ANNEX XIII — SPECIFIC REQUIREMENTS ON INCENTIVE SCHEMES REFERRED TO IN ARTICLE 11(3)

1.       MODULATION OF PIVOT VALUES

1.1.    For en route air navigation services

Where a national supervisory authority decides to apply a modulation mechanism of en route pivot values in accordance with points (c)(ii), (g)(iii) and (v) of Article 11(3), this modulation mechanism may follow one or both of the points below:

(a)     enable significant and unforeseen changes in traffic to be taken into account, in which case the pivot value for year n shall be informed by the reference value at the level of each air navigation service provider from the November release of year n-1 of the Network Operations Plan;

(b)     limit the scope of incentives to cover only delay causes related to ATC capacity, ATC routing, ATC staffing, ATC equipment, airspace management and special events with the codes C, R, S, T, M and P of the ATFCM user manual.

1.2.    For terminal air navigation services

Where a national supervisory authority decides to apply a modulation mechanism of terminal pivot values in accordance with points (c)(ii), (g)(iii) and (v) of Article 11(3), this modulation mechanism may follow one or both of the points below:

(a)     enable significant and unforeseen changes in traffic to be taken into account, in which case the pivot value for year n shall be modulated on the basis of objective and transparent principles defined in the performance plan.

(b)     limit the scope of incentives to cover only delay causes related to ATC capacity, ATC routing, ATC staffing, ATC equipment, airspace management and special events with the codes C, R, S, T, M and P of the ATFCM user manual.

2.       CALCULATION OF FINANCIAL ADVANTAGES AND DISADVANTAGES

2.1.    For en route air navigation services

(a)     The financial advantage referred to in point (e) of Article 11(3) shall be calculated as a percentage of the determined costs of year n and recovered from airspace users through an increase of the unit rate in year n+2 where the deviation of the average ATFM delay per flight in year n below the pivot value is greater in absolute value than the lower bound of the symmetric range referred to in point (d) of Article 11(3).

The percentage of the determined costs shall, from the lower bound of the symmetric range up to the alert threshold referred to in point (b)(iii) of Article 9(4), follow a smooth sliding scale with the maximum fixed percentage to be applied where the deviation of the average ATFM delay per flight in year n below the pivot value is in absolute value equal to or greater than the value of the alert threshold.

(b)     The financial disadvantage referred to in point (f) of Article 11(3) shall be calculated as a percentage of the determined costs of year n and reimbursed to airspace users through a reduction of the unit rate in year n+2 where the deviation of the average ATFM delay per flight in year n above the pivot value is greater in absolute value than the upper bound of the symmetric range referred to in point (d) of Article 11(3).

The percentage of the determined costs shall, from the upper bound of the symmetric range up to the alert threshold referred to in point (b)(iii) of Article 9(4), follow a smooth sliding scale with the maximum fixed percentage to be applied where the deviation of the average ATFM delay per flight in year n above the pivot value is in absolute value equal to or greater than the value of the alert threshold.

2.2.    For terminal air navigation services

(a)     The financial advantage referred to in point (e) of Article 11(3) shall be calculated as a percentage of the determined costs of year n and recovered from airspace users through an increase of the unit rate in year n+2 where the actual arrival ATFM delay per flight in year n is smaller than the lower bound of the symmetric range referred to in point (d) of Article 11(3).

The percentage of the determined costs shall, from the lower bound of the symmetric range down to 50 % of the pivot value, follow a smooth sliding scale with the maximum fixed percentage to be applied where the actual arrival ATFM delay per flight in year n is equal to or lower than 50 % of the pivot value.

(b)     The financial disadvantage referred to in point (e) of Article 11(3) shall be calculated as a percentage of the determined costs of year n and reimbursed to airspace users through a reduction of the unit rate in year n+2 where the actual arrival ATFM delay per flight in year n is greater than the upper bound of the symmetric range referred to in point (d) of Article 11(3).

The percentage of the determined costs shall, from the upper bound of the symmetric range up to 150 % of the pivot value, follow a smooth sliding scale with the maximum fixed percentage to be applied where the actual arrival ATFM delay per flight in year n is equal to or greater than 150 % of the pivot value.