Implementing regulation 2013/390 - Performance scheme for air navigation services and network functions - Main contents

EN

Official Journal of the European Union

L 128/1

Regulation (EC) No 549/2004 provides that a performance scheme for air navigation services and network functions is set up. For the detailed functioning of the performance scheme the Commission should adopt implementing rules.

The performance scheme should contribute to sustainable development of the air transport system by improving the overall efficiency of air navigation services across the key performance areas of safety, environment, capacity and cost-efficiency, in line with the Performance Framework of the European Air Traffic Management (ATM) Master Plan, while having due regard to the overriding safety objectives.

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 (the service provision Regulation) (3) as amended by Regulation (EC) No 1070/2009 provides for the establishment of a charging scheme and common projects to implement the European ATM Master Plan. Both, the charging scheme and the common projects are integral to the successful implementation of the performance scheme.

Pursuant to Article 11(1) of Regulation (EC) No 549/2004, this Regulation should apply to the air traffic management network functions referred to in Article 6 of Regulation (EC) No 551/2004 of the European Parliament and of the Council on the organisation and use of the airspace in the single European sky (the airspace Regulation) (4) as amended by Regulation (EC) No 1070/2009.

The Commission may be assisted in implementing the performance scheme by a Performance Review Body. This body should be able to give independent advice to the Commission in all areas that influence the performance of air navigation services and network functions.

In view of the fact that national supervisory authorities have a key role to play in the implementation of the performance scheme, Member States should ensure that they are in a position to fulfil effectively their responsibilities.

In order to guarantee long-term improvements towards the high-level societal goals, as reflected in the European ATM Master Plan, the performance scheme should be operated with a view going beyond a single reference period.

The performance scheme should address air navigation services through a gate-to-gate approach, including en route and terminal air navigation services with a view to improving the overall performance of the network.

The performance scheme should provide for indicators and binding targets in all key performance areas with required safety levels fully achieved and maintained.

When adopting Union-wide performance targets for a reference period, the Commission should take due account of the level of performance achieved in the previous reference period(s).

Given the strong links between the different key performance areas, the interdependencies between performance targets, having regard to the overriding safety objectives, should be duly taken into account in the preparation and monitoring of the performance scheme.

Performance plans should be established at the level of functional airspace blocks showing, for reasons of transparency, the contribution of each air navigation service provider within a functional airspace block in reaching the targets, monitored at the most appropriate level.

Performance plans should describe the measures, such as incentive schemes, aimed at stakeholders to improve performance at all levels. Due to its overriding nature, safety should not be subject to incentives.

In order that views of stakeholders are heard, effective consultations should take place at national, functional airspace block and Union level.

In circumstances unforeseeable at the moment of adoption of the performance plans, and which are both insurmountable and beyond the control of the Member States and the entities subject to the performance targets, the establishment of appropriate alert mechanisms should allow the implementation of appropriate actions aiming at preserving the safety requirements as well as continuity in the provision of service, which may include the revision of Union-wide or local performance targets.

Civil-military cooperation and coordination are of the utmost importance in achieving the objectives of the performance scheme, having due regard to military mission effectiveness.

The performance scheme should be without prejudice to the provisions of the Regulation (EC) No 549/2004 aiming at safeguarding essential security or defence policy interests.

Specific and measurable key performance indicators should be selected, on the basis of which responsibility for achieving the performance targets can be assigned. The associated targets should be achievable, realistic and time-bound, and aim at effectively steering the sustainable performance of air navigation services.

The implementation of binding performance targets supported by incentives of a financial nature requires an appropriate link with Commission Implementing Regulation (EU) No 391/2013 of 3 May 2013 laying down a common charging scheme for air navigation services (5).

The key performance indicators and performance targets must be established and implemented in line with the safety objectives and standards laid down in Regulation (EC) No 216/2008 of the European Parliament and of the Council (6) and its implementing rules together with the measures taken by the Union to achieve and maintain these objectives.

The Commission should assess the performance plans and targets and establish their consistency with and adequate contribution to the Union-wide targets and the overall performance of the European ATM network. If this consistency and adequate contribution cannot be established, the Commission should ask for the performance plan(s) and target(s) to be revised and/or corrective measures to be taken.

During the reference periods an effective performance monitoring process, including data collection and dissemination, should be put in place to ensure that the evolution of performance allows reaching the targets and if necessary introducing corrective measures.

When, on the basis of monitoring results, the Commission has substantial evidence that initial data, assumptions and rationales underlying the setting of initial targets are no longer valid, the Commission may decide to revise the Union-wide performance targets or allow, upon request of a Member State, that local targets may be revised.

The execution of network functions should be subject to performance targets. Therefore, this Regulation should apply to the Network Manager established in accordance with Article 3 of Commission Regulation (EU) No 677/2011 of 7 July 2011 laying down detailed rules for the implementation of air traffic management (ATM) network functions and amending Regulation (EU) No 691/2010 (7). Commission Regulation (EU) No 677/2011 should be amended accordingly.

Commission Regulation (EU) No 691/2010 of 29 July 2010 laying down a performance scheme for air navigation services and network functions and amending Regulation (EC) No 2096/2005 laying down common requirements for the provision of air navigation services (8), Article 26 of Commission Regulation (EU) No 677/2011, and Commission Implementing Regulation (EU) No 1216/2011 of 24 November 2011 amending Commission Regulation (EU) No 691/2010 laying down a performance scheme for air navigation services and network functions (9), should be repealed with effect of 1 January 2015.

The measures provided for in this Regulation are in accordance with the opinion of the Single Sky Committee,

the air traffic service providers designated in accordance with Article 8 of Regulation (EC) No 550/2004;

the providers of meteorological services, if designated in accordance with Article 9(1) of Regulation (EC) No 550/2004;

the Network Manager established in accordance with Article 3 of Commission Regulation (EU) No 677/2011.

in airspace under their responsibility within other ICAO regions, on condition that they inform the Commission and the other Member States accordingly, and without prejudice to the rights and duties of Member States under the 1944 Chicago Convention on international civil aviation (the Chicago Convention);

to providers of air navigation services having the permission to provide air navigation services without certification, in accordance with Article 7(5) of Regulation (EC) No 550/2004.

‘airport operator’ means the managing body of an airport which, in conjunction with other activities or otherwise, has the task under national laws or regulations of administering and managing the airport facilities and coordinating and controlling the activities of the various operators present at the airport or within the airport system concerned;

‘data’ means qualitative, quantitative and other relevant information relating to air navigation performance collected and systematically processed by, or on behalf of, the Commission for the purpose of implementing the performance scheme;

‘performance indicators’ means the indicators used for the purpose of performance monitoring, benchmarking and reviewing;

‘key performance indicators’ means the performance indicators used for the purpose of performance target setting;

‘IFR air transport movements’ means the sum of take-offs and landings performed under instrument flight rules calculated as the yearly average over the three calendar years preceding the submission of the performance plans;

‘binding target’ means a performance target adopted by Member States as part of a performance plan and subject to an incentive scheme and/or corrective action plans;

‘air carrier’ means an air transport undertaking with a valid operating license issued by a Member State in accordance with European Union Law;

‘determined costs’ means the costs established in Article 15(2)(a) and (b) of Regulation (EC) No 550/2004;

‘national authority’ means the regulatory and/or supervisory authority at national or functional airspace block level whose costs are eligible for recovery from airspace users when they are incurred in relation with the provision of air navigation services in application of Article 6(2) of Implementing Regulation (EU) No 391/2013;

‘just culture’ means a culture in which front line operators or others are not punished for actions, omissions or decisions taken by them that are commensurate with their experience and training, but where gross negligence, wilful violations and destructive acts are not tolerated;

‘airport coordinator’ means the natural or legal person appointed by a Member State to carry out the coordination duties at coordinated airports set out in Article 4 of Council Regulation (EEC) No 95/93 of 18 January 1993 on common rules for the allocation of slots at Community airports (13);

‘performance monitoring’ means the continuous process of collecting and analysing data in order to measure the actual outcome of a system versus the relevant (key) performance targets and performance plans using the (key) performance indicators set out in Article 9 and Annex I;

‘reference period’ means the period of validity and application of the Union-wide performance targets and the performance plans, as set out in Article 11(3)(d) of Regulation (EC) No 549/2004;

‘runway incursion’ means any occurrence at an aerodrome involving the incorrect presence of an aircraft, vehicle or person on the protected area of a surface designated for the landing and take-off of aircraft;

‘air traffic services unit’ (ATS unit) means a unit, civil or military, responsible for providing air traffic services;

‘CNS, MET and AIS services’ means communication, navigation and surveillance services, meteorological services for air navigation and aeronautical information services;

‘exceptional event’ means circumstances under which ATM capacity is abnormally reduced so that the level of ATFM delays is abnormally high as a result of: a planned limitation induced through operational or technical change, major adverse weather circumstances, the unavailability of large airspace parts either through natural or political reasons, or industrial action and the activation of the EACCC by the Network Manager as a result of one or more of these causes;

‘restructuring costs’ means significant one-time costs incurred by air navigation service providers in the process of restructuring by way of introducing new technologies and procedures and associate business models to stimulate integrated service provision where the Member State wishes to recover the costs in one or more reference periods. They may include costs incurred in compensating employees, closing air traffic control centres, shifting activities to new locations and, writing off assets and/or acquiring strategic participations in other air navigation service providers.

collection, examination, validation and dissemination of performance-related data;

the definition or adaptation of key performance areas, in line with those identified in the performance framework of the ATM Master Plan, as referred to in Article 9(1), and the related key performance indicators;

the definition of appropriate key performance indicators covering, in all key performance areas, the performance of the network functions and of air navigation services both in en route and terminal services;

the setting and the revision of Union-wide performance targets;

setting of the alert threshold(s) referred to in Article 10(4) for activating the alert mechanisms established in Article 19;

the consistency assessment of adopted performance plans, including performance targets, with the Union-wide targets;

where appropriate, the consistency assessment of the alert thresholds adopted in application of Article 19(3) with the European Union-wide alert thresholds referred to in Article 10(4);

where appropriate, the assessment of the revised performance targets or the corrective measures taken by the Member States concerned;

monitoring, benchmarking and review of the performance of air navigation services including investment and capital expenditure, at local and Union levels;

monitoring, benchmarking and review of the performance of the network functions;

monitoring of the overall performance of the European ATM network, including the preparation of annual reports to the Single Sky Committee;

assessment of the achievement of the performance targets at the end of each reference period with a view to preparing for the following period;

assessment of the performance plan of the Network Manager, including its consistency with the Union-wide performance targets;

maintenance and support in the coordination of a stakeholder consultation calendar concerning performance plans and the consultation duties referred to in Article 9(1) of Implementing Regulation (EU) No 391/2013.

for the purpose of monitoring of the overall performance of the European ATM network, the Performance Review Body shall obtain from the national supervisory authorities the necessary information in relation to the performance plans;

the Performance Review Body shall assist the national supervisory authorities upon their request by providing an independent view of performance issues such as factual comparisons between air navigation service providers operating in similar environments (benchmarking), analyses of changes in performance over the last five years or analyses of projections;

national supervisory authorities may request the Performance Review Body’s assistance in determining ranges of indicative values for target setting, taking into account the Union-wide targets. These values shall be available to national supervisory authorities, air navigation service providers, airport operators and airspace users.

ensure that the performance plan conforms to the template set out in Annex II;

notify the Commission of the national supervisory authority or body which is responsible for coordination within the functional airspace block and for the relations with the Commission as regards the implementation of the performance plan;

make appropriate arrangements to ensure that:

be responsible for determining and achieving the performance targets set at local levels, namely functional airspace block, national, charging zone and airport;

where no common en route charging zone has been established within the meaning of Article 4 of Implementing Regulation (EU) No 391/2013, and where, as a consequence, en route cost-efficiency targets are set for more than one charging zone within the functional airspace block, consolidate these targets to a single value at aggregated level for en route air navigation services and provide, for information purposes, an overall figure demonstrating the cost efficiency effort at functional airspace block level;

where a charging zone is modified in the course of a reference period, demonstrate that this change still allows the performance targets adopted for the period to be met;

ensure that the performance plan is consistent with the scope of this Regulation in accordance with Article 1(6) of this Regulation and Article 7 of Regulation (EC) No 549/2004.

shall support the Commission by providing relevant input for the preparation of Union-wide performance targets before the reference periods and for monitoring the achievement of the performance targets during the reference period. In particular, the Network Manager shall draw the Commission’s attention to any significant and persistent drops in operational performance;

pursuant to Article 21(5), shall provide the Commission with access to all data listed in Annex V;

shall support functional airspace blocks and their air navigation service providers in reaching their performance targets during reference periods by ensuring consistency between performance plans, the Network Strategy Plan and the Network Operations Plan;

shall draw up a performance plan, the Network Performance Plan, in accordance with Article 5(1) and Article 16(1)(a) of Regulation (EU) No 677/2011, which shall be submitted to the Commission at the latest six months before the beginning of each reference period and adopted by the Commission before the beginning of each reference period. This performance plan shall be public and shall:

the safety aspects of the performance scheme, including the setting, revision and implementation of safety key performance indicators and Union-wide performance targets as well as the provision of proposals for appropriate actions and measures following the activation of an alert mechanism;

the consistency of the safety key performance indicators and targets with the implementation of the European Aviation Safety Programme.

air navigation service providers submit their business plans to the national supervisory authorities;

stakeholders are consulted on the performance plan and targets in accordance with Article 10 of Regulation (EC) No 549/2004. Adequate information shall be provided to stakeholders at least three weeks prior to the consultation meeting.

the traffic forecast, expressed in service units, to be provided for each year of the reference period, at functional airspace block level and for each charging zone in the functional airspace block, with a justification of the figures used;

the determined costs for air navigation services for each year of the reference period and for each charging zone in accordance with the provisions of Article 15(2)(a) and (b) of Regulation (EC) No 550/2004;

a description of investment, including that necessary to achieve the performance targets, detailing their relevance in relation with the European ATM Master Plan, the Network Strategy Plan and the common projects referred to in Article 15a(3) of Regulation (EC) No 550/2004. This description shall highlight the benefits and synergies achieved at functional airspace block level;

performance targets in each relevant key performance area, set by reference to each key performance indicator, for the entire reference period, with annual values to be used for monitoring and incentive purposes;

consideration of the interdependencies between key performance areas, including an evaluation of the impact on safety of the performance plan with any mitigation required to maintain safety assurance;

a description of the civil-military dimension of the plan describing the performance of flexible use of airspace (FUA) application in order to increase capacity with due regard to military mission effectiveness, and, if deemed appropriate, relevant performance indicators and targets in consistency with other indicators and targets of the performance plan;

a description and justification of how the performance targets referred to in point (d) reconcile with and contribute to the Union-wide performance targets and the performance of the European ATM network;

an identification of each air navigation service provider concerned and its specific contribution to meeting the targets, monitored for reasons of transparency at the most appropriate level as referred to in Article 5(2)(c)(ii);

a description of the incentive mechanisms to be applied on the air navigation service providers concerned to encourage achievement of the targets over the reference period;

the measures taken by the national supervisory authorities to monitor achievement of the performance targets;

a description of the outcome of the stakeholder consultation, including the issues raised by the participants and the actions agreed upon.

ensure consultation in accordance with Article 14 of Commission Regulation (EU) No 677/2011;

use the template set out in Annex III.

they shall be effective and proportional, and shall not be changed during the reference period;

they shall be implemented on a non-discriminatory and transparent basis to support improvements in the performance of service provision;

they shall be part of the regulatory environment known ex ante by all stakeholders and be applicable during the entire reference period;

they shall induce entities subject to target setting to achieve a high level of performance and meet the associated targets.

when on the basis of its report referred to in Article 18(4) it has substantial evidence that the initial data, assumptions and rationales underlying the setting of the initial targets are no longer valid; or

as a result of the application of an alert mechanism as referred to in Article 19; or

following a Commission decision in accordance with Article 10(3) as regards the key performance indicator set out in point 4.1(b) of Section 1 of Annex I.

to examine, in relation to all key performance areas, documents and any other material relevant to the establishment of performance plans and targets;

to take copies of or extracts from such documents;

to ask for an oral explanation on site.

recital 28 is deleted;

in Article 5, paragraph 1 is replaced by the following:

‘1.   To guide its long term perspective, the Network Manager shall develop, maintain and implement a Network Strategy plan, which shall be aligned with the reference period provided for in Article 8 of Commission Implementing Regulation (EU) No 390/2013 (18).

in Article 5, paragraph 4 is replaced by the following:

‘4.   The Network Strategy Plan shall be updated on a regular basis, at least 12 months before the beginning of each reference period.’;

in Article 20, paragraph 3 is replaced by the following:

‘3.   The Network Manager shall submit annually a report to the Commission and the Agency on the measures taken to fulfil its tasks. The report shall address individual network functions as well as the total network situation and shall be closely linked to the content of the Network Strategy Plan, the Network Operations Plan and the Network Performance Plan, referred to in Article 6(d) of Implementing Regulation (EU) No 390/2013. The Commission shall inform the Single Sky Committee.’;

Annex IV shall be replaced by the following:

‘ANNEX IV

TEMPLATE FOR NETWORK STRATEGY PLAN

The Network Strategy Plan shall be based on the following structure:

• 1. 

  INTRODUCTION

• 2. 

  OVERALL CONTEXT AND REQUIREMENTS

• 3. 

  STRATEGIC VISION

• 4. 

  STRATEGIC OBJECTIVES

• 5. 

  STRATEGIC PLANNING

• 6. 

  RISK ASSESSMENT

• 7. 

  RECOMMENDATIONS

The minimum level of the effectiveness of safety management as defined in Section 2, point 1.1(a).

The percentage of application of the severity classification based on the Risk Analysis Tool (RAT) methodology to the reporting of, as a minimum, three categories of occurrences: separation minima infringements, runway incursions and ATM-specific occurrences at all air traffic services units as defined in Section 2, point 1.1(b).

The average horizontal en route flight efficiency of the actual trajectory, defined as follows:

The average horizontal en route flight efficiency of the last filed flight plan trajectory, defined as follows:

The effectiveness of booking procedures for flexible use of airspace (FUA), defined as follows:

The rate of planning of conditional routes (CDRs) defined as the ratio of aircraft filing flight plans via CDRs and the number of aircraft that could have planned them.

The effective use of CDRs defined as the ratio of aircraft using CDRs and the number of aircraft that could have planned them.

the en route ATFM delay is the delay calculated by the central unit of ATFM as defined in Commission Regulation (EU) No 255/2010 laying down common rules on air traffic flow management (1) and expressed as the difference between the estimated take-off time requested by the aircraft operator in the last submitted flight plan and the calculated take-off time allocated by the central unit of ATFM;

the indicator covers all IFR flights within European airspace and all ATFM delay causes, excluding exceptional events;

the indicator is calculated for the whole calendar year and for each year of the reference period.

the indicator is the average generated arrival ATFM delay per inbound IFR flight;

the indicator includes all IFR flights landing at the destination airport and covers all ATFM delay causes, excluding exceptional events;

the indicator is calculated for the whole calendar year and for each year of the reference period.

The average Union wide determined unit cost (DUC) for en route air navigation services, defined as follows:

The average Union wide determined unit cost (DUC) for terminal air navigation services, defined as follows:

The effectiveness of safety management, with regard to Member States and their national supervisory authorities and air navigation service providers, certified to provide air traffic services or communication, navigation and surveillance services. This KPI shall be measured by the level of implementation of the following Management Objectives:

The application of the severity classification based on the Risk Analysis Tool (RAT) methodology to the reporting of, as a minimum, separation minima infringements, runway incursions and ATM-specific occurrences at all air traffic services units. When reporting the above occurrences Member States and air navigation service providers shall use the following severity classes:

Reporting on the application of the method shall be done for individual occurrences.

The reporting by the Member States and their air navigation service providers of the level of presence and corresponding level of absence of just culture.

The application by the air navigation service providers of automated safety data recording systems where available, which shall include, as a minimum monitoring of separation minima infringements and runway incursions.

The reporting by the Member States and air navigation service providers on the level of occurrence reporting, on an annual basis, aiming at measuring the level of reporting and addressing the issue of improvement of reporting culture.

The number of, as a minimum, separation minima infringements, runway incursions, airspace infringements, and ATM-specific occurrences at all air traffic services units.

the indicator is the comparison between the length of the en route part of the actual trajectory derived from surveillance data and the achieved distance, summed over all IFR flights within or traversing the local airspace;

‘en route’ refers to the distance flown outside a circle of 40NM around the airports;

where a flight departs from or arrives at a place outside the local airspace, only the part inside the local airspace is considered;

‘achieved distance’ is a function of the position of the entry and exit points of the flight into and out of the local airspace. Achieved distance represents the contribution that these points make to the distance used in the Union-wide indicator. The sum of these distances over all traversed local airspaces equals the distance used in the Union-wide indicator.

The additional time in the taxi-out phase, defined as follows:

The additional time in terminal airspace, defined as follows:

The indicators as defined in Section 1, point 2.2.

The average minutes of en route ATFM delay per flight, defined as follows:

For the purpose of this indicator, local means at functional airspace block level with a breakdown monitored for reasons of transparency at the most appropriate level.

The average minutes of arrival ATFM delay per flight attributable to terminal and airport air navigation services and caused by landing restrictions at the destination airport, defined as follows:

For the purpose of this indicator, local means at national level with a breakdown at airport level for monitoring purposes.

The adherence to ATFM slots as required by Article 11 of Regulation (EU) No 255/2010.

The average minutes of air traffic control pre-departure delay per flight caused by take-off restrictions at the departure airport, defined as follows:

For the purpose of these indicators, local means at national level with a breakdown at airport level for monitoring purposes.

The determined unit cost (DUC) for en route air navigation services, defined as follows:

The determined unit cost(s) (DUC) for terminal air navigation services, defined as follows:

For the purpose of these two indicators, local means at charging zone level.

Description of the situation (scope of the plan, list of air navigation service providers covered, etc.).

Description of the macroeconomic scenario for the reference period including overall assumptions (traffic forecast, etc.)

Description of the outcome of the stakeholder consultation in order to prepare the performance plan and the agreed compromises as well as the points of disagreement and the reasons for disagreement.

Description of the actions taken by air navigation service providers to implement the Network Strategy Plan at functional airspace block level and other guiding principles for the operation of the functional airspace block in the long term perspective..

List of airports submitted to the performance scheme in application of Article 1 of the Regulation, with their average number of IFR air transport movements.

List of exempted airports pursuant to Article 1(5) of Implementing Regulation (EU) No 391/2013 together with their average number of IFR air transport movements.

Description and justification of the cost, nature and contribution to achieving the performance targets of investments in new ATM systems and major overhauls of existing ATM systems, including their relevance and coherence with the European ATM Master Plan, the common projects referred to in Article 15a of Regulation (EC) No 550/2004, and, as appropriate, the Network Strategy Plan.

The description and justification referred to in point 2.1 shall in particular:

Performance targets in each key performance area, set by reference to each key performance indicator as set out in Annex I, Section 2, for the entire reference period, with annual values to be used for monitoring and incentive purposes:

Description and explanation of the consistency of the performance targets with the relevant Union-wide performance targets. When there is no Union-wide performance target, description and explanation of the targets within the plan and how they contribute to the improvement of the performance of the European ATM network.

Description and explanation of the interdependencies and trade-offs between the key performance areas, including the assumptions used to assess the trade-offs.

Contribution of each air navigation service provider concerned to the achievement of the performance targets set for the functional airspace block in accordance with Article 5(2)(c)(ii).

Description and explanation of the incentive schemes to be applied on air navigation service providers.

Sensitivity to external assumptions.

Comparison with previous performance plan.

monitoring mechanisms to ensure that the ANS safety programmes and business plans are implemented;

measures to monitor and report on the implementation of the performance plans including how to address the situation if targets are not reached during the reference period.

Description of the situation (scope of the plan, functions covered, etc.)

Description of the macroeconomic scenario for the reference period including overall assumptions (traffic forecast, etc.)

Description of the consistency with the Network Strategy Plan

Description of the outcome of the stakeholder consultation to prepare the performance plan (main issues raised by the participants and if possible agreed compromises)

Description of the key performance indicators in each relevant key performance area

Performance targets in each relevant key performance area, set by reference to each relevant key performance indicator, for the entire reference period, with annual values to be used for monitoring and incentive purposes

Description and explanation of the contribution and impact of the performance targets on the European Union-wide performance targets

Description of the contribution and impact of the performance targets on functional airspace blocks

Individual performance targets for each function (ATFM, ERND, SSR transponder codes, frequencies)

Description of the civil-military dimension of the plan describing the performance of flexible use of airspace application in order to increase capacity with due regard to military operation effectiveness, and if deemed appropriate, relevant performance indicators and targets consistent with the indicators and targets of the performance plan

Sensitivity to external assumptions

Comparison with the previous performance plan.

Description of the measures put in place to achieve the performance targets, such as:

Compliance with the requirements relating to the preparation and adoption of the performance plan and, in particular, assessment of the justifications provided in the performance plan;

Factual analysis taking into account the overall situation of each individual State including the most recent economic developments and traffic forecast;

The level of performance at the beginning of the reference period and the resulting scope for further improvement;

The level of performance achieved in the previous reference period;

The relevance of investments and capital expenditure as regards the European ATM Master Plan, the common projects referred to in Article 15a of Regulation (EC) No 550/2004, and, as appropriate, the Network Strategy Plan as well as synergies achieved at functional airspace block or regional level;

The results of the stakeholder consultation on the proposed targets.

Comparison of the level of effectiveness of safety management at local level with the Union-wide target;

Comparison of the results of application of the severity classification based on the Risk Analysis Tool (RAT) methodology at local level with the Union-wide target;

The level of presence of just culture at local level.

comparison with historical performance achieved in previous years;

comparison with a reference value based on information provided by the Network Manager;

consistency with the European Route Network Improvement Plan developed by the Network Manager.

a reference value based on information from the Network Operations Plan of the Network Manager;

the capacity plan established by the en route air navigation service provider(s) as reflected in the Network Operations Plan of the Network Manager.

comparison with the historical performance achieved in the last five years;

contribution of individual airports to the local target and comparison of performance with other similar airports;

operational benefits expected from planned initiatives.

Determined unit cost trend: assessment as to whether the submitted determined unit costs are expected to develop in line with the Union-wide cost-efficiency target and whether they contribute in an adequate manner to achieving that target over the entire reference period as well as for each year individually, taking into account restructuring costs as appropriate;

Terminal unit cost trend: assessment as to whether the submitted determined unit costs are expected to develop in line with the Union-wide cost-efficiency target and whether they contribute in an adequate manner to achieving that target during the entire reference period as well as for each year individually. In addition, the following criteria are used for the assessment:

Determined unit cost level: comparison of the submitted local unit costs with the average unit costs of Member States or FABs having a similar operational and economic environment, as defined by the Commission in application of Article 10(5);

Cost of capital:

The level/composition of costs incurred following Article 6(2)(a) and (b) of Implementing Regulation (EU) No 391/2013 and included in the determined costs;

Traffic forecast assumptions: comparison of local service unit forecasts used in the performance plan with the Eurocontrol Statistics and Forecast Service (STATFOR) traffic forecasts available three months before submission of the performance plan;

Economic assumptions:

The level, composition and justification of costs exempt from the application of Article 14(1)(a) and (b) of Implementing Regulation (EU) No 391/2013;

If applicable, upon completion of restructuring, the delivery of a net benefit to airspace users over time in comparison to recovered restructuring costs.

information required to comply with the safety key performance indicators referred to in Annex I;

data used and calculated by the central unit of ATFM as defined in Regulation (EU) No 255/2010 on ATFM such as flight plans for general air traffic under IFR rules, actual routing, surveillance data based on 30 seconds reporting interval, en route and airport ATFM delays, exemptions from ATFM measures, respect of ATFM slots, frequency of conditional route usage;

ATM-related safety occurrences;

information on safety recommendations and corrective actions taken on the basis of ATM-related incident analysis/investigation in accordance with Regulation (EU) No 996/2010 of the European Parliament and of the Council (1) on accident investigation and Directive 2003/42/EC (2) on occurrence reporting in civil aviation;

information on the elements in place to promote the application of a just culture;

data in support of tasks referred to in Article 4(1)(m) and (n) of Commission Regulation (EC) No 2150/2005 laying down common rules for the flexible use of airspace (FUA) (3);

data in support of tasks referred to in paragraph 8 of Annex V to Commission Regulation (EU) No 677/2011 laying down detailed rules for the implementation of air traffic management (ATM) network functions.

information collected by air navigation service providers through automated safety data recording systems where available;

trends in, at the minimum, separation minima infringements, runway incursions, airspace infringements and ATM-specific occurrences at all air traffic services units;

information on how the FUA concept is applied by the national/FAB authorities to provide the optimum benefit for both civil and military airspace users.

data referred to in the Eurocontrol Specification titled ‘EUROCONTROL Specification for Economic Information Disclosure’, Edition 2.6 of 31 December 2008 with the reference EUROCONTROL-SPEC-0117 for the provision of data up to, and including, year 2013 and Edition 3.0 of 4 December 2012 from year 2014 onwards;

annual reports and the performance-related part of the business plans and the annual plan established by the air navigation service provider in accordance with Section 2.2 and 9 of Annex I to Regulation (EU) No 1035/2011;

their investment plan for the reference period;

information required to comply with the safety KPIs referred to in Annex I, Section 2, point 1.1(a);

information on the elements in place to promote the application of a just culture;

information collected through automated safety data recording systems where available;

trends in, at the minimum, separation minima infringements, runway incursions, airspace infringements, and ATM-specific occurrences at all air traffic services units.

‘airport identification’ means the description of the airport using the standard ICAO four-letter code as defined in ICAO Doc. 7910;

‘coordination parameters’ means the coordination parameters defined in Regulation (EEC) No 95/93;

‘airport declared capacity’ means the coordination parameters expressed as the maximum number of slots per unit of time (block period) that can be allocated by the coordinator;

‘aircraft registration’ means the alphanumerical characters corresponding to the actual registration of the aircraft;

‘aircraft type’ means an aircraft type designator (up to four characters) as indicated in ICAO Doc 8643;

‘flight identifier’ means a group of alphanumeric characters used to identify a flight. Item 7 of the ICAO flight plan;

‘encoded aerodrome of departure’ and ‘Encoded aerodrome of destination’ mean the code of the airport using the ICAO four-letter or the IATA three-letter airport designator;

‘out-off-on-in time stamps’ means the following data,

‘scheduled time of departure (off-block)’ means date and time when a flight is scheduled to depart from the departure stand;

‘actual off-block time’ means the date and time the aircraft has vacated the parking position (pushed back or on its own power);

‘actual take off time’ means the date and time that an aircraft has taken off from the runway (wheels-up);

‘actual landing time’ means the date and time when the aircraft has landed (touch down);

‘scheduled time of arrival (on-block)’ means the date and time when a flight is scheduled to arrive at the arrival stand;

‘actual on-block time’ means the date and time when the parking brakes have been engaged at the arrival stand;

‘flight rules’ means the rules used in conducting the flight. ‘IFR’ for aircraft flying according to instrument flight rules, as defined in Annex 2 of the Chicago Convention or ‘VFR’ for aircraft flying according to visual flight rules as defined in the same Annex. ‘Operational Air Traffic (OAT)’ refers to State aircraft not following the rules defined in Annex 2 of the Chicago Convention. (Item 8 of the ICAO flight plan);

‘flight type’ means the type of flight as defined in Appendix 2 of ICAO Doc 4444 (15th Edition — June 2007);

‘airport arrival slot’ and ‘airport departure slot’ mean an airport slot assigned either to an arrival or departure flight as defined in Regulation (EEC) No 95/93;

‘arrival runway designator’ and ‘departure runway designator’ mean the ICAO designator of the runway used for landing and for take-off (e.g. 10L);

‘arrival stand’ means the designator of the first parking position where the aircraft was parked upon arrival;

‘departure stand’ means the designator of the last parking position where the aircraft was parked before departing from the airport;

‘delay causes’ means the standard IATA delay codes as defined in Section F of CODA Digest Annual 2011 ‘Delays to Air Transport in Europe’ (4) with the duration of the delay. Where several causes may be attributable to flight delays, a list of those causes shall be provided;

‘de-icing or anti-icing information’ means indications as to whether de-icing or anti-icing operations occurred and, if so, where (before leaving the departure stand or in a remote position after departing the stand, i.e. after off-block);

‘operational cancellation’ means an arrival or departure of a scheduled flight to which the following conditions apply:

‘actual time of cancellation’ means the actual date and time when an arrival or departure of a scheduled flight was cancelled.

Airport operators shall provide the following data:

Airport operators shall provide the following operational data for each flight landing or taking-off:

Airport operators shall provide the following operational data for each operational cancellation:

Airport operators may provide:

Airport operators shall collect and provide information collected through automated safety data recording systems where available, as a minimum on runway incursions.

The same definitions as in point 3.1 shall apply for the purpose of this specific Annex and in addition the following definitions shall also apply:

Air transport operators shall provide the following data for each flight they operate within the geographical scope of this Regulation:

Air transport operators shall provide the data referred to in point 3.2.3 for each operational cancellation within the geographical scope of this Regulation.

In addition to the data required under Part B of Annex IV to Directive 2003/87/EC of the European Parliament and of the Council of 13 October 2003 establishing a scheme for greenhouse gas emission allowance trading within the Community and amending Council Directive 96/61/EC (5), air transport operators may provide the Commission with the following data for each flight they operate within the geographical scope of this Regulation:

Air transport operators may provide:

Air transport operators shall provide information collected through automated safety data recording systems where available, as a minimum on separation minima infringements and runway incursions.