Legal Regulation of Aircraft Engine Emissions in the Age of Climate Change
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Legal Regulation of Aircraft Engine Emissions in the Age of Climate Change by Jin Liu A thesis submitted to University College London for the degree of Doctor of Philosophy June 2011 Faculty of Laws UCL 1 I, Jin Liu confirm that the work presented in this thesis is my own. Where information has been derived from other sources, I confirm that this has been indicated in the thesis. _____________________________________ Jin Liu 2 Abstract Although the contribution of international civil aviation to climate change seems small (with a global share of just 3.5 percent of emissions of CO 2), the projected growth in air traffic means that it is highly significant. There is thus an urgent need to explore legal regulations for limiting and/or reducing the adverse impacts of aircraft emissions on the environment. This thesis examines the progress which has been made on international aviation emissions abatement and provides an analysis of the reasons for delay. It concludes that the contribution of aviation to climate change is a multi-scalar problem and as such neither conventional top-down international legal regimes, nor any single regulatory instrument can solve it. The research question for this thesis is how to break the deadlock of conventional legal approaches and overcome the barriers to international aviation greenhouse gas emissions abatement. New governance theory provides the theory within which the future of aviation emissions regulation has been explored. Drawing on the scholarly literature on new governance, this thesis argues for a multi-scalar regulatory architecture which simultaneously engages multi-level governance, and a multi-party and multi-instrument approach to the problem. First, multi-level governance includes an international sectoral target on reducing aviation emissions, national efforts in allocating and implementing reduction targets on aircraft operators, and regional cooperation in between, as well as sub-state level governance although this is not a feature of this thesis. Second, a multi-party approach requires efforts from both public and private actors (international organisations such as the UNFCCC and ICAO, nation states, the airline industry and IATA). Finally, a combined use of multiple regulatory instruments (conventional command and control type mechanisms and multiple market-based instruments) should be included. The failure of the UNFCCC to regulate international aviation emissions means that the problem has remained largely unaddressed. Recognizing climate change as a multi-scalar problem that needs multi-scalar regulatory approaches would allow the international aviation emission problem to move beyond the deadlock of conventional inter-state approaches. 3 Acknowledgements I would like to express my sincere gratitude to Prof. Maria Lee for her invaluable guidance through the supervision of this thesis. My respect for her has inspired me to strive to reach my fullest potential in the carrying out of this project. I also express my thanks to Dr. Douglas Guilfoyle for his reading and commenting on various drafts and general support. Mr. Adrianus D. Groenewege provided his generous and unfailing assistance. His help gave me access to the latest information in the airline industry. My appreciation also extends to Dr. Ricardo Martinez-Botas, Reader at Mechanical Engineering Department, Imperial College London, and my friend Lawrence Tse, for their kind help with the information on aviation technology. Without their assistance, the completion of this work would have proven impossible. I must also thank the Overseas Research Students Award Scheme (ORS Award Scheme) and University College London for a doctoral scholarship enabling me to carry out this project. Finally, I extend my heartfelt gratitude to my parents and my husband for their unwavering support and understanding during all of these years. 4 TABLE OF CONTENTS ABSTRACT ......................................................................................................3 ACKNOWLEDGEMENTS ................................................................................4 ABBREVIATIONS.............................................................................................8 Chapter 1. Introduction...................................................................................................9 1. The Thesis...............................................................................................................9 2. Description of the Thesis ......................................................................................12 3. Research Methodology .........................................................................................25 Chapter 2. Climate Change and Aviation .....................................................................28 1. Introduction...........................................................................................................28 2. Climate Change.....................................................................................................29 3. Aviation and Climate Change ...............................................................................32 3.1. Effects of Aviation on Climate .......................................................................32 3.2. Challenges of Regulating Aviation Emissions ...............................................35 3.3. Regulating Aviation Emissions.......................................................................40 4. Conclusion ............................................................................................................45 Chapter 3. Aviation Emissions in International Law....................................................47 1. Introduction...........................................................................................................47 2. The Development of the International Regime.....................................................49 3. The Vagueness of the Ultimate Objective.............................................................52 4. The Inadequacy of the Mitigation Targets ............................................................56 4.1. Annex I countries............................................................................................56 4.2. Non-Annex I countries ...................................................................................60 4.3. Burden Sharing...............................................................................................64 4.3.1. The Role of CBDR in the Climate Change Regime ................................64 4.3.2. The Nature of CBDR ...............................................................................68 4.3.3. Various Approaches on Differential Treatment........................................74 4.4. Conclusion......................................................................................................87 5. Moving Forward on Aviation................................................................................87 5.1. A Sectoral Approach.......................................................................................88 5.2. Burden Sharing in Respect of Aviation Emissions.........................................91 5.2.1. Allocating Emissions ...............................................................................92 5.2.2. The Developed/Developing Country Dichotomy ....................................96 5.2.3. Summary..................................................................................................99 6. Conclusion ..........................................................................................................100 Chapter 4. ICAO’s Failure in Regulating Aircraft Engine Emissions........................102 5 1. Introduction.........................................................................................................102 2. Why did Kyoto Protocol Require ICAO to Work on Aviation Emissions? ........104 2.1. The Universal Participation in ICAO...........................................................105 2.2. ICAO’s Technical Expertise.........................................................................108 2.3. ICAO’s SARPs on Aircraft Engines.............................................................111 2.4. Conclusion....................................................................................................112 3. ICAO’s Advantages are not unproblematic ........................................................113 3.1. Moving beyond Technical Competence .......................................................113 3.2. The Effectiveness of Annex 16 Volume II....................................................115 3.3. Conclusion....................................................................................................117 4. Inherent Limitations of ICAO.............................................................................118 4.1. ICAO’s Aims ................................................................................................118 4.2. ICAO’s Rule-making Function ....................................................................124 4.2.1. The Concept of SARPs and their Legal Status ......................................124 4.2.2. The Procedure of Creating SARPs.........................................................128 4.3. Conclusion....................................................................................................131 5. The Role of ICAO in the Future .........................................................................132