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Regulation 691/2010 - Performance Scheme for Air Navigation Services and Network Functions in Europe

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Category: Single European Sky Single European Sky
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Content control: EUROCONTROL EUROCONTROL

This Regulation was repealed in 2013 and is no longer applicable

Commission Regulation (EU) No 691/2010 of 29 July 2010 laying down a performance scheme for air navigation services and network functions and amending Regulation (EC) No 2096/2005 laying down common requirements for the provision of air navigation services - text published in the Official Journal of the European Union

Objective

To contribute to the sustainable development of the air transport system by improving overall efficiency of the air navigation services across the key performance areas of safety, environment, capacity and cost-efficiency.

Summary

Scope

This Regulation applies to air navigation services and network functions (incl. route and sector design) for general air traffic within the ICAO EUR and AFI regions where EU Member States are responsible for the provision of air navigation services.

EU Member States may decide not to apply this Regulation to terminal air navigation services provided at airports with less than 50 000 commercial air transport movements per year.

Performance Scheme

The performance scheme should provide for indicators and binding targets on the key performance areas of safety, environment, capacity and cost-efficiency whereby required safety levels are fully achieved and maintained while allowing for performance target setting in the other key performance areas.

The performance scheme should address air navigation services in a gate-to-gate approach including airports.

The European Commission shall coordinate with the European Aviation Safety Agency (European Aviation Safety Agency (EASA)) the safety aspects of the performance scheme, including the setting-up, revision, consistency and implementation of key safety performance indicators and safety performance targets.

National Supervisory Authorities (NSAs) have a key role to play in the implementation of the performance scheme. The NSAs shall be responsible for the elaboration, at national or functional airspace block (Functional Airspace Block (FAB)) level, of the performance plans, the performance oversight and for the monitoring of performance plans and targets. EU Member States should therefore ensure that they are in a position to effectively carry out these additional responsibilities.

The performance scheme implementation and operation will be realised in reference periods. The first reference period shall cover the calendar years 2012 to 2014 included. The following reference periods shall be of five calendar years.

The Commission shall regularly review the performance scheme, and in particular analyse the impact, the effectiveness and scope of that system, taking appropriate account of work carried out by International Civil Aviation Organisation (ICAO) in this field.

Key Performance Areas and Performance Indicators

The European Commission may adopt further (to safety, environment, capacity and cost-efficiency) key performance areas in accordance with the procedure referred to in Article 5(3) of Regulation (EC) No 549/2004.

For the purpose of target-setting, to each key performance area shall correspond one or a limited number of key performance indicators. The performance of air navigation services shall be assessed by means of binding targets for each key performance indicator. The Commission shall adopt the European Union-wide performance targets after consultation with the authorities, organisations and other stakeholders concerned. The targets may be revised in accordance with the procedure referred to in Article 5(3) of Regulation (EC) No 549/2004.

Key performance indicators should be specific and measurable and allowing the allocation of responsibility for achieving the performance targets. The associated targets should be achievable, realistic and timely and aim at effectively steering the sustainable performance of air navigation services.

The Regulation establishes at annex:

The key performance indicators shall not be changed in the course of a reference period. The Commission shall define for each key performance indicator alert thresholds beyond which the alert mechanisms referred to in Article 18 of the Regulation may be activated.

EU Member States, at national or FAB level, may decide to set up and use additional performance indicators and associated targets to those set by this Regulation for their own performance monitoring and/or as part of their performance plans.

Performance Plans

The NSAs, at either national or FAB level, shall draw up performance plans containing targets consistent with the European Union-wide performance targets and the assessment criteria set out in Annex III of the Regulation. There shall be only one performance plan per Member State or per FAB. Performance plans shall be elaborated in consultation with air navigation service providers, airspace users and other stakeholders concerned.

The performance plans shall contain, in particular:

  • traffic forecasts and determined costs for air navigation services;
  • performance targets in each relevant key performance area, set by reference to each key performance indicator and adequate justification;
  • a description of investment necessary to achieve the performance targets;
  • identification of the different entities, accountable for meeting the targets and their specific contribution;
  • a description of the incentive mechanisms and measures to be applied on the various accountable entities to encourage achievement of the targets;
  • the measures taken by the NSA to monitor the achievement of the performance targets.

The performance plans shall be based on the template set out in Annex II of this Regulation.

The EU Member States shall adopt and communicate to the Commission their performance plans at national or FAB level at the latest six months after adoption of the European Union-wide targets. The Commission shall assess the performance plans for consistency with the EU-wide targets and recommend revisions where needed.

Articles 13 to 16 of this Regulation establsih a mechanism for the assessment of the performance plans and targets, and adoption of revised targets and corrective measures.

The EU Member States shall encourage close cooperation between their NSAs with a view to establishing a performance plan at FAB level. States shall be jointly responsible for the achievement of the performance targets set for the FAB.

Performance Review Body

The European Commission designates the Performance Review Body (PRB) for a fixed term (e.g. 5 years) to assist it in the implementation of the performance scheme. The PRB tasks include but are not limited to the following:

  • collection, examination, validation and dissemination of performance-related data;
  • definition of new or the adaptation of key performance areas and the related key performance indicators;
  • setting up or the revision of European Union-wide performance targets;
  • consistency assessment of adopted performance plans, including performance targets, with the European Union- wide targets;
  • assessment of the revised performance targets or the corrective measures taken by the EU Member States;
  • monitoring, benchmarking and reviewing of the performance of air navigation services, at national or FAB and European Union level;
  • monitoring, benchmarking and reviewing of the performance of the network functions;
  • assessment of the achievement of the performance targets;
  • assistance to NSAs in national or functional airspace block performance issues.

The PRB shall cooperate as appropriate with the EASA to ensure consistency with the objectives and standards established and implemented in accordance with Regulation (EC) No 216/2008 (EASA ‘basic’ Regulation).

EUROCONTROL, acting through the Performance Review Commission (PRC) and supported by the Performance Review Unit (PRU), has been designated as the Performance Review Body (PRB) until 30 June 2015.

Monitoring of the Achieved Performance

The NSAs, at national or FAB level, and the European Commission shall monitor the implementation of the performance plans. If during the reference period targets are not met, the NSAs shall apply the appropriate measures defined in the performance plan to rectify the situation.

In case of a significant and persistent drop in performance in a Member State or a FAB the Commission may request the Member States concerned and national or FAB supervisory authority to define, apply and communicate to the Commission appropriate measures to achieve the targets set in their performance plan.

The EU Member States shall report to the Commission on the monitoring of the performance plans and targets on an annual basis and when performance targets risk not being achieved. The Commission shall report to the Single Sky Committee on the achievement of performance targets at least on an annual basis.

Collection, Validation and Dissemination of Performance Data

National authorities, air navigation service providers, airport operators, airport coordinators and air carriers shall provide to the European Commission the data specified in Annex IV of this Regulation according to the requirements set out in that annex. The data providers shall ensure the quality, validation and timely transmission of the performance related data.

The following information shall be publicly available:

  • general information for the purpose of the objectives set out;
  • performance-related data (to the interested parties concerned);
  • the annual reports from the ongoing monitoring of the overall performance of the ATM network;
  • the European Union-wide targets and a reference to the adopted performance plans.

The Commission may decide to provide other general information on a regular basis to the interested parties concerned, in particular by electronic means.

Amendment

Pursuant to the provisions of Section 1, Annex I of the Regulation the European Commission established a working group consisting of representatives from EASA, EUROCONTROL and the Commission (so-called E3-Task Force) to develop further the safety KPIs set out in Annex I. The working group produced a technical report entitled “Metrics for Safety Key Performance Indicators for the Performance Scheme”. That report was further developed on the basis of the comments received from Member States and the stakeholders and provided the technical concept for the amending Regulation and its associated Acceptable Means of Compliance (AMC) and Guidance Material (GM). The safety KPIs are detailed as follows:

  • 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 NSAs and ANSPs, 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.
  • 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 ATC 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. Reporting on the application of the method shall be done for individual occurrences. When reporting the above occurrences Member States and ANSPs 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.
  • The third national/FAB safety KPI for the first reference period shall be the reporting by the Member States and their ANSPs through a dedicated questionnaire, which measures the level of presence and corresponding level of absence of just culture.

In addition, experience gained from the gradual implementation of 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 performance plans and in order to conduct the necessary dialogue with the national supervisory authorities and to ensure an appropriate justification of the results of that assessment. Therefore, the time limits defined in Article 14 of the Regulation are set from 2 to 4 months.

Entry Into Force and Repeal

This Regulation entered into force in August 2010 and was repealed in 2013 by Regulation 390/2013 - Performance Scheme for Air Navigation Services and Network Functions.

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Further Reading

European Commission

EUROCONTROL