air Traffic
Management Research and Development (SESAR) project.
Having regard to Regulation (EC) No 550/2004 of the European
Parliament and of the Council of 10 March 2004 on the
provision of air navigation services in the single European
sky ( 1 ), and in particular Article 15a thereof,
(5) SESAR
is
the
project
set
up
to
modernise
European
air
traffic management system. It is the technological pillar
of the single European sky initiative.
Whereas:
(1) The
single
European
sky
regulatory
framework
comprises (6)
SESAR is composed of three phases: the definition phase
the measures referred to in Article 3(1) of Regulation
to define the content of the next generation of ATM
(EC) No 549/2004 of the European Parliament and of
systems; the development phase to develop and validate
the Council (
the new generation of technological systems,

2 ).
components and operational procedures; and the
deployment phase that consists in the industrialisation
(2) The
application
of
single
European
sky
regulatory
and implementation of the new air traffic management
framework shall be without prejudice to the Member
systems.
States’ responsibilities in accordance with Article 1(2)
of Regulation (EC) No 549/2004.
(7) The
European
Air
Traffic
Management
(ATM)
Master
Plan
(hereinafter referred to as the ATM Master Plan),
(3) In
its
Communication
of
22
December
2011
( 3 ), the
Commission announced its intention to set out
produced during the definition phase of SESAR is the
governance and incentive mechanisms for the
agreed roadmap to bring ATM research and development
deployment of SESAR (Single European Sky Air Traffic
to the deployment phase.
Management Research and development) based on
Article 15a of Regulation (EC) No 550/2004. These
mechanisms include common projects, which should
(8) The
ATM
Master
Plan
outlines
the
essential
operational
assist the successful implementation of the ATM Master
changes that are required to help achieve the Single
Plan; guidance on common projects, which should
European Sky (SES) performance objectives. It is a key
establish a binding framework on how common
tool for SESAR deployment and provides the basis for
projects can support such implementation; and
timely, coordinated and synchronised deployment of the
governance mechanisms which should ensure timely,
new ATM functionalities.
coordinated and synchronised deployment by setting
out a clear allocation of responsibilities amongst stake
holders.
(9) Deployment
objectives
and
priorities
should
take
into
account also aspects of Network operations defined in
( 1 ) OJ L 96, 31.3.2004, p. 10.
( 2 ) OJ L 96, 31.3.2004, p. 1.
the Network Strategy Plan, which includes the
( 3 ) COM(2011) 923 final.
performance targets consistent with the European

---

L 123/2
EN
Official Journal of the European Union
4.5.2013
Union-wide performance targets and the actions planned
with European standardisation, should assist the
to meet the targets, and in the Network Operations plan
Commission in monitoring and facilitating standard
defined in Commission Regulation (EU) No 677/2011 ( 1 ).
isation processes and in promoting the use of
European standards.
(10) A
timely,
coordinated
and
synchronised
deployment
of
SESAR is essential to achieve the SES performance
(19) While
the
deployment
of
SESAR
projects
in
relation
to
objectives and the overall economic benefits expected
the military remains the responsibility of the States
from ATM modernisation.
concerned, there should be coordination with the
military to avoid any adverse impact on defence capabil
ities.
(11) Common
projects
provided
for
in
Article
15a
of
Regu
lation (EC) No 550/2004 should help boost the
performance of the European ATM network (EATMN)
(20) To
encourage
early
investment
from
stakeholders
and
and demonstrate overall positive cost-benefit analysis,
mitigate deployment aspects for which the cost-benefit
mindful of any potential negative impacts for specific
analysis is less positive, implementation projects that aim
regions or stakeholders.
to deploy common projects should be eligible for Union

funding and other incentives, in accordance with the
rules and procedures of Union funding programmes
(12) In
order
to
ensure
that
common
projects
are
imple
and incentive schemes.
mented and monitored in a timely, coordinated and
synchronised manner, making optimal use of the
(21) As far as possible, synergies shall be sought between
instruments and bodies identified in the single
SESAR deployment and Functional Airspace Blocks
European sky regulatory framework, a governance of
(FABs).
SESAR deployment should be established.
(22) The
measures
provided
for
in
this
Regulation
are
in
(13) In
order
to
govern
SESAR
deployment
effectively
and
accordance with the opinion of the Single Sky
ensure credibility of the deployment process, the oper
Committee,
ational stakeholders accountable for the performance of
the ATM system should be involved in deployment
HAS ADOPTED THIS REGULATION:
governance.
CHAPTER I
(14) Operational
stakeholders
investing
in
SESAR
deployment
should play a leading role in managing and imple
GENERAL PRINCIPLES
menting deployment activities, preferably through a
Article 1
single entity, while avoiding any conflict of interest.
Subject matter and scope
(15) The manufacturing industry should play an advisory role
1. This
Regulation
defines
common
projects,
referred
to
in
in SESAR deployment to ensure consistency with indus
Article 15a of Regulation (EC) No 550/2004, explains how they
trialisation and timely availability of equipment.
shall be governed and identifies incentives for their deployment.
(16) The
Commission
should
oversee
deployment
activities
2. This
Regulation
shall
apply
to
the
European
Air
Traffic
making sure they follow the SES objectives and
Management Network (EATMN).
safeguard the public interest, by establishing appropriate
reporting and monitoring mechanisms making the best
Article 2
use of existing instruments such as the European and
Local Single Sky ImPlementation (ESSIP Plan and
Definitions
Report and LSSIP documents).
For the purpose of this Regulation, the definitions in Article 2
of Regulation (EC) No 549/2004 and in Article 2 of Regulation
(EU) No 677/2011 shall apply.
(17) The
Commission
should
keep
the
Single
Sky
Committee
fully informed on the process for the selection of the
deployment manager, for the approval of the deployment
In addition the following definitions shall apply:
programme and for the selection of implementation
projects. The Single Sky Committee should be
(1) ‘SESAR Joint Undertaking’ means the body, established by
consulted on these issues without prejudice to the rules
Council Regulation (EC) No 219/2007 (
and procedures laid down in the relevant Union funding

2 ), entrusted with
the task of managing and coordinating the development
programmes.
phase of the SESAR project;
(18) The
European
Organisation
for
Civil
Aviation
Equipment
(2) ‘charging scheme’ means the scheme established by
(Eurocae), which produces technical material and
Commission Regulation (EC) No 1794/2006 ( 3 );
performs preliminary and ancillary work in connection
( 2 ) OJ L 64, 2.3.2007, p. 1.
( 1 ) OJ L 185, 15.7.2011, p. 1.
( 3 ) OJ L 341, 7.12.2006, p. 3.

---

EN
4.5.2013 Official
Journal
of
the
European
Union L
123/3
(3) ‘ATM functionality’ means a group of ATM operational
CHAPTER II
functions or services related to trajectory, airspace and
surface management or to information sharing within
COMMON PROJECTS
the en-route, terminal, airport or network operating
Article 4
environments;
Purpose and content
1. Common
projects
shall
aim
to
deploy
in
a
timely,
coor
(4) ‘SESAR deployment’ means the activities and processes
dinated and synchronised way ATM functionalities that will
relating to the industrialisation and implementation of
achieve the essential operational changes.
ATM functionalities identified in the ATM Master Plan;
2. Common
projects
shall
be
consistent
with
and
contribute
(5) ‘industrialisation’ of ATM functionalities means the
to the European Union-wide performance targets.
activities and processes, following their validation that
include standardisation, certification and production by
3. Common
projects
shall
identify
the
ATM
functionalities
the manufacturing industry (ground and airborne
that:
equipment manufacturers);
(a) having reached the appropriate level of industrialisation, are
(6) ‘implementation’ of ATM functionalities means the
mature for implementation;
procurement, installation and putting into service of
equipment and systems, including associated operational
procedures, carried out by operational stakeholders;
(b) require synchronised deployment.
4. The maturity of ATM functionalities shall be demon
(7) ‘essential operational change’ means an Air Traffic
strated, inter alia, on the basis of the results of validation
Management (ATM) operational change that provides
carried out by the SESAR Joint Undertaking, the status of stan
significant network performance improvements to the
dardisation and certification processes and an assessment of
operational stakeholders, as referred to in the ATM
their interoperability, also in relation to the ICAO Global Air
Master Plan;
Navigation Plan and relevant ICAO material.
(8) ‘performance scheme’ means a scheme established by
5. The
need
for
synchronised
deployment
of
ATM
func
Commission Regulation (EU) No 691/2010 (
tionalities shall be assessed on the basis of:

1 );
(a) a definition of their geographical scope and planning,
(9) ‘European Union-wide performance targets’ means the
including deployment target dates;
targets referred to in Article 9 of Regulation (EU) No
691/2010;
(b) an identification of the operational stakeholders required to
deploy them;
(10) ‘operational stakeholders’ means civil and military: airspace
users, air navigation service providers and airport oper
(c) transitional measures for their progressive deployment.
ators.
6. Common
projects
shall
also:
Article 3
ATM Master Plan
(a) demonstrate a positive business case for the EATMN, based
on an independent cost-benefit analysis, and identify any
1. The ATM Master Plan is the roadmap driving the modern
potential local or regional negative impact for any specific
isation of the European ATM system and connecting SESAR
category of operational stakeholders;
research and development with deployment. It shall be the
key SES instrument for the seamless operation of the EATMN
and the timely, coordinated and synchronised SESAR
(b) identify incentives for deployment, referred to in Section 3
deployment.
of Chapter III, in particular to mitigate negative impacts on
a specific geographical area or category of operational stake
holders;
2. The
updates
of
the
ATM
Master
Plan
shall
contribute
to
achieving the European Union-wide performance targets and
(c) refer to the implementing rules for interoperability and
maintain consistency between these targets, SESAR deployment
safety under Regulation (EC) No 552/2004 of the
and SESAR research, development, innovation and validation
European Parliament and of the Council ( 2 ) and Regulation
activities. For this purpose, the ATM Master Plan updates shall
(EC) No 216/2008 of the European Parliament and of the
take into account the Network Strategy Plan and the Network
Council ( 3 ). In particular, reference shall be made to
Operation plan.
( 2 ) OJ L 96, 31.3.2004, p. 26.
( 1 ) OJ L 201, 3.8.2010, p. 1.
( 3 ) OJ L 79, 19.3.2008, p. 1.

---

L 123/4
EN
Official Journal of the European Union
4.5.2013
Community specifications under Regulation (EC) No
2. In
monitoring
the
effectiveness
of
common
projects
with
552/2004 and to acceptable means of compliance and
regard to performance of the EATMN, the Commission shall
certification specifications under Regulation (EC) No
make best use of existing monitoring and reporting instruments
216/2008;
and shall be assisted, in particular, by the Network Manager and
the Performance Review Body in accordance with Regulations
(EU) No 677/2011 and (EU) No 691/2010 and by the
(d) identify any need for new implementing rules for interoper
European Aviation Safety Agency regarding the safety aspects.
ability and safety, Community specifications and civil
standards to support their deployment and their applica
bility to the military taking into consideration civil and
3. The
Single
Sky
Committee
shall
be
informed
on
the
military systems’ equivalence; and
implementation of common projects.
(e) take account of the relevant deployment elements specified
CHAPTER III
in the Network Strategy Plan and the Network Operations
Plan of the Network Manager.
DEPLOYMENT GOVERNANCE AND INCENTIVES
SECTION 1
Article 5
Deployment Governance
Setup, adoption and implementation
Article 7
1. The
Commission
shall
set
up
proposals
for
common
General principles
projects in accordance with the requirements of Article 4.
1. Deployment
governance
shall
ensure
the
timely,
coor
dinated and synchronised implementation of common projects
2. The
Commission
shall
be
assisted
by
the
Network while interfacing with and facilitating industrialisation.
Manager, the European Aviation Safety Agency, the
Performance Review Body within their respective roles and
competencies as defined in the SES regulatory framework, and
2. Deployment
governance
shall
be
composed
of
three
levels:
by the SESAR Joint undertaking, Eurocontrol, the European
policy level; management level; and implementation level.
standardisation organisations, Eurocae and the deployment
manager. These bodies shall involve the operational stake
holders and manufacturing industry.
Article 8
Policy level
3. The
Commission shall
consult
the
stakeholders
in 1. The
policy
level
shall
be
responsible
for
overseeing
SESAR
accordance with Articles 6 and 10 of Regulation (EC) No
deployment, ensuring that it is in line with the single European
549/2004 including through the European Defence Agency,
sky regulatory framework and safeguards the public interest.
within its remit to facilitate the coordination of military
views, and the consultative group of experts on the social
dimension of the single European sky on its proposals for
2. The
Commission
shall
be
responsible
for
the
policy
level,
common projects.
in particular for:
4. The
Commission
shall
ensure
that
proposals
for
common
(a) setting up and adopting common projects in accordance
projects are endorsed by the airspace users and the ground
with Article 5;
operational stakeholders that are required to implement a
specific common project. To this end, airspace users shall set
up a group made up of representatives of airspace users.
(b) selecting the deployment manager, approving the
deployment programme and selecting the implementation
projects;
5. The
Commission
shall
adopt
common
projects
and
any
amendments to them in accordance with the procedure referred
to in Article 15a(3) of Regulation (EC) No 550/2004.
(c) managing the Union funds supporting the deployment
manager and the implementation projects;
6. Common
projects
shall
be
implemented
through
imple
mentation projects and in accordance with the deployment
(d) identifying incentives for SESAR deployment and enforcing
programme defined in Chapter III, Section 2.
the framework partnership agreement concluded with the
deployment manager in accordance with Article 9(5) and
Article 6
any relevant agreements for implementation projects;
Monitoring
(e) promoting the participation of the civil and military stake
1. The
Commission
shall
monitor
the
implementation
of
holders;
common projects and their impact on the performance of the
EATMN through specific reporting requirements. Those
requirements shall be set out by the Commission under the
(f) developing cooperation and coordination with third coun
framework partnership referred to in Article 9(5).
tries;

---

EN
4.5.2013 Official
Journal
of
the
European
Union L
123/5
(g) establishing coordination with standardisation and certifi
Article 9
cation organisations and bodies to facilitate industrialisation
and promote interoperability of ATM functionalities;
Management level
1. The
deployment
manager
shall
be
responsible
for
the
management level.
(h) monitoring the deployment of common projects and their
contribution to achieving the European Union-wide
2. The deployment manager shall, in particular, be
performance targets;
responsible for:
(a) developing, proposing, maintaining and implementing the
(i) issuing recommendations to operational stakeholders and
deployment programme, in accordance with Section 2;
Member States.
(b) associating the operational stakeholders that are required to
implement common projects;
3. The
Commission
shall
be
assisted
by
the
Single
Sky
Committee, the Industry Consultation Body, the consultative
(c) establishing mechanisms and decision-making processes that
group of experts on the social dimension of the single
ensure efficient synchronisation and overall coordination of
European sky, the National Supervisory Authorities and the
the implementation projects and the related investment in
Performance Review Body, within their respective roles and
line with the deployment programme;
competencies as defined in the single European sky regulatory
framework. The Commission may consult the Single Sky
Committee on any matter concerning the application of this
(d) ensuring effective management of risks and conflict of
Regulation.
interest;
(e) advising the Commission on issues related to the implemen
4. The
Commission
shall
also
involve,
within
their
respective
tation of common projects and to the setting up new
competencies and roles:
common projects;
(f) implementing Commission decisions and ensuring and
monitoring their implementation by the implementation
(a) Eurocontrol, through cooperative arrangements between
level;
Eurocontrol and the Union, to take full advantage of its
expertise and its civil-military and pan-European
competencies;
(g) identifying the most appropriate financing mechanisms
combining public and private funding;
(b) the European Defence Agency, to facilitate the coordination
(h) monitoring implementation of the deployment programme;
of military views from and in support of the Member States
and the relevant international military organisations on
(i) reporting to the Commission;
SESAR deployment and inform military planning mech
anisms of the requirements stemming from SESAR
(j) ensuring appropriate coordination with National Super
deployment;
visory Authorities.
3. The
deployment
manager
shall
be
composed
of
groupings
(c) the European Aviation Safety Agency, to ensure that safety
of operational stakeholders or individual operational stake
issues are integrated into the implementation of common
holders, including from third countries, under the conditions
projects, in particular when developing the required
defined in the relevant Union funding programmes. Operational
technical rules, such as those relating to the design,
stakeholders may participate in the deployment manager
production and maintenance of systems and constituents
through FAB structures.
for air traffic management and air navigation services, as
well as for the personnel and organisations involved therein;
4. The
deployment
manager
shall
demonstrate,
inter
alia,
its
capacity to:
(d) the SESAR Joint Undertaking, to ensure continuous
(a) represent operational stakeholders that are required to
connection between SESAR research, development, inno
implement common projects;
vation and validation activities and SESAR deployment
and to ensure that common projects and the deployment
programme are in line with the ATM Master Plan;
(b) manage multi-national implementation programmes;
(c) understand funding and financing mechanisms and financial
(e) The European Standardisation Organisations and Eurocae,
programme management; and
the latter in particular to facilitate and monitor industrial
standardisation processes and the use of the resulting stan
(d) use existing structures to involve all operational stake
dards.
holders.

---

L 123/6
EN
Official Journal of the European Union
4.5.2013
5. The selection of the members of the deployment manager
10. The
deployment
manager
shall
seek
assistance
from
the
by the Commission shall take the form of the award of a
manufacturing industry, through cooperative arrangements,
framework partnership following a call for proposals in
which shall be communicated to the Commission, to receive,
accordance with Article 178 of the Commission Delegated
inter alia, information on the industrialisation of products.
Regulation (EU) No 1268/2012 of 29 October 2012 on the
rules of application of Regulation (EU, Euratom) No 966/2012
of the European Parliament and of the Council on the financial
rules applicable to the general budget of the Union (
11. Subject
to
the
availability
of
funds
and
under
the

1 ) (Rules of
Application). The call for proposals shall define the objectives,
conditions set out in the relevant Union funding Programme,
requirements and the criteria for the selection of the members
the Commission shall provide financial support to the
of the deployment manager in accordance with the Rules of
deployment manager solely for the execution of its tasks
Application. The Single Sky Committee shall be informed on
referred to in paragraph 2.
the process of selection of the deployment manager.
Article 10
6. Members
of
the
deployment
manager
shall
carry
out
at
Implementation level
least one implementation project or part of it.
1. The
implementation
level
consists
of
the
implementation
projects selected by the Commission to implement common
7. The deployment manager shall make appropriate projects in line with the deployment programme.
cooperative arrangements with the Network Manager, the
SESAR Joint Undertaking and the military. The appropriate
cooperative arrangements shall be submitted to the Commission
2. Implementation projects shall be selected by the
for approval. The cooperation shall be as follows:
Commission through calls for proposals to implement the
deployment programme and in accordance with the rules and
procedures of relevant Union funding programmes.
(a) the deployment manager and the Network Manager shall
cooperate to ensure their tasks are fulfilled without any
form of duplication or competition, in particular, for the
deployment aspects that have an impact on the network
3. The
proposals
for
implementation
projects
shall
take
due
infrastructure, airspace organisation and performance as
account of the maturity of the industrialisation processes for
well as coherence with the Network Strategy Plan and the
these projects, based on information provided by the manufac
Network Operations Plan; the Network Manager shall also
turing industry, in particular on the impact of the implemen
support, within its mandate, the members of the
tation projects on legacy ATM systems, technical feasibility, cost
deployment manager in accordance with Articles 4(1)(i)
estimates and roadmaps for technical solutions.
and 4(3)(b) of Regulation (EU) No 677/2011;
4. The
implementation
projects
and
their
execution
shall
(b) the deployment manager shall cooperate with the SESAR
comply with the conditions agreed on with the Commission.
Joint Undertaking to ensure the necessary connections
between SESAR research, development, innovation and vali
dation activities and SESAR deployment and shall consult
SECTION 2
with the SESAR Joint Undertaking on the priorities and the
progress made during the development phase on issues
Deployment programme
related to industrialisation and to ensure consistency with
the ATM Master Plan;
Article 11
Purpose
(c) the deployment manager shall coordinate with the military
1. The
deployment
programme
shall
provide
a
compre
to avoid any adverse impact on national and collective
hensive and structured work plan of all activities necessary to
defence capabilities.
implement technologies, procedures and best practices required
to implement common projects. It shall organise these activities
in implementation projects identifying the associated risks and
mitigation actions, the geographical scope, the timeframe and
8. The
deployment
manager
shall
duly
take
into
account
the the operational stakeholders responsible for carrying out the
opinion of the entities referred to in paragraph 7 in its decisions
implementation projects.
that may impact the activities of these entities.
9. In the event of disagreement between the deployment
2. The
deployment
programme
shall
constitute
the
reference
manager and the entities referred to in paragraph 7 the
for the work of the Management and Implementation levels.
deployment manager shall submit the matter to the
Commission for a decision. The deployment manager shall
comply with the Commission’s decision.
3. The
deployment
programme
shall
be
part
of
the
framework partnership agreement and, as such, the members
( 1 ) OJ L 362, 31.12.2012, p. 1.
of the deployment manager shall commit to implement it.

---

EN
4.5.2013 Official
Journal
of
the
European
Union L
123/7
Article 12
Union funding. These arrangements shall define penalties for
non-execution of the deployment programme and non-
Establishment and implementation
execution of the implementation projects.
1. The
deployment
manager
shall
submit
the
proposal
for
the deployment programme and any proposals for amendments
Article 14
to the Commission for approval.
Other Incentives
1. Incentives
in
accordance
with
Regulations
(EC)
No
2. In
preparing
the
proposal
for
the
deployment
programme 1794/2006 and (EU) No 691/2010 for SESAR deployment
or proposals to amend it, the deployment manager shall coor
may be identified when establishing common projects.
dinate with the Network Manager, the SESAR Joint Undertaking
and the military in accordance with Article 9(7).
2. Union
funding
granted
in
accordance
with
Article
13
shall
be considered as ‘other revenue’ in accordance with Article 2(k)
3. Upon
adoption
of
each
common
project
the
Commission of Regulation (EC) No 1794/2006.
shall request the deployment manager to adapt the deployment
programme.
CHAPTER IV
FINAL PROVISIONS
SECTION 3
Article 15
Incentives
Review
Article 13
The Commission shall review the implementation of common
Union Funding
projects by the end of the second reference period established
by Article 7 of Regulation (EU) No 691/2010.
1. Union
funding
to
support
SESAR
deployment
shall
focus
on implementation projects provided for in Article 10, selected
for Union funding in accordance with the rules and procedures
Article 16
of the relevant Union funding programmes.
Entry into force
This Regulation shall enter into force on the first day following
2. The
Commission
shall
make
contractual
arrangements that of its publication in the Official Journal of the European
covering the implementation projects selected to receive
Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 May 2013.
For the Commission
The President
José Manuel BARROSO

---

Document Outline

• �

---