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25.11.2011 Official
Journal
of
the
European
Union
L
310/3
COMMISSION IMPLEMENTING REGULATION (EU) No 1216/2011
of 24 November 2011
amending Commission Regulation (EU) No 691/2010 laying down a performance scheme for air
navigation services and network functions
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
Organisation for the Safety of Air Navigation (Euro
control) and adopted by the Commission prior to the
first reference period.
Having regard to the Treaty on the functionning of the
European Union,
(4) To
this
effect
the
Commission
established
a
Working
Group consisting of representatives from EASA, Euro
control and the Commission (so-called E3-Task Force).
Having regard to Regulation (EC) No 549/2004 of the European
That working group produced a technical report
Parliament and of the Council of 10 March 2004 laying down
entitled “Metrics for Safety Key Performance Indicators
the framework for the creation of the single European sky (the
for the Performance Scheme”. That report was further
framework Regulation) ( 1 ), and in particular Article 11 thereof,
developed on the basis of the comments received from
Member States and the stakeholders and constitutes the
technical concept for this Regulation and its associated
Acceptable Means of Compliance (AMC) and Guidance
Whereas:
Material (GM).
(1) Commission
Regulation
(EU)
No
691/2010
laying
down (5) Work
already
done
in
respect
of
other
initiatives
such
as
a performance scheme for air navigation services and
EASA Safety Plan and Eurocontrol's Risk Analysis Tool
nework functions and amending Regulation (EC) No
and Safety Framework Maturity Survey should be taken
2096/2005 laying down common requirements for the
into account in the development of safety KPIs.
provision of air navigation services ( 2 ) provides for Key
Performance Indicators (KPIs) and binding targets on the
key performance areas of safety, environment, capacity
(6) Experience
gained
from
the
gradual
implementation
of
and cost-efficiency.
the performance scheme shows that the time allocated
to the Commission for the assessment of revised
performance targets should be increased in view of the
workload generated by the detailed assessment of
(2) The
safety
KPIs
for
national
or
functional
airspace
block
performance plans and in order to conduct the
(FAB) target setting set out in Annex 1 to Regulation
necessary dialogue with the national supervisory
(EU) No 691/2010 are: the effectiveness of safety
authorities and to ensure an appropriate justification of
management as measured by a methodology based on
the results of that assessment.
the ATM Safety Framework Maturity Survey; the appli
cation of the severity classification of the Risk Analysis
Tool to allow harmonised reporting of severity
(7) Regulation
(EU)
No
691/2010
should
therefore
be
assessment of Separation Minima Infringement, Runway
amended accordingly.
Incursions and Air Traffic Management (ATM) Specific
Technical Events; and the reporting of just culture.
(8) The
measures
provided
for
in
this
Regulation
are
in
accordance with the opinion of the Single Sky
(3)
Pursuant to Annex 1 to Regulation (EU) No 691/2010,
Committee,
those safety KPIs should be further developed jointly by
the Commission, the Member States, the European
Aviation Safety Agency (EASA) and the European
HAS ADOPTED THIS REGULATION:
Article 1
Regulation (EU) No 691/2010 is amended as follows:
(1) Article 14 is amended as follows:
(a) In paragraph 1, the words ‘two months’ are replaced by ‘four months’;
(b) In paragraph 2, the words ‘two months’ are replaced by ‘four months’;
( 1 ) OJ L 96, 31.3.2004, p. 1.
( 2 ) OJ L 201, 3.8.2010, p.1.

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L 310/4
EN
Official Journal of the European Union
25.11.2011
(c) In paragraph 3, the words ‘two months’ are replaced by ‘four months’;
(2) In Annex I point 1 of Section 2 is replaced by the following:
‘1. SAFETY KEY PERFORMANCE INDICATORS
(a) The first national/FAB safety KPI for the first reference period shall be the effectiveness of safety
management as measured by a methodology based on the ATM Safety Framework Maturity Survey.
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:
— Safety policy and objectives;
— Safety risk management;
— Safety assurance;
— Safety promotion;
— Safety Culture.
(b) The second national/FAB safety KPI for the first reference period shall be the application of the
severity classification below based on the Risk Analysis Tool 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 Control Centres and at airports. Member States may
decide not to apply the method at airports with less than 50 000 commercial air transport
movements per year.
When reporting the above occurrences Member States and air navigation service providers shall use
the following severity classes:
— Serious incident
— Major incident
— Significant incident
— No safety effect
— 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 third national/FAB safety KPI for the first reference period shall be the reporting by the Member
States and their air navigation service providers through a questionnaire established in accordance
with paragraph (e), which measures the level of presence and corresponding level of absence of just
culture.
(d) During the first reference period, there will be no EU wide safety performance targets. However,
Member States may set targets corresponding to these Safety KPIs.
(e) In order to facilitate the implementation and measurement of the safety KPIs, EASA – in consul
tation with the Performance Review Body - shall adopt before the start of the first reference period
acceptable means of compliance and guidance material in accordance with the procedure adopted
under Article 52 of Regulation (EC) No 216/2008.

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EN
25.11.2011 Official
Journal
of
the
European
Union
L
310/5
(f) Eurocontrol shall provide, in a timely manner, the information needed for the development of the
documents referred to in point (e), including at least the specification of the Risk Analysis Tool
methodology and its further development and the details of the methodology of the Safety
Framework Maturity Survey and its weighting factors.
(g) The yearly measurement of the KPIs referred to in points (a) and (c) (questionnaires on effectiveness
of safety management and just culture) by national supervisory authorities and air navigation service
providers shall be reported to the EASA for the previous year by the national supervisory authorities
before 1 st February of each year. These yearly measurements shall be used as input for the moni
toring functions described in points (h) and (i). If any changes in the yearly measurement of the KPIs
occur the national supervisory authorities shall present those changes before the next yearly report is
being due.
(h) National supervisory authorities shall monitor the implementation and measurement of the safety
KPIs by air navigation service providers, in accordance with the procedures for safety oversight
established in Commission Implementing Regulation (EU) No 1034/2011 (*).
(i) In the context of its standardisation inspections the EASA shall monitor the implementation and
measurement of the safety KPIs by national supervisory authorities, in accordance with the working
methods referred to in Article 24 of Regulation (EC) No 216/2008. The EASA shall inform the
Performance Review Body of the outcome of these inspections.
___________
(*) OJ L 271, 18.10.2011, p. 15.’
Article 2
This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the
European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 24 November 2011.
For the Commission
The President
José Manuel BARROSO

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