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MEMORANDUM OF COOPERATION
NAT-I-9406 between the United States of America and the European Union
WHEREAS the United States of America and the European Union have as a common purpose the promotion and
development of cooperation in civil aviation research and development; and
WHEREAS such cooperation will encourage the development and safety of civil aeronautics in the United States of
America and the European Union;
NOW THEREFORE, the United States of America and the European Union (collectively, the ‘Parties,’ and individually, a
‘Party’) agree to undertake joint programs in accordance with the following terms and conditions:
Article I
their research and development activities. The Parties shall
involve participants in the cooperative activities, which shall
Objective
be conducted on a reciprocal basis in accordance with the
A. This Memorandum of Cooperation, including its Annexes
following principles:
and Appendices (the ‘Memorandum’), establishes the terms
and conditions for mutual cooperation in the promotion
and development of civil aviation research and development.
1. mutual benefit;
For this purpose the Parties may, subject to the availability
of appropriated funds and other necessary resources, provide
personnel, resources, and related services to cooperate to the
2. comparable opportunities to engage in cooperative
extent called for in the Annexes and Appendices to this
activities;
Memorandum.
3. equitable and fair treatment;
B. The objectives of this Memorandum may be achieved by
cooperation in any of the following areas:
4. timely exchange of information which may affect coop
erative activities; and
1. the exchange of information regarding programs and
projects, research results, or publications;
5. transparency.
D. Such cooperative activities shall take place pursuant to
2. the execution of joint analyses;
specific Annexes and Appendices defined in Article II.
3. the coordination of research and development programs
Article II
and projects, and their execution based on shared effort;
Implementation
A. This Memorandum shall be implemented through specific
4. the exchange of scientific and technical staff;
Annexes and Appendices to this Memorandum. These
Annexes and Appendices shall describe, as appropriate, the
nature and the duration of cooperation for a specific area or
purpose, treatment of intellectual property, liability, funding,
5. the exchange of specific equipment, software, and
allocation of costs, and other relevant matters. Unless
systems for research activities and compatibility studies;
explicitly stated otherwise, in case of an incompatibility
between a provision in an Annex or Appendix and a
provision in this Memorandum, the provision in the
6. the joint organisation of symposia or conferences; and
Memorandum shall have precedence.
B. Representatives from the United States of America and the
7. reciprocal consultations with the aim of establishing
European Union shall meet periodically to:
concerted action in appropriate international bodies.
1. discuss proposals for new cooperative activities; and
C. Subject to applicable laws, regulations and policies, as may
be amended or modified, the Parties shall foster, to the
fullest extent practicable, the involvement of participants
2. review the status of ongoing activities that have been
in cooperative activities under this Memorandum in view
undertaken pursuant to an Annex or Appendix to this
of providing comparable opportunities for participation in
Memorandum.

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C. The coordination and facilitation of cooperative activities
C. The Joint Committee may invite the participation of subject-
under this Memorandum shall be accomplished on behalf
specific experts on an ad hoc basis. The Joint Committee
of the Government of the United States of America by the
may establish technical working groups and oversee their
Federal Aviation Administration and on behalf of the
work and the work of committees and groups established
European Union by the European Commission.
in the specific Annexes and Appendices. The Joint
Committee shall develop and adopt internal governing
procedures.
D. The designated offices for the coordination and management
of this Memorandum, and where all requests for services
under this Memorandum should be made, are:
D. All decisions of the Joint Committee shall be taken by
consensus of the two Parties, which comprise the Joint
Committee. These decisions shall be in writing and signed
by the Parties’ representatives on the Joint Committee.
1. for the United States of America:
Federal Aviation Administration
E. The Joint Committee may consider any matter related to the
Office of International Aviation
functioning of this Memorandum and its Annexes and
Wilbur Wright Bldg., 6th Floor, East
Appendices. In particular it shall be responsible for:
600 Independence Ave., S.W.
Washington, D.C. 20591
USA
1. providing a forum for discussion, within the scope of this
Tel. +1 2023858900
Memorandum and its Annexes and Appendices, of:
Fax +1 2022675032
a. issues that may arise and changes that may affect the
implementation of this Memorandum and its Annexes
2. for the European Union:
and Appendices;
European Commission
Directorate-General for Mobility and Transport
Directorate for Air Transport
b. common approaches to the introduction of new tech
1040 Brussels
nologies and procedures, research and evaluation
BELGIUM
programs, and other areas of mutual interest; and
Tel. +32 22968430
Fax: +32 22968353
c. draft regulations and legislation by either Party that
could affect the interests of the other Party, within the
scope of this Memorandum and its Annexes and
E. Technical program liaisons for specific activities shall be
Appendices;
established as indicated in the Annexes and Appendices to
this Memorandum.
2. as appropriate, adopting additional Annexes to this
Memorandum and Appendices thereto;
Article III
Executive Management
3. as appropriate adopting amendments to Annexes to this
Memorandum and Appendices thereto; and
A. The Parties hereby establish a Joint Committee, which shall
be responsible for ensuring the effective functioning of this
Memorandum and shall meet at regular intervals to evaluate
the effectiveness of its implementation.
4. making proposals, as appropriate, to the Parties to
otherwise amend this Memorandum.
B. The Joint Committee shall be composed of representatives
Article IV
of:
Exchange of personnel
The Parties may exchange technical personnel as required to
1. the United States of America, which shall be the Federal
pursue the activities described in an Annex or Appendix to
Aviation Administration (FAA, co-chair); and
this Memorandum. All such exchanges shall be in accordance
with the terms and conditions set forth in this Memorandum,
its Annexes and Appendices. Technical personnel exchanged by
the Parties shall perform work as specified in the Annex or
2. the European Union, which shall be the European
Appendix. Such technical personnel may be from United
Commission (co-chair) assisted by representatives of the
States or European Union agencies or contractors, as mutually
European Union’s Member States.
agreed.

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Article V
and shall not be used in any way whatsoever for active civil
aviation or other operational use;
Equipment loan arrangements
Equipment may be loaned by one Party (the ‘Lending Party’) to
the other Party (the ‘Borrowing Party’) under an Annex or
K. any transfers of technology, equipment or other items
Appendix to this Memorandum. The following general
pursuant to this Memorandum shall be subject to the
provisions shall apply to all loans of equipment unless
applicable laws and policies of the Parties.
otherwise specified in an Annex or Appendix:
A. the Lending Party shall identify the value of the equipment
Article VI
that is to be loaned;
Funding
B. the Borrowing Party shall assume custody and possession of
A. Unless otherwise specified in an Annex or Appendix to this
the equipment at the Lending Party’s facility as designated by
Memorandum, each Party shall bear the costs of the
the Parties in the Annex or Appendix. The equipment shall
activities it performs pursuant to this Memorandum.
remain in the custody and possession of the Borrowing
Party until it has been returned to the Lending Party in
accordance with paragraph H below;
B. Memorandum number NAT-I-9406 has been assigned by
the United States to identify this cooperative program and
C. the Borrowing Party shall, at its own expense, transport any
shall be referenced in all correspondence related to this
equipment to the facility designated by the Parties in the
Memorandum.
Annex or Appendix;
D. the Parties shall cooperate in securing any export licenses
Article VII
and other documents required for the shipment of the
equipment;
Release of information
A. Except as required by applicable law or by prior written
E. the Borrowing Party shall be responsible for installing the
agreement between the Parties, neither Party shall release
equipment at the facility designated by the Parties in the
any information or material pertinent to the tasks or
Annex or Appendix. The Lending Party shall, if necessary,
related to the agreed programs under this Memorandum
provide assistance to the Borrowing Party for installing the
and its Annexes and Appendices to third parties other
equipment that is lent on the basis of terms agreed on by
than (i) contractors or subcontractors engaged in the tasks
the Parties;
or programs insofar as they are necessary for the execution
of those tasks and programs; or (ii) other governmental
authorities of the Parties.
F. during the period of the loan, the Borrowing Party shall
operate and maintain equipment in proper condition,
ensure the continued operability of the equipment, and
permit inspection by the Lending Party at any reasonable
B. If one of the Parties becomes aware that, under its laws or
time;
regulations, it will be, or may reasonably be expected to
become, unable to meet the non-disclosure provisions of
this Article, it shall immediately and prior to disclosure
G. the Lending Party shall assist the Borrowing Party in locating
inform the other Party. The Parties shall thereafter consult
sources of supplies for common items and parts peculiar
to identify an appropriate course of action.
which are not readily available to the Borrowing Party;
H. upon the expiration or termination of the pertinent Annex
Article VIII
or Appendix or this Memorandum, or when the use of the
equipment is complete, the Borrowing Party shall return the
Intellectual property rights
equipment to the Lending Party at the Borrowing Party’s
A. A Party providing intellectual property (which for purposes
expense;
of this Memorandum includes analyses, reports, databases,
software, know-how, technical and commercially sensitive
I. in the event of loss or damage of any equipment loaned
information, data, and records, and associated documen
under this Memorandum and for which the Borrowing Party
tation and materials, regardless of form or the media on
assumed custody and possession, the Borrowing Party, at the
which it may be recorded) to the other Party in accordance
Lending Party’s discretion, shall repair or compensate the
with the terms of an Annex or Appendix to this
Lending Party for the value (as identified by the Lending
Memorandum shall retain such proprietary rights in the
Party in paragraph A above) of the lost or damaged
intellectual property as it had at the time of the exchange.
equipment;
The Party providing a document or other intellectual
property pursuant to an Annex or Appendix to this
Memorandum shall clearly mark the document or other
J. any equipment exchanged under this Memorandum shall be
intellectual property as confidential, proprietary, or a trade
solely for research, developmental and validation purposes
secret, as appropriate.

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B. Except as may be specified in an Annex or Appendix to this
Article IX
Memorandum, the Party receiving intellectual property from
the other Party under this Memorandum:
Immunity and liability
A. The Parties shall address immunity and liability issues
associated with activities under this Memorandum in the
1. shall not acquire any proprietary rights in the intellectual
relevant Annex or Appendix as appropriate.
property by reason of its receipt from the other Party;
and
B. The Parties agree that all activities undertaken pursuant to
2. shall not disclose the intellectual property to a third
this Memorandum and its Annexes or Appendices shall be
party, other than contractors or subcontractors engaged
performed with due professional care and that every
in a program related to an Annex or Appendix to this
reasonable effort shall be made to minimise potential risks
Memorandum, without the prior written consent of the
to third parties and to fulfil all safety and oversight
other Party. In the case of a disclosure to a contractor or
requirements.
subcontractor engaged in the program, the Party making
the disclosure shall:
Article X
a. limit the use of the intellectual property by the
Amendments
contractor or subcontractor to the purposes specified
A. The Parties may amend this Memorandum, its Annexes or
in the applicable Annex or Appendix; and
Appendices. The Parties shall document the details of any
such amendment in a written agreement signed by both
Parties.
b. prohibit the further disclosure of the intellectual
property to third parties by the contractor or subcon
tractor except where the other Party consents in
advance and in writing to the further disclosure.
B. Amendments of the Annexes or the Appendices to this
Memorandum, adopted by the Joint Committee, shall enter
into force upon a decision of the Joint Committee pursuant
C. Except as may be specified in an Annex or Appendix to this
to Article III.D of this Memorandum, signed by the co-chairs
Memorandum, the proprietary rights in any intellectual
of the Joint Committee on behalf of the Parties.
property jointly developed by the Parties pursuant to this
Memorandum and its Annexes or Appendices shall be
shared by the Parties.
Article XI
Resolution of disagreements
1. Each Party shall be entitled to a non-exclusive, irrevocable
The Parties shall resolve any disagreement regarding the inter
right in all countries to reproduce, prepare derivative
pretation or application of this Memorandum or its Annexes or
works, publicly distribute, and translate such intellectual
Appendices in consultations between the Parties. The Parties
property, provided that such reproduction, preparation,
shall not refer any such disagreement to an international
distribution and translation does not affect the protection
tribunal or third party for settlement.
of the intellectual property rights of the other Party. Each
Party or its implementing authorities shall have the right
to review a translation prior to public distribution.
Article XII
Entry into force and termination
2. All publicly distributed copies of scientific and technical
journal articles, non-proprietary scientific reports and
A. Pending its entry into force, this Memorandum shall be
books directly arising from cooperation under this
applied provisionally from the date of signature.
Memorandum and its Annexes or Appendices shall
indicate the names of the authors of the work unless
an author explicitly declines to be named.
B. This Memorandum shall enter into force when the Parties
have notified each other in writing that their respective
internal procedures for its entry into force have been
D. If a Party disagrees with the designation of a document or
completed, and shall remain in force until terminated.
other intellectual property provided by the other Party
pursuant to an Annex or Appendix to this Memorandum
as confidential, proprietary, or a trade secret, then the Party
disagreeing with the designation shall request consultations
C. Any individual Annex or Appendix adopted by the Joint
with the other Party to address the issue. The Consultations
Committee after the entry into force of this Memorandum
may be held in conjunction with a meeting of the Joint
shall enter into force upon a decision of the Joint
Committee or a meeting of such other committees as may
Committee pursuant to Article III.D of this Memorandum,
be established under an Annex or Appendix to this
signed by the co-chairs of the Joint Committee on behalf of
Memorandum.
the Parties.

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D. Either Party may terminate this Memorandum or its Annexes or Appendices at any time by providing
sixty (60) days’ notice in writing to the other Party. Termination of this Memorandum shall not affect
the rights and obligations of the Parties under Articles V, VII, VIII and IX. Each Party shall have one
hundred twenty (120) days to close out its activities following termination of this Memorandum or its
Annexes or Appendices. Termination of this Memorandum also shall terminate all Annexes and
Appendices concluded by the Parties pursuant to this Memorandum.
Article XIII
Authority
The United States and the European Union agree to the provisions of this Memorandum as indicated by the
signatures of their duly authorised representatives.
Done at Budapest on the third day of March in the year two thousand and eleven.
For the United States of America For
the
European
Union

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ANNEX 1
TO MEMORANDUM OF COOPERATION NAT-I-9406 BETWEEN THE UNITED STATES OF AMERICA AND
THE EUROPEAN UNION SESAR-NEXTGEN COOPERATION FOR GLOBAL INTEROPERABILITY
WHEREAS SESAR and NextGen are respectively the European Union’s and the United States of America’s programmes
for developing new generations of air traffic management systems;
WHEREAS the SESAR Joint Undertaking was established by Council Regulation (EC) No 219/2007 of 27 February 2007
for the purpose of managing the SESAR Development phase;
NOW THEREFORE, the United States of America and the European Union (collectively the ‘Parties’, and individually a
‘Party’) have agreed as follows:
Article I
Purpose
The purpose of this Annex is to implement the Memorandum of Cooperation NAT-I-9406 between the United States of
America and the European Union (the Memorandum) by setting forth the terms and conditions under which the Parties
shall establish cooperation to ensure global interoperability between their respective Air Traffic Management (ATM)
modernisation programmes, NextGen and SESAR, taking into account the interests of civil and military airspace users.
Article II
Definitions
For the purpose of this Annex, the term ‘validation’ means to confirm, throughout the development lifecycle, that the
proposed solution, including concept, system, and procedures, complies with stakeholders’ needs.
Article III
Principles
Within the framework of the NextGen and SESAR programmes and in accordance with the principles set out in Article
I.C of the Memorandum, the Parties shall:
A. as appropriate, allow participation by each other’s governmental and industrial entities in their relevant consultative
bodies and industrial initiatives, in accordance with applicable laws and regulations, and the governing rules of such
bodies and initiatives;
B. endeavour to provide opportunities to each other’s industry stakeholders to contribute to work programs and access
information on, and results of, equivalent research and development programs and projects; and
C. through the High Level Committee established under Article V of this Annex, mutually identify, in attachments to this
Annex (Attachments), the domains that allow specific opportunities for participation in each Party’s consultative
bodies, initiatives, and research programs and projects, in particular those domains that provide for a contribution
to high level system definition, such as interoperability, architecture definition, and technical baseline.
The High Level Committee shall monitor the implementation of this Article and shall update the Attachments as
necessary.
Article IV
Scope of work
A. The scope of the work is to contribute to ATM research, development, and validation for global interoperability. The
work may include, but is not limited to, the activities set out in paragraphs 1 to 5 of the present Article.
1. Transversal Activities
Transversal activities cover those tasks that are not specific to any one operational or technical development, but
have interdependencies across the SESAR and NextGen Programs. These activities are of particular importance to
the cooperation, as any diverging approach potentially has wide-reaching material implications for harmonisation
and interoperability. In this area, the Parties intend to address:
a. operations concept and roadmap;
b. separation provision;
c. road-mapping including standardisation and regulation with a view to facilitate implementation synchronisation;

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d. business case and investment planning;
e. environment;
f. the coordination of technical efforts in support of global and ICAO standardisation activities in the field of ATM
modernisation;
g. the synchronisation and consistency of avionics roadmaps, in order to ensure best economic efficiency for
airspace users; and
h. coordinated delivery of technical and operational changes that achieve/maintain seamless operations from an
airspace user’s perspective.
2. Information Management
The key focus on Information Management is to ensure timely distribution of accurate and relevant ATM-related
information across the stakeholder community in a manner that is seamless (interoperable), secure and supportive
of collaborative decision making. In this area, the Parties intend to address:
a. system Wide Information Management (SWIM) interoperability;
b. aeronautical Information Management (AIM) interoperability; and
c. meteorological information exchange.
3. Trajectory Management
Trajectory Management encompasses air/air and air/ground exchange of four-dimensional (4D) trajectories
requiring a consistent approach to terminology, definition and exchange of flight information at all times and
in all flight phases. In this area, the Parties intend to address:
a. common trajectory definition and exchange;
b. flight planning and dynamic flight plan updates;
c. traffic management (including trajectory integration and prediction);
d. Unmanned Aircraft Systems (UAS) integration into ATM; and
e. the convergence of the SESAR and NextGen concepts of operations, the service definitions and their appli
cations including the 4D trajectory definition and exchange format operations.
4. Communications, Navigation, Surveillance (CNS) & Airborne Interoperability
CNS and airborne interoperability includes planning airborne equipage and the development of mutually inter
operable air/air and air/ground applications and systems. In this area, the Parties intend to address:
a. airborne interoperability, including:
i. Airborne Collision Avoidance System (ACAS);
ii. avionics roadmap; and
iii. Airborne Separation Assistance Systems (ASAS) for air/air and air/ground separation assistance;
b. communications, including:
i. data-link services and technology; and
ii. flexible communication architecture;
c. navigation, including:
i. Performance Based Navigation; and
ii. Global Navigation Satellite System (GNSS) applications for en route and approach, including approach with
vertical guidance;
d. surveillance, including:
i. Automatic Dependent Surveillance (ADS) services and technology; and
ii. Ground surveillance.

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5. Collaborative Projects
Collaborative Projects include ad hoc projects for which the Parties agree that focused coordination and collab
oration is needed. In this area, the Parties intend to address:
a. Atlantic Interoperability Initiative to Reduce Emissions (AIRE); and
b. improvements of monitoring and position tracking of aircraft over oceanic and remote regions.
B. The Parties shall, as necessary, produce on a reciprocal basis, either individually or jointly for exchange between them,
reports describing concepts of use, models, prototypes, evaluations, validation exercises, and comparative studies
related to the technical and operational aspects of ATM. Evaluations and validations may use a range of tools
such as simulations and live trials.
Article V
Management
Subject to the availability of funds, the Parties shall establish and manage projects and activities and ensure that the work
in progress remains pragmatic, timely and result-oriented. To this end, the following management levels shall be
established:
A. a High Level Committee, which shall be composed of an equal number of participants from the European
Commission, which may be assisted by the SESAR Joint Undertaking, and from the Federal Aviation Administration
(FAA);
1. the High Level Committee shall be co-chaired by one representative each from the European Commission and the
FAA. The High Level Committee shall meet at least once a year to:
a. oversee SESAR-NextGen cooperation;
b. assess the achieved results;
c. decide on the launch of new projects and activities upon a proposal from the Coordination Committee defined
below;
d. decide on proposals for new Appendices or amendments to existing Appendices to this Annex, which it shall
submit to the Joint Committee for approval in accordance with Article III.D of the Memorandum;
e. give instructions to the Coordination Committee defined below; and
f. monitor the implementation of Article III of this Annex and, as necessary, consult on industry participation
mechanisms or refer questions to the Joint Committee established under the Memorandum;
2. the High Level Committee shall establish its working procedures and all decisions shall be taken by consensus
between the co-chairs;
3. the High Level Committee shall report to the Joint Committee established pursuant to Article III of the
Memorandum;
B. a Coordination Committee, which shall be composed of an appropriate and limited number of participants from the
SESAR Joint Undertaking and from the FAA Air Traffic Organization, which may both be assisted by experts;
1. the Coordination Committee shall be co-chaired by one representative each from the SESAR Joint Undertaking and
the FAA Air Traffic Organization. The Coordination Committee shall meet at least twice a year to:
a. monitor the progress of ongoing joint projects and activities as defined in the Appendices;
b. ensure the efficient execution of the Appendices through the Working Groups defined below;
c. ensure the efficient implementation of Article III of this Annex;
d. prepare reports to the High Level Committee; or
e. consider proposals for submission to the High Level Committee, including for new Appendices or amendments
to existing Appendices to this Annex;
2. the Coordination Committee shall establish its working procedures and all decisions shall be taken by consensus
between the co-chairs;

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C. Working Groups dedicated to specific projects or activities described in the Appendices. Each Working Group shall be
composed of an appropriate and limited number of participants. The Working Groups shall meet as necessary, shall
comply with instructions given by the Coordination Committee and shall report to it on a regular basis.
Article VI
Immunity and liability
The Parties shall address immunity and liability issues associated with activities under this Annex in the relevant
Appendix, as appropriate.
Article VII
Implementation
A. All work provided under this Annex shall be described in Appendices, which, upon their entry into force, shall
become part of this Annex.
B. Each Appendix shall be numbered sequentially and contain a description of the work to be performed by the Parties
or the entities they designate to carry out the work, including the location and planned duration of the work; the
personnel and other resources required to accomplish the work; the estimated costs; and any other pertinent
information concerning the work.
Article VIII
Financial provisions
Funding of work to be performed under this Annex shall be provided in accordance with Article VI of the Memorandum.
Article IX
Points of contact
A. The designated offices for the coordination and management of this Annex are:
1. for the United States of America:
Africa, Europe & Middle East Office, AEU-10
Federal Aviation Administration
Wilbur Wright Bldg., 6th Floor, East
600 Independence Avenue, S.W.
Washington, D.C. 20591
USA
Tel. +1 2023858905
Fax +1 2022675032
2. for the European Union:
Single European Sky and ATC Modernisation Unit
Directorate-General for Mobility and Transport
Directorate for Air Transport
European Commission
Rue de Mot 24
1040 Brussels
BELGIUM
Tel. +32 22968430
Fax +32 22968353
B. technical program liaison for specific activities shall be established as indicated in the Appendices to this Annex.
Article X
Entry into force and termination
A. Pending its entry into force, this Annex shall be applied provisionally from the date of signature.
B. This Annex shall enter into force when the Parties have notified each other in writing that their respective internal
procedures for its entry into force have been completed, and shall remain in force until terminated in accordance with
Article XII of the Memorandum. Termination of this Annex shall terminate all Appendices concluded by the Parties
pursuant to this Annex.

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Article XI
Authority
The United States of America and the European Union agree to the provisions of this Annex as indicated by the
signatures of their duly authorised representatives.
Done at Budapest on the third day of March in the year two thousand and eleven.
For the United States of America For
the
European
Union

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