Explanatory Memorandum to COM(2013)503 - Extension of the Joint Undertaking to develop the new generation European air traffic management system (SESAR) until 2024 - Main contents
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| dossier | COM(2013)503 - Extension of the Joint Undertaking to develop the new generation European air traffic management system (SESAR) until 2024. |
|---|---|
| source | COM(2013)503  |
| date | 10-07-2013 |
The Single European Sky Air Traffic Management Research (SESAR) Joint Undertaking (the SJU), a public private partnership established in 2007 i, is the implementation instrument for the technology pillar of the Single European Sky (SES) and, in this respect, is in charge of the SESAR project’s development phase, i.e. is the 'guardian' and the executor of the European ATM Master Plan (ATM Master Plan) [2].
The Regulation (EC) 219/2007 (SJU Regulation) establishes that the SJU will cease to exist on 31 December 2016, as the Union funding to the Joint Undertaking's development phase is limited to the period covered by the Union’s 2007-2013 financial perspectives. The Regulation already foresees the possibility for the Council to review the scope, governance, funding and duration of the Joint Undertaking on the basis of progress made in the development phase. As it is necessary to continue research and innovation on air traffic management (ATM) beyond 2016, and in particular, the coordinated approach in ATM research and innovation in the context of the SES to achieve the performance targets there defined, this legislative proposal seeks to extend the duration of the Joint Undertaking beyond 2016. The multiannual funding for the new activities highlighted in the ATM Master Plan from 2014 to 2020 under the Union’s new financial framework[3] is part of Horizon 2020[4].
The SES legislative framework consists of four Basic Regulations[5]. The four Regulations adopted in 2004 (the SES I Package) have been revised and extended in 2009 with Regulation (EC) n° 1070/2009[6] aiming at increasing the overall performance of the air traffic management system in Europe (the SES II Package).
This framework also includes more than 20 Implementing Rules and Union Specifications ("technical standards") adopted by the European Commission starting from 2005 in view of ensuring interoperability of technologies and systems.
SES focuses on performance through institutional changes and the regulatory framework but also includes a major technological pillar, the SESAR project.
The ATM Master Plan is the agreed roadmap that links ATM research and innovation activities with deployment scenarios contributing to the achievement of the SES performance objectives through the modernisation of ATM technologies and procedures.
The coordination and interaction between development and deployment is essential for the success of the SESAR project and for the full implementation of the SES.
The SJU is responsible for coordinating and managing the R&I activities of the SESAR project in accordance with the ATM Master Plan. It is also responsible for executing and maintaining the ATM Master Plan. The most recent version of the ATM Master Plan, approved in 2012, identifies the 'Essential Operational Changes' that need to be implemented in three main steps to lead to the full deployment of the new SESAR concept by 2030:
– Step 1 – time based operations - concentrates on unlocking latent capability particularly by improving information sharing to optimize network effects.
– Step 2 – trajectory based operations - develops the System Wide Information Management (SWIM) and initial trajectory management concepts to increase efficiency.
– Step 3 – performance based improvements - will introduce a full and integrated trajectory management with new separation modes to achieve the long term political goal of SES.
The agreed and current work programme of the SJU covers Step 1 and, considering the maturity level of technology and operations, a large portion of Step 2 of the ATM Master Plan. In this respect, the SJU progress reports confirm that Step 1 and approximately 70% to 80% of Step 2 are expected to be delivered by the end of 2016. Moreover, although the current SJU work programme broadly covers the full R&I cycle, it mainly focusses on pre-industrial developments.
In December 2011, the Commission stated its intention to carry out the necessary assessments and consultations in view of extending the SJU beyond 2016[7].
The following assessments and consultations have also examined whether there was a need to more substantially review the SJU regulation, e.g. to extend its scope of activities and possibly to modify its governance.
The SJU mid-term evaluation[8] revealed that the SJU performed well, both in terms of setting up and building its organisation as well as conducting its designated tasks, i.e. coordinating and managing the R&D activities in order to achieve SESAR's objectives.
The SJU’s sound financial management has also been confirmed by the reports on the annual accounts[9].
Various consultations, including a public consultation led by the Commission’s Directorate-General for Mobility and Transport (DG MOVE), show that support for an extension of the SJU is unanimous. The consultation process and the annual activity reports of the SJU also show that the SJU is on track with its activities and delivering according to the ATM Master Plan.
The current scope of the SJU allows it to cover all R&D activities in the Union aiming to modernise ATM in Europe. The SJU has carried out activities addressing the whole ATM research and development (R&D) lifecycle, including long term ATM research. The consultations confirmed that there is no need to change the scope of the SJU, although it may be necessary to slightly adjust the focus of its activities within that scope. In addition, no formal distinction can be made between each phase of the ATM innovation cycle, as they mutually interact. Hence, there is no need to change the SJU scope.
As far as the SJU membership process and governance are concerned, there is no evidence that changes are necessary. These processes are sufficiently open and transparent to accommodate any adjustments that may be necessary in an extended SJU.
A stronger focus on delivering deployable results has already been taken into account in its current management and will be further developed in the next two years.
The deployment of the SESAR concept still requires coordinated development and validation activities to complete Step 2 and to fully address Step 3 of the ATM Master Plan.
Furthermore, now that the deployment process is about to be launched, the balance of resources allocated to the different phases of the R&I cycle could be reviewed to keep innovative ideas flowing in. In particular, more efforts could be put into exploratory research. Large scale demonstration activities focused on performance benefits, on conducting integrated and coordinated advanced validation and on demonstration activities showing readiness for deployment and for operational and/or technological transition will now be set up.
A future programme set from 2014 and operating for up to 10 years cannot be fixed once at the outset, provisions will need to be made to allow promising results from exploratory research to evolve in applied research, development and preparation for deployment thus accommodating an evolution of the topics contributing to the SES.
The SJU will draw up its multiannual work programme to complete Step 2 and address Step 3 of the ATM Master Plan following the prescriptions laid out in the Statutes annexed to Regulation (EC) 219/2007 (Article 16) and submit it for approval to its Administrative Board (Article 5).
An ex-ante evaluation has been carried out and is attached to this proposal (document SEC(2013)xxx). It confirms the usefulness and efficiency of an extension of the SJU under Horizon 2020 to reach the SES performance objectives.
Contents
The legal basis for the proposal is Article 187 TFEU, formerly Article 171 of the Treaty establishing the European Community, which has served as legal basis for Regulation 219/2007.
In the light of the above, the Commission proposes to provide again for a multiannual financial envelope to be imputed into the Union budget for the period from 1 January 2014 to 31 December 2020 coinciding with the new multiannual financial framework. In accordance with the Commission package of June 2011 'A Budget for Europe 2020' and the current practice the amount should be taken from the budget line Achieving a resource-efficient, environmentally-friendly, safe and seamless European transport system. The Commission thus proposes earmarking an amount of up to EUR 600 million[10] (including EFTA contribution) for the reference period. This amount is indicative because it is subject to the negotiations currently on-going on the Multi-Annual Financial Framework for the period 2014-2020 and to negotiations with private partners. The SJU activities cover the ATM Master Plan. Taking into consideration the level of maturity, the current Programme is focused to deliver Step 1 – Time Based Operations and largely Step 2 – Trajectory Based Operations of the ATM Master Plan. The activities to be carried out under the 2014-2020 Multi Financial Framework cover the highest maturity level of Step 2, for which the technology and operations are expected to be available by 2016, and the full scope of Step 3 – Performance based operations of the ATM Master Plan. The SJU’s work programme financed under the Union’s 2007-2013 financial perspectives is proceeding and managed to be completing its activities by 31.12.16, while new activities will be phasing in from 2014 onwards. This will allow the current Members willing to continue participating in the SESAR project, to maintain the needed level of resources for the new work programme starting in 2014 without interrupting their activities. Details are provided in the attached legislative financial statement and the ex-ante evaluation. The annual amounts should be authorised by the Budgetary Authority in accordance with the budgetary procedure.
In order to extend the duration of the SJU, it is necessary to amend Regulation (EC) 219/2007, as follows:
Article 1, paragraph 2 is modified in order to extend the duration of the SJU until 31 December 2024. As the ATM Master Plan has been endorsed by the Council, it is no longer necessary to refer to it.
Article 1, paragraph 3 is deleted as the ATM Master Plan has been communicated to the European Parliament.
Article 1, paragraph 5, 5th indent is modified to clearly entitle the SESAR JU to award grants to its Members and other participants, considering Horizon 2020 Rules for Participation.
Article 2a, paragraph 5 is adapted by removing the limitation of 8 years on the employment contracts of temporary agents and contract agents, which could hinder the continuity of the employment of experienced staff for a body having a limited duration. For the same reason, the limitation of employment contracts to a fixed period renewable once and for a fixed period only was abandoned. Article 2a (5) already establishes a limitation: the period of engagement cannot exceed the duration of the Joint Undertaking. In any case, the provisions of the Staff Regulations of Officials of the European Union, the Conditions of Employment of other servants of the European Union and the related rules for application shall apply.
Article 4, paragraph 2, first sentence, the new amount of the EU contribution of up to EUR 600 million[11] (including EFTA contribution) for the 2014-2020 financial framework under Horizon 2020 is included.
Article 4, paragraph 3 is adapted in order to reflect the extension of the Joint Undertaking.
Article 4a, paragraph 1 is amended to reflect the new Framework Financial Regulation.
Article 4a, paragraph 2 is deleted as the provisions it offered are covered by the general reference to the new Framework Financial Regulation.
Article 7, first sentence is modified to comply with Horizon 2020 evaluation rules.
The proposal also contains three transitional provisions:
Article 2 that limits the mandate of the Executive Director in place on 1.1.2009 to 31 December 2016 to ensure coherence with Article 3 of the amending Regulation No 1361/2008.
Article 3 terminates by 31 December 2016 the membership of the current members of the Joint Undertaking who do not contribute to activities that will be financed by Horizon 2020 under the 2014-2020 financial framework. This provision aims to prevent “sleeping partners” in the Joint Undertaking.
Article 4 terminates the SJU activities financed under the 7th Framework Programme for research by 31st December 2016, except for the project management activities related to the closing down.
The Annex of the SJU Regulation, which contains the Statutes of the SJU, is amended as follows:
In Article 5, paragraph 1(m) has been modified to clearly specify that the SJU may award grants to implement the ATM Master Plan, considering the Rules for participation laid down in Horizon 2020.
In paragraph 2(a), the number of the Administrative Board meetings per year has been changed from four to three. The experience over the past years has shown that three mandatory meetings per year are sufficient to deal with the ordinary administration of the SJU and allows the Board to fulfil its obligations. Moreover, preparing these meetings, within the relatively short interval between them, increases the administrative burden. Furthermore, additional meetings of the Board can be organised if needed.
Article 6, paragraph 1, is modified to clarify the SJU procedure of awarding grants, considering the Rules for participation laid down in Horizon 2020.
In Article 7, paragraph 2 has been adapted to change the term of office of the Executive Director from 3 years into 5 years, renewable once. This change avoids that the term of office of the Executive Director comes to an end at the end of the duration of the SJU. Such a situation would be difficult to manage from the point of view of continuity. Moreover, at that time the most of the programme of the SJU would be already close to be finalised, which might lead to a lack of attractiveness of such a vacancy for suitable candidates.
Article 10, paragraphs 2 and 3 are modified to clarify that the SJU awards grants, considering the Rules for participation laid down in Horizon 2020.
Article 13, paragraph 2 is modified in accordance with Article 8(4) of the 2013 Financial Regulation, interest generated by the Union contribution is only due to the Union where provided for in the delegation agreement.
Article 16, paragraph 1, now includes a reference to the financial framework referred to in Article 4(2). This modification aims to distinguish activities of the SJU’s work programme funded under the 2007-2013 financial perspectives from those funded under the 2014-2020 financial framework. This differentiation is important for the period 2014-2016 during which activities under the previous work programme and the new one are carried out simultaneously.
Article 17 has been modified to take into account the standard provision on the protection of the Union financial interests and the 2013 Financial Regulation, in particular its Article 60.
Finally, the Regulation has been adapted to Article 291 of the Lisbon Treaty on implementing acts.