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9.5.2013 Official
Journal
of
the
European
Union L
128/1
II
(Non-legislative acts)
REGULATIONS
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,
Both, the charging scheme and the common projects are
integral to the successful implementation of the
performance scheme.
Having regard to the Treaty on the Functioning of the European
Union,
(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
Having regard to Regulation (EC) No 549/2004 of the European
Article 6 of Regulation (EC) No 551/2004 of the
Parliament and of the Council of 10 March 2004 laying down
European Parliament and of the Council on the organi
the framework for the creation of the single European sky (the
sation and use of the airspace in the single European sky
framework Regulation) ( 1 ) as amended by Regulation (EC) No
(the airspace Regulation) (
1070/2009 of the European Parliament and of the Council (

4 ) as amended by Regulation

2 ),
(EC) No 1070/2009.
and in particular Article 11 thereof,
(5) The
Commission
may
be
assisted
in
implementing
the
Whereas:
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
(1) Regulation
(EC)
No
549/2004
provides
that
a
performance of air navigation services and network func
performance scheme for air navigation services and
tions.
network functions is set up. For the detailed functioning
of the performance scheme the Commission should
adopt implementing rules.
(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 responsi
(2) The performance scheme should contribute to
bilities.
sustainable development of the air transport system by
improving the overall efficiency of air navigation services
across the key performance areas of safety, environment,
(7) In
order
to
guarantee
long-term
improvements
towards
capacity and cost-efficiency, in line with the Performance
the high-level societal goals, as reflected in the European
Framework of the European Air Traffic Management
ATM Master Plan, the performance scheme should be
(ATM) Master Plan, while having due regard to the over
operated with a view going beyond a single reference
riding safety objectives.
period.
(3) Regulation
(EC)
No
550/2004
of
the
European (8) The
performance
scheme
should
address
air
navigation
Parliament and of the Council of 10 March 2004 on
services through a gate-to-gate approach, including en
the provision of air navigation services in the single
route and terminal air navigation services with a view
European sky (the service provision Regulation) ( 3 ) as
to improving the overall performance of the network.
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.
(9)
The performance scheme should provide for indicators
and binding targets in all key performance areas with
required safety levels fully achieved and maintained.
( 1 ) OJ L 96, 31.3.2004, p. 1.
( 2 ) OJ L 300, 14.11.2009, p. 34.
( 3 ) OJ L 96, 31.3.2004, p. 10.
( 4 ) OJ L 96, 31.3.2004, p. 20.

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EN
Official Journal of the European Union
9.5.2013
(10) When
adopting
Union-wide
performance
targets
for
a
(20) The key performance indicators and performance targets
reference period, the Commission should take due
must be established and implemented in line with the
account of the level of performance achieved in the
safety objectives and standards laid down in Regulation
previous reference period(s).
(EC) No 216/2008 of the European Parliament and of
the Council ( 2 ) and its implementing rules together with
the measures taken by the Union to achieve and
(11) Given the strong links between the different key
performance areas, the interdependencies between
maintain these objectives.
performance targets, having regard to the overriding
safety objectives, should be duly taken into account in
(21) The
Commission
should
assess
the
performance
plans
the preparation and monitoring of the performance
and targets and establish their consistency with and
scheme.
adequate contribution to the Union-wide targets and
the overall performance of the European ATM network.
(12) Performance plans should be established at the level of
If this consistency and adequate contribution cannot be
functional airspace blocks showing, for reasons of trans
established, the Commission should ask for the
parency, the contribution of each air navigation service
performance plan(s) and target(s) to be revised and/or
provider within a functional airspace block in reaching
corrective measures to be taken.
the targets, monitored at the most appropriate level.
(22) During
the
reference
periods
an
effective
performance
(13) Performance plans should describe the measures, such as
monitoring process, including data collection and
incentive schemes, aimed at stakeholders to improve
dissemination, should be put in place to ensure that
performance at all levels. Due to its overriding nature,
the evolution of performance allows reaching the
safety should not be subject to incentives.
targets and if necessary introducing corrective measures.
(14) In
order
that
views
of
stakeholders
are
heard,
effective
consultations should take place at national, functional
(23) When, on the basis of monitoring results, the
Commission has substantial evidence that initial data,
airspace block and Union level.
assumptions and rationales underlying the setting of
initial targets are no longer valid, the Commission may
(15) In circumstances unforeseeable at the moment of
decide to revise the Union-wide performance targets or
adoption of the performance plans, and which are both
allow, upon request of a Member State, that local targets
insurmountable and beyond the control of the Member
may be revised.
States and the entities subject to the performance targets,
the establishment of appropriate alert mechanisms
should allow the implementation of appropriate actions
(24) The execution of network functions should be subject to
aiming at preserving the safety requirements as well as
performance targets. Therefore, this Regulation should
continuity in the provision of service, which may include
apply to the Network Manager established in accordance
the revision of Union-wide or local performance targets.
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
(16) Civil-military
cooperation
and
coordination
are
of
the
(ATM) network functions and amending Regulation
utmost importance in achieving the objectives of the
(EU) No 691/2010 ( 3 ). Commission Regulation (EU) No
performance scheme, having due regard to military
677/2011 should be amended accordingly.
mission effectiveness.
(17) The
performance
scheme
should
be
without
prejudice
to
(25) Commission
Regulation
(EU)
No
691/2010
of
29
July
the provisions of the Regulation (EC) No 549/2004
2010 laying down a performance scheme for air navi
aiming at safeguarding essential security or defence
gation services and network functions and amending
policy interests.
Regulation (EC) No 2096/2005 laying down common
requirements for the provision of air navigation
services ( 4 ), Article 26 of Commission Regulation (EU)
(18) Specific and measurable key performance indicators
No 677/2011, and Commission Implementing Regu
should be selected, on the basis of which responsibility
lation (EU) No 1216/2011 of 24 November 2011
for achieving the performance targets can be assigned.
amending Commission Regulation (EU) No 691/2010
The associated targets should be achievable, realistic
laying down a performance scheme for air navigation
and time-bound, and aim at effectively steering the
services and network functions ( 5 ), should be repealed
sustainable performance of air navigation services.
with effect of 1 January 2015.
(19) The implementation of binding performance targets
supported by incentives of a financial nature requires
(26) The
measures
provided
for
in
this
Regulation
are
in
accordance with the opinion of the Single Sky
an appropriate link with Commission Implementing
Committee,
Regulation (EU) No 391/2013 of 3 May 2013 laying
down a common charging scheme for air navigation
services (
( 2 ) OJ L 79, 19.3.2008, p. 1.

1 ).
( 3 ) OJ L 185, 15.7.2011, p. 1.
( 4 ) OJ L 201, 3.8.2010, p. 1.
( 1 ) See page 31 of this Official Journal.
( 5 ) OJ L 310, 25.11.2011, p. 3.

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EN
9.5.2013 Official
Journal
of
the
European
Union L
128/3
HAS ADOPTED THIS REGULATION:
prejudice to the rights and duties of Member States under
the 1944 Chicago Convention on international civil aviation
(the Chicago Convention);
CHAPTER I
GENERAL PROVISIONS
(b) to providers of air navigation services having the permission
to provide air navigation services without certification, in
Article 1
accordance with Article 7(5) of Regulation (EC) No
Subject matter and scope
550/2004.
1. This
Regulation
lays
down
the
measures
to
improve
the 7. Notwithstanding
the
protection
of
information
provisions
overall performance of air navigation services and network
of Directive 2003/42/EC of the European Parliament and of the
functions for general air traffic within the International Civil
Council ( 1 ) and its implementing regulations Commission Regu
Aviation Organization (ICAO) European (EUR) and Africa
lation (EC) No 1321/2007 ( 2 ) and Commission Regulation (EC)
(AFI) regions where Member States are responsible for the
No 1330/2007 ( 3 ), the requirements related to the provision of
provision of air navigation services with a view to meeting
data as defined in Chapter V shall apply to national authorities,
the requirements of all airspace users.
air navigation service providers, airport operators, airport coor
dinators, and air carriers.
2. For
the
purpose
of
target
setting
and
performance
moni
toring, this Regulation shall apply to the air navigation services
Article 2
provided by:
Definitions
For the purposes of this Regulation:
(a) the air traffic service providers designated in accordance
with Article 8 of Regulation (EC) No 550/2004;
(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 admin
(b) the providers of meteorological services, if designated in
istering and managing the airport facilities and coor
accordance with Article 9(1) of Regulation (EC) No
dinating and controlling the activities of the various
550/2004;
operators present at the airport or within the airport
system concerned;
(c) the Network Manager established in accordance with
Article 3 of Commission Regulation (EU) No 677/2011.
(2) ‘data’ means qualitative, quantitative and other relevant
information relating to air navigation performance
collected and systematically processed by, or on behalf
It shall also apply for the purpose of target setting and
of, the Commission for the purpose of implementing the
performance monitoring on cost-efficiency to the authorities
performance scheme;
or entities incurring eligible costs to be recovered through
user charges, as specified in Article 15(2)(b) of Regulation
(3) ‘performance indicators’ means the indicators used for the
(EC) No 550/2004 and Article 6(2) of Implementing Regulation
purpose of performance monitoring, benchmarking and
(EU) No 391/2013.
reviewing;
3. Without
prejudice
to
paragraph
4,
Member
States
may
(4) ‘key performance indicators’ means the performance indi
decide not to apply this Regulation to terminal air navigation
cators used for the purpose of performance target setting;
services provided at some or all of their airports with fewer
than 70 000 IFR air transport movements per year. They shall
(5) ‘IFR air transport movements’ means the sum of take-offs
inform the Commission accordingly.
and landings performed under instrument flight rules
calculated as the yearly average over the three calendar
years preceding the submission of the performance plans;
4. Where
none
of
the
airports
in
a
Member
State
reaches
the
threshold of 70 000 IFR air transport movements per year, this
(6) ‘binding target’ means a performance target adopted by
Regulation shall apply as a minimum to the airport with the
Member States as part of a performance plan and
highest number of IFR air transport movements.
subject to an incentive scheme and/or corrective action
plans;
5. Target
setting
on
cost-efficiency
shall
apply
to
the
determined costs established in Article 15(2)(a) and (b) of Regu
(7) ‘air carrier’ means an air transport undertaking with a valid
lation (EC) No 550/2004.
operating license issued by a Member State in accordance
with European Union Law;
6. Member
States
may
also
apply
this
Regulation:
(8) ‘determined costs’ means the costs established in
Article 15(2)(a) and (b) of Regulation (EC) No 550/2004;
(a) in airspace under their responsibility within other ICAO
( 1 ) OJ L 167, 4.7.2003, p. 23.
regions, on condition that they inform the Commission
( 2 ) OJ L 294, 13.11.2007, p. 3.
and the other Member States accordingly, and without
( 3 ) OJ L 295, 14.11.2007, p. 7.

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Official Journal of the European Union
9.5.2013
(9) ‘national authority’ means the regulatory and/or super
employees, closing air traffic control centres, shifting
visory authority at national or functional airspace block
activities to new locations and, writing off assets and/or
level whose costs are eligible for recovery from airspace
acquiring strategic participations in other air navigation
users when they are incurred in relation with the provision
service providers.
of air navigation services in application of Article 6(2) of
Implementing Regulation (EU) No 391/2013;
Article 3
(10) ‘just culture’ means a culture in which front line operators
Performance Review Body
or others are not punished for actions, omissions or
1. Where the Commission decides to designate a
decisions taken by them that are commensurate with
Performance Review Body to assist it in the implementation
their experience and training, but where gross negligence,
of the performance scheme, such designation shall be for a
wilful violations and destructive acts are not tolerated;
fixed term consistent with the reference periods. The
Commission shall appoint the chair and the members of the
(11) ‘airport coordinator’ means the natural or legal person
Performance Review Body.
appointed by a Member State to carry out the coor
dination duties at coordinated airports set out in
2. The
Performance
Review
Body
shall
have
the
appropriate
Article 4 of Council Regulation (EEC) No 95/93 of
competence and impartiality to carry out independently the
18 January 1993 on common rules for the allocation of
tasks assigned to it by the Commission, in particular in the
slots at Community airports ( 1 );
applicable key performance areas.
(12) ‘performance monitoring’ means the continuous process of
3. The
Performance
Review
Body
shall
assist
the
Commission
collecting and analysing data in order to measure the
in the implementation of the performance scheme, in particular
actual outcome of a system versus the relevant (key)
as regards:
performance targets and performance plans using the
(key) performance indicators set out in Article 9 and
(a) collection, examination, validation and dissemination of
Annex I;
performance-related data;
(13) ‘reference period’ means the period of validity and appli
(b) the definition or adaptation of key performance areas, in
cation of the Union-wide performance targets and the
line with those identified in the performance framework of
performance plans, as set out in Article 11(3)(d) of Regu
the ATM Master Plan, as referred to in Article 9(1), and the
lation (EC) No 549/2004;
related key performance indicators;
(14) ‘runway incursion’ means any occurrence at an aerodrome
(c) the definition of appropriate key performance indicators
involving the incorrect presence of an aircraft, vehicle or
covering, in all key performance areas, the performance
person on the protected area of a surface designated for
of the network functions and of air navigation services
the landing and take-off of aircraft;
both in en route and terminal services;
(15) ‘air traffic services unit’ (ATS unit) means a unit, civil or
(d) the setting and the revision of Union-wide performance
military, responsible for providing air traffic services;
targets;
(16) ‘CNS, MET and AIS services’ means communication, navi
(e) setting of the alert threshold(s) referred to in Article 10(4)
gation and surveillance services, meteorological services for
for activating the alert mechanisms established in
air navigation and aeronautical information services;
Article 19;
(17) ‘exceptional event’ means circumstances under which ATM
(f) the consistency assessment of adopted performance plans,
capacity is abnormally reduced so that the level of ATFM
including performance targets, with the Union-wide targets;
delays is abnormally high as a result of: a planned limi
tation induced through operational or technical change,
major adverse weather circumstances, the unavailability
(g) where appropriate, the consistency assessment of the alert
of large airspace parts either through natural or political
thresholds adopted in application of Article 19(3) with the
reasons, or industrial action and the activation of the
European Union-wide alert thresholds referred to in
EACCC by the Network Manager as a result of one or
Article 10(4);
more of these causes;
(h) where appropriate, the assessment of the revised
(18) ‘restructuring costs’ means significant one-time costs
performance targets or the corrective measures taken by
incurred by air navigation service providers in the
the Member States concerned;
process of restructuring by way of introducing new tech
nologies and procedures and associate business models to
(i) monitoring,
benchmarking
and
review
of
the
performance
stimulate integrated service provision where the Member
of air navigation services including investment and capital
State wishes to recover the costs in one or more reference
expenditure, at local and Union levels;
periods. They may include costs incurred in compensating
(j) monitoring,
benchmarking
and
review
of
the
performance
( 1 ) OJ L 14, 22.1.1993, p. 1.
of the network functions;

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9.5.2013 Official
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(k) monitoring of the overall performance of the European
2. Member
States
shall
ensure
that
national
supervisory
auth
ATM network, including the preparation of annual
orities have, or have access to, the necessary resources and
reports to the Single Sky Committee;
capabilities in all the key performance areas to carry out the
tasks provided for in this regulation, including the inspection
(l) assessment of the achievement of the performance targets
powers to perform the tasks referred to in Article 20.
at the end of each reference period with a view to
preparing for the following period;
3. Where a Member State has more than one national super
(m) assessment of the performance plan of the Network
visory authority, it shall notify the Commission which national
Manager, including its consistency with the Union-wide
supervisory authority is responsible for the national coor
performance targets;
dination for the implementation of this Regulation.
(n) maintenance and support in the coordination of a stake
holder consultation calendar concerning performance plans
Article 5
and the consultation duties referred to in Article 9(1) of
Implementing Regulation (EU) No 391/2013.
Functional airspace blocks
1. Member
States
shall
establish
performance
plans
at
func
4. At the Commission’s request, the Performance Review
tional airspace block level.
Body shall provide ad hoc information or reports on
performance-related issues.
2. To
comply
with
the
obligation
in
paragraph
1,
Member
5. The
Performance
Review
Body
may
report
and
make States shall:
recommendations to the Commission for improvement of the
scheme.
(a) ensure that the performance plan conforms to the template
6. As
regards
relations
with
national
supervisory
authorities:
set out in Annex II;
(a) for the purpose of monitoring of the overall performance of
the European ATM network, the Performance Review Body
(b) notify the Commission of the national supervisory authority
shall obtain from the national supervisory authorities the
or body which is responsible for coordination within the
necessary information in relation to the performance plans;
functional airspace block and for the relations with the
Commission as regards the implementation of the
(b) the Performance Review Body shall assist the national super
performance plan;
visory authorities upon their request by providing an inde
pendent view of performance issues such as factual
comparisons between air navigation service providers
(c) make appropriate arrangements to ensure that:
operating in similar environments (benchmarking),
analyses of changes in performance over the last five
years or analyses of projections;
(i) subject to the provisions of point (e) and Annex I, a
single target is established for each key performance
(c) national supervisory authorities may request the
indicator;
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
(ii) for reasons of transparency, the contribution of each air
available to national supervisory authorities, air navigation
navigation service provider within the functional
service providers, airport operators and airspace users.
airspace block, monitored at the most appropriate
level, for achieving the performance targets set for the
7. To
ensure
consistency
with
the
objectives
and
standards
functional airspace block is identified in the
established and implemented in accordance with Regulation
performance plan;
(EC) No 216/2008, the Performance Review Body shall
cooperate as appropriate with the European Aviation Safety
(iii) the measures referred to in Article 11(3)(d) of Regu
Agency (EASA) in the performance of the tasks referred to in
lation (EC) No 549/2004 are defined and applied
paragraph 3 when they relate to safety.
during the reference period when targets are not met.
8. For the purpose of monitoring of the overall performance
The annual values in the performance plan shall be
of the European ATM network, the Performance Review Body
used for this purpose;
shall develop working arrangements with the air navigation
service providers, airport operators, airport coordinators and
(d) be responsible for determining and achieving the
air carriers.
performance targets set at local levels, namely functional
airspace block, national, charging zone and airport;
Article 4
National supervisory authorities
(e) where no common en route charging zone has been estab
1. The
national
supervisory
authorities
shall
be
responsible
lished within the meaning of Article 4 of Implementing
for the drawing up of the performance plans, the performance
Regulation (EU) No 391/2013, and where, as a
oversight and the monitoring of performance plans and targets.
consequence, en route cost-efficiency targets are set for
In carrying out these tasks, they shall act impartially, indepen
more than one charging zone within the functional
dently and transparently.
airspace block, consolidate these targets to a single value

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Official Journal of the European Union
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at aggregated level for en route air navigation services and
Article 7
provide, for information purposes, an overall figure demon
strating the cost efficiency effort at functional airspace block
Coordination with the European Aviation Safety Agency
level;
(EASA)
In application of Article 13a of Regulation (EC) No 549/2004
(f) where a charging zone is modified in the course of a
and in accordance with Regulation (EC) No 216/2008, the
reference period, demonstrate that this change still allows
Member States and the Commission shall coordinate as appro
the performance targets adopted for the period to be met;
priate with the EASA to ensure that the following aspects are
properly addressed:
(g) ensure that the performance plan is consistent with the
scope of this Regulation in accordance with Article 1(6)
(a) the safety aspects of the performance scheme, including the
of this Regulation and Article 7 of Regulation (EC) No
setting, revision and implementation of safety key
549/2004.
performance indicators and Union-wide performance
targets as well as the provision of proposals for appropriate
Article 6
actions and measures following the activation of an alert
mechanism;
Network Manager
The Network Manager established in Article 6 of Regulation
(b) the consistency of the safety key performance indicators and
(EC) No 551/2004 ( 1 ) and Article 3 of Commission Regulation
targets with the implementation of the European Aviation
(EU) No 677/2011 shall carry out the following tasks in
Safety Programme.
relation to the performance scheme:
(a) shall support the Commission by providing relevant input
Article 8
for the preparation of Union-wide performance targets
before the reference periods and for monitoring the
Duration of the reference periods
achievement of the performance targets during the
1. The
first
reference
period
for
the
performance
scheme
reference period. In particular, the Network Manager shall
shall cover the calendar years 2012 to 2014 inclusive. The
draw the Commission’s attention to any significant and
second reference period shall cover the calendar years 2015
persistent drops in operational performance;
to 2019 inclusive. Subsequent reference periods shall be of
five calendar years, unless otherwise provided through the
(b) pursuant to Article 21(5), shall provide the Commission
amendment of this Regulation.
with access to all data listed in Annex V;
2. The
same
reference
period
shall
apply
to
the
Union-wide
(c) shall support functional airspace blocks and their air navi
performance targets and performance plans and targets.
gation service providers in reaching their performance
targets during reference periods by ensuring consistency
between performance plans, the Network Strategy Plan
Article 9
and the Network Operations Plan;
Key performance areas and performance indicators
(d) shall draw up a performance plan, the Network Performance
1.
For the purpose of target setting, the possible addition and
Plan, in accordance with Article 5(1) and Article 16(1)(a) of
adaptation of other key performance areas pursuant to
Regulation (EU) No 677/2011, which shall be submitted to
Article 11(4)(b) of Regulation (EC) No 549/2004 shall be
the Commission at the latest six months before the
decided by the Commission in accordance with the procedure
beginning of each reference period and adopted by the
referred to in Article 5(3) of that Regulation.
Commission before the beginning of each reference
period. This performance plan shall be public and shall:
2. For
the
purpose
of
target
setting,
one
or
a
limited
number
of key performance indicators shall correspond to each key
(i) contain performance targets for all key performance
performance area. The performance of air navigation services
areas and for all indicators, consistent with the
shall be assessed against binding targets for each key
Union-wide performance targets for the entire
performance indicator.
reference period, with the use of annual values for
monitoring purposes;
3. Section 1 of Annex 1 sets out the key performance indi
(ii) contain a description of the actions aimed at reaching
cators for target setting and the performance indicators at
the targets;
Union level, selected for each key performance area.
(iii) contain, where necessary or where decided by the
4. Section
2
of
Annex
I
sets
out
the
local
key
performance
Commission, additional key performance indicators
indicators for local target setting and the performance indicators
and targets.
at local level used for establishing the performance targets. The
local level, namely functional airspace block, national, charging
( 1 ) OJ L 96, 31.3.2004, p. 20.
zone and airport, is specified in Section 2 of Annex I.

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5. The
key
performance
indicators
shall
not
be
changed
in
Article 11
the course of a reference period. Changes shall be adopted by
amendment of this Regulation at the latest six months before
Drawing up of performance plans
the adoption of new Union-wide performance targets.
1. The
national
supervisory
authorities,
at
functional
airspace
block level, shall draw up performance plans containing targets
6. For their own performance monitoring and/or as part of
consistent with the Union-wide performance targets and the
the performance plan, Member State may decide to establish
assessment criteria set out in Annex IV.
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
Without prejudice to the template set out in Annex II, the
I. These additional indicators and targets shall support the
performance plan may include different sections relating to
achievement of the Union-wide targets and the resulting
the local level, namely functional airspace block, national,
targets at local level. They may for example integrate and
charging zone and airport.
describe the civil-military or meteorological dimension of the
performance plan, and may be accompanied by appropriate
2. To
support
the
preparation
of
the
performance
plans
incentive schemes.
national supervisory authorities shall ensure that:
7. In
order
to
facilitate
implementation
and
measurement
of
the safety (key) performance indicators, EASA, in consultation
(a) air navigation service providers submit their business plans
with the Performance Review Body, shall adopt acceptable
to the national supervisory authorities;
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
(b) stakeholders are consulted on the performance plan and
reference period.
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
CHAPTER II
meeting.
THE PREPARATION OF PERFORMANCE PLANS
Article 10
3. The
performance
plans
shall
contain,
in
particular:
Union-wide performance targets
(a) the traffic forecast, expressed in service units, to be provided
1. The
Commission
shall
adopt
Union-wide
performance
for each year of the reference period, at functional airspace
targets, in accordance with the procedure referred to in
block level and for each charging zone in the functional
Article 5(3) of Regulation (EC) No 549/2004, taking into
airspace block, with a justification of the figures used;
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 Regu
(b) the determined costs for air navigation services for each year
lation, other relevant organisations and the EASA for the safety
of the reference period and for each charging zone in
aspects of performance.
accordance with the provisions of Article 15(2)(a) and (b)
of Regulation (EC) No 550/2004;
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
(c) a description of investment, including that necessary to
the latest 12 months before the beginning of the reference
achieve the performance targets, detailing their relevance
period.
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
3. Union-wide
target
setting
for
the
key
performance
description shall highlight the benefits and synergies
indicator set out in point 4.1(b) of Section 1 of Annex I shall
achieved at functional airspace block level;
start as of the third year of the second reference period, subject
to a Commission decision, following the procedure referred to
in paragraph 1.
(d) performance targets in each relevant key performance area,
set by reference to each key performance indicator, for the
4. Together with the adoption of the Union-wide
entire reference period, with annual values to be used for
performance targets, the Commission shall determine the alert
monitoring and incentive purposes;
threshold(s) beyond which the alert mechanisms referred to in
Article 19 may be activated.
(e) consideration of the interdependencies between key
performance areas, including an evaluation of the impact
5. The
Commission
shall
substantiate
each
Union-wide
on safety of the performance plan with any mitigation
performance target with a description of the underlying
required to maintain safety assurance;
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,
(f) a description of the civil-military dimension of the plan
the composition of the groups of air navigation service
describing the performance of flexible use of airspace
providers or functional airspace blocks having a similar oper
(FUA) application in order to increase capacity with due
ational and economic environment.
regard to military mission effectiveness, and, if deemed

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appropriate, relevant performance indicators and targets in
2. Incentives on cost-efficiency targets shall be of a financial
consistency with other indicators and targets of the
nature and shall be governed by appropriate provisions set out
performance plan;
in Articles 13 and 14 of Implementing Regulation (EU) No
391/2013. They shall consist of a risk-sharing mechanism at
(g) a description and justification of how the performance
national or functional airspace block level.
targets referred to in point (d) reconcile with and contribute
to the Union-wide performance targets and the performance
3.
Incentives on capacity targets shall be of a financial nature
of the European ATM network;
and shall be governed by the provisions of Article 15 of Imple
menting Regulation (EU) No 391/2013. They may be comple
(h) an identification of each air navigation service provider
mented by incentives of another nature, such as corrective
concerned and its specific contribution to meeting the
action plans with deadlines and associated measures, decided
targets, monitored for reasons of transparency at the most
by national supervisory authorities taking account of local
appropriate level as referred to in Article 5(2)(c)(ii);
circumstances.
(i) a description of the incentive mechanisms to be applied on
4. Incentives
on
environment
targets
may
be
of
a
financial
the air navigation service providers concerned to encourage
nature and shall be governed by the provisions of Article 15 of
achievement of the targets over the reference period;
Implementing Regulation (EU) No 391/2013. They may be
complemented by incentives of another nature, such as
(j) the measures taken by the national supervisory authorities
corrective action plans with deadlines and associated
to monitor achievement of the performance targets;
measures, decided by national supervisory authorities taking
account of local circumstances.
(k) a description of the outcome of the stakeholder consul
tation, including the issues raised by the participants and
the actions agreed upon.
5. In
addition,
Member
States,
at
local
level,
may
modulate
air navigation charges, as provided for in Article 16 of Imple
menting Regulation (EU) No 391/2013.
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
CHAPTER III
associated targets.
THE ADOPTION OF PERFORMANCE PLANS
5. The Network Manager shall draw up a Network
Article 13
Performance Plan containing targets consistent with the
Union-wide performance targets and, mutatis mutandis, the
Initial adoption of performance plans
assessment criteria set out in Annex IV.
On the proposal of the national supervisory authorities,
Member States shall adopt performance plans containing
6. To
prepare
the
Network
Performance
Plan,
the
Network binding performance targets and submit them to the
Manager shall:
Commission at the latest six months before the beginning of
the reference period.
(a) ensure consultation in accordance with Article 14 of
Commission Regulation (EU) No 677/2011;
Article 14
(b) use the template set out in Annex III.
Assessment and revision of performance plans and targets
1. The
Commission
shall
assess
the
performance
plans,
their
Article 12
targets and in particular their consistency with and adequate
contribution to the Union-wide performance targets, as well
Incentive schemes
as with the criteria laid down in Annex IV, taking into
1. The
incentive
schemes
applied
by
Member
States
as
part account the evolution of the context that may have occurred
of their performance plan shall comply with the following
between the date of adoption of the Union-wide targets and the
general principles:
date of assessment of the performance plan. Where targets are
set at local level without reference to a Union-wide performance
(a) they shall be effective and proportional, and shall not be
target, the assessment shall be based on the criteria laid down in
changed during the reference period;
Annex IV.
(b) they shall be implemented on a non-discriminatory and
2. Where
the
Commission
finds
that
a
performance
plan,
or
transparent basis to support improvements in the
part thereof, and its targets are consistent with and adequately
performance of service provision;
contribute to the Union-wide targets and are consistent with all
the criteria laid down in Annex IV, it shall notify the Member
(c) they shall be part of the regulatory environment known ex
State(s) concerned thereof within five months after reception of
ante by all stakeholders and be applicable during the entire
the performance plan.
reference period;
3. Where
the
Commission
finds
that
a
performance
plan,
or
(d) they shall induce entities subject to target setting to achieve
part thereof, and some or all of its target(s) are not consistent
a high level of performance and meet the associated targets.
with the Union-wide targets and are not contributing adequately

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to them and/or are not consistent with one or more of the
Article 16
criteria laid down in Annex IV, it shall, within five months
after reception of the performance plan and in accordance
Performance plans or corrective measures adopted after
with the procedure established in Article 5(2) of Regulation
the beginning of the reference period
(EC) No 549/2004, issue a recommendation to the Member
Performance plans or corrective measures adopted after the
State(s) concerned to adopt a revised performance plan, or
beginning of the reference period as a result of the implemen
part thereof, and/or target(s). This recommendation shall be
tation of the procedures set out in Articles 14 and 15 shall
made after consultation of the Member State(s) concerned,
apply retroactively as from the first day of the reference period.
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.
Article 17
Revision of the targets
4. In
such
case,
the
Member
State(s)
concerned
shall
adopt
a 1.
In accordance with the procedure referred to in Article 5(3)
revised performance plan, or part thereof, and/or target(s),
of Regulation (EC) No 549/2004, the Commission may decide
taking account of the Commission’s views, together with the
to revise the Union-wide targets, and/or may, upon request of a
appropriate measures for reaching those targets and shall notify
Member State, allow that one or several local targets may be
the Commission accordingly within four months after the
revised:
notification of the recommendation.
(a) when on the basis of its report referred to in Article 18(4) it
has substantial evidence that the initial data, assumptions
Article 15
and rationales underlying the setting of the initial targets
Assessment of revised performance plans and targets and
are no longer valid; or
adoption of corrective measures
1. The
Commission
shall
assess
each
revised
performance (b) as a result of the application of an alert mechanism as
plan, or part thereof, and its performance targets on the basis
referred to in Article 19; or
of the criteria laid down in Annex IV.
(c) following a Commission decision in accordance with
Article 10(3) as regards the key performance indicator set
2. Where
the
Commission
finds
that
a
revised
performance
out in point 4.1(b) of Section 1 of Annex I.
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
2. A
revision
of
the
Union-wide
targets
may
result
in
the
down in Annex IV, it shall notify the Member State(s)
amendment of the existing performance plans. In such case the
concerned thereof within five months after receiving the
Commission may decide to make an appropriate adjustment of
revised performance plan.
the time schedule set out in Chapters II and III of this Regu
lation.
3. Where
the
Commission
finds
that
a
revised
performance
CHAPTER IV
plan, or part thereof, and some or all of its performance targets
are still not consistent with the Union-wide targets and are not
MONITORING OF THE ACHIEVEMENT OF PERFORMANCE
contributing adequately to them, and/or are still not consistent
with one or several of the criteria laid down in Annex IV, the
Article 18
Commission shall, within five months after receiving the revised
Ongoing monitoring and reporting
performance plan, or part thereof, and in accordance with the
procedure referred to in Article 5(3) of Regulation (EC) No
1. The
national
supervisory
authorities
and
the
Commission
549/2004, decide that the Member State(s) concerned shall
shall monitor the implementation of the performance plans. For
take corrective measures.
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
4. Such decision shall identify precisely, against the criteria
measures designed to rectify the situation and shall
laid down in Annex IV, which part of the plan and target(s) are
communicate them to the Commission. Where the Commission
to be revised and the rationale of the Commission’s assessment.
finds that such corrective measures are not sufficient to rectify
It may stipulate the level of performance expected for those
the situation, it shall, within five months after receipt of the
targets in order to allow the Member State(s) concerned to
measures and in accordance with the procedure laid down in
take the appropriate corrective measures, and/or may contain
Article 5(2) of Regulation (EC) No 549/2004, notify thereof the
suggestions for such corrective measures.
Member State(s) concerned including suggestions for corrective
measures.
5. Within
two
months
after
the
Commission’s
decision,
the 2. Where
the
Commission
witnesses
a
significant
and
corrective measures adopted by the Member State(s) concerned
persistent drop in performance at local or functional airspace
shall be communicated to the Commission, together with the
block level, affecting other States parties to the single European
elements demonstrating their consistency with the Commis
sky and/or the entire European airspace, it may request the
sion’s decision.
Member State(s) concerned to define, apply and communicate

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to the Commission corrective measures designed to achieve the
4. Where the implementation of an alert mechanism entails
targets set in their performance plan. Where the Commission
revision of performance plans and targets, the Commission shall
finds that such measures are not sufficient to rectify the situ
facilitate such revision through an appropriate adjustment of the
ation, it shall, within five months after receipt of the measures
applicable time schedule in accordance with the procedure
and in accordance with the procedure laid down in Article 5(2)
referred to in Chapters II and III.
of Regulation (EC) No 549/2004, notify thereof the Member
State(s) concerned including suggestions for corrective measures.
Article 20
3. The
Commission
shall
monitor
the
implementation
of
the
Facilitation of compliance monitoring
Network Performance Plan of the Network Manager. For this
1. Air
navigation
service
providers
and
the
Network
Manager
purpose the annual values in the performance plan shall be
shall facilitate inspections and surveys, including site visits,
used. If during the reference period targets are not met, the
carried out by the Commission and the national supervisory
Commission shall request the Network Manager to define,
authority concerned, or by a qualified entity acting on the
apply and communicate to the Commission corrective
national supervisory authority’s behalf, or where relevant by
measures designed to achieve the targets set in Network
the EASA. Without prejudice to the supervisory powers
Performance Plan. The Commission shall inform the national
conferred upon the national supervisory authorities and the
supervisory authorities or bodies as defined in Article 5(2)(b) of
EASA, the authorised persons shall be empowered:
such corrective measures.
(a) to examine, in relation to all key performance areas,
4. Not later than 1 June each year and whenever
documents and any other material relevant to the estab
performance targets risk not being achieved, the national super
lishment of performance plans and targets;
visory 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
(b) to take copies of or extracts from such documents;
recommendations that will be elaborated by the Commission
before the beginning of the reference period. The Commission
(c) to ask for an oral explanation on site.
shall report to the Single Sky Committee on the achievement of
performance targets at least once a year.
2. The inspections and surveys in paragraph 1 shall be
carried out in compliance with the procedures in force in the
Article 19
Member State in which they are to be undertaken.
Alert mechanisms
1. Where,
due
to
circumstances
that
were
unforeseeable
at 3. The
national
supervisory
authorities
shall
monitor
the
the time of adoption of the performance plans and are both
implementation of this Regulation in the performance area of
insurmountable and beyond the control of the Member States,
safety in accordance with the procedures for safety oversight
air navigation service providers and the Network Manager, the
established by Commission Regulation (EU) No 1034/2011 ( 1 ).
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
4. In the context of standardisation inspections the EASA
Committee, and make proposals for appropriate actions within
shall monitor the implementation of this Regulation by
four months. This may include the revision of the Union-wide
Member States in the key performance area of safety in
and as a consequence revision of the local performance targets.
accordance with the working methods provided for in
Article 24(5) of Regulation (EC) No 216/2008 ( 2 ).
2. Where,
due
to
circumstances
that
were
unforeseeable
at
CHAPTER V
the time of adoption of the performance plans and are both
insurmountable and beyond the control of the Member States,
COLLECTION, VALIDATION, EXAMINATION, EVALUATION
air navigation service providers and the Network Manager, the
AND DISSEMINATION OF INFORMATION RELATING TO AIR
alert threshold(s) in Article 10(4) is/are reached at local level
NAVIGATION PERFORMANCE FOR THE SINGLE EUROPEAN
over a calendar year, the national supervisory authorities
SKY
concerned shall review the situation liaising with the
Commission and make proposals for appropriate actions
Article 21
within four months. This may include the revision of the
Collection and validation of data for performance review
local performance targets.
1. In
addition
to
the
data
already
collected
by
the
Commission through other Union instruments which may
3. Member
States
may
decide
to
adopt
alert
thresholds also be used for performance review, national authorities, air
different from the ones in Article 10(4), in order to take
navigation service providers, airport operators, airport coor
account of local circumstances and specificities. In such case,
dinators and air carriers shall ensure that the Commission is
these thresholds shall be set out in the performance plan and be
provided with the data referred to in Annex V in accordance
consistent with the thresholds adopted pursuant to Article 10(4).
with the requirements set out in that Annex.
The deviations shall be supported by detailed justification.
When these thresholds are activated, the process set out in
( 1 ) OJ L 271, 18.10.2011, p. 15.
paragraph 1 shall apply.
( 2 ) OJ L 79, 19.3.2008, p. 1.

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2. National
authorities
may
delegate
or
reorganise
in
full
or handling, protection, confidentiality, and dissemination of the
in part the task of providing the data between their national
data collected for performance purposes in application of
supervisory authorities, air navigation service providers, airport
Article 21, and the associated intellectual property rights.
operators and airport coordinators, with a view to taking into
account local specificities and existing reporting channels.
3. The
Commission
reports
referred
to
in
Article
18(4)
shall
be made publicly available and a reference to them shall be
3. The
data
providers
shall
take
the
necessary
measures
to published in the Official Journal of the European Union. The
ensure the quality, validation and timely transmission of the
Commission may decide to provide the parties concerned
data, including providing evidence of their quality checks and
with other general information on a regular basis, in particular
validation processes, explanations in response to specific
by electronic means.
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
4. The
Union-wide
targets
referred
to
in
Article
10
and
a
form where applicable, using the format specified by the
reference to the adopted performance plans referred to in
Commission.
Chapter III shall be made publicly available and published in
the Official Journal of the European Union.
4. The
Commission
shall
assess
the
quality
and
validate
the
data transmitted in accordance with paragraph 1. When the
5. Individual
access
to
specific
information,
such
as
validated
data does not allow proper use for performance review, the
data and statistics, shall be granted to the data provider directly
Commission may, in cooperation with Member States, and in
related to the information and activities.
particular with their national supervisory authorities, take
appropriate measures to assess and improve the quality of the
data.
CHAPTER VI
FINAL PROVISIONS
Article 23
5. For the purpose of this Regulation, data as referred to in
paragraph 1 that is already provided to Eurocontrol shall be
Exemptions
deemed to be provided to the Commission. Where data is
not already provided to Eurocontrol, the Commission and Euro
Where, in accordance with the procedures laid down in
control shall make the necessary arrangements to ensure that
Article 3 of Implementing Regulation (EU) No 391/2013, it
such data is made available to the Commission in line with the
has been established that some or all terminal air navigation
requirements laid down in paragraph 3.
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
6. Whenever
significant
new
data
requirements
are
identified charges, and not to apply financial incentives to these
or data of insufficient quality is to be expected, the Commission
services, cost-efficiency targets do not apply to these services.
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.
Article 24
Such pilot studies are carried out in order to assess the feasi
bility of collecting the relevant data, balancing the benefits of
Appeal
data availability against collection costs and the burden on
respondents.
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 22
Dissemination of information
Article 25
1. The
Commission
shall
disseminate
information
for
the
Review of the scheme
purpose of the objectives set out in Article 11 of Regulation
By the end of each reference period, the Commission shall
(EC) No 549/2004 in accordance with Regulation (EC) No
review the performance scheme, and in particular analyse its
1049/2001 of the European Parliament and of the Council of
impact, effectiveness and scope, taking account of work
30 May 2001 regarding public access to European Parliament,
carried out by ICAO in this field.
Council and Commission documents ( 1 ), in particular Article 4
thereof, and with Article 18 of Regulation (EC) No 550/2004.
Article 26
2. The
information
in
Article
3(3)(a)
shall
be
made
publicly
Amendments to Regulation (EU) No 677/2011
available, in particular by electronic means. To this end, the
Regulation (EU) No 677/2011 is amended as follows:
Commission shall take a decision on the policy for the
( 1 ) OJ L 145, 31.5.2001, p. 43.
(1) recital 28 is deleted;

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(2) in Article 5, paragraph 1 is replaced by the following:
(4) in Article 20, paragraph 3 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
‘3. The
Network
Manager
shall
submit
annually
a
report
reference period provided for in Article 8 of Commission
to the Commission and the Agency on the measures taken
Implementing Regulation (EU) No 390/2013 (*).
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,
(*) OJ L 128, 9.5.2013, p. 1.’;
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
(3) in Article 5, paragraph 4 is replaced by the following:
Sky Committee.’;
‘4. The
Network
Strategy
Plan
shall
be
updated
on
a
regular basis, at least 12 months before the beginning of
each reference period.’;
(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;

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(b) the implementation of each of the strategic objectives in terms of required deployment of tech
nology, 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 implemen
tation of the plan.’.
Article 27
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,
Entry into force
Chapter III, as well as Annexes I, II, III, IV and V shall apply
1. This
Regulation
shall
enter
into
force
on
the
twentieth
day from the entry into force of this Regulation.
following that of its publication in the Official Journal of the
European Union.
Article 28
Repeal
2. This
Regulation
shall
apply
from
the
second
reference
period as defined in Article 8 and during that period. With
Commission Regulation (EU) No 691/2010, Article 26 of
regards to the application of the performance scheme, in
Commission Regulation (EU) No 677/2011 and Commission
order to allow the adoption of Union-wide targets in appli
Implementing Regulation (EU) No 1216/2011 shall be
cation of Article 10(2) before the beginning of the second
repealed with effect from 1 January 2015, without prejudice
reference period and the preparation and adoption of
to the Member States’ obligation to implement the performance
performance plans in accordance with the provisions of this
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.
For the Commission
The President
José Manuel BARROSO

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ANNEX I
KEY PERFORMANCE INDICATORS (KPI) AND PERFORMANCE INDICATORS (PI)
SECTION 1
For Union-wide target setting and performance monitoring at Union level
1. SAFETY
1.1. Key Performance Indicators
(a) The minimum level of the effectiveness of safety management as defined in Section 2, point 1.1(a).
(b) 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).
2. ENVIRONMENT
2.1. Key Performance Indicators
(a) The average horizontal en route flight efficiency of the actual trajectory, defined as follows:
(i) the indicator is the comparison between the length of the en route part of the actual trajectory derived from
surveillance data and the corresponding portion of the great circle distance, summed over all IFR flights
within or traversing the European airspace;
(ii) ‘en route’ refers to the distance flown outside a circle of 40 NM around the airports;
(iii) where a flight departs from or arrives at a place outside the European airspace, only the part inside European
airspace is considered.
(b) The average horizontal en route flight efficiency of the last filed flight plan trajectory, defined as follows:
(i) the difference between the length of the en route part of the last filed flight plan trajectory and the
corresponding portion of the great circle distance, summed over all IFR flights within or traversing the
European airspace;
(ii) ‘en route’ refers to the distance flown outside a circle of 40 NM around the airports;
(iii) where a flight departs from or arrives at a place outside the European airspace, only the part inside European
airspace is considered.
2.2. Performance Indicators
(a) The effectiveness of booking procedures for flexible use of airspace (FUA), defined as follows:
(i) the indicator is the ratio of time that the airspace was allocated for reservation or segregation from general
air traffic, and the time that the airspace was used for the activity requiring such segregation or reservation;
(ii) the indicator is calculated separately for airspace allocations on a pre-tactical and tactical basis and including
all allocations notified to the Network Manager.
(b) 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.
(c) The effective use of CDRs defined as the ratio of aircraft using CDRs and the number of aircraft that could have
planned them.
3. CAPACITY
3.1. Key Performance Indicator
The average minutes of en route ATFM (Air Traffic Flow Management) delay per flight attributable to air navigation
services, defined as follows:
(i) 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;
( 1 ) OJ L 80, 26.3.2010, p. 10.

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(ii) the indicator covers all IFR flights within European airspace and all ATFM delay causes, excluding exceptional
events;
(iii) the indicator is calculated for the whole calendar year and for each year of the reference period.
3.2. Performance Indicator
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:
(i) the indicator is the average generated arrival ATFM delay per inbound IFR flight;
(ii) the indicator includes all IFR flights landing at the destination airport and covers all ATFM delay causes,
excluding exceptional events;
(iii) the indicator is calculated for the whole calendar year and for each year of the reference period.
4. COST-EFFICIENCY
4.1. Key Performance Indicators
(a) The average Union wide determined unit cost (DUC) for en route air navigation services, defined as follows:
(i) the indicator is the ratio between the en route determined costs and the en route forecast traffic, expressed in
en-route service units, expected during the period at Union level, as contained in the Commission’s
assumptions for establishing the Union wide targets in application of Article 10(5);
(ii) the indicator is expressed in euro and in real terms;
(iii) the indicator is provided for each year of the reference period.
(b) The average Union wide determined unit cost (DUC) for terminal air navigation services, defined as follows:
(i) the indicator is the result of the ratio between the determined costs and the forecast traffic, expressed in
terminal service units, as contained in the Commission’s assumptions for establishing the Union wide targets
in application of Article 10(5);
(ii) the indicator is expressed in euro and in real terms;
(iii) the indicator is provided for each year of the reference period;
(iv) the indicator applies from the beginning of the third year of the second reference period, subject to the
decision referred to in Article 10(3).
4.2. Performance Indicator
The costs of Eurocontrol and in particular their evolution as compared with the evolution of the KPI set out in point
4.1(a). To this effect, Member States shall ensure that Eurocontrol communicates to the Commission its adopted
budget and actual budget and cost-base during the reference period, as well as the evolution of the unit cost resulting
from the ratio between the adopted cost-base and foreseen traffic evolution, with a breakdown showing the
evolution of its various components and identifying separately the various service provision activities.
SECTION 2
For local target setting and performance monitoring at local level
1. SAFETY
1.1. Key Performance Indicators
(a) 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:
(i) Safety policy and objectives;
(ii) Safety risk management;
(iii) Safety assurance;
(iv) Safety promotion;

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(v) Safety Culture.
(b) 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:
(i) Serious incident;
(ii) Major incident;
(iii) Significant incident;
(iv) No safety effect;
(v) Not determined; for example insufficient information available, or inconclusive or conflicting evidence
precluded such determination.
Reporting on the application of the method shall be done for individual occurrences.
(c) 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.
For the purpose of these indicators, local means at functional airspace block level with an indication for monitoring
purposes of the contribution at national level.
1.2. Performance Indicators
(a) 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.
(b) 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.
(c) The number of, as a minimum, separation minima infringements, runway incursions, airspace infringements, and
ATM-specific occurrences at all air traffic services units.
For the purpose of these indicators, local means at functional airspace block level with an indication for monitoring
purposes of the contribution at national level.
2. ENVIRONMENT
2.1. Key Performance Indicator
The average horizontal en route flight efficiency of the actual trajectory, defined as follows:
(i) 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;
(ii) ‘en route’ refers to the distance flown outside a circle of 40NM around the airports;
(iii) where a flight departs from or arrives at a place outside the local airspace, only the part inside the local airspace
is considered;
(iv) ‘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.
For the purpose of this indicator, local means at functional airspace block level.
2.2. Performance Indicators
(a) The additional time in the taxi-out phase, defined as follows:
(i) the indicator is the difference between the actual taxi-out time and the unimpeded time based on taxi-out
times in low periods of traffic;
(ii) the indicator is expressed in minutes per departure for the whole calendar year.
(b) The additional time in terminal airspace, defined as follows:
(i) the indicator is the difference between the ASMA (Arrival Sequencing and Metering Area) transit time and
the unimpeded time based on ASMA transit times in low periods of traffic;
(ii) the indicator is expressed in minutes per arrival for the whole calendar year;
(iii) ASMA is defined as a virtual cylinder with a radius of 40 NM around the arrival airport.

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(c) The indicators as defined in Section 1, point 2.2.
For the purpose of indicators (a) and (b), local means at national level with a breakdown at airport level. For the
purpose of indicator (c), local means at national level.
3. CAPACITY
3.1. Key Performance Indicators
(a) The average minutes of en route ATFM delay per flight, defined as follows:
(i) the en route ATFM delay is the delay calculated by the central unit of ATFM as defined in Regulation (EU) No
255/2010 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;
(ii) the indicator covers all IFR flights traversing the local airspace and all ATFM delay causes, excluding
exceptional events;
(iii) the indicator is calculated for the whole calendar year and for each year of the reference period.
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.
(b) 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:
(i) the indicator is the average generated arrival ATFM delay per inbound IFR flight;
(ii) the indicator covers all IFR flights landing at the destination airport and all ATFM delay causes, excluding
exceptional events;
(iii) the indicator is calculated for the whole calendar year and for each year of the reference period.
For the purpose of this indicator, local means at national level with a breakdown at airport level for monitoring
purposes.
3.2. Performance Indicators
(a) The adherence to ATFM slots as required by Article 11 of Regulation (EU) No 255/2010.
(b) The average minutes of air traffic control pre-departure delay per flight caused by take-off restrictions at the
departure airport, defined as follows:
(i) the indicator is the average air traffic control pre-departure delay per outbound IFR flight;
(ii) the indicator includes all IFR flights taking off at the departure airport and covers delays in start up due to
air traffic control constraints when the aircraft is ready to leave the departure stand;
(iii) the indicator is calculated for the whole calendar year and for each year of the reference period.
For the purpose of these indicators, local means at national level with a breakdown at airport level for
monitoring purposes.
4. COST-EFFICIENCY
4.1. Key Performance Indicators
(a) The determined unit cost (DUC) for en route air navigation services, defined as follows:
(i) the indicator is the ratio between the en route determined costs and the forecast traffic in the charging zone,
expressed in en route service units, expected during the period at local level, contained in the performance
plans in accordance with Article 11(3)(a) and (b);
(ii) the indicator is expressed in real terms and in national currency;
(iii) the indicator is provided for each year of the reference period.
(b) The determined unit cost(s) (DUC) for terminal air navigation services, defined as follows:
(i) the indicator is the result of the ratio between the determined costs and the forecast traffic, expressed in
terminal service units, contained in the performance plans in accordance with Article 11(3)(a) and (b);

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(ii) the indicator is expressed in real terms and in national currency;
(iii) the indicator is provided for each year of the reference period.
For the purpose of these two indicators, local means at charging zone level.

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ANNEX II
TEMPLATE FOR PERFORMANCE PLANS
The performance plans shall be based on the following structure:
1. INTRODUCTION
1.1. Description of the situation (scope of the plan, list of air navigation service providers covered, etc.).
1.2. Description of the macroeconomic scenario for the reference period including overall assumptions (traffic forecast,
etc.)
1.3. 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.
1.4. 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..
1.5. 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.
1.6. 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.
2. INVESTMENT
2.1. 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.
2.2. The description and justification referred to in point 2.1 shall in particular:
(i) relate the amount of the investments, for which description and justification is given following point 2.1, to the
total amount of investments;
(ii) differentiate between investments in new systems, overhaul of existing systems and replacement investments;
(iii) refer each investment in new ATM systems and major overhaul of existing ATM systems to the European ATM
Master Plan, the common projects referred to in Article 15a of Regulation (EC) No 550/2004, and, as appro
priate, the Network Strategy Plan;
(iv) detail the synergies achieved at functional airspace block level or, if appropriate, with other Member States or
functional airspace blocks, in particular in terms of common infrastructure and common procurement;
(v) detail the benefits expected from these investments in terms of performance across the four key performance
areas, allocating them between the en route and terminal/airport phases of flight, and the date as from which
benefits are expected;
(vi) provide information on the decision-making process underpinning the investment, such as the existence of a
documented cost-benefit analysis, the holding of user consultation, its results and any dissenting views
expressed.
3. PERFORMANCE
TARGETS
AT
LOCAL
LEVEL
3.1. 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:
(a) Safety
(i) level of effectiveness of safety management: local targets for each year of the reference period;
(ii) application of the severity classification based on the Risk Analysis Tool (RAT) methodology: local targets
for each year of the reference period (percentage);
(iii) just culture: local targets for the last year of the reference period.

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(b) Environment
(i) description of the process to improve route design;
(ii) average horizontal en route flight efficiency of the actual trajectory.
(c) Capacity
(i) minutes of average en route ATFM delay per flight;
(ii) minutes of average terminal ATFM arrival delay per flight;
(iii) the capacity plan established by the air navigation service provider(s).
(d) Cost-efficiency
(i) determined costs for en route and terminal air navigation services set in accordance with the provisions of
Article 15(2)(a) and (b) of Regulation (EC) No 550/2004 and in application of the provisions of Imple
menting Regulation (EU) No 391/2013 for each year of the reference period;
(ii) en route and terminal service units forecast for each year of the reference period;
(iii) as a result, the determined unit costs for the reference period;
(iv) description and justification of the return on equity of the air navigation service providers concerned, as
well as on the gearing ratio and on the level/composition of the asset base used to calculate the cost of
capital comprised in the determined costs;
(v) description and explanation of the carry-overs from the years preceding the reference period;
(vi) description of economic assumptions, including:
— inflation assumptions used in the plan as compared to an international source such as the IMF (Inter
national Monetary Fund) Consumer Price Index (CPI) for the forecasts and Eurostat Harmonised Index
of Consumer Price for the actuals. Justification of any deviation from these sources,
— assumptions underlying the calculation of pension costs comprised in the determined costs, including a
description on the relevant national pension regulations and pension accounting regulations in place
and on which the assumptions are based, as well as information whether changes of these regulations
are anticipated,
— interest rate assumptions for loans financing the provision of air navigation services, including relevant
information on loans (amounts, duration, etc.) and explanation for the (weighted) average interest on
debt used to calculate the cost of capital pre tax rate and the cost of capital comprised in the
determined costs,
— adjustments beyond the provisions of the International Accounting Standards;
(vii) if applicable, description in respect to the previous reference period of relevant events and circumstances
set out in Article 14(2)(a) of Implementing Regulation (EU) No 391/2013 using the criteria set out in
Article 14(2)(b) of Implementing Regulation (EU) No 391/2013 including an assessment of the level,
composition and justification of costs exempt from the application of Article 14(1)(a) and (b) of Imple
menting Regulation (EU) No 391/2013;
(viii) if applicable, a description of any significant restructuring planned during the reference period including the
level of restructuring costs and a justification for these costs in relation to the net benefits to the airspace
users over time;
(ix) if applicable, restructuring costs approved from previous reference periods to be recovered.
3.2. 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.
3.3. Description and explanation of the interdependencies and trade-offs between the key performance areas, including
the assumptions used to assess the trade-offs.
3.4. 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).

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4. INCENTIVE
SCHEMES
4.1. Description and explanation of the incentive schemes to be applied on air navigation service providers.
5. MILITARY
DIMENSION
OF
THE
PLAN
Description of the civil-military dimension of the plan describing the performance of FUA application in order to
increase capacity with due regard to military mission effectiveness, and if deemed appropriate, relevant performance
indicators and targets consistent with the indicators and targets of the performance plan.
6. ANALYSIS
OF
SENSITIVITY
AND
COMPARISON
WITH
THE
PREVIOUS
PERFORMANCE
PLAN
6.1. Sensitivity to external assumptions.
6.2. Comparison with previous performance plan.
7. IMPLEMENTATION
OF
THE
PERFORMANCE
PLAN
Description of the measures put in place by the national supervisory authorities to achieve the performance targets,
such as:
(i) monitoring mechanisms to ensure that the ANS safety programmes and business plans are implemented;
(ii) 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.

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ANNEX III
TEMPLATE FOR THE NETWORK PERFORMANCE PLAN
The performance plan for the Network Manager shall be based on the following structure:
1. INTRODUCTION
1.1. Description of the situation (scope of the plan, functions covered, etc.)
1.2. Description of the macroeconomic scenario for the reference period including overall assumptions (traffic forecast,
etc.)
1.3. Description of the consistency with the Network Strategy Plan
1.4. Description of the outcome of the stakeholder consultation to prepare the performance plan (main issues raised by
the participants and if possible agreed compromises)
2. PERFORMANCE
TARGETS
2.1. Description of the key performance indicators in each relevant key performance area
2.2. 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
2.3. Description and explanation of the contribution and impact of the performance targets on the European Union-wide
performance targets
2.4. Description of the contribution and impact of the performance targets on functional airspace blocks
3. CONTRIBUTION
OF
EACH
FUNCTION
3.1. Individual performance targets for each function (ATFM, ERND, SSR transponder codes, frequencies)
4. MILITARY
DIMENSION
4.1. 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 appro
priate, relevant performance indicators and targets consistent with the indicators and targets of the performance plan
5. ANALYSIS
OF
SENSITIVITY
AND
COMPARISON
WITH
THE
PREVIOUS
PERFORMANCE
PLAN
5.1. Sensitivity to external assumptions
5.2. Comparison with the previous performance plan.
6. IMPLEMENTATION
OF
THE
PERFORMANCE
PLAN
6.1. Description of the measures put in place to achieve the performance targets, such as:
— monitoring mechanisms to ensure that the safety activities 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 met during the reference period.

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ANNEX IV
PRINCIPLES FOR ASSESSING PERFORMANCE PLANS AND TARGETS
The Commission shall use the following assessment criteria:
1. GENERAL CRITERIA
(a) 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;
(b) Factual analysis taking into account the overall situation of each individual State including the most recent
economic developments and traffic forecast;
(c) The level of performance at the beginning of the reference period and the resulting scope for further improvement;
(d) The level of performance achieved in the previous reference period;
(e) 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;
(f) The results of the stakeholder consultation on the proposed targets.
2. SAFETY
(a) Comparison of the level of effectiveness of safety management at local level with the Union-wide target;
(b) 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;
(c) The level of presence of just culture at local level.
3. ENVIRONMENT
Average horizontal en route flight efficiency of the actual trajectory:
(a) comparison with historical performance achieved in previous years;
(b) comparison with a reference value based on information provided by the Network Manager;
(c) consistency with the European Route Network Improvement Plan developed by the Network Manager.
4. CAPACITY
En route delay level. Comparison of the expected level of en route ATFM delay used in the performance plans with:
(a) a reference value based on information from the Network Operations Plan of the Network Manager;
(b) the capacity plan established by the en route air navigation service provider(s) as reflected in the Network Oper
ations Plan of the Network Manager.
Average arrival ATFM delay at national level. Assessment of the justification provided in the performance plans and, in
particular:
(a) comparison with the historical performance achieved in the last five years;
(b) contribution of individual airports to the local target and comparison of performance with other similar airports;
(c) operational benefits expected from planned initiatives.
5. COST-EFFICIENCY
(a) 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
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(b) 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:
(i) the consistency with the development of en route determined unit costs, considering all the commonalities
between these costs;
(ii) the consistency with the assumptions used for en route cost-efficiency target setting (such as inflation,
economic assumptions, traffic trends);
(iii) the efforts planned compared to historical cost trends for terminal ANS;
(iv) the trends in overall gate-to-gate ANS determined costs;
(v) description and justification of any change in the allocation of costs between en route and terminal ANS, as
compared to the previous reference period and over the current reference period; and
(vi) any particular local circumstances;
(c) 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);
(d) Cost of capital:
(i) the level/composition of the asset base used to calculate the cost of capital;
(ii) the cost of capital pre tax rate comprising the interest rate on debt and the return on equity; and
(iii) the return on equity of the air navigation service providers;
(e) 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;
(f) 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;
(g) Economic assumptions:
(i) Verification that the inflation assumptions used in the performance plan are in line with the IMF (International
Monetary Fund) CPI reference forecast and verification of the justifications given for any deviations;
(ii) Verification of the description and justification of the assumptions underlying the calculation of pension costs
comprised in the determined costs;
(iii) Verification of the description of the relevant national pension regulations and pension accounting regulations
in place and on which the pension assumptions are based;
(iv) Verification of the description and justification of the interest rate assumptions for loans financing the
provision of air navigation services, including relevant information on loans (amounts, duration, etc.) and
reconciliation with the (weighted) average interest on debt used to calculate the cost of capital pre tax rate and
the cost of capital comprised in the determined costs;
(v) Verification of the description and justification of possible adjustments beyond the provisions of the Inter
national Accounting Standards;
(h) 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;
(i) If applicable, upon completion of restructuring, the delivery of a net benefit to airspace users over time in
comparison to recovered restructuring costs.

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ANNEX V
LIST OF DATA TO BE PROVIDED FOR THE PURPOSE OF THIS REGULATION
For the purpose of performance review, the following data shall be provided or made available:
1. BY
NATIONAL
SUPERVISORY
AUTHORITIES
1.1. Data-set
specification
National supervisory authorities shall provide the following data:
(a) information required to comply with the safety key performance indicators referred to in Annex I;
In addition, national supervisory authorities shall ensure that the following data is made available:
(b) 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;
(c) ATM-related safety occurrences;
(d) 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;
(e) information on the elements in place to promote the application of a just culture;
(f) 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 );
(g) 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.
National supervisory authorities shall ensure that the use of a common list of causal/contributing factors for the
occurrence analysis is mandatory.
National supervisory authorities shall collect and make available the following:
(h) information collected by air navigation service providers through automated safety data recording systems
where available;
(i) trends in, at the minimum, separation minima infringements, runway incursions, airspace infringements and
ATM-specific occurrences at all air traffic services units;
(j) 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.
1.2. Periodicity
and
deadlines
for
data
provision
Data referred to in point 1.1(a), (c), (d), (e), (f), (h) and (i) shall be provided on an annual basis. Before 1 February
of each year, the national supervisory authorities shall report to EASA the yearly measurement of the question
naires on effectiveness of safety management (point 1.1(a)) and just culture (point 1.1(e)) for the previous year. If
there are any changes in the yearly measurement of the KPIs, the national supervisory authorities shall present
those changes before the next annual report is due.
Data referred to in point 1.1(b) and (g) shall be made available on a monthly basis.
Before 1 February of each year, the national supervisory authorities shall submit their yearly survey on the
application of the FUA concept, as referred to in point 1.1(j), for the previous year.
( 1 ) OJ L 319, 12.12.1994, p. 14.
( 2 ) OJ L 167, 4.7.2003, p. 23.
( 3 ) OJ L 342, 24.12.2005, p. 20.

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2. BY
AIR
NAVIGATION
SERVICE
PROVIDERS
This section applies to air navigation service providers providing services as referred to in Article 1(2). In individual
cases, national authorities may include air navigation service providers below the limit set in Article 1(3). They
shall inform the Commission accordingly.
2.1. Data
set
specification
Air navigation service providers shall make available the following:
(a) 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;
(b) 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;
(c) their investment plan for the reference period;
(d) information required to comply with the safety KPIs referred to in Annex I, Section 2, point 1.1(a);
(e) information on the elements in place to promote the application of a just culture;
Air navigation service providers shall collect and provide the following data:
(f) information collected through automated safety data recording systems where available;
(g) trends in, at the minimum, separation minima infringements, runway incursions, airspace infringements, and
ATM-specific occurrences at all air traffic services units.
2.2. Periodicity
and
deadlines
for
data
provision
Data for year n referred to in point 2.1(a) shall be provided on an annual basis before 15 of July of year n + 1,
except for forward-looking data, which shall be provided by 1 November of year n + 1.
Data referred to in point 2.1(b), (c), (d), (e) and (f) shall be provided on an annual basis.
Before 1 February of each year, air navigation service providers shall report to EASA, the yearly measurement of
the questionnaires on effectiveness of safety management (point 1.1(d)) and just culture (point 1.1(e)), for the
previous year. If any changes in the yearly measurement of the KPIs occur the national supervisory authorities shall
present those changes before the next annual report is due.
Data referred to in point 2.1(g), shall be on provided on an annual basis.
3. BY
AIRPORT
OPERATORS
This section applies to airport operators falling within the scope of Article 1 of this Regulation.
3.1. Definitions
The following definitions shall apply for the purpose of this specific Annex:
(a) ‘airport identification’ means the description of the airport using the standard ICAO four-letter code as defined
in ICAO Doc. 7910;
(b) ‘coordination parameters’ means the coordination parameters defined in Regulation (EEC) No 95/93;
(c) ‘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;
(d) ‘aircraft registration’ means the alphanumerical characters corresponding to the actual registration of the
aircraft;
(e) ‘aircraft type’ means an aircraft type designator (up to four characters) as indicated in ICAO Doc 8643;
(f) ‘flight identifier’ means a group of alphanumeric characters used to identify a flight. Item 7 of the ICAO flight
plan;

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(g) ‘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;
(h) ‘out-off-on-in time stamps’ means the following data,
(i) actual off-block time;
(ii) actual take-off time;
(iii) actual landing time;
(iv) actual on-block time;
(i) ‘scheduled time of departure (off-block)’ means date and time when a flight is scheduled to depart from the
departure stand;
(j) ‘actual off-block time’ means the date and time the aircraft has vacated the parking position (pushed back or
on its own power);
(k) ‘actual take off time’ means the date and time that an aircraft has taken off from the runway (wheels-up);
(l) ‘actual landing time’ means the date and time when the aircraft has landed (touch down);
(m) ‘scheduled time of arrival (on-block)’ means the date and time when a flight is scheduled to arrive at the arrival
stand;
(n) ‘actual on-block time’ means the date and time when the parking brakes have been engaged at the arrival
stand;
(o) ‘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);
(p) ‘flight type’ means the type of flight as defined in Appendix 2 of ICAO Doc 4444 (15th Edition — June
2007);
(q) ‘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;
(r) ‘arrival runway designator’ and ‘departure runway designator’ mean the ICAO designator of the runway used
for landing and for take-off (e.g. 10L);
(s) ‘arrival stand’ means the designator of the first parking position where the aircraft was parked upon arrival;
(t) ‘departure stand’ means the designator of the last parking position where the aircraft was parked before
departing from the airport;
(u) ‘delay causes’ means the standard IATA delay codes as defined in Section F of CODA Digest Annual 2011
‘Delays to Air Transport in Europe’ ( 1 ) with the duration of the delay. Where several causes may be attributable
to flight delays, a list of those causes shall be provided;
(v) ‘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);
(w) ‘operational cancellation’ means an arrival or departure of a scheduled flight to which the following conditions
apply:
(i) the flight received an airport slot; and
( 1 ) http://www.eurocontrol.int/documents/coda-digest-annual-2011

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(ii) the flight was confirmed by the air carrier the day before operations and/or it appeared in the daily list of
flight schedules produced by the airport operator the day before operations; but
(iii) the actual landing or take-off never occurred;
(x) ‘actual time of cancellation’ means the actual date and time when an arrival or departure of a scheduled flight
was cancelled.
3.2. Data
set
specification
3.2.1. Airport operators shall provide the following data:
(a) airport identification;
(b) airport declared capacity;
(c) all coordination parameters pertinent to air navigation services;
(d) planned level of quality of service (delay, punctuality, etc.) associated to the airport capacity declaration, when
established;
(e) detailed description of the indicators, when established, which are used to establish the planned level of quality
of service.
3.2.2. Airport operators shall provide the following operational data for each flight landing or taking-off:
(a) aircraft registration;
(b) aircraft type;
(c) flight identifier;
(d) encoded aerodrome of departure and of destination;
(e) scheduled time of departure (off-block);
(f) scheduled
time
of
arrival
(on-block);
(g) out-off-on-in time stamps;
(h) flight rules and flight type;
(i) airport
arrival
and
departure
slot,
where
available;
(j) arrival
and
departure
runway
designator;
(k) arrival and departure stand;
(l) delay causes, where available (only for departing flights);
(m) de-icing or anti-icing information, where available.
3.2.3. Airport operators shall provide the following operational data for each operational cancellation:
(a) flight identifier;
(b) aircraft type;
(c) scheduled time of departure (off-block);
(d) scheduled time of arrival (on-block);
(e) scheduled airport of departure and of destination;
(f) airport arrival and departure slots where available;
(g) reason for cancellation;
(h) actual time of cancellation.
3.2.4. Airport operators may provide:
(a) voluntary reports on degradation or disruption of ANS at airports;
(b) voluntary reports on ANS safety occurrences;
(c) voluntary reports on terminal capacity shortfalls;

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(d) voluntary reports on consultation meetings with ANSPs and States.
3.2.5. Airport operators shall collect and provide information collected through automated safety data recording systems
where available, as a minimum on runway incursions.
3.3. Periodicity
and
deadlines
for
data
provision
Data referred to in point 3.2.1 shall be provided twice a year, in accordance with the timescale set out in Article 6
of Regulation (EEC) No 95/93.
When data referred to in points 3.2.2 and 3.2.3 is provided, it shall be provided on a monthly basis within one
month following the end of the flight month.
When data referred to in point 3.2.4 is provided, it shall be provided on an annual basis.
Reports referred to in point 3.2.4 may be provided at any time.
4. BY
AIRPORT
COORDINATORS
4.1. Data-set
specification
Airport coordinators shall provide the data referred to in Article 4(8) of Regulation (EEC) No 95/93.
4.2. Periodicity
and
deadlines
for
data
provision
Data shall be made available twice a year, in accordance with the timescale set out in Article 6 of Regulation (EEC)
No 95/93.
5. BY
AIR
TRANSPORT
OPERATORS
This section applies to air transport operators which operate more than 35 000 flights per year in European
airspace, calculated as the average over the previous three years.
5.1. Definitions
5.1.1. 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:
(a) ‘fuel burn’ means the actual quantity of fuel that has been burnt during the flight (gate-to-gate);
(b) ‘actual ramp weight’ means the actual metric tons weight of an aircraft before the engine is started.
5.2. Data-set
specification
5.2.1. Air transport operators shall provide the following data for each flight they operate within the geographical scope
of this Regulation:
(a) aircraft registration;
(b) aircraft type;
(c) flight identifier;
(d) flight rules and flight type;
(e) encoded airport of departure and of destination;
(f) arrival and departure runway designator, where available;
(g) arrival and departure stand, where available;
(h) scheduled time of departure (off-block);
(i) scheduled time of arrival (on-block);
(j) out-off-on-in time stamps both scheduled and actual;
(k) delay causes;
(l) de-icing or anti-icing information, where available.
5.2.2. 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.

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5.2.3. 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 ( 1 ), air transport operators may provide the
Commission with the following data for each flight they operate within the geographical scope of this Regulation:
(a) fuel burn;
(b) actual ramp weight.
5.2.4. Air transport operators may provide:
(a) voluntary reports on access to airspace;
(b) voluntary report on degradation or disruption of ANS at airports;
(c) voluntary reports on ANS safety occurrences;
(d) voluntary reports on en route capacity shortfalls, level capping or rerouting;
(e) voluntary reports on consultation meetings with ANSPs and States.
5.2.5. 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.
5.3. Periodicity
of
data
provision
Data referred to in points 5.2.1, 5.2.2 and 5.2.3 shall be provided on a monthly basis.
Reports referred to in point 5.2.4 may be provided at any time.
Data referred to in point 5.2.5 shall be provided on an annual basis.
( 1 ) OJ L 275, 25.10.2003, p. 32.

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