ICAO CIRCULAR 284-2002 Privatization in the Provision of Airports and Air Navigation Services《机场和空中导航服务提供中的私有化》.pdf

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15、Handling ServicesCopyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-FOREWORD 1. Many changes have occurred in recent years in ownership and management in the provision of airpor

16、ts and, to a lesser extent, air navigation services. The changes have generally been thought of as “privatization”. However, these changes can take various forms, and while they generally reflect a move away from government ownership and management, they do not necessarily (and indeed rarely) denote

17、 outright privatization per se, particularly as regards ownership. This underlies the need expressed by States for guidance in this area from ICAO. 2. This circular responds, in part, to that need. It presents information on developments taking place in various parts of the world in ownership and ma

18、nagement in the provision of airports and air navigation services, provides definitions and analyses of the options available, together with the possible implications of these options, and discusses major issues to be examined by States when considering a change in ownership and management. It also

19、brings to the notice of States important provisions of the Convention on International Civil Aviation (Doc 7300) and other ICAO policy and guidance documents regarding regulatory measures and the need for providing safeguards. 3. The guidance in this circular takes into account the wide range of cir

20、cumstances faced by providers of airports and air navigation services in various regions and individual States. It is nevertheless based on the international policies and principles on airports and air navigation services management that States have developed through ICAO. The basis for these polici

21、es and principles is set forth in Article 15 of the Convention. Extensive guidance for Contracting States was developed by the Council and is contained in ICAOs Policies on Charges for Airports and Air Navigation Services (Doc 9082), which was revised and updated by the Council in December 2000. The

22、 guidance material presented in this circular is consistent with and complementary to the guidance provided in both the Airport Economics Manual (Doc 9562) and the Manual on Air Navigation Services Economics (Doc 9 16 1) and takes into consideration relevant recommendations adopted during the Confer

23、ence on the Economics of Airports and Air Navigation Services (ANSConf 2000, Montreal, 19-28 June 2000) and subsequently approved by the Council. 4. This circular was prepared by the Secretariat. Various ICAO publications referenced in the text were the principal reference sources, with valuable inp

24、ut being provided by States and intemational organizations directly or through the ICAO programme of regional workshops on Airport and Route Facility Management (WARM) and ad hoc seminars. COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesCopyright Internati

25、onal Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-TABLE OF CONTENTS Page EXECUTIVE SUMMARY . (VI 1 CHAPTER 1 - INTRODUCTION mirposeofthecircular 1 Airports 1 Air navigation services . Monopoly ch

26、aracteristics . ICAO policy on the choice of organizational format . 1 1 2 3 CHAPTER 2 - DESCRIPTION OF TERMS General 3 Privatization 3 Private participationPrivate involvement . Corporatization 4 Autonomy 4 Commercialization 4 . 3 . . 5 . 5 5 6 6 7 8 9 Useofrevenues . 10 1 1 12 CHAPTER 3 - DEVELOPM

27、ENTS IN OWNERSHIP AND MANAGEMENT . Growth of air transport Autonomous authorities Private participation and privatization as part of global trends Motivation for private participation and privatization . Movement towards private participation and privatization in stages Forms of private participatio

28、n Private sector ownership, control and management . Pricingregulation 9 Special considerations regarding air navigation services . Impact of private participation and privatization . . CHAPTER 4 - ICAO POLICIES AND GUIDANCE Obligations of States under the Convention . Other international treaties a

29、nd agreements ICAOs policies on charges for airports and air navigation services 13 13 14 Safety and security . 14 14 . 16 16 16 CHAPTER 5 - OWNERSHIP AND MANAGEMENT OPTIONS . Application of options 16 Approach to the selection of an option . Options available to States Air navigation services . 17

30、(iii) COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesCopyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-(iv) ICA0 Circular 284-AT/12

31、0 Page CHAPTER 6 . PREPARING FOR CHANGE LN OWNERSHIP AND MANAGEMENT STRUCTURE. INCLUDING REGULATORY ASPECTS . 18 Planning . 18 Consultation . 18 Study of financial and managerial situation . 19 Selection of an ownership and management option . 19 Management of residual facilities and services 19 Uti

32、lization of revenue from private participation and privatization . 19 Change to legal framework 20 Independent mechanism for oversight . 20 Other regulatory aspects . 21 Human resources issues . 22 CHAPTER 7 . SELECTION OF PRIVATE PROVIDER AND CONTRACT DOCUMENTATION 23 General . 23 Requirements of t

33、he bidding process . 23 Transparency 23 Shortlistingofbidders 24 Contract documentation 24 Expertadvice . 24 RiskstoStates 25 CONCLUDING REMARKS 26 GLOSSARY OF TERMS . 27 COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesCopyright International Civil Aviatio

34、n Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-EXECUTIVE SUMMARY INTRODUCTION 1. Changes in the ownership and management structure in the provision of airports developed slowly until the late 1970s and were pri

35、marily limited to the establishment of autonomous authorities owned by governments. Recently, however, private participation and privatization in the provision of airport services and, to a limited extent, air navigation services have been gaining momentum (paragraphs 1.2 and 1.3 refer). 2. Airports

36、 and air navigation services are, in essence, monopolies upon which users are highly dependent. With privatization and private participation in the provision of these services, it is important for governments to ensure that monopoly power is not abused (paragraph 1.4 refers). DESCRIPTION OF TERMS 3.

37、 In the context of changes in ownership and management in the provision of airports and air navigation services, a number of terms are currently being used in various forums with different meanings. Accordingly, it is necessary to define the principal terms used in this context to eliminate any ambi

38、guity. Privatization, which is the most commonly used word in connection with the changes taking place, connotes either full ownership or majority ownership of facilities and services by the private sector. Two common phrases, private participation and private involvement, which are basically synony

39、ms, describe situations in which the private sector plays a role in ownership, management or both, but majority ownership remains with the government. A number of other terms are defined in the Glossary of Terms (paragraphs 2.1, 2.2 and 2.3 refer). DEVELOPMENTS IN OWNERSHIP AND MANAGEMENT 4. Privati

40、zation and private participation in the provision of airport services has been part of the general process of globalization and liberalization of the economies of the world and the movement toward privatization of commercially oriented industries and services managed by States or State-owned entitie

41、s. A number of other factors, such as financial problems faced by States in airport development, the need to reduce budgetary deficits and the emergence of a global airport management industry, have motivated States to move towards privatization and private participation (paragraphs 3.8, 3.9, 3.10,

42、3.1 1 and 3.12 refer). 5. In almost all States in which privatization or private participation has taken place, regulatory authorities exist or have been established in some form to ensure that monopoly power is not abused, especially in the case of aeronautical charges. However, regulations in rega

43、rd to rents and other charges are generally lax or non-existent (paragraph 3.2 refers). COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesCopyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction

44、 or networking permitted without license from IHS-,-,-(vi) ICAO Circular 284-AT/120 ICAO POLICIES AND GUIDANCE 6. The Convention is binding on ail Contracting States, and while it does not prevent them from delegating functions to private entities, the responsibility for ensuring that ali the provis

45、ions of the Convention are fully complied with rests with States (paragraph 4.1 refers). 7. Certain safeguards are considered essential if privatization or private participation is to be undertaken. Of special significance is Article 28 of the Convention, which places on each Contracting State the r

46、esponsibility for the provision of airports and air navigation services in its territory in accordance with the Standards and Recommended Practices. Articles 11 and 15 of the Convention provide for non-discrimination between Contracting States. Article 15 deals with basic charging principles (paragr

47、aphs 4.1,4.2 and 4.3 refer). 8. ICAO guidance material developed on the basis of the principles of the Convention, including policy guidance on charges for airports and air navigation services, is contained in ICAOs Policies on Charges for Airports and Air Navigation Sewices (Doc 9082). The Airport

48、Economics Manual (Doc 9562) and the Manual on Air Navigation Services Economics (Doc 9161) provide practical guidance (paragraph 4.8 refers). OWNERSHIP AND MANAGEMENT OPTIONS 9. This circular does not specify the best option for global application. The choice of option would need to be country-speci

49、fic and probably airport-specific. The most appropriate choice can be determined only after a specific study (paragraph 5.2 refers). 10. Broadly, States have the following ownership and management options for their airports: a) government ownership; b) management contract; c) lease or concession; d) transfer of minority ownership; and e) private sector ownership and cont