ICAO 9082-2009 ICAO磗 Policies on Charges for Airports and Air Navigation Services Eighth Edition《ICAO机场和空中导航服务收费手册 第8版》.pdf

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1、Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-OAC/. Doc 9082 ICAOs Policies on Charges for Airports and Air Navigation Services Approved by the Council and published by its

2、 decision Eighth Edition 2009 International Civil Aviation Organization Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Published in separate Arabic, Chinese, English, French

3、, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 University Street, Montreal. Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at www icao int Sixth edition 2001 Seventh editio

4、n 2004 Eighth edition 2009 ICAO Doc 9082, ICAOs Policies on Charges for Airports and Air Navigation Services Order Number 9082 ISBN 978-92-9231-243-5 ICAO 2009 All rights reserved No part of this publication may be reproduced, stored in a retneval system or transmitted in any form or by any means, w

5、ithout pnor permission in wnting from the International Civil Aviation Organization Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-AMENDMENTS Amendments are announced in the

6、 supplements to the Catalogue of ICAO Publications; the Catalogue and its supplements are available on the ICAO website at www.icao.mt. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS No Date 1 Entered by CORRIGENDA No Date Entered by (

7、Hi) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-TABLE OF CONTENTS FOREWORD 1 I. GENERAL 3 Financial situation . 3 Scope and proliferation of charges 3 Organizational and

8、managenal issuesAutonomy and pnvatizationInternational cooperation . 4 Best practices 4 Charges collection . . 4 Economic oversightEconomic performance and minimum reporting requirements 5 Consultation with users 5 ChargesAirport and air navigation services planning 6 Consultation process 6 First-re

9、sort mechanismOther factors affecting the economic situation of airports and air navigation sen/ices 7 II. ICAOS POLICIES ON AIRPORT CHARGES 8 The cost basis for airport chargesAirport charging systems 9 Pre-funding of projects . 10 Currency issues 1Landing charges 1 Parking and hangar chargesPassen

10、ger service charges 2 Security chargesNoise-related charges 3 Emissions-related aircraft charges to address local air quality problems at or around airports 1Development of revenues from concessions, rental of premises and “free zones“ 14 Fuel concession fees 1III. ICAOS POLICIES ON CHARGES FOR AIR

11、NAVIGATION SERVICES 15 The cost basis for air navigation services charges 1Allocation of costs of air navigation services among aeronautical users 16 Air navigation services charging systemsPre-funding of projects 17 Currency issues 8 Approach and aerodrome control charges 1Route air navigation serv

12、ices chargesCharges for air navigation services used by aircraft when not over the provider State 19 M Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-ICAOS Policies on Charg

13、es for (vi) Airports and Air Navigation Sen/ices APPENDIX 1 21 Guide to the facilities and services to be taken into account in determining airport costs APPENDIX 2 5 Guide to the facilities and services to be taken into account in determining the total costs of air navigation services APPENDIX 3 7

14、Glossary of terms I Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-FOREWORD 1 ICAOs Policies on Charges for Airports and Air Navigation Services contain the recommendations

15、and conclusions of the Council resulting from ICAOs continuing study of charges in relation to the economic situation of airports and air navigation services provided for international civil aviation The policies, which are intended for the guidance of Contracting States, are mainly based on the rec

16、ommendations made in this field by the vanous conferences on the economics of airports and air navigation services which are held regularly by ICAO The last such conference took place in Montreal from 15 to 20 September 2008 (Doc 9908 Report of the Conference on the Economics of Airports and Air Nav

17、igation Services (CEANS) refers) 2 ICAOs commitment in the field of airport and air navigation services charges has its pnncipal ongin in Article 15 Airport and similar charges, of the Convention on International Civil Aviation This commitment has found further expression in the Organizations Consol

18、idated Statement of Continuing ICAO Policies in the Air Transport Field, which IS updated at each regular Session of the Assembly, currently, in Resolution A36-15, Appendix F Airports and air navigation sen/ices, the Assembly, inter alia, requests the Council to ensure that the guidance and advice c

19、ontained in Doc 9082 are current and responsive to the requirements of Contracting States 3 The Council wishes to draw attention to the distinction between its policies and guidance on charges contained in this document, the policies on customs duty in Article 24 of the Convention on International C

20、ivil Aviation, and the Councils policies and guidance on taxation set out in ICAOs Policies on Taxation in the Field of International Air Transport Doc 8632), which address taxation of fuel, lubncants and other consumable technical supplies, as well as taxation of income of international air transpo

21、rt enterpnses and aircraft and other moveable property, and taxes on the sale and use of international air transport As considered by the Council, a charge is a levy that is designed and applied specifically to recover the costs of providing facilities and services for civil aviation, and a tax is a

22、 levy that is designed to raise national or local government revenues, which are generally not applied to civil aviation in their entirety or on a cost-specific basis 4 In developing these policies the Council has noted with concern that the problems involved in providing and maintaining the airport

23、 and air navigation facilities and services required by the Regional Air Navigation Plans are particularly senous for the less advanced economies, principal among these problems being the limited financial resources available for economic development in general, the higher pnonty assigned to other s

24、ectors of the economy whose needs are considered more urgent, the under utilization of airports and air navigation services, the high cost of obtaining equipment from other States and the difficulties in recruiting and retaining sufficient numbers of qualified personnel The Council will continue to

25、take appropnate action towards obtaining more assistance for the States concerned in planning and financing airport and air navigation infrastructure as well as with regard to the provision of adequate human resources 5 With respect to environmental charges, a new paragraph has been introduced in th

26、is edition of Doc 9082 in addition to the existing paragraph on noise-related charges to cover local air quality (LAQ) emissions-related charges (see paragraph 39) 6 Further to a suggestion ansing from a previous Conference (ANSConf 2000, held in June 2000), the Council decided to disseminate infonn

27、ation received from States on their implementation of the basic cost recovery pnnciples applicable to charges for airports and air navigation services, as set out in paragraphs 30 The cost basis for airport charges), 31 Airport charging systems), 44-45 (The cost basis for air navigation ser/ices cha

28、rges), 46 (Allocation of costs of air navigation sen/ices among aeronautical users) and 47 (Air navigation ser/tces charging systems) of the present document This information is published on the ICAO website (http /www icao int) in the form of a supplement to this document and is updated from time t

29、o time 1 Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-ICAOs Policies on Charges for 2 Airports and Air Navigation Services 7 A glossary of terms as used tn the present pol

30、icies on charges is contained in Appendix 3 To assist States in the implementation of the policies, the ICAO Secretanat has developed and maintains two manuals the Airport Economics Manual (Doc 9562) and the Manual on Air Navigation Services Economics (Doc 9161) Parallel Assembly and Council policy

31、on the regulation of air earners is contained in Policy and Guidance Matenal on the Economic Regulation of International Air Transport Doc 9587), which is similarly complemented by a Manual on the Regulation of International Air Transport (Doc 9626) Information on the airport and air navigation serv

32、ices charges actually levied in States IS updated and published annually m the Tanffs for Airports and Air Navigation Senfices Doc 7100), while traffic and financial data for airports and air navigation services are collected through statistical forms and penodic surveys which are published on ICAOs

33、 websites (http /www icao int and http /www icaodata com, respectively) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-I. GENERAL Financial situation 8. The Council notes th

34、at the financial situation of airports, as well as that of air navigation services providers (ANSPs), are in a stage of evolution, and that the financial situation of their primary users, the scheduled airlines, generally fluctuates with the performance of national, regional and global economies. Sc

35、ope and proliferation of charges 9. The Council recommends that States: i) Permit the imposition of charges only for services and functions which are provided for, directly related to, or ultimately beneficial for, civil aviation operations; and ii) Refrain from imposing charges which discriminate a

36、gainst international civil aviation in relation to other modes of international transport. 10. In this regard the Council is concerned over the proliferation of charges on air traffic and notes that the imposition of charges in one jurisdiction can lead to the introduction of charges in another juri

37、sdiction. Organizational and managerial issues Autonomy and privatization 11. The Council observes that experience gained woddwide indicates that where airports and air navigation services have been operated by autonomous entities their overall financial situation and managerial efficiency have gene

38、rally tended to improve. Many of these autonomous entities have been established by governments although the operation of many such entities, in particular those operating airports, has since been transferred partly or completely to private enterprises. 12. The Council, therefore, recommends that wh

39、ere this is economically viable and in the best interest of providers (airports and ANSPs) and users, States consider establishing autonomous entities to operate their airports or air navigation services, recognizing that in some circumstances a single entity may operate both airports and air naviga

40、tion services, andthat the entity may be in the form of an autonomous civil aviation authority. 13. The Council emphasizes with regard to private involvement that States, when considering the commercialization or privatization of airports and ANSPs, bear in mind that the State is ultimately responsi

41、ble for safety, security, and, in view of the potential abuse of dominant position by airports and ANSPs, economic oversight of their operations. 14. The Council also wishes to stress that whenever an autonomous entity is established, whether by a government or by private interests, to operate an ai

42、rport(s) and/or air navigation services, the State should ensure that 1. Historical trends and recent information on the financial situation of the various parties may be found on ICAOs websites (see paragraph 7). 3 Copyright International Civil Aviation Organization Provided by IHS under license wi

43、th ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-4 ICAOs Policies on Charges for Airports and Air Navigation Sen/ices all relevant obligafions of the State specified in the Convention on International Civil Aviation, its Annexes and in air services agreements

44、 are complied with and that ICAOs policies and practices, such as those contained in the present policies on charges, are observed. International cooperation 15. The Council encourages international cooperation through a regional approach in the provision and operation of air navigation services whe

45、re this is beneficial for the providers and users concemed and with a view to facilitating the efficient and cost-effective implementation of the ICAO Global Air Traffic Management (ATM) Operational Concept on the basis of the guidance provided in the Global Air Navigation Plan (Doc 9750). (See also

46、 paragraphs 17 and 27.) Best practices 16. The Council considers that States should review the governance structure of their airports and ANSPs and ensure the use of best practices of good corporate governance, as applicable, with regard to: objectives and responsibilities of the entifies; sharehold

47、ers rights and their treatment; responsibilities of the board; power and accountability of management; relationship with interested parties; and disclosure of informafion. In order to promote transparency, efficiency and cost-effectiveness. in the provision of an appropriate quality of services and

48、facilities, airports and ANSPs should apply the principles of best practices in all areas of their business. Charges collection 17. For the successful collection of charges for airports and ANSPs, it is essential that a collection policy be established by an airport or ANSP, or where applicable by a State, and that the following functions be up-to-date: national legislation; accurate invoicing; comprehensive and updated databases on airiines; a transparent cost recovery system with fair and equal treatment of all users; precise and correct accounting; credit control; and enforced recovery