Commission Implementing Regulation (EU) 2019/317 of 11 February 2019 laying down a performance and charging scheme in the single European sky and repealing Implementing Regulations (EU) No 390/2013 and (EU) No 391/2013 (Text with EEA relevance.)

• (c) unforeseen and significant changes in pension costs established in accordance with Article 22(4) resulting from unforeseeable changes in national pensions law, pensions accounting law or unforeseeable changes in financial market conditions, on the condition that such changes in pension costs are outside the control of the air navigation service provider and, in the case of cost increases, that the air navigation service provider has taken reasonable measures to manage cost increases during the reference period;

• (d) unforeseen and significant changes in costs resulting from unforeseeable changes in interest rates on loans that finance costs arising from the provision of air navigation services, on the condition that such changes in costs are outside the control of the air navigation service provider and, in the case of cost increases, that the air navigation service provider has taken reasonable measures to manage cost increases during the reference period;

• (e) unforeseen and significant changes in costs resulting from unforeseeable changes in national taxation law or other unforeseeable new cost items not covered in the performance plan but required by law.

The determined costs relating to the costs referred to in this paragraph shall be identified and categorised in the performance plan, in accordance with point 3.3(h) of Annex II.

The differences between determined and actual costs referred to in this paragraph shall be identified and explained annually in accordance with Annex VII and Annex IX.

• (a) where, over a calendar year or over the whole reference period, actual costs fall below the determined costs, the air navigation service provider or the Member State concerned shall reimburse the resulting difference to airspace users, through a reduction of the unit rate in year n+2 or in the following reference period, unless, based on a detailed justification of the air navigation service provider, the national supervisory authority decides, after consultation with airspace users' representatives, that the air navigation service provider shall not reimburse a part of the resulting difference;

• (b) where, over a calendar year or over the whole reference period, actual costs exceed the determined costs by not more than 5 %, Member States may decide that the resulting difference is recovered from airspace users by the air navigation service provider or the Member State concerned, through an increase of the unit rate in year n+2 or in the following reference period, subject to the approval by the national supervisory authority of a detailed justification provided by the air navigation service provider in particular as regards the need to increase capacity and after consultation with airspace users' representatives.

Where, during the reference period, air navigation service providers intend to add, cancel or replace major investments with respect to information on major investments identified in the performance plan in accordance with point 2.2(b) of Annex II, these changes shall be approved by the national supervisory authority, after consultation of airspace users' representatives.

• (a) where, over a calendar year, actual costs fall below the determined costs established for that calendar year, Member States shall reimburse the resulting difference to airspace users through a reduction of the unit rate in year n+2;

• (b) where, over a calendar year, actual costs exceed the determined costs established for that calendar year, Member States shall recover the resulting difference from airspace users through an increase of the unit rate in year n+2.

• (a) where, over a calendar year or over the whole reference period, actual costs fall below the determined costs, the air navigation service provider or the Member State concerned shall reimburse the resulting difference to airspace users through a reduction of the unit rate in year n+2, in the following reference period or in the following two reference periods if the amounts to be recovered impact the unit rate in a disproportionate manner;

• (b) where, over a calendar year or over the whole reference period, actual costs exceed the determined costs, Member States may decide that the resulting difference is recovered from airspace users by the air navigation service provider or the Member State concerned, through an increase of the unit rate in year n+2, in the following reference period or in the following two reference periods if the amounts to be recovered impact the unit rate in a disproportionate manner.

National supervisory authorities shall also include in the report which is due by 1 September of the year following the final year of the reference period the balance over the whole reference period in respect of the unforeseen changes in the costs referred to in points (a), (c), (d) and (e) of paragraph 3.

Article 29

Setting unit rates for charging zones

• (a) national supervisory authorities shall submit, on behalf of their respective Member State, the calculated unit rate to the Commission and to the CRCO of Eurocontrol by 1 June of year n-1. This submission shall include the reporting tables and additional information set out in Annex VII and Annex IX;

• (b) before 1 November of year n-1, if needed, national supervisory authorities shall update the calculated unit rate referred to in point (a), following consultation with airspace users. They shall submit this calculated updated unit rate, on behalf of their respective Member State, to the Commission and the CRCO of Eurocontrol, at the latest by 1 November of year n-1;

• (c) Member States shall set the unit rate for year n at the latest by 20 December of year n-1 and inform the Commission and the CRCO of Eurocontrol of that rate.

Where the Commission finds that a unit rate does not comply with the requirements set out in Article 25(2), it shall notify the Member State concerned and invite it to submit a revised unit rate.

Where the Commission finds that the revised unit rate are calculated in compliance with the requirements set out in Article 25(2), it shall notify the Member State concerned accordingly.

• (a) a first adjustment of the unit rate in the year following the revision of the unit rate, and

• (b) a final adjustment of the unit rate two years after that year.

Where a performance plan is adopted after the start of the reference period, any difference in revenue due to the application of the unit rate or unit rates calculated on the basis of the draft performance plan, instead of the unit rate or unit rates calculated on the basis of the adopted performance plan, shall result in a first adjustment of the unit rate in the year following the adoption of the performance plan and a final adjustment of the unit rate two years after that year. The provisions of Articles 27 and 28 shall be applied on the basis of the adopted performance plan and shall apply retroactively as from the first day of the reference period.

Where a performance plan is revised during the reference period in accordance with Article 18, any difference in revenue due to the application of the unit rate or unit rates calculated on the basis of the adopted performance plan, instead of the unit rate or unit rates calculated on the basis of the adopted revised performance plan, shall result in a first adjustment of the unit rate in the year following the adoption of the revised performance plan and a final adjustment of the unit rate two years after that year. The provisions of Articles 27 and 28 shall be applied on the basis of the adopted revised performance plan and shall apply retroactively as from the first day of the year to which the revised performance plan applies.

Article 30

Transparency of unit rates

Member States shall provide the reporting tables and the information required in Annex IX to the consulted parties at least three weeks before the consultation.

Article 31

Calculation of charges

For the purpose of calculating the terminal charge, the approach and departure of a flight shall count as a single flight. The unit to be counted shall be either the arriving or the departing flight.

• (a) flights performed by aircraft with a maximum authorised take-off weight which is less than two metric tons;

• (b) mixed VFR/IFR flights in the charging zones where they are performed exclusively under VFR and where an en route charge is not levied for VFR flights;

• (c) flights performed exclusively for the purpose of transport, on official mission, of reigning Monarchs and their immediate family, heads of state, heads of government and government ministers, where it is substantiated by the appropriate status indicator or remark on the flight plan that the flight is performed exclusively for that purpose;

• (d) search and rescue flights authorised by the appropriate competent body.

• (a) military flights performed by aircraft of a Member State or any third country;

• (b) training flights performed solely within the airspace of the Member State concerned and exclusively for the purpose of obtaining a licence, or a rating in the case of cockpit flight crew, where it is substantiated by an appropriate remark on the flight plan that the flight is performed exclusively for that purpose;

• (c) flights performed exclusively for the purpose of checking or testing equipment used or intended to be used as ground aids to air navigation, excluding positioning flights by the aircraft concerned;

• (d) flights terminating at the airport from which the aircraft has taken off and during which no intermediate landing has been made;

• (e) VFR flights;

• (f) humanitarian flights authorised by the appropriate competent body;

• (g) customs and police flights.

Article 32

Modulation of air navigation charges

• (a) optimise the use of air navigation services;

• (b) reduce the environmental impact of flying;

• (c) reduce the level of congestion of the network in a specific area or on a specific route at specific times.

• (d) accelerate the deployment of SESAR ATM capabilities in anticipation of the time period set out in the common projects referred to in Article 15a(3) of Regulation (EC) No 550/2004, in particular with a view to giving incentives to equip aircraft with systems included in those common projects.

Member States shall ensure that modulation of charges in respect of points (a) to (c) of this paragraph does not result in any overall change in annual revenue for the air navigation service provider compared to the situation where charges would not have been modulated. Over- or under recoveries shall result in an adjustment of the unit rate in year n+2.

Before the application of the modulation of charges, Member States shall consult airspace users' representatives and air navigation service providers concerned on such intended modulation.

Article 33

Collection of charges

CHAPTER VII SPECIAL PROVISIONS

Article 34

Simplified charging scheme

• (a) one or more en route and one or more terminal charging zones;

• (b) one or more air navigation service providers providing services in the charging zone or zones referred to in point (a).

• (a) a Commission decision adopted pursuant to Article 14(2), Article 15(2) or Article 15(4) confirms that the performance targets set by the Member State in the draft performance plan referred to in Article 12 are consistent with the Union-wide performance targets;

• (b) the performance targets in the key performance areas of safety, capacity and environment have been met in the three years preceding the adoption of the draft performance plan referred to in Article 12;

• (c) the performance plan includes an incentive scheme on capacity targets as required in Article 11;

• (d) the air navigation service providers concerned and the airspace users concerned have been consulted on the intended decision and airspace users representing at least 65 % of the IFR flights operated in the airspace where the Member State or Members States concerned are responsible for the provision of air navigation services agree with the intended decision.

• (a) the traffic risk sharing mechanism referred to in Article 11(2) and Article 27. By not applying the traffic risk sharing mechanism, the traffic risk is therefore borne in full by the air navigation service provider;

• (b) the provisions of Article 28(4) to (6) related to the cost risk sharing mechanism;

• (c) the over or under recoveries resulting from the modulation of air navigation charges pursuant to Article 32.

Any carry-over from the years preceding the reference period to which the simplified charging scheme is applied, shall still be taken into account in the calculation of unit rates.

Article 35

Terminal air navigation services and CNS, MET and AIS services and ATM data services subject to market conditions

• (a) apply cost-efficiency targets, including the setting of determined costs, for the key performance indicators referred to in point 4.1 of Section 2 of Annex I;

• (b) apply traffic risk sharing and cost sharing mechanisms in accordance with Articles 27 and 28;

• (c) set financial incentives in the key performance areas of capacity and environment in accordance with Article 11;

• (d) calculate terminal charges in accordance with Article 31(2);

• (e) set terminal unit rates in accordance with Article 29;

• (f) be subject to the consultation requirements specified in Article 24(3).

Points (d) to (f) apply only to terminal air navigation services.

Where, during a reference period, a Member State decides to apply paragraph 1, it shall also revise its performance plan in accordance with Article 18(1) in respect of the services concerned.

• (a) its national supervisory authority has found, on the basis of a detailed assessment in accordance with the conditions laid down in Annex X, that the provision of the services concerned is subject to market conditions;

• (b) it has consulted the airspace users' representatives concerned on the intended decision and on that assessment, and has taken account of their comments where appropriate;

• (c) it has made its intended decision and that assessment publicly available;

• (d) it has submitted its intended decision and that assessment to the Commission and received the agreement of the Commission.

As regards point (d), the Member State shall submit the assessment no later than 12 months before the start of a reference period or, in the event of an assessment during the reference period, without undue delay upon having completed the assessment. The Commission shall notify the Member State concerned whether it agrees that the assessment has been carried out in accordance with the conditions laid down in Annex X. The Commission shall do so without undue delay. Where necessary, the Commission shall request additional information from the Member State concerned, which that Member State shall provide without undue delay.

If the national supervisory authority finds that those conditions are no longer met, the Member State shall, without undue delay, revoke its decision, after having completed the steps set out in points (b) to (d) of paragraph 3.

Upon that revocation, the Member State shall, for the upcoming reference period or, as the case may be, for the remaining duration of the reference period, not apply the exemptions listed in the first subparagraph of paragraph 2 in respect of the services concerned. If the revocation occurs during the reference period, the Member State concerned shall also revise its performance plan in accordance with Article 18(1).

CHAPTER VIII PROVISION OF INFORMATION, MONITORING, AND PUBLICATION OF INFORMATION

Article 36

Provision of information

With respect to airspace users, this Article shall only apply to those users which operate more than 35 000 flights per year in European airspace, calculated as the average over the previous three years.

Article 37

Monitoring and reporting

If a national supervisory authority finds that those targets are not met, or risk not being met, it shall immediately inform the Commission thereof. Without undue delay, the Member State or the national supervisory authority concerned shall, in order to rectify the situation and achieve the targets set in the performance plan, apply the appropriate measures they have defined, taking into consideration the remedial measures referred to in Article 10(2) of Implementing Regulation (EU) 2019/123. They shall communicate those appropriate measures to the Commission without undue delay.

Not later than 1 June of each year, the national supervisory authorities shall report to the Commission on the results of the monitoring referred to in the first subparagraph in the preceding year.

If the Commission finds that the performance targets contained in the Network Performance Plan are not met or risk not being met, it shall request the Network Manager to define appropriate measures in order to rectify the situation and achieve those targets. The Network Manager shall communicate those measures to the Commission without undue delay.

Article 38

Publication

• (a) any decisions which they have taken pursuant to Article 1(4) and (5);

• (b) any decisions which they have taken pursuant to point (c) of Article 35(3);

• (c) their draft performance plans referred to in Article 12;

• (d) their adopted performance plans referred to in Article 16;

• (e) their reporting tables referred to in Articles 24, 29 and 30.

• (a) the draft Network Performance Plan referred to in Article 19(1);

• (b) the adopted Network Performance Plan referred to in Article 19(3).

CHAPTER IX FINAL PROVISIONS

Article 39

Reasoning and appeal of national decisions

Member States shall ensure that decisions taken by their competent national authorities pursuant to this Regulation are duly reasoned and are subject to effective judicial appeal in accordance with national law.

Article 40

Repeal

Implementing Regulations (EU) No 390/2013 and (EU) No 391/2013 are repealed with effect from 1 January 2020. However, those Regulations shall continue to apply for the purposes of the implementation of the performance and charging schemes pertaining to the second reference period.

Article 41

Entry into force

This Regulation shall enter into force on the twentieth day following that of 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.

ANNEX I

KEY PERFORMANCE INDICATORS (KPI) FOR TARGET SETTING AND INDICATORS FOR MONITORING

SECTION 1

KPIs for Union-wide target setting and indicators for monitoring at Union level

1. SAFETY

1.1.   Key performance indicators

The minimum level of the effectiveness of safety management to be achieved by air navigation service providers certified to provide air traffic services. This KPI measures the level of implementation of the following safety management objectives:

• (a) safety policy and objectives;

• (b) safety risk management;

• (c) safety assurance;

• (d) safety promotion;

• (e) safety culture.

1.2.   Indicators for monitoring

• (a) The rate of runway incursions at Union level with a safety impact calculated in accordance with point 1.2(a) of Section 2;

• (b) the rate of separation minima infringements at Union level with a safety impact calculated in accordance with point 1.2(b) of Section 2.

2. ENVIRONMENT

2.1.   Key performance indicators

This KPI measures the average horizontal en route flight efficiency of the actual trajectory, calculated as follows:

• (a) the comparison between the length of the en route part of the actual trajectory derived from surveillance data and the achieved distance, summed over IFR flights within or traversing the European airspace as defined in Article 1;

• (b) ‘en route part’ refers to the distance flown outside a circle of 40 NM around the airports;

• (c) where a flight departs from or arrives at an airport outside the European airspace, the entry or exit points of the European airspace are used for the calculation of this indicator as the origin or destination respectively, rather than the departure or destination airport;

• (d) where a flight departs from and arrives at an airport inside the European airspace and crosses non-European airspace, only the part inside the European airspace is used for the calculation of this indicator;

• (e) ‘achieved distance’ is a function of the position of the entry and exit points of the flight into and out of each portion of airspace for all parts of the trajectory. Achieved distance represents the contribution that those points make to the great circle distance between origin and destination of the flight;

• (f) the indicator is calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

2.2.   Indicators for monitoring

• (a) The average horizontal en route flight efficiency of the last filed flight plan trajectory, calculated 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 part’ refers to the distance flown outside a circle of 40 NM around the airports;
• (iii) where a flight departs from or arrives at an airport outside the European airspace, the entry or exit points of the European airspace are used for the calculation of this indicator as the origin or destination respectively, rather than the departure or destination airport;
• (iv) where a flight departs from and arrives at an airport inside the European airspace and crosses non-European airspace, only the part inside the European airspace is used for the calculation of this indicator;
• (v) the indicator is calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

• (b) The average horizontal en route flight efficiency of the shortest constrained trajectory, calculated as follows:
• (i) the difference between the length of the en route part of the shortest constrained route available for flight planning, as calculated by the path finding algorithms and flight plan validation systems of the Network Manager, and the corresponding portion of the great circle distance summed over all IFR flights within or traversing the European airspace;
• (ii) this indicator considers the airspace restrictions on days with and without military activities published in the Route Availability Document (RAD) issued by the Network Manager and the actual status of conditional routes at the time of the last filed flight plan;
• (iii) ‘en route part’ refers to the part outside a circle of 40 NM around the airports;
• (iv) where a flight departs from or arrives at an airport outside the European airspace, the entry or exit points of the European airspace are used for the calculation of this indicator as the origin or destination respectively, rather than the departure or destination airport;
• (v) where a flight departs from and arrives at an airport inside the European airspace and crosses a non-European airspace, only the part inside the European airspace is used for the calculation of this indicator;
• (vi) the indicator is calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

• (c) The vertical flight efficiency of the actual trajectory between the top of climb and the top of descent, calculated as follows:
• (i) this indicator is the percentage of the length of the actual trajectory flown within 1 000  ft below, or at any altitude above the planned flight level from the last filed flight plan, summed over all IFR flights within or traversing European airspace
• (ii) the indicator is calculated as a percentage for the whole calendar year and for each year of the reference period.

• (d) The effective use of reserved or segregated airspace calculated as the ratio of the finally used time for segregation or reservation from general air traffic to the initially allocated time for the activity requiring segregation or reservation. The indicator is calculated for all airspace allocations notified to the Network Manager.

• (e) The rate of planning through available airspace structures, including reserved or segregated airspace, for general air traffic calculated as the percentage of aircraft filing flight plans via such airspace structures to the number of aircraft that could have planned through those airspace structures. The indicator is calculated for all airspace allocations notified to the Network Manager.

• (f) The rate of using available airspace structures, including reserved or segregated airspace, by general air traffic calculated as the percentage of aircraft flying via such airspace structures to the number of aircraft that could have planned through these airspace structures. The indicator is calculated for all airspace allocations notified to the Network Manager.

3. CAPACITY

3.1.   Key performance indicator

The average minutes, of en route ATFM delay per flight attributable to air navigation services, calculated as follows:

• (a) the en route ATFM delay is the delay calculated by the Network Manager, expressed as the difference between the estimated take-off time and the calculated take-off time allocated by the Network Manager;

• (b) for the purposes of this indicator: ‘estimated take-off time’ means the forecast of time when the aircraft will become airborne calculated by the Network Manager and based on the last estimated off-block time, or target off-block time for those airports covered by airport collaborative decision-making procedures, plus the estimated taxi-out time calculated by the Network Manager; ‘calculated take-off time’ means the time allocated by the Network Manager on the day of operation, as a result of tactical slot allocation, at which a flight is expected to become airborne; ‘estimated taxi-out time’ means the estimated time between off-block and take-off. This estimate includes any delay buffer time at the holding point or remote de-icing prior to take-off;

• (c) this indicator covers all IFR flights and all ATFM delay causes, excluding exceptional events;

• (d) this indicator is calculated for the whole calendar year and for each year of the reference period.

3.2.   Indicators for monitoring

• (a) The average time, expressed in minutes, of arrival ATFM delay per flight attributable to terminal and airport air navigation services and caused by landing restrictions at the destination airport, calculated as follows:
• (i) the average generated arrival ATFM delay per inbound IFR flight;
• (ii) this indicator includes all IFR flights landing at the destination airport and covers all arrival ATFM delay causes, excluding exceptional events;
• (iii) this indicator is calculated for the whole calendar year and for each year of the reference period.

• (b) The percentage of flights with en route ATFM delay greater than 15 minutes, calculated as below:
• (i) en route ATFM delay calculated in accordance with point 3.1(a);
• (ii) this indicator covers all IFR flights and all ATFM delay causes, excluding exceptional events;
• (iii) this indicator is calculated for the whole calendar year and for each year of the reference period.

• (c) The average time, expressed in minutes, of all cause-departure delay per flight, calculated as follows:
• (i) the average delay attributable to:
• — delays due to airline operations,
• — en route ATFM delay reported by airspace users,
• — reactionary (knock-on) delay,
• — airport operations delay, including ATFM airport delay reported by airspace users caused by regulation based on traffic volume which has a reference location classified as Aerodrome Zone or Aerodrome;
• (ii) covering all IFR flights and is calculated for the whole calendar year and for each year of the reference period.

4. COST-EFFICIENCY

4.1.   Key performance indicators

The year-on-year change of the average Union-wide ‘determined unit cost’ (DUC) for en route air navigation services, calculated as follows:

• (a) a percentage, reflecting the year-on-year variation of the average Union-wide DUC for en route air navigation services, starting from the baseline value referred to in Article 9(4), point (a);

• (b) calculated for the whole calendar year and for each year of the reference period;

• (c) the average Union-wide DUC for en route air navigation services is the ratio between the en route determined costs and the en route forecast traffic, expressed in en route service units, expected during each year of the reference period at Union level, as contained in the Commission’s assumptions for establishing the Union-wide performance targets in accordance with Article 9(3);

• (d) the average Union-wide DUC for en route air navigation services is calculated in euro and in real terms.

4.2.   Indicators for monitoring

The actual unit cost incurred by users separately for en route and terminal air navigation services at Union level, calculated as follows:

• (a) the weighted average of the sum of the DUC for each Member State for air navigation services and of the adjustments in accordance with Article 25(2) stemming from that year;

• (b) expressed in euro and in nominal terms;

• (c) calculated for the whole calendar year and for each year of the reference period.

SECTION 2

KPIs for target setting at local level and indicators for monitoring at local level

1. SAFETY

1.1.   Key performance indicator

The level of the effectiveness of safety management in accordance with point 1.1 of Section 1.

For the purposes of this indicator, ‘local’ means at the level of air navigation service providers.

1.2.   Indicators for monitoring

• (a) The rate of runway incursions at airports located in a Member State, calculated as the total number of runway incursions with a safety impact that occurred at those airports divided by the total number of instrument flight rules (IFR) and visual flight rules (VFR) movements at those airports.

• (b) The rate of separation minima infringements within the airspace of all controlling air traffic services units in a Member State, calculated as the total number of separation minima infringements with a safety impact that occurred in that airspace divided by the total number of controlled flight hours within that airspace.

• (c) The rate of runway incursions at an airport calculated as the total number of runway incursions with any contribution from air traffic services or communication, navigation and surveillance (CNS) services with a safety impact that occurred at that airport divided by the total number of IFR and VFR movements at that airport.

• (d) The rate of separation minima infringements within the airspace where the air navigation service provider provides air traffic services, calculated as the total number of separation minima infringements with any contribution from air traffic services, or CNS services with a safety impact divided by the total number of controlled flight hours within that airspace.

The indicators for monitoring referred to in this point shall be calculated for the whole calendar year and for each year of the reference period.

For the purposes of the indicators set out in points (a) and (c), ‘local’ means at airport level. For the purposes of the indicator set out in point (b), ‘local’ means at national level. For the purposes of the indicator set out in point (d), ‘local’ means the level of air navigation service providers.

2. ENVIRONMENT

2.1.   Key performance indicator

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

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

• (b) ‘en route part’ refers to the distance flown outside a circle of 40NM around the origin and destination airports;

• (c) where a flight departs from or arrives at an airport outside the local airspace, the entry or exit points of the local airspace are used for the calculation of this indicator;

• (d) where a flight departs from and arrives at an airport inside the local airspace and crosses a non-local airspace, only the part inside the local airspace is used for the calculation of this indicator;

• (e) ‘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 those points make to the great circle distance between origin and destination of the flight;

• (f) for the purposes of this indicator, ‘local’ means at national level or at the level of functional airspace blocks, depending on the level at which the performance plan is established;

• (g) the indicator is calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

2.2.   Indicators for monitoring

• (a) The average horizontal en route flight efficiency of the last filed flight plan trajectory, calculated at local level 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 local airspace;
• (ii) ‘en route part’ refers to the distance flown outside a circle of 40 NM around the airports;
• (iii) where a flight departs from or arrives at an airport outside the local airspace, the entry or exit points of the local airspace are used for the calculation of this indicator;
• (iv) where a flight departs from and arrives at an airport inside the local airspace and crosses a non-local airspace, only the part inside the local airspace is used for the calculation of this indicator;
• (v) calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

• (b) The average horizontal en route flight efficiency of the shortest constrained trajectory, calculated at local level as follows:
• (i) the difference between the length of the en route part of the shortest constrained route available for flight planning, as calculated by the path finding algorithms and flight plan validation systems of the Network Manager, and the achieved distance summed over all IFR flights within or traversing the local airspace;
• (ii) this indicator considers the airspace restrictions published in the Route Availability Document issued by the Network Manager and the actual status of conditional routes at the time of the last filed flight plan;
• (iii) ‘en route part’ refers to the part outside a circle of 40NM around the origin and destination airports;
• (iv) where a flight departs from or arrives at an airport outside the local airspace, the entry or exit points of the local airspace are used for the calculation of this indicator;
• (v) where a flight departs from and arrives at an airport inside the local airspace and crosses a non-local airspace, only the part inside the local airspace is used for the calculation of this indicator;
• (vi) ‘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 those points make to the great circle distance between origin and destination of the flight;
• (vii) calculated for the whole calendar year and for each year of the reference period, as an average. When calculating this average, the ten highest daily values and the ten lowest daily values are excluded from the calculation.

• (c) The vertical flight efficiency of the actual trajectory between the top of climb and the top of descent, calculated as follows:
• (i) this indicator is the percentage of the length of the actual trajectory flown within 1 000  ft below, or at any altitude above the planned flight level from the last filed flight plan, summed over all IFR flights within or traversing the local airspace.
• (ii) the indicator is calculated as a percentage for the whole calendar year and for each year of the reference period.

• (d) The additional time in the taxi-out phase, calculated at local level as follows:
• (i) the difference between the actual taxi-out time and the reference taxi-out time;
• (ii) the reference taxi-out time represents the optimal transit time required to taxi-out without holding;
• (iii) expressed in minutes per departure, calculated for the whole calendar year and for each year of the reference period.

• (e) The additional time in the taxi-in phase, calculated at local level as follows:
• (i) the difference between the actual taxi-in time and the reference taxi-in time;
• (ii) the reference taxi-in time represents the optimal transit time required to taxi-in without holding;
• (iii) expressed in minutes per arrival, calculated for the whole calendar year and for each year of the reference period.

• (f) The additional time in terminal airspace, calculated at local level as follows:
• (i) the difference between the Arrival Sequencing and Metering Area (ASMA) transit time and the reference time based on ASMA transit times;
• (ii) the reference ASMA time represents the transit time required to execute the approach without holding or vectoring;
• (iii) expressed in minutes per arrival calculated for the whole calendar year and for each year of the reference period;
• (iv) the ASMA is defined as a cylinder with a radius of 40 NM around the arrival airport.

• (g) The vertical flight efficiency of the descent, calculated at local level as follows:
• (i) the duration of level flight from the top of descent to landing of all arriving IFR flights;
• (ii) expressed as the average duration of level flight in seconds per arrival;
• (iii) calculated for the whole calendar year and for each year of the reference period.

• (h) The vertical flight efficiency of the climb, calculated at local level as follows:
• (i) the duration of level flight from take-off to the top of climb of all departing IFR flights;
• (ii) expressed as the average duration of level flight in seconds per departure;
• (iii) calculated for the whole calendar year and for each year of the reference period.

• (i) The effective use of reserved or segregated local airspace, calculated in accordance with point 2.2(d) of Section 1.

• (j) The rate of planning via available local airspace structures, calculated in accordance with point 2.2(e) of Section 1.

• (k) The rate of using available local airspace structures, calculated in accordance with point 2.2(f) of Section 1.

For the purposes of the indicators set out in points (a), (b), and (c), ‘local’ means at national level or at the level of functional airspace blocks depending on the level at which the performance plan is established, including cases of delegation of the responsibility for the provision of air traffic services as a result of collaborative cross-border arrangements.

For the purposes of the indicators set out in points (d), (e) and (f), ‘local’ means at airport level with a minimum of 80 000 IFR air transport movements per year.

For the purposes of the indicators set out in points (g) and (h), ‘local’ means at airport level.

For the purposes of the indicators set out in points (i), (j) and (k), ‘local’ means at national level with a breakdown at the level of area control centres’ area of responsibility, including cases of delegation of the responsibility for the provision of air traffic services as a result of collaborative cross-border arrangements.

3. CAPACITY

3.1.   Key performance indicators

• (a) The average time, expressed in minutes, of en route ATFM delay per flight attributable to air navigation services, calculated as follows:
• (i) the en route ATFM delay, calculated in accordance with point 3.1 of Section 1;
• (ii) this indicator covers all IFR flights traversing the local airspace and all ATFM delay causes, excluding exceptional events; it also covers IFR flights traversing other airspaces, when delay corrections are applied as a result of the post-operations delay adjustment process coordinated by the Network Manager through which operational stakeholders notify the Network Manager of issues that relate to ATFM delay measurement, classification and assignment;
• (iii) calculated for the whole calendar year and for each year of the reference period;
• (iv) for monitoring, the values calculated for this indicator are broken down at national level in case the performance plan is established at functional airspace block level, including cases of delegation of the responsibility for the provision of air traffic services as a result of collaborative cross-border arrangements.

• (b) The average time, expressed in minutes, of arrival ATFM delay per flight attributable to terminal and airport air navigation services, calculated at local level as follows:
• (i) the average arrival delay at the destination airport caused by ATFM regulations per inbound IFR flight;
• (ii) cover all IFR flights landing at the destination airport and all ATFM delay causes, excluding exceptional events;
• (iii) calculated for the whole calendar year and for each year of the reference period;
• (iv) for monitoring, the values calculated for this indicator are broken down at airport level.

For the purposes of the indicator set out in point (a), ‘local’ means at national level or at the level of functional airspace blocks depending on the level at which the performance plan is established. For the purposes of the indicator set out in point (b), ‘local’ means at national level.

3.2.   Indicators for monitoring

• (a) The percentage of IFR flights adhering to their ATFM departure slots at local level calculated for the whole calendar year and for each year of the reference period.

• (b) The average time, expressed in minutes, of air traffic control pre-departure delay per flight caused by take-off restrictions at the departure airport, calculated at local level as follows:
• (i) the average air traffic control pre-departure delay per outbound IFR flight;
• (ii) include all IFR flights taking off at the departure airport and cover delays in start-up caused by air traffic control constraints when the aircraft is ready to leave the departure stand;
• (iii) this indicator is calculated for the whole calendar year and for each year of the reference period.

• (c) The average time, expressed in minutes, of departure delay from all causes per flight, calculated at local level in accordance with point 3.2(c) of Section 1.

• (d) The percentage of the total en route ATFM delay minutes that occurred on days when the daily throughput was above the expected daily traffic, calculated as follows:
• (i) en route ATFM delay calculated in accordance with point 3.1 of Section 1;
• (ii) expected daily traffic refers to the daily traffic profile (guideline traffic) calculated by the Network Manager in January of each year;
• (iii) airspace throughput and traffic demand are measured as daily IFR flight entries in the airspace;
• (iv) the airspace is the area of responsibility defined for the calculation of en route ATFM delays.

• (e) The annual weighted average of the daily peak throughput, expressed as a number of IFR flights per hour, calculated as follows:
• (i) the daily peak throughput is an arithmetic average of the number of IFR flights during the three hours of each day with the highest number of flights;
• (ii) the value used to calculate the weighting is the number of IFR flights per day.

For the purposes of the indicator set out in point (a), ‘local’ means at national level with a breakdown at airport level.

For the purposes of the indicators set out in points (b) and (c), ‘local’ means at airport level for airports with 80 000 IFR air transport movements or more per year.

For the purposes of indicators set out in points (d) and (e), ‘local’ means at area control centre level.

4. COST-EFFICIENCY

4.1.   Key performance indicators

• (a) The DUC for en route air navigation services, calculated as follows:
• (i) the ratio between the en route determined costs and the forecast traffic in the charging zone, expressed in en route service units, expected during each year of the reference period at local level, contained in the performance plans;
• (ii) expressed in real terms and in national currency;
• (iii) calculated for the whole calendar year and for each year of the reference period.

• (b) The DUC for terminal air navigation services, calculated as follows:
• (i) the ratio between the determined costs and the forecast traffic, expressed in terminal service units, expected during each year of the reference period at local level, contained in the performance plans;
• (ii) expressed in real terms and in national currency;
• (iii) calculated for the whole calendar year and for each year of the reference period.

For the purposes of the indicators set out in points (a) and (b), ‘local’ means at charging zone level.

4.2.   Indicators for monitoring

The actual unit cost incurred by users separately for en route and terminal air navigation services, calculated as follows:

• (a) a sum of the DUC for air navigation services and of the adjustments in accordance with Article 25(2) stemming from that year;

• (b) expressed in nominal terms and in national currency;

• (c) calculated for the charging zone level for the whole calendar year and for each year of the reference period.

SECTION 3

KPIs for target setting and indicators for monitoring of the network functions

• 1.All the indicators set out in this Section shall apply to the geographic area within the scope of this Regulation.

2. SAFETY

2.1.   Key performance indicators

The level of the effectiveness of safety management of the Network Manager in accordance with point 1.1 of Section 1.

2.2.   Indicators for monitoring

The ATFM over-deliveries above the capacity limits of a sector declared by the air navigation service provider where ATFM regulations are imposed, calculated as follows:

• (a) the ratio between the time that the number of flights exceeds by more than 10 % the capacity limits of a sector declared by the air navigation service provider where ATFM regulations are imposed, and the total time where ATFM regulations are imposed, calculated for the whole calendar year and for each year of the reference period;

• (b) for the purposes of this indicator, the regulated time is divided in overlapping hourly segments at every 20-minutes interval.

3. ENVIRONMENT

3.1.   Key performance indicators

The en route flight efficiency improvement generated by the European Route Network Design function related to the last filed flight plan trajectory, expressed as a percentage point of the year-on-year variation of the en route flight efficiency of the last filed flight plan trajectory and calculated in accordance with point 2.2(a) of Section 1.

3.2.   Indicators for monitoring

The annual sum of route extensions resulting from the CDM network procedures and Network Manager Operations Centre actions for en route ATFM delay savings. Route extensions are measured in nautical miles as the differences between the distance of the actual trajectories after flights accepted rerouting proposals from the Network Manager and the distance of the last filed flight plan trajectories before accepting the rerouting proposals.

4. CAPACITY

4.1.   Key performance indicators

• (a) The percentage of total initial minutes of en route ATFM delay saved as a result of Collaborative Decision-Making network procedures and Network Manager Operations Centre actions. The saved en route ATFM delay is calculated as the difference between the initial delay of the IFR flight without the measures and the en route ATFM delay of that flight after the delay-saving actions. The en route ATFM delay is calculated in accordance with point 3.1 of Section 1.

• (b) The percentage of total initial minutes of arrival ATFM delay saved as a result of Collaborative Decision-Making network procedures and Network Manager Operations Centre actions. The saved arrival ATFM delay is calculated as the difference between the initial delay of the IFR arrival without the measures and the airport arrival ATFM delay of that flight after the delay-saving actions. The arrival ATFM delay is calculated in accordance with point 3.2(a) of Section 1.

4.2.   Indicators for monitoring

• (a) The average, over a calendar year, of the daily number of ATFM regulations that each produces less than 200 minutes of delay.

• (b) The average, over a calendar year, of en route ATFM weekend delay expressed in minutes of delay per flight.

• (c) The annual percentage of all first rotation ATFM delays for a pre-selection of area control centres and airports with the most significant potential delay reduction as identified annually by the Network Manager, calculated as follows:
• (i) en route ATFM delay calculated in accordance with point 3.1 of Section 1;
• (ii) the hourly ATFM delay attribution is based on the estimated time of entry into the en route airspace affected;
• (iii) arrival ATFM delay calculated in accordance with point 3.2(a) of Section 1.

5. COST-EFFICIENCY

5.1.   Indicators for monitoring

The unit cost for the execution of the tasks of the Network Manager, calculated as follows:

• (a) the ratio between the actual costs for the execution of the tasks of the Network Manager and the en route traffic, expressed in en route service units, during the reference period, at the level of the geographical area where the Network Manager performs its tasks necessary for the execution of the network functions;

• (b) expressed in euro and in real terms;

• (c) calculated for the whole calendar year and for each year of the reference period.

ANNEX II

TEMPLATE FOR PERFORMANCE PLANS AT NATIONAL OR FUNCTIONAL AIRSPACE BLOCK LEVEL REFERRED TO IN ARTICLE 10(1)

1. INTRODUCTION

• 1.1. Description of the situation, including scope of the plan in terms of geographical coverage and services, list of air navigation service providers covered and other general information relevant to the performance plan.

• 1.2. Traffic forecasts referred to in points (f) and (g) of Article 10(2) expressed in IFR movements and in service units underpinning the performance plan based on Eurocontrol's Statistics and Forecast Service (STATFOR) base forecasts. Where the forecasts differ from the STATFOR base forecasts, the reasons that justify the use of a different forecast referred to in points (f) and (g) of Article 10(2) and a justification for the use of these forecasts shall be documented.

• 1.3. Description of the outcome of the stakeholder consultation on the draft performance plan, including the points of agreement and disagreement as well as the reasons for any such disagreement.

• 1.4. List of airports subject to the performance and charging scheme, with their average number of IFR air transport movements per year.

• 1.5. Where applicable, list of services the provision of which has been established to be subject to market conditions in accordance with Article 35.

• 1.6. As regards performance plans adopted at the level of functional airspace blocks, description of the process followed to develop and adopt the performance plan.

• 1.7. Indication whether or not the simplified charging scheme referred to in Article 34 applies and if so, a demonstration that the conditions set out in that Article have been met as well as a description of the application of the simplified charging scheme and of its scope in terms of charging zones covered.

2. INVESTMENTS

• 2.1. Description and justification of the costs, nature and benefits of new and existing investments in fixed assets planned over the reference period.

• 2.2. The information referred to in point 2.1 shall include in particular:

• (a) the determined costs of new and existing investments in respect of depreciation, cost of capital and cost of leasing over the whole reference period and in respect of each calendar year thereof, as required in Annex VII;

• (b) description and justification of the major investments, including with regard to the following elements:
• (i) total value of each major investment;
• (ii) the asset or assets acquired or developed;
• (iii) information on the benefit of the investment for airspace users and on the results of the consultation of airspace users' representatives;
• (iv) as regards major investments in ATM systems:
• — differentiation between investments in new systems, overhaul of existing systems and replacement investments;
• — justification of the relevance of each investment with reference to the European ATM Master Plan, and the common projects referred to in Article 15a of Regulation (EC) No 550/2004;

• (c) detail of synergies achieved at the level of functional airspace blocks or, through other cross-border cooperation initiatives as appropriate, in particular in terms of common infrastructure and common procurement.

3. NATIONAL PERFORMANCE TARGETS OR FAB PERFORMANCE TARGETS AND MEASURES FOR THEIR ACHIEVEMENT

• 3.1. National performance targets or FAB performance targets in each key performance area, set by reference to each key performance indicator set out in Section 2 of Annex I, and covering each calendar year of the reference period.

• 3.2. For all key performance areas, description of the main measures put in place at national level or at the level of functional airspace blocks to achieve the performance targets.

• 3.3. Additional information to substantiate the national performance targets or FAB performance targets in the key performance area of cost-efficiency:

• (a) determined costs for en route and terminal air navigation services set in accordance with points (a) and (b) of Article 15(2) of Regulation (EC) No 550/2004 and with this Regulation, for each year of the reference period;

• (b) en route and terminal service units forecast, for each year of the reference period;

• (c) the baseline values for en route and terminal cost-efficiency targets referred to in point (a) of Article 10(2) and description and justification of the methodology used to estimate those values for each charging zone;

• (d) description and justification of the criteria and methodology used for the allocation of costs to charging zones and allocation of costs between en route and terminal services, in accordance with Article 22(5);

• (e) 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 and composition of the asset base used to calculate the cost of capital comprised in the determined costs;

• (f) description and justification of economic assumptions, including:
• — 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 on which those assumptions are based, as well as information whether changes of those regulations are to be expected;
• — interest rate assumptions for loans financing the provision of air navigation services, including amounts, duration and other relevant information on loans, 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;
• — for information purposes only, inflation forecast based on the International Monetary Fund (IMF) Consumer Price Index (CPI);
• — adjustments beyond the provisions of the International Financial Reporting Standards adopted by the Union pursuant to Commission Regulation (EC) No 1126/2008 ([^E0003]);

• (g) description and explanation of the adjustments resulting from the years preceding the reference period;

• (h) identification and categorisation of the determined costs relating to the cost items referred to in Article 28(3);

• (i) where applicable, a description of any significant restructuring planned during the reference period;

• (j) where applicable, approved restructuring costs from previous reference periods to be recovered.

• (k) the reporting tables and additional information required in Annexes VII, IX and XI which to be attached to the performance plan;

• 3.4. A breakdown of the performance targets set out in accordance with points 2.1 and 3.1(a) of Section 2 of Annex I at the level of each individual air navigation service provider covered by the performance plan and, in respect of performance plans established at the level of functional airspace blocks, reflecting the contributions of each provider concerned to the performance targets at the level of functional airspace blocks.

• 3.5. Where there is no Union-wide performance target, description and explanation of how the national performance targets or FAB performance targets contribute to the improvement of the performance of the European ATM network.

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

4. CROSS-BORDER INITIATIVES AND SESAR IMPLEMENTATION

• 4.1. Description of the cross-border cooperation initiatives implemented, or planned to be implemented, at the level of air navigation service providers to improve the provision of air navigation services. Identification of the performance gains enabled by those initiatives in the various key performance areas.

• 4.2. Description of recent and expected progress in the deployment of SESAR common projects referred to in Article 15a of Regulation (EC) No 550/2004, as well as of change management practices in relation to transition plans in order to minimise any negative impact of changes on the network performance.

5. TRAFFIC RISK SHARING ARRANGEMENTS AND INCENTIVE SCHEMES

• 5.1. In respect of each charging zone concerned, description of the defined values of the traffic risk sharing parameters applicable in accordance with Article 27:

• (a) identification of the applicable range referred to in Article 27(2) and of the traffic risk sharing keys referred to in Article 27(3);

• (b) in the event that the national supervisory authority adapts the values of the parameters of the traffic risk sharing mechanism referred to in point (a) in accordance with Article 27(5):
• (i) justification of the defined values of the traffic risk sharing parameters;
• (ii) description of the consultation process of airspace users and air navigation service providers on the setting of the values of the traffic risk sharing parameters and of the outcome of the consultation.

• 5.2. In respect of incentive schemes applicable during the reference period in accordance with Article 11:

• (a) description and justification of the parameters of the incentive scheme defined in accordance with Article 11(3), including the pivot values, and the modulation mechanism of pivot values where applicable;