COMMISSION IMPLEMENTING REGULATION (EU) No 390/2013
of 3 May 2013
laying down a performance scheme for air navigation services and network functions
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Having regard to the Treaty on the Functioning of the European Union,
Having regard to Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 laying down the framework for the creation of the single European sky (the framework Regulation) (1) as amended by Regulation (EC) No 1070/2009 of the European Parliament and of the Council (2), and in particular Article 11 thereof,
Whereas:
(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.
(2)
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.
(3)
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.
(4)
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.
(5)
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.
(6)
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.
(7)
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.
(8)
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.
(9)
The performance scheme should provide for indicators and binding targets in all key performance areas with required safety levels fully achieved and maintained.
(10)
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).
(11)
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.
(12)
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.
(13)
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.
(14)
In order that views of stakeholders are heard, effective consultations should take place at national, functional airspace block and Union level.
(15)
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.
(16)
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.
(17)
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.
(18)
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.
(19)
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).
(20)
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.
(21)
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.
(22)
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.
(23)
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.
(24)
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.
(25)
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.
(26)
The measures provided for in this Regulation are in accordance with the opinion of the Single Sky Committee,
HAS ADOPTED THIS REGULATION:
CHAPTER I
GENERAL PROVISIONS
Article 1
Subject matter and scope
1. This Regulation lays down the measures to improve the overall performance of air navigation services and network functions for general air traffic within the International Civil Aviation Organization (ICAO) European (EUR) and Africa (AFI) regions where Member States are responsible for the provision of air navigation services with a view to meeting the requirements of all airspace users.
2. For the purpose of target setting and performance monitoring, this Regulation shall apply to the air navigation services provided by:
(a)
the air traffic service providers designated in accordance with Article 8 of Regulation (EC) No 550/2004;
(b)
the providers of meteorological services, if designated in accordance with Article 9(1) of Regulation (EC) No 550/2004;
(c)
the Network Manager established in accordance with Article 3 of Commission Regulation (EU) No 677/2011.
It shall also apply for the purpose of target setting and performance monitoring on cost-efficiency to the authorities or entities incurring eligible costs to be recovered through user charges, as specified in Article 15(2)(b) of Regulation (EC) No 550/2004 and Article 6(2) of Implementing Regulation (EU) No 391/2013.
3. Without prejudice to paragraph 4, Member States may decide not to apply this Regulation to terminal air navigation services provided at some or all of their airports with fewer than 70 000 IFR air transport movements per year. They shall inform the Commission accordingly.
4. Where none of the airports in a Member State reaches the threshold of 70 000 IFR air transport movements per year, this Regulation shall apply as a minimum to the airport with the highest number of IFR air transport movements.
5. Target setting on cost-efficiency shall apply to the determined costs established in Article 15(2)(a) and (b) of Regulation (EC) No 550/2004.
6. Member States may also apply this Regulation:
(a)
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);
(b)
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.
7. Notwithstanding the protection of information provisions of Directive 2003/42/EC of the European Parliament and of the Council (10) and its implementing regulations Commission Regulation (EC) No 1321/2007 (11) and Commission Regulation (EC) No 1330/2007 (12), the requirements related to the provision of data as defined in Chapter V shall apply to national authorities, air navigation service providers, airport operators, airport coordinators, and air carriers.
Article 2
Definitions
For the purposes of this Regulation:
(1)
‘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;
(2)
‘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;
(3)
‘performance indicators’ means the indicators used for the purpose of performance monitoring, benchmarking and reviewing;
(4)
‘key performance indicators’ means the performance indicators used for the purpose of performance target setting;
(5)
‘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;
(6)
‘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;
(7)
‘air carrier’ means an air transport undertaking with a valid operating license issued by a Member State in accordance with European Union Law;
(8)
‘determined costs’ means the costs established in Article 15(2)(a) and (b) of Regulation (EC) No 550/2004;
(9)
‘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;
(10)
‘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;
(11)
‘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);
(12)
‘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;
(13)
‘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;
(14)
‘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;
(15)
‘air traffic services unit’ (ATS unit) means a unit, civil or military, responsible for providing air traffic services;
(16)
‘CNS, MET and AIS services’ means communication, navigation and surveillance services, meteorological services for air navigation and aeronautical information services;
(17)
‘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;
(18)
‘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.
Article 3
Performance Review Body
1. Where the Commission decides to designate a Performance Review Body to assist it in the implementation of the performance scheme, such designation shall be for a fixed term consistent with the reference periods. The Commission shall appoint the chair and the members of the Performance Review Body.
2. The Performance Review Body shall have the appropriate competence and impartiality to carry out independently the tasks assigned to it by the Commission, in particular in the applicable key performance areas.
3. The Performance Review Body shall assist the Commission in the implementation of the performance scheme, in particular as regards:
(a)
collection, examination, validation and dissemination of performance-related data;
(b)
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;
(c)
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;
(d)
the setting and the revision of Union-wide performance targets;
(e)
setting of the alert threshold(s) referred to in Article 10(4) for activating the alert mechanisms established in Article 19;
(f)
the consistency assessment of adopted performance plans, including performance targets, with the Union-wide targets;
(g)
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);
(h)
where appropriate, the assessment of the revised performance targets or the corrective measures taken by the Member States concerned;
(i)
monitoring, benchmarking and review of the performance of air navigation services including investment and capital expenditure, at local and Union levels;
(j)
monitoring, benchmarking and review of the performance of the network functions;
(k)
monitoring of the overall performance of the European ATM network, including the preparation of annual reports to the Single Sky Committee;
(l)
assessment of the achievement of the performance targets at the end of each reference period with a view to preparing for the following period;
(m)
assessment of the performance plan of the Network Manager, including its consistency with the Union-wide performance targets;
(n)
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.
4. At the Commission’s request, the Performance Review Body shall provide ad hoc information or reports on performance-related issues.
5. The Performance Review Body may report and make recommendations to the Commission for improvement of the scheme.
6. As regards relations with national supervisory authorities:
(a)
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;
(b)
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;
(c)
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.
7. To ensure consistency with the objectives and standards established and implemented in accordance with Regulation (EC) No 216/2008, the Performance Review Body shall cooperate as appropriate with the European Aviation Safety Agency (EASA) in the performance of the tasks referred to in paragraph 3 when they relate to safety.
8. For the purpose of monitoring of the overall performance of the European ATM network, the Performance Review Body shall develop working arrangements with the air navigation service providers, airport operators, airport coordinators and air carriers.
Article 4
National supervisory authorities
1. The national supervisory authorities shall be responsible for the drawing up of the performance plans, the performance oversight and the monitoring of performance plans and targets. In carrying out these tasks, they shall act impartially, independently and transparently.
2. Member States shall ensure that national supervisory authorities have, or have access to, the necessary resources and capabilities in all the key performance areas to carry out the tasks provided for in this regulation, including the inspection powers to perform the tasks referred to in Article 20.
3. Where a Member State has more than one national supervisory authority, it shall notify the Commission which national supervisory authority is responsible for the national coordination for the implementation of this Regulation.
Article 5
Functional airspace blocks
1. Member States shall establish performance plans at functional airspace block level.
2. To comply with the obligation in paragraph 1, Member States shall:
(a)
ensure that the performance plan conforms to the template set out in Annex II;
(b)
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;
(c)
make appropriate arrangements to ensure that:
(i)
subject to the provisions of point (e) and Annex I, a single target is established for each key performance indicator;
(ii)
for reasons of transparency, the contribution of each air navigation service provider within the functional airspace block, monitored at the most appropriate level, for achieving the performance targets set for the functional airspace block is identified in the performance plan;
(iii)
the measures referred to in Article 11(3)(d) of Regulation (EC) No 549/2004 are defined and applied during the reference period when targets are not met. The annual values in the performance plan shall be used for this purpose;
(d)
be responsible for determining and achieving the performance targets set at local levels, namely functional airspace block, national, charging zone and airport;
(e)
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;
(f)
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;
(g)
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.
Article 6
Network Manager
The Network Manager established in Article 6 of Regulation (EC) No 551/2004 (14) and Article 3 of Commission Regulation (EU) No 677/2011 shall carry out the following tasks in relation to the performance scheme:
(a)
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;
(b)
pursuant to Article 21(5), shall provide the Commission with access to all data listed in Annex V;
(c)
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;
(d)
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:
(i)
contain performance targets for all key performance areas and for all indicators, consistent with the Union-wide performance targets for the entire reference period, with the use of annual values for monitoring purposes;
(ii)
contain a description of the actions aimed at reaching the targets;
(iii)
contain, where necessary or where decided by the Commission, additional key performance indicators and targets.
Article 7
Coordination with the European Aviation Safety Agency (EASA)
In application of Article 13a of Regulation (EC) No 549/2004 and in accordance with Regulation (EC) No 216/2008, the Member States and the Commission shall coordinate as appropriate with the EASA to ensure that the following aspects are properly addressed:
(a)
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;
(b)
the consistency of the safety key performance indicators and targets with the implementation of the European Aviation Safety Programme.
Article 8
Duration of the reference periods
1. The first reference period for the performance scheme shall cover the calendar years 2012 to 2014 inclusive. The second reference period shall cover the calendar years 2015 to 2019 inclusive. Subsequent reference periods shall be of five calendar years, unless otherwise provided through the amendment of this Regulation.
2. The same reference period shall apply to the Union-wide performance targets and performance plans and targets.
Article 9
Key performance areas and performance indicators
1. For the purpose of target setting, the possible addition and adaptation of other key performance areas pursuant to Article 11(4)(b) of Regulation (EC) No 549/2004 shall be decided by the Commission in accordance with the procedure referred to in Article 5(3) of that Regulation.
2. For the purpose of target setting, one or a limited number of key performance indicators shall correspond to each key performance area. The performance of air navigation services shall be assessed against binding targets for each key performance indicator.
3. Section 1 of Annex 1 sets out the key performance indicators for target setting and the performance indicators at Union level, selected for each key performance area.
4. Section 2 of Annex I sets out the local key performance indicators for local target setting and the performance indicators at local level used for establishing the performance targets. The local level, namely functional airspace block, national, charging zone and airport, is specified in Section 2 of Annex I.
5. The key performance indicators shall not be changed in the course of a reference period. Changes shall be adopted by amendment of this Regulation at the latest six months before the adoption of new Union-wide performance targets.
6. For their own performance monitoring and/or as part of the performance plan, Member State may decide to establish performance indicators and associated targets in addition to the key performance areas and key performance indicators referred to in this Article and set out in Section 2 of Annex I. These additional indicators and targets shall support the achievement of the Union-wide targets and the resulting targets at local level. They may for example integrate and describe the civil-military or meteorological dimension of the performance plan, and may be accompanied by appropriate incentive schemes.
7. In order to facilitate implementation and measurement of the safety (key) performance indicators, EASA, in consultation with the Performance Review Body, shall adopt acceptable means of compliance and guidance material in accordance with the procedure established under Article 52 of Regulation (EC) No 216/2008, before the beginning of the second reference period.
CHAPTER II
THE PREPARATION OF PERFORMANCE PLANS
Article 10
Union-wide performance targets
1. The Commission shall adopt Union-wide performance targets, in accordance with the procedure referred to in Article 5(3) of Regulation (EC) No 549/2004, taking into account the relevant inputs from the Network Manager and the national supervisory authorities and after consultation with the stakeholders as referred to in Article 10 of that Regulation, other relevant organisations and the EASA for the safety aspects of performance.
2. Subject to Article 9(3), Union-wide targets shall be proposed by the Commission at the latest 15 months before the beginning of the reference period and shall be adopted at the latest 12 months before the beginning of the reference period.
3. Union-wide target setting for the key performance indicator set out in point 4.1(b) of Section 1 of Annex I shall start as of the third year of the second reference period, subject to a Commission decision, following the procedure referred to in paragraph 1.
4. Together with the adoption of the Union-wide performance targets, the Commission shall determine the alert threshold(s) beyond which the alert mechanisms referred to in Article 19 may be activated.
5. The Commission shall substantiate each Union-wide performance target with a description of the underlying assumptions and rationale for setting these targets, such as the use made of inputs from the Network Manager, national supervisory authorities and other factual data, traffic forecasts, the composition of the groups of air navigation service providers or functional airspace blocks having a similar operational and economic environment.
Article 11
Drawing up of performance plans
1. The national supervisory authorities, at functional airspace block level, shall draw up performance plans containing targets consistent with the Union-wide performance targets and the assessment criteria set out in Annex IV.
Without prejudice to the template set out in Annex II, the performance plan may include different sections relating to the local level, namely functional airspace block, national, charging zone and airport.
2. To support the preparation of the performance plans national supervisory authorities shall ensure that:
(a)
air navigation service providers submit their business plans to the national supervisory authorities;
(b)
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.
3. The performance plans shall contain, in particular:
(a)
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;
(b)
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;
(c)
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;
(d)
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;
(e)
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;
(f)
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;
(g)
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;
(h)
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);
(i)
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;
(j)
the measures taken by the national supervisory authorities to monitor achievement of the performance targets;
(k)
a description of the outcome of the stakeholder consultation, including the issues raised by the participants and the actions agreed upon.
4. The performance plans shall be based on the template set out in Annex II and may, if the Member States so decide in application of Article 9(6), contain additional indicators with associated targets.
5. The Network Manager shall draw up a Network Performance Plan containing targets consistent with the Union-wide performance targets and, mutatis mutandis, the assessment criteria set out in Annex IV.
6. To prepare the Network Performance Plan, the Network Manager shall:
(a)
ensure consultation in accordance with Article 14 of Commission Regulation (EU) No 677/2011;
(b)
use the template set out in Annex III.
Article 12
Incentive schemes
1. The incentive schemes applied by Member States as part of their performance plan shall comply with the following general principles:
(a)
they shall be effective and proportional, and shall not be changed during the reference period;
(b)
they shall be implemented on a non-discriminatory and transparent basis to support improvements in the performance of service provision;
(c)
they shall be part of the regulatory environment known ex ante by all stakeholders and be applicable during the entire reference period;
(d)
they shall induce entities subject to target setting to achieve a high level of performance and meet the associated targets.
2. Incentives on cost-efficiency targets shall be of a financial nature and shall be governed by appropriate provisions set out in Articles 13 and 14 of Implementing Regulation (EU) No 391/2013. They shall consist of a risk-sharing mechanism at national or functional airspace block level.
3. Incentives on capacity targets shall be of a financial nature and shall be governed by the provisions of Article 15 of Implementing Regulation (EU) No 391/2013. They may be complemented by incentives of another nature, such as corrective action plans with deadlines and associated measures, decided by national supervisory authorities taking account of local circumstances.
4. Incentives on environment targets may be of a financial nature and shall be governed by the provisions of Article 15 of Implementing Regulation (EU) No 391/2013. They may be complemented by incentives of another nature, such as corrective action plans with deadlines and associated measures, decided by national supervisory authorities taking account of local circumstances.
5. In addition, Member States, at local level, may modulate air navigation charges, as provided for in Article 16 of Implementing Regulation (EU) No 391/2013.
CHAPTER III
THE ADOPTION OF PERFORMANCE PLANS
Article 13
Initial adoption of performance plans
On the proposal of the national supervisory authorities, Member States shall adopt performance plans containing binding performance targets and submit them to the Commission at the latest six months before the beginning of the reference period.
Article 14
Assessment and revision of performance plans and targets
1. The Commission shall assess the performance plans, their targets and in particular their consistency with and adequate contribution to the Union-wide performance targets, as well as with the criteria laid down in Annex IV, taking into account the evolution of the context that may have occurred between the date of adoption of the Union-wide targets and the date of assessment of the performance plan. Where targets are set at local level without reference to a Union-wide performance target, the assessment shall be based on the criteria laid down in Annex IV.
2. Where the Commission finds that a performance plan, or part thereof, and its targets are consistent with and adequately contribute to the Union-wide targets and are consistent with all the criteria laid down in Annex IV, it shall notify the Member State(s) concerned thereof within five months after reception of the performance plan.
3. Where the Commission finds that a performance plan, or part thereof, and some or all of its target(s) are not consistent with the Union-wide targets and are not contributing adequately to them and/or are not consistent with one or more of the criteria laid down in Annex IV, it shall, within five months after reception of the performance plan and in accordance with the procedure established in Article 5(2) of Regulation (EC) No 549/2004, issue a recommendation to the Member State(s) concerned to adopt a revised performance plan, or part thereof, and/or target(s). This recommendation shall be made after consultation of the Member State(s) concerned, and shall identify precisely which parts of the performance plan and/or target(s) are to be revised as well as explaining the rationale of the Commission’s assessment.
4. In such case, the Member State(s) concerned shall adopt a revised performance plan, or part thereof, and/or target(s), taking account of the Commission’s views, together with the appropriate measures for reaching those targets and shall notify the Commission accordingly within four months after the notification of the recommendation.
Article 15
Assessment of revised performance plans and targets and adoption of corrective measures
1. The Commission shall assess each revised performance plan, or part thereof, and its performance targets on the basis of the criteria laid down in Annex IV.
2. Where the Commission finds that a revised performance plan, or part thereof, and its performance targets are consistent with the Union-wide targets and are adequately contributing towards them and are consistent with all the criteria laid down in Annex IV, it shall notify the Member State(s) concerned thereof within five months after receiving the revised performance plan.
3. Where the Commission finds that a revised performance plan, or part thereof, and some or all of its performance targets are still not consistent with the Union-wide targets and are not contributing adequately to them, and/or are still not consistent with one or several of the criteria laid down in Annex IV, the Commission shall, within five months after receiving the revised performance plan, or part thereof, and in accordance with the procedure referred to in Article 5(3) of Regulation (EC) No 549/2004, decide that the Member State(s) concerned shall take corrective measures.
4. Such decision shall identify precisely, against the criteria laid down in Annex IV, which part of the plan and target(s) are to be revised and the rationale of the Commission’s assessment. It may stipulate the level of performance expected for those targets in order to allow the Member State(s) concerned to take the appropriate corrective measures, and/or may contain suggestions for such corrective measures.
5. Within two months after the Commission’s decision, the corrective measures adopted by the Member State(s) concerned shall be communicated to the Commission, together with the elements demonstrating their consistency with the Commission’s decision.
Article 16
Performance plans or corrective measures adopted after the beginning of the reference period
Performance plans or corrective measures adopted after the beginning of the reference period as a result of the implementation of the procedures set out in Articles 14 and 15 shall apply retroactively as from the first day of the reference period.
Article 17
Revision of the targets
1. In accordance with the procedure referred to in Article 5(3) of Regulation (EC) No 549/2004, the Commission may decide to revise the Union-wide targets, and/or may, upon request of a Member State, allow that one or several local targets may be revised:
(a)
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
(b)
as a result of the application of an alert mechanism as referred to in Article 19; or
(c)
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.
2. A revision of the Union-wide targets may result in the amendment of the existing performance plans. In such case the Commission may decide to make an appropriate adjustment of the time schedule set out in Chapters II and III of this Regulation.
CHAPTER IV
MONITORING OF THE ACHIEVEMENT OF PERFORMANCE
Article 18
Ongoing monitoring and reporting
1. The national supervisory authorities and the Commission shall monitor the implementation of the performance plans. For this purpose the annual values in the performance plan shall be used. If, during the reference period, targets are not met, the Member State(s) concerned shall define and apply corrective measures designed to rectify the situation and shall communicate them to the Commission. Where the Commission finds that such corrective measures are not sufficient to rectify the situation, it shall, within five months after receipt of the measures and in accordance with the procedure laid down in Article 5(2) of Regulation (EC) No 549/2004, notify thereof the Member State(s) concerned including suggestions for corrective measures.
2. Where the Commission witnesses a significant and persistent drop in performance at local or functional airspace block level, affecting other States parties to the single European sky and/or the entire European airspace, it may request the Member State(s) concerned to define, apply and communicate to the Commission corrective measures designed to achieve the targets set in their performance plan. Where the Commission finds that such measures are not sufficient to rectify the situation, it shall, within five months after receipt of the measures and in accordance with the procedure laid down in Article 5(2) of Regulation (EC) No 549/2004, notify thereof the Member State(s) concerned including suggestions for corrective measures.
3. The Commission shall monitor the implementation of the Network Performance Plan of the Network Manager. For this purpose the annual values in the performance plan shall be used. If during the reference period targets are not met, the Commission shall request the Network Manager to define, apply and communicate to the Commission corrective measures designed to achieve the targets set in Network Performance Plan. The Commission shall inform the national supervisory authorities or bodies as defined in Article 5(2)(b) of such corrective measures.
4. Not later than 1 June each year and whenever performance targets risk not being achieved, the national supervisory authorities or bodies as defined in Article 5(2)(b) shall report to the Commission on the monitoring of the performance plans and targets. The reports shall be based on recommendations that will be elaborated by the Commission before the beginning of the reference period. The Commission shall report to the Single Sky Committee on the achievement of performance targets at least once a year.
Article 19
Alert mechanisms
1. Where, due to circumstances that were unforeseeable at the time of adoption of the performance plans and are both insurmountable and beyond the control of the Member States, air navigation service providers and the Network Manager, the alert threshold(s) in Article 10(4) is/are reached at Union level over a calendar year, the Commission shall review the situation in consultation with the Member States through the Single Sky Committee, and make proposals for appropriate actions within four months. This may include the revision of the Union-wide and as a consequence revision of the local performance targets.
2. Where, due to circumstances that were unforeseeable at the time of adoption of the performance plans and are both insurmountable and beyond the control of the Member States, air navigation service providers and the Network Manager, the alert threshold(s) in Article 10(4) is/are reached at local level over a calendar year, the national supervisory authorities concerned shall review the situation liaising with the Commission and make proposals for appropriate actions within four months. This may include the revision of the local performance targets.
3. Member States may decide to adopt alert thresholds different from the ones in Article 10(4), in order to take account of local circumstances and specificities. In such case, these thresholds shall be set out in the performance plan and be consistent with the thresholds adopted pursuant to Article 10(4). The deviations shall be supported by detailed justification. When these thresholds are activated, the process set out in paragraph 1 shall apply.
4. Where the implementation of an alert mechanism entails revision of performance plans and targets, the Commission shall facilitate such revision through an appropriate adjustment of the applicable time schedule in accordance with the procedure referred to in Chapters II and III.
Article 20
Facilitation of compliance monitoring
1. Air navigation service providers and the Network Manager shall facilitate inspections and surveys, including site visits, carried out by the Commission and the national supervisory authority concerned, or by a qualified entity acting on the national supervisory authority’s behalf, or where relevant by the EASA. Without prejudice to the supervisory powers conferred upon the national supervisory authorities and the EASA, the authorised persons shall be empowered:
(a)
to examine, in relation to all key performance areas, documents and any other material relevant to the establishment of performance plans and targets;
(b)
to take copies of or extracts from such documents;
(c)
to ask for an oral explanation on site.
2. The inspections and surveys in paragraph 1 shall be carried out in compliance with the procedures in force in the Member State in which they are to be undertaken.
3. The national supervisory authorities shall monitor the implementation of this Regulation in the performance area of safety in accordance with the procedures for safety oversight established by Commission Regulation (EU) No 1034/2011 (15).
4. In the context of standardisation inspections the EASA shall monitor the implementation of this Regulation by Member States in the key performance area of safety in accordance with the working methods provided for in Article 24(5) of Regulation (EC) No 216/2008 (16).
CHAPTER V
COLLECTION, VALIDATION, EXAMINATION, EVALUATION AND DISSEMINATION OF INFORMATION RELATING TO AIR NAVIGATION PERFORMANCE FOR THE SINGLE EUROPEAN SKY
Article 21
Collection and validation of data for performance review
1. In addition to the data already collected by the Commission through other Union instruments which may also be used for performance review, national authorities, air navigation service providers, airport operators, airport coordinators and air carriers shall ensure that the Commission is provided with the data referred to in Annex V in accordance with the requirements set out in that Annex.
2. National authorities may delegate or reorganise in full or in part the task of providing the data between their national supervisory authorities, air navigation service providers, airport operators and airport coordinators, with a view to taking into account local specificities and existing reporting channels.
3. The data providers shall take the necessary measures to ensure the quality, validation and timely transmission of the data, including providing evidence of their quality checks and validation processes, explanations in response to specific requests from the Commission regarding the quality of the data and, where necessary, action plans to improve data quality. The data shall be provided free of charge, in electronic form where applicable, using the format specified by the Commission.
4. The Commission shall assess the quality and validate the data transmitted in accordance with paragraph 1. When the data does not allow proper use for performance review, the Commission may, in cooperation with Member States, and in particular with their national supervisory authorities, take appropriate measures to assess and improve the quality of the data.
5. For the purpose of this Regulation, data as referred to in paragraph 1 that is already provided to Eurocontrol shall be deemed to be provided to the Commission. Where data is not already provided to Eurocontrol, the Commission and Eurocontrol shall make the necessary arrangements to ensure that such data is made available to the Commission in line with the requirements laid down in paragraph 3.
6. Whenever significant new data requirements are identified or data of insufficient quality is to be expected, the Commission may carry out pilot studies to be completed on a voluntary basis by the Member States or stakeholders before new data requirements are introduced by amendment of this Regulation. Such pilot studies are carried out in order to assess the feasibility of collecting the relevant data, balancing the benefits of data availability against collection costs and the burden on respondents.
Article 22
Dissemination of information
1. The Commission shall disseminate information for the purpose of the objectives set out in Article 11 of Regulation (EC) No 549/2004 in accordance with Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to European Parliament, Council and Commission documents (17), in particular Article 4 thereof, and with Article 18 of Regulation (EC) No 550/2004.
2. The information in Article 3(3)(a) shall be made publicly available, in particular by electronic means. To this end, the Commission shall take a decision on the policy for the handling, protection, confidentiality, and dissemination of the data collected for performance purposes in application of Article 21, and the associated intellectual property rights.
3. The Commission reports referred to in Article 18(4) shall be made publicly available and a reference to them shall be published in the Official Journal of the European Union. The Commission may decide to provide the parties concerned with other general information on a regular basis, in particular by electronic means.
4. The Union-wide targets referred to in Article 10 and a reference to the adopted performance plans referred to in Chapter III shall be made publicly available and published in the Official Journal of the European Union.
5. Individual access to specific information, such as validated data and statistics, shall be granted to the data provider directly related to the information and activities.
CHAPTER VI
FINAL PROVISIONS
Article 23
Exemptions
Where, in accordance with the procedures laid down in Article 3 of Implementing Regulation (EU) No 391/2013, it has been established that some or all terminal air navigation services and/or CNS, MET and AIS services of a Member State are subject to market conditions, and the Member State has decided under that Regulation not to calculate determined costs for these services, not to calculate and set terminal charges, and not to apply financial incentives to these services, cost-efficiency targets do not apply to these services.
Article 24
Appeal
Member States shall ensure that decisions taken pursuant to this Regulation are properly explained and are subject to an effective review and/or appeal procedure.
Article 25
Review of the scheme
By the end of each reference period, the Commission shall review the performance scheme, and in particular analyse its impact, effectiveness and scope, taking account of work carried out by ICAO in this field.
Article 26
Amendments to Regulation (EU) No 677/2011
Regulation (EU) No 677/2011 is amended as follows:
(1)
recital 28 is deleted;
(2)
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).
(3)
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.’;
(4)
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.’;
(5)
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
1.1.
Scope of the Network Strategy Plan (geographical and time period)
1.2.
Preparation of the plan and validation process
2. OVERALL CONTEXT AND REQUIREMENTS
2.1.
Description of the current and planned network situation including ERND, ATFM, airports and scarce resources
2.2.
Challenges and opportunities related to the time period of the plan (including traffic demand forecast and worldwide evolution)
2.3.
Performance Objectives and business requirements as expressed by the different stakeholders and the Union-wide performance targets
3. STRATEGIC VISION
3.1.
Description of the strategic way the network will develop and progress to successfully respond to the performance targets and business requirements
3.2.
Compliance with the performance scheme
3.3.
Compliance with the European ATM master plan
4. STRATEGIC OBJECTIVES
4.1.
Description of the Network strategic objectives:
(a)
including the cooperative aspects of the participating operational stakeholders in terms of roles and responsibilities;
(b)
indicating how the strategic objectives will answer the requirements;
(c)
identifying how progress towards these objectives will be measured;
(d)
indicating how the strategic objectives will impact the industry and other concerned areas.
5. STRATEGIC PLANNING
5.1.
Description of the short/medium term planning:
(a)
the priorities for each of the strategic objectives;
(b)
the implementation of each of the strategic objectives in terms of required deployment of technology, architectural impact, human aspects, involved cost, benefits as well as the necessary governance, resources and regulation;
(c)
the required operational stakeholder participation on each element of the plan including their roles and responsibilities;
(d)
the agreed level of involvement of the Network Manager to support the implementation of each element of the plan for each individual function.
5.2.
Description of the long term planning:
(a)
the intent to reach each of the strategic objectives in terms of required technology and corresponding R & D aspects, architectural impact, human aspects, business case, governance required, and regulation required as well as the associated safety and economic justification for these investments;
(b)
the required operational stakeholder participation on each element of the plan including their roles and responsibilities.
6. RISK ASSESSMENT
6.1.
Description of the risks associated with the implementation of the plan
6.2.
Description of the monitoring process (including potential deviation from initial objectives)
7. RECOMMENDATIONS
7.1.
Identification of the actions to be taken by the Union and Member States to support the implementation of the plan.’.
Article 27
Entry into force
1. This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
2. This Regulation shall apply from the second reference period as defined in Article 8 and during that period. With regards to the application of the performance scheme, in order to allow the adoption of Union-wide targets in application of Article 10(2) before the beginning of the second reference period and the preparation and adoption of performance plans in accordance with the provisions of this Regulation, Article 1(3) and (4), Article 3(3)(i) and (n), Articles 5 and 6, Article 9(3) and (4), Article 26, Chapter II, Chapter III, as well as Annexes I, II, III, IV and V shall apply from the entry into force of this Regulation.
Article 28
Repeal
Commission Regulation (EU) No 691/2010, Article 26 of Commission Regulation (EU) No 677/2011 and Commission Implementing Regulation (EU) No 1216/2011 shall be repealed with effect from 1 January 2015, without prejudice to the Member States’ obligation to implement the performance scheme during the first reference period as defined in Article 8.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 May 2013.