ICAO 9660-1996 Air Navigation Services Economics Panel Report on Financial and Related Organizational and Managerial Aspects of Global Navigation Satellite System (GNSS) Provision me.pdf

1、- ICAO 9bb0 * = 484141b OOOb59 T3Y Financial imperatives for accelerating the amendment procedures for regional air navigation plans Allocation of GNSS costs attributable to civil aviation among user States Role of ICAO in financial and administrative aspects of GNSS implementation Supplement DOC 96

2、60 - ANSEP (1996) 3.5.3 3.7.7.2 5.4 INTERNATIONAL CIVIL AVIATION ORGANIZATION REPORT OF THE AIR NAVIGATION SERVICES ECONOMICS PANEL ON FINANCIAL AND RELATEI) ORGANIZATIONAL AND MANAGERIAL ASPECTS OF GLOBAL NAVIGATION SATELLITE SYSTEMS (GNSS) PROVISION AND OPERATION (Montreal, 21 to 29 May 1996) At i

3、ts 21st meeting of its 148th Session on 28 June 1996, the Council examined the Air Navigation Services Economics Panels Report on Financial and Related Organizational and Managerial Aspects of Global Navigation Satellite Systems (GNSS) Provision and Operation, and took the following action with rega

4、rd to the recommendations made in that report: Recommendation No. ANSEP-GNSS/l ANSEP-GNSS/2 ANSEP-GNSS13 ANSEP-GNSW4 ANSEP-GNS S/5 Subject Guarantees of servicing and repayment of loans Co-operation among States in cost recovery Report Reference Paragraph 3.3.3.3 3.4.4 I Action taken fie Council app

5、roved this recommendation The Council approved this recommendation. With regard to part a), the Council requested the Secretary General to advise States accordingly through relevant ICAO documentation and meetings. The Council approved this recommendation and requested that its substance be relayed

6、to Sta- and the Air Navigation Commission. The Council approved this recommendation. The Council approved this recommendation. With regard to part a), the Council requested the Secretary General to prepare a summary outlining the expertise ICAO possesses and the manner in which it could be employed

7、to directly assist States - for consideration by the Council and subsequent circulation to States. COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling Services ICA0 9660 XE = 484343b 0080bb0 756 Doc 9660 AIR NAVIGATION SERVICES ECONOMICS PANEL REPORT ON FINANCIAL AND

8、RELATED ORGANIZATIONAL AND MANAGERIAL ASPECTS OF GLOBAL NAVIGATION SATELLITE SYSTEM (GNSS) PROVISION AND OPERATION (May 1996) Approved by the Panel and published by authority of the Secretary General INTERNATIONAL CIVIL AVIATION ORGANIZATION COPYRIGHT International Civil Aviation OrganizationLicense

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18、841416 O080662 529 m Doc 9660 AIR NAVIGATION SERVICES ECONOMICS PANEL REPORT ON FINANCIAL AND RELATED ORGANIZATIONAL AND MANAGERIAL ASPECTS OF GLOBAL NAVIGATION SATELLITE SYSTEMS (GNSS) PROVISION AND OPERATION COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling Servic

19、esTABLE OF CONTENTS EXECUTIVE SUMMARY iii LIST OF RECOMMENDATIONS . vii INTRODUCTION . 1 Terms of reference . 1 Description of options . 1 Approach to assignment 2 ORGANIZATIONAL ASPECTS 3 General 3 Specific Organizational Aspects Pertaining to the ICAO CNS/ATM Systems . 4 Background . 4 Communicati

20、on satellite services 5 GNSS 5 Air traffic management . 6 Where a GNSS component is a multinational facility or service . 7 Institutional structure . The regulatory chain . 8 Ownership and control 8 Relevance of Article 28 of the Chicago Convention . 9 Competition . 9 FINANCIAL ASPECTS 10 General 10

21、 Costhenefit analysis and economic impact surveys . 10 Funding 10 General . 10 Direct contributions from government(s) . 10 Debtfinancing . 11 Internally generated resources . 11 Equity financing 12 Leasing . 12 Cost-recovery . ICAO policy 12 Relevance of ICAO regional air navigation plans in the co

22、ntext of GNSS cost recovery 13 Determining GNSS costs . 14 Allocation of GNSS costs . 14 Allocation of GNSS costs to other than civil aviation users . 14 Allocation of GNSS costs attributable to civil aviation among user States 15 Allocation at the State level of GNSS costs attributable to civil avi

23、ation . 15 Cost recovery during development and implementation 16 Compensation or assistance to States to cover costs of redundancies and/or relocatiodretraining of personnel 18 Compensation where revenues from redundant facilities exceed costs . 18 Cost-recovery . methodology 18 19 General . 18 Air

24、 navigation services charges COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesICA0 9660 tt W 4841416 O080664 3TL = Royalty payments 20 Licence fee 20 Levies on passengers. freight and/or fuel 20 Application of cost recovery method . 20 Rate of cost recovery

25、 . 21 Liability aspects 21 Consultation with users 21 OBSERVATIONS SPECIFICALLY RELEVANT TO FANS (II) OPTIONS 4 AND 5 . 21 ROLEOFICAO 22 APPENDIX . GLOSSARY OF ABBREVIATIONS 24 . (ii) COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesICAO 9660 * U 4841416 00

26、80665 238 U EXECUTIVE SUMMARY 1. GNSS task are to: The terms of reference for the Air Navigation Services Economics Panel with regard to its “Develop guidance on funding, charging and cost-recovery as well as related organizational and managerial aspects of each of the various options identified by

27、the Special Committee on Future Air Navigation Systems, Phase II (FANS (II) of providing and operating the global navigation satellite systems (GNSS). The five FANS (II) options are described in Table 1. (Paragraphs 1.1 and 1.2). 2. going to call for financial commitments by other States than the Ru

28、ssian Federation and the United States in the immediate future (Le. up to year 2010), the Panel decided first to focus its attention on the provision of integrity monitoring and systems augmentation services under options 1 to 3. (Paragraph 1.3.1). Because the standard positioning service (SPS) alon

29、e through GLONASS and GPS is not 3. be addressed did not so much differ with regard to the individual options. Instead, the main difference in so far as the Panels task was concerned, was whether the implementation of a GNSS component involved one State servicing only its own requirements (such as i

30、n local area augmentation) or whether it might involve a regional or global service (such as for integrity monitoring, wide area augmentation, etc.) Consequently, much of the text in the report applies in the context of all the options although specific reference is made to aspects that apply solely

31、 to options 4 and 5. (Paragraph 1.3.2). It was agreed that the financial and related organizational and managerial aspects needing to 4. (Doc 9161/3) which provides supplementary advice and guidance to what is stated in this report. (Paragraph 1.3.4) Attention is also invited to the ICAO Manual on A

32、ir Navigation Services Economics 5. civil aviation facility is the existence of a policy and associated principles endorsed by the international civil aviation community that would apply to GNSS provision, operation, and use. (Paragraph 2.1.1). Fundamental to the worldwide acceptance and application

33、 of the GNSS as an international 6. The provision of GNSS is not an objective in itself but an important tool if the ever-growing volumes of air traffic are to be handled safely and efficiently. GNSS will in effect be both a means of navigation and a tool of air traffic management. (Paragraph 2.1.2)

34、. 7. which the guidance material on the provision of multinational facilities services developed by ICAO could apply. (Paragraphs 2.2.3.2, and 2.3.1 to 2.3.3). Augmentation with wide area or hemispheric coverage is a multinational facility or service to 8. clear where responsibility lies. This can b

35、e explained by a “regulatory chain” the four key roles of which are: system operation, system provision, service provision, and use of the service. (Paragraphs 2.4.1 and 2.4.2). The organization of GNSS service provision must be as transparent as possible so that it is (iii) COPYRIGHT International

36、Civil Aviation OrganizationLicensed by Information Handling Services ICAO 9660 * 4841416 0080666 174 9. because the State must approve the use of the service within the air space for which it has accepted responsibility; the State must ensure and stipulate that the service meets ICAO SAWS requiremen

37、ts; and, if services are charged for, the charging practices employed by the satellite service operator must be established in accordance with ICAO recommended cost recovery policy and practices. (Paragraph 2.5.1). While ownership normally also entails control this does not necessarily apply to GNSS

38、 10. Convention), States are responsible for GNSS provision. (Paragraphs 2.6.1 and 2.6.2). In accordance with Article 28 of the Convention on International Civil Aviation (Chicago 11. Integrity monitoring in particular and system augmentation to a lesser extent, while having a high aviation profile,

39、 also benefit non-aeronautical users. It is therefore important that allocation of the costs of these services attributable to all users and not only civil aviation precede any cost recovery from civil aviation. Emphasis should be placed on transparency in the financial presentations, and on advance

40、 consultation with users. (Paragraph 2.6.2). 12. would increase efficiency and reduce costs to the users. Civil aviation in terms of numbers of users accounts for a very small and probably declining share of navigation satellite users (current estimates while differing have put this share below ten

41、percent and as low as two percent). However, the precision specifications civil aviation sets are particularly strict which could affect the availability of competition because the relatively small increases in accuracy and reliability requirements could lead to substantial cost increases for the sa

42、tellite operator. (Paragraph 2.7.1). Competition in GNSS provision should be considered in the context of whether or not it 13. unlikely in so far as the SPS is concerned, and has limited prospects in the case of augmentation services, in particular wide area augmentation services. (Paragraph 2.7.2)

43、. In reality it should be expected that because of the heavy investments required competition is 14. commitments to allow for the provision of GNSS should be preceded by appropriate codbenefit analysis and economic impact surveys. paragraph 3.2.1). The decision by a State as to whether, or as is mor

44、e likely, when to enter into financial 15. Attention was focused on the following five sources of financing GNSS services: a) direct contribution from government(s); b) debt financing; c) accumulated excess of revenues over costs (profits); d) equity financing; and e) leasing. (Paragraphs 3.3.1.1 to

45、 3.3.6.1). 16. possible, the servicing and repayment of loans taken to finance GNSS provision, whenever this is appropriate. (Paragraphs 3.3.3.2 and 3.3.3.3, and Recommendation No. ANSEP-GNSS/l). The report recommends that in certain instances a provider State or States guarantee, if 17. which is co

46、ntained in Article 15 of the Chicago Convention, the Statements by the Council to Contracting States on Charges for Airports and Air Navigation Services (Doc 9082/4), and paragraph 9 of the Statement of ICAO Policy on CNS/AM Systems Implementation and Operation. The report recommends that ICAO activ

47、ely promote cooperation among States in the recovery of CNS/ATM costs, and that paragraph 9 of the Statement of ICAO Policy on CNS/AM Systems Implementation and Operation be expanded to reflect this. paragraphs 3.4.1 to 3.4.4, and Recommendation No. Recovery of GNSS through charges must be in confor

48、mity with basic ICAO policy on charges ANSEP-GNSS/2). COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesICAO 9660 * 484L4Lb 0080667 O00 18. provided and listed in the regional air navigation plan(s) concerned. Consequently, it is most important that regional

49、 plans be promptly amended to incorporate the relevant GNSS component(s) once the States involved have agreed the component(s) should form part of the plan(s) concerned. Moreover, it is emphasized that the regional air navigation plans should provide a schedule for the phase-out of facilities made redundant by the provision of GNSS services. The report also recommends that greater attention be given to the financial imperatives for accelerating the amendment procedures for regional air navigation plans. (Paragraphs 3.5.1 to 3.5.3, and Recommendation No.