Cross-border provision of air navigation services with specific reference to Europe : safeguarding transparent lines of responsibility and liability

Cross-border provision of air navigation services with specific

reference to Europe : safeguarding transparent lines of responsibility

and liability

Antwerpen, N.A. van

Citation

Antwerpen, N. A. van. (2007, November 29). Cross-border provision of air navigation

services with specific reference to Europe : safeguarding transparent lines of responsibility

and liability. Retrieved from https://hdl.handle.net/1887/12467

Version: Corrected Publisher’s Version

License: Licence agreement concerning inclusion of doctoral thesis in the

Institutional Repository of the University of Leiden

Downloaded from: https://hdl.handle.net/1887/12467

Note: To cite this publication please use the final published version (if applicable).

Cross-border provision of air navigation services with specific reference to Europe:

Safeguarding transparent lines of responsibility and liability

Cross-border provision of Air Navigation Services with

specific reference to Europe:

Safeguarding transparent lines of responsibility and liability

PROEFSCHRIFT

ter verkrijging van

de graad van Doctor aan de Universiteit Leiden,

op gezag van Rector Magnificus prof. mr. P.F. van der Heijden,

volgens besluit van het College voor Promoties

te verdedigen op donderdag 29 november 2007

klokke 11.15 uur

door

Niels van Antwerpen

geboren te Nieuw-Vennep,

in 1975

Promotiecommissie

promotores: prof. dr. P.P.C. Haanappel

prof. mr. L.J. Brinkhorst

co-promotor: dr. P.M.J. Mendes de Leon

referent: dr. F.P. Schubert (CEO Skyguide, Geneva)

leden: prof. B. Havel (DePaul University, Chicago)

prof. dr. S. Hobe (University of Cologne)

prof. mr. J.H. Nieuwenhuis

mr. R.D. van Dam (EUROCONTROL, Brussels)

Een handelseditie zal verschijnen bij uitgeverij Kluwer Law International

te Alphen a/d de Rijn onder ISBN 13 - 9789041126887

For I dipt into the future, far as human eye could see,

Saw the Vision of the world, and all the wonder that would be;

Saw the heavens fill with commerce, argosies of magic sails, Pilots of the purple twilight, dropping down with costly bales;

Heard the heavens fill with shouting, and there rain’d a ghastly dew From the nations’ airy navies grappling in the central blue;

Far along the world-wide whisper of the south-wind rushing warm, With the standards of the peoples plunging thro’ the thunder-storm;

Till the war-drum throbb’d no longer, and the battle-flags were furl’d In the Parliament of man, the Federation of the world.

There the common sense of most shall hold a fretful realm in awe, And the kindly earth shall slumber, lapt in universal law.

From Locksley Hall (1842) Alfred, Lord Tennyson

II__

Acknowledgements

As Leonardo da Vinci said: ‘when once you have tasted flight, you will forever walk the earth with your eyes turned skyward, for there you have been, and there you will always long to return’. I was fortunate in tasting air- and space law and related policy through the post- graduate teaching program of the International Institute of Air and Space Law (Leiden University) by joining its first advanced masters of law program in air- and space law in the summer of 2000. The atmosphere of the institute, its network and, not less important, the classmates of the first year’s teaching program, have heavily contributed to the thoughts and enthusiasm that lies behind this study.

Trying to mould ideas and building paradigm shifts is definitely a challenge and a constant struggle with oneself and, not less important, one’s laptop computer. The colleagues of KLM Royal Dutch Airlines have been of great support. I wish to express my indebtedness in particular to Jan-Ernst de Groot, Barbara van Koppen, Irene Schoute, Ben Berends and the entire team of the Corporate Legal Services.

In relation to the subject to this study, I would like to thank Dr. Tissa Abeyratne, Jiefang Huang and Nicolas Banerjea-Brodeur for their spontaneous assistance to show me the way to various ICAO documents. Furthermore, in order to obtain the most topical information and further insides in the field of European air navigation services, Ann-Frédérique Pothier of EUROCONTROL has been of great support. Also, I thank Prof. Dr. Paul Dempsey of the Institute of Air- and Space Law (McGill University) for making himself available to exchange views and observations on the topic of this study and the beloved Maria D’Amico for her great help and organisational support within McGill University. Lastly, I would like to express my indebtedness to Peter van Fenema and George Tompkins Jr. who were always available to provide advice, joy and laughter.

I must also mention the help of Paula van der Wulp and Judith Sandriman for managing the organisational challenges at the Leiden University and Anna Rich for her loyal support over the years and making herself available for making the final corrections. Also I would like to express my gratitude to Frank Manuhutu who was always there to exchange views, host dinner parties and drinks as well as Jeroen Vink for the cover design. I shall of course, never forget the love, support and patience of my parents, the pater familias Theo van Antwerpen and my friends during all these years that have made the research bearable.

Niels Arnoud van Antwerpen Leiden, November 2007

Table of Contents

ACKNOWLEDGEMENTS ... II TABLE OF CASES ...VI TABLE OF INTERNATIONAL CONVENTIONS AND OTHER AGREEMENTS ... VII LIST OF ABBREVIATIONS AND ACRONYMS ...IX

CHAPTER 1 INTRODUCTION ...11

1.1 TECHNOLOGY AND TRAGEDIES...11

1.2 THE MID-AIR COLLISION NEAR ÜBERLINGEN (LAKE CONSTANCE) ...15

1.3 OBJECTIVE AND RESEARCH QUESTIONS...19

1.4 DIVISION OF CHAPTERS...22

CHAPTER 2 THE INTERNATIONAL LEGAL FRAMEWORK ...25

2.1 INTRODUCTION...25

2.2 PRINCIPLES OF INTERNATIONAL (AIR)LAW...25

2.2.1 State, Territory, Airspace...25

2.2.2 Sovereignty, Jurisdiction and Delegation of National Competencies...26

2.3 ICAO ...29

2.3.1 Institutions ...29

2.3.1.1 The Assembly, Council, Air Navigation Commission, Legal Committee and the Committee on Joint Support of Air Navigation Services... 29

2.3.1.2 The Regional Office, PIRG, RANP and the RAN Meeting ... 31

2.3.2 Framework for the Operation of Air Navigation Services...33

2.3.3 Rulemaking...35

2.3.4 Enforcement ...37

2.4 CONCLUDING REMARKS...41

CHAPTER 3 THE EUROPEAN LEGAL FRAMEWORK ...43

3.1 INTRODUCTION...43

PART 1 ECAC,EUROCONTROL AND THE EUROPEAN COMMUNITY...44

3.2 ECAC ...44

3.3 EUROCONTROL ...45

3.3.1 The Amended Convention...45

3.3.2 The Revised Convention ...48

3.3.3 Provisional Application of the Revised Convention...49

3.3.4 Institutions ...50

3.3.5 Rulemaking...51

3.3.5.1 Non-Safety related rules... 51

3.3.5.2 Safety related rules (ESARR’s)... 53

3.3.6 Enforcement ...54

3.4 EUROPEAN COMMUNITY...56

3.4.1 Rulemaking...56

3.4.2 The Single European Sky Regulations ...58

3.4.2.1 Framework Regulation... 61

3.4.2.2 Service Provision Regulation ... 62

3.4.2.3 Airspace Regulation ... 63

3.4.2.4 Interoperability Regulation ... 64

3.4.3 Enforcement ...64

3.5 PRELIMINARY REMARKS...65

IV Table of contents

PART 2 THE INTERRELATIONSHIP BETWEEN EUROCONTROL AND THE EUROPEAN COMMUNITY

(INCLUDING EASA) ...66

3.6 EUROPEAN COMMUNITY,EUROCONTROL AND EASA...66

3.6.1 The European Community in relation to the Revised Convention...67

3.6.2 EUROCONTROL in relation to the Single European Sky Regulations ...69

3.6.2.1 Non-Safety related rules – A hybrid rulemaking framework (mandates) ... 70

3.6.2.2 A Commentary on non-safety related rules issued under the European Community ... 73

3.6.2.3 Safety related rules (ESARRs) ... 76

3.6.2.4 A Commentary on safety related rules: implementation issues and EASA ... 76

3.6.2.5 EUROCONTROL and the Single Pan-European Sky ... 79

3.7 CONCLUDING REMARKS...80

CHAPTER 4 CROSS-BORDER PROVISION OF AIR NAVIGATION SERVICES...85

4.1 INTRODUCTION...85

4.2 CROSS-BORDER AND EXTRA-TERRITORIAL PROVISION OF AIR NAVIGATION SERVICES...86

4.2.1 Cross-Border Provision of Air Navigation Services...86

4.2.2 Extra-Territorial Provision of Air Navigation Services...87

4.2.2.1 High Seas: Joint Financing, ADIZ and CADIZ... 87

4.2.2.2 Undetermined sovereignty: Antarctica... 91

4.2.3 Autonomy ...93

4.2.3.1 The Netherlands Antilles and Aruba ... 95

4.2.3.2 Hong Kong and Macao ... 97

4.2.4 Preliminary Remarks ...98

4.3 RESPONSIBILITY AND LIABILITY...99

4.3.1 Responsibility ...99

4.3.2 Liability ...104

4.4 CROSS-BORDER ARRANGEMENTS...107

4.4.1 Bilateral Arrangements...108

4.4.1.1 Letters of Agreement... 108

4.4.1.2 Bilateral Agreement ... 109

4.4.1.3 Eurocontrol Model Agreement on the Delegation of Air Traffic Services... 112

4.4.2 Multilateral Arrangements...114

4.4.2.1 Maastricht UACC... 114

4.4.2.2 CEATS... 115

4.4.2.3 NUAC ... 116

4.4.2.4 The draft Eurocontrol Model State Level FAB Agreement... 118

4.4.2.5 COCESNA and ASECNA ... 119

4.5 THE CONCEPT OF THE RESPONSIBILITY OF THE SUPERVISING AUTHORITY...121

4.6 TOWARDS A MULTILATERAL VEHICLE FOR CROSS-BORDER ARRANGEMENTS...129

4.6.1 Amending the Chicago Convention...129

4.6.2 The Regional Air Navigation Plan (RANP) ...130

4.6.3 Positioning the RANP in international law...134

4.6.4 The RANP as a multilateral vehicle ...140

4.7 CONCLUDING REMARKS...142

CHAPTER 5 ORGANISATION OF AIR NAVIGATION SERVICE PROVIDERS IN EUROPE ...147

5.1 INTRODUCTION...147

5.2 CORPORATISATION AND PRIVATISATION...148

5.3 THE ORGANISATION OF AIR NAVIGATION SERVICE PROVIDERS UNDER NATIONAL LAW...154

5.3.1 Luxembourg ...156

5.3.2 Belgium ...156

5.3.3 The Netherlands...157

5.3.4 Germany ...160

5.3.5 Austria ...162

5.3.6 Switzerland ...163

5.3.7 Ireland...164

5.3.8 United Kingdom ...164

Table of contents V

5.4 THE ORGANISATION OF AIR NAVIGATION SERVICE PROVIDERS IN THE EUROPEAN COMMUNITY..167

5.4.1 Air Carrier Transportation: Operating License and Route License ...167

5.4.2 Air Navigation Services: Certification and Designation...169

5.4.3 Service Provision Regulation – Entry into Force ...171

5.4.4 The Organisation of Air Navigation Service Providers ...172

5.4.4.1 Principal Place of Operation and Registered Office (Ownership and Control) ... 172

5.4.4.2 Regulatory... 173

5.4.4.3 Liability... 174

5.5 LIABILITY FOR (CROSS-BORDER)AIR NAVIGATION SERVICES...174

5.5.1 Traditional Liability Concepts...174

5.5.2 The Draft Convention on the Liability for Air Traffic Control ...176

5.5.3 Inter-State Liability Concepts for Cross-Border Service Provision...178

5.6 TOWARDS A HARMONISED CROSS-BORDER LIABILITY REGIME FOR THE EUROPEAN COMMUNITY...181

5.6.1 Conceptual Liability Framework: Inter-State Liability and Third Parties on the Ground ..182

5.6.2 Contractual liability framework for the benefit of aircraft operators...188

5.6.2.1 The Airways Corporation of New Zealand ... 189

5.6.2.2 Draft contractual framework for GNSS (CNS/ATM) ... 191

5.6.2.3 Airports and Airlines... 194

5.6.2.4 Preliminary Remarks... 195

5.7 CONCLUDING REMARKS...197

CHAPTER 6

6.1 INTRODUCTION...201

6.2 ESSENTIAL ELEMENTS FOR CROSS-BORDER PROVISION OF AIR NAVIGATION SERVICES...202

6.3 STRENGNTHENING THE RULEMAKING ROLE OF EUROCONTROL IN THE EUROPEAN COMMUNITY...205

6.4 THE ESTABLISHMENT OF TRANSPARENT LINES OF STATE RESPONSIBILITY BY ALLOCATING RESPONSIBILITY TO THE SUPERVISING AUTHORITY UNDER A MODEL DELEGATION AGREEMENT....207

6.5 THE REGIONAL AIR NAVIGATION PLAN AS MULTILATERAL VEHICLE FOR CROSS-BORDER ARRANGEMENTS...209

6.6 ESTABLISH TRANSPARENT LINES OF (INTER-STATE) LIABILITY FOR THE PROVISION OF CROSS-BORDER AIR NAVIGATION SERVICES...210

6.7 EXTRAPOLATING THE CONCLUSIONS AND RECOMMENDATIONS BEYOND EUROPEAN AIRSPACE....212

APPENDIX I: MODEL AGREEMENT FOR CROSS-BORDER PROVISION OF AIR NAVIGATION SERVICES...215

APPENDIX II: STRUCTURE OF PROPOSAL (GRAPHIC) ...220

SAMENVATTING (SUMMARY IN DUTCH) ...221

BIBLIOGRAPHY ...231

INDEX ...239

CURRICULUM VITAE ...241

VI

Table of Cases

International Court of Justice

Case Concerning the Aerial Incident of 3 July 1988

(Islamic Republic of Iran v. United States of America)……… 137

Case of the S.S. “Wimbledon” (United Kingdom, France, Italy, Japan v. Germany)……….. 28

Chorzów Factory case (Germany v. Poland)……… 100

Interpretation of the Statute of the Memel Territory (United Kingdom, France, Italy, Japan v. Lithuania)……… 94

Lighthouses in Crete and Samos (France v. Greece)……… 93

European Court of Justice

N.V. Algemene Transport- en Expeditie Onderneming Van Gend & Loos v. Nederlandse Administratie der Belastingen (Van Gend en Loos)……… 56

Germany

The Netherlands

New Zealand

United States of America

Beattie et al v. United States of America (1988)………... 92

Blumenthal v. United States of America (1960)……….... 89

D’Aleman v. Pan American World Airways (1958)……….. 89

Faat v. Honeywell Int’l (2005)……….. 17

Richards v. United States of America (1962)……… 89

Smith v. United States of America (1993)………. 93

VII

Table of International Conventions and Other Agreements

The treaties referred to in this study are listed in alphabetical order in accordance with the abbreviations listed below, including the place and date when they were concluded.

Accession Protocol Protocol on the Accession of the European Community to the Eurocontrol International Convention relating to

Co-operation for the safety of air navigation of 13 December 1960, as variously amended and as consolidated by the Protocol of 27 June 1997 (Brussels, 8 October 2002) Amended Convention Protocol Amending the “EUROCONTROL” International

Convention Relating to Co-operation for the Safety of Air Navigation with Annexes 1, 2 and 3 (Amended Convention), 1430 UNTS 279

Antarctic Treaty Antarctic Treaty, 1 December 1959, 402 UNTS 71

ASECNA Convention Convention relative à la création de l’Agence pour la Sécurité de la Navigation Aérienne en Afrique et à Madagascar [The Convention on the creation of the Agency for the Safety of Air Navigation in Africa and Madagascar], as amended in Dakar, 25 October 1974 (Unpublished)

Chicago Convention Convention on International Civil Aviation, 7 December 1994, 15 UNTS 295

Convention on the Law of United Nations Convention on the Law of the Sea, the Sea 10 December 1982, 21 ILM 1261

COCESNA Convention Convenio Constitutivo de la Corporación Centroamericana de Servicios de Navigación Aérea [The Agreement to Constitute the Central American Corporation for Air Navigation Services] (Tegucigalpa, 26 February 1960)

EC Treaty Consolidated Version of the Treaty Establishing the European Community, 2002 OJ (C 325/3-159)

EEC Treaty Treaty Establishing the European Economic Community, 25 March 1957, 298 UNTS 3 (also referred to as

Treaty of Rome)

ESCS Treaty Treaty Establishing the European Coal and Steel Community, 261 UNTS 140

EURATOM Treaty Treaty Establishing the European Atomic Energy Community (EURATOM Treaty), 298 UNTS 167

EUROCONTROL Convention “EUROCONTROL” International Convention Relating to (1960) Co-operation for the Safety of Air Navigation,

523 UNTS 117

VIII

Joint Financing Agreement Agreement on the Joint Financing of Certain Air Navigation (Greenland) Services in Greenland as amended by the Montreal Protocol

of 1982 (ICAO Doc 9585)

Joint Financing Agreement Agreement on the Joint Financing of Certain Air Navigation (Iceland) Services in Iceland as amended by the Montreal Protocol of

1982 (ICAO Doc 9586)

Liability Convention Convention on International Liability for Damage Caused by Space Objects, 29 March 1092, 961 UNTS 187

Montevideo Convention Montevideo Convention on Rights and Duties of States, 26 December 1933, 165 LNTS 19

Montreal Convention Convention for the Unification of Certain Rules for International Carriage by Air, 28 May 1999

(ICAO Doc 9740)

Montreal Protocol The Protocol to Amend the Convention on Damage Caused by Foreign Aircraft to Third Parties on the Surface,

23 September 1978 (ICAO Doc 9148)

Outer Space Treaty Treaty on Principles Governing the Activities of States in the Exploration and Use of Outer Space, including the Moon and other Celestial Bodies, 10 October 1967, 610 UNTS 206 Revised Convention Protocol consolidating the EUROCONTROL International

Convention Relating to Co-operation for the Safety of Air Navigation of 13 December 1960, as variously amended, Brussels, 27 June 1997 (EUROCONTROL, September 1997 Edition)

Rome Convention Convention on Damage Caused by Foreign Aircraft to Third Parties on the Surface, 7 October 1952, 310 UNTS 181 Route Charges Agreement Multilateral Agreement Relating to Route Charges,

12 February 1981, 1430 UNTS 123

Vienna Convention on the Vienna Convention on the Law of Treaties, 23 May 1969, Law of Treaties 8 ILM 679

Warsaw Convention Convention for the Unification of Certain Rules Relating to International Carriage by Air, 12 October 1929,

137 LNTS 11

IX

List of Abbreviations and Acronyms

AASL Annals of Air and Space Law

ADIZ Air Defence Identification Zone AEA Association of European Airlines Air Law Air and Space Law

AJIL American Journal of International Law ANS Air Navigation Services ANSP Air Navigation Service Provider ATC Air Traffic Control ATFM Air Traffic Flow Management ATM Air Traffic Management ATS Air Traffic Services

CADIZ Canadian Air Defence Identification Zone CANSO Civil Air Navigation Services Organisation CDM Collaborative Decision Making

CEATS Central European Air Traffic Services Upper Area Control Centre CHICAGO Chicago Convention

CFMU Central Flow Management Unit CNS Communication, Navigation and Surveillance DOHSA Death on the High Seas Act

EANPG European Air Navigation Planning Group EASA European Aviation Safety Agency

EC European Community

ECAC European Civil Aviation Conference ECR European Court Reports EJIL European Journal of International Law ENPRM Eurocontrol Notice of Proposed Rule Making ERA European Regions Airline Association ESARR Eurocontrol Safety Regulatory Requirement ETS European Treaties Series

EUROCONTROL European Organisation for the Safety of Air Navigation FAA Federal Aviation Administration

FABs Functional Airspace Blocks FBA Functional Blocks of Airspace FIR Flight Information Region FTCA Federal Tort Claims Act FUA Flexible Use of Airspace GNSS Global Navigation Satellite System GPS Global Positioning System

IATA International Air Transport Association ICAO International Civil Aviation Organization ILM International Legal Materials

JALC Journal of Air Law and Commerce LJIL Leiden Journal of International Law LNTS League of Nations Treaty Series LoA Letters of Agreement

Maastricht UACC EUROCONTROL Maastricht Upper Area Control Centre MET Meteorological Services

NILR Netherlands International Law Review NUAC Nordic Upper Area Control centre

X

OJ Official Journal of the European Union

PICAO Provisional International Civil Aviation Organization PIRG Planning and Implementation Regional Group RAN Meeting Regional Air Navigation Meeting

RANP Regional Air Navigation Plan RU Regulatory Unit of EUROCONTROL RVSM Reduced Vertical Separation Minima SES Single European Sky

SESAR Single European Sky ATM Research programme SRC Safety Regulation Commission of EUROCONTROL TCAS Traffic alert and Collision Avoidance System UNTS United Nations Treaty Series

ZLW Zeitschrift für Luft- und Weltraumrecht