Zurich Open Repository and Archive University of Zurich Main Library Strickhofstrasse 39 CH-8057 Zurich www.zora.uzh.ch Year: 2012 European Union policymaking in the field of air traffic management :the endeavor to implement functional airspace blocks in light of fragmented national interests : a case study on the Functional Airspace Block Europe Central (FABEC) Ladenbauer, Siegfried Abstract: The provision of air navigation services (ANS) is a sovereign prerogative of individual na- tion states. As a result, today’s European air traffic management (ATM) system is highly fragmented, impeding smooth and efficient traffic flows and causing delays and additional costs for airspace users. As earlier attempts to integrate ATM in Europe did not overcome the problem of fragmentation, the European Commission launched the Single European Sky (SES) initiative in 1999. One key element of SES is so-called functional airspace blocks (FABs), which encompass the airspace of several states. However, due to their strong impact on national sovereignty, the successful implementation of FABs is difficult. This study attempts to identify the supporting and constraining elements affecting FABdevel- opment by analyzing one of the most significant FAB projects, the Functional Airspace Block Europe Central (FABEC). It reverts to two theories of political integration offering conflicting viewpoints on the factors that are supposed to be decisive for the progress of integration. The study concludes that, with regard to the implementation of FABs, the EU is considerably limited by the sovereign interests of states. Although supranational pressure is steadily growing as the European Commission makes extensive and intelligent use of its regulatory capacity, the legal basis is missing to allow it to take supranational decisions in respect of national airspace and infrastructure. Governments, in turn, are keen on main- taining national supremacy in military issues and do not support far-reaching steps of integration in ANS provision at this time. Moreover, national service providers find themselves in an environment dominated by competition rather than cooperation, as they may be faced with structural and financial losses. In order to achieve the goals of SES, the European Commission thus should consider measures to incentivize cooperative behavior between ANS organizations. Flugsicherung ist eine hoheitliche Auf- gabe. Die daraus resultierende Fragmentierung des europäischen Flugsicherungssystems behindert einen effizienten Verkehrsfluss und hat für die Luftraumnutzer Verspätungen und Mehrkosten zur Folge. Weil frühere Integrationsversuche erfolglos blieben, lancierte die Europäische Kommission im Jahr 1999 die Initiative zur Schaffung eines Single European Sky (SES). Wesentliches Element des SES sind sogenan- nte funktionale Luftraumblöcke (functional airspace blocks, FABs), die den Luftraum mehrerer Staaten umfassen. Die damit verbundene Beschneidung staatlicher Souveränität erschwert jedoch die erfolgreiche Umsetzung solcher FABs. Die vorliegende Studie identifiziert begünstigende und hemmende Faktoren für die Entstehung von FABs anhand eines der bedeutendsten FAB-Projekte, dem Functional Airspace Block Europe Central (FABEC). Sie greift dabei auf zwei politische Integrationstheorien zurück, welche konträre Auffassungen über die treibenden Kräfte in Integrationsprozessen vertreten. Die Studie kommt zum Schluss, dass die souveränen Interessen der Staaten die Handlungsfähigkeit der EU in Bezug auf die Errichtung funktionaler Luftraumblöcke stark einschränken. Obwohl die Europäische Kommission durch geschickte Wahrnehmung bestehender regulatorischer Kompetenzen stetig an Einfluss gewinnt, verfügt sie über keine rechtliche Grundlage um über nationale Lufträume und Infrastrukturen zu entscheiden. Die staatlichen Regierungen sind ihrerseits darauf bedacht, die nationale Hoheit in militärischen An- gelegenheiten zu bewahren und unterstützen gegenwärtig keine weitreichenden Integrationsschritte im Bereich der Flugsicherung. Darüber hinaus finden sich die nationalen Flugsicherungsorganisationen eher in einem auf Wettbewerb statt auf Zusammenarbeit ausgerichteten Umfeld wieder, da Integration mit strukturellen und finanziellen Verlusten einhergehen könnte. Zur Erreichung der Zielsetzungen desSES sollte die Europäische Kommission deshalb Massnahmen in Betracht ziehen, welche die Flugsicherungsan- bieter zu kooperativem Verhalten bewegen. Posted at the Zurich Open Repository and Archive, University of Zurich ZORA URL: https://doi.org/10.5167/uzh-164116 Dissertation Published Version Originally published at: Ladenbauer, Siegfried. European Union policymaking in the field of air traffic management : the endeavor to implement functional airspace blocks in light of fragmented national interests : a case study on the Functional Airspace Block Europe Central (FABEC). 2012, University of Zurich, Faculty of Arts. 2 European Union Policymaking in the Field of Air Traffic Management The endeavor to implement functional airspace blocks in light of fragmented national interests A case study on the Functional Airspace Block Europe Central (FABEC) Thesis presented to the Faculty of Arts of the University of Zurich for the Degree of Doctor of Philosophy by Siegfried Ladenbauer of Nürensdorf ZH Accepted in the spring semester 2012 on the recommendation of Prof. Dr. Dieter Ruloff and Prof. Dr. Dirk Lehmkuhl Zurich, 2012 For my parents and family in Austria and Sweden. I EXECUTIVE SUMMARY Background The provision of air navigation services (ANS) is a sovereign prerogative of individual na- tion states. As a result, today’s European air traffic management (ATM) system is highly fragmented, impeding smooth and efficient traffic flows and causing delays and additional costs for airspace users. As earlier attempts to integrate ATM in Europe did not overcome the problem of fragmentation, the European Commission launched the Single European Sky (SES) initiative in 1999. One key element of SES is the introduction of so-called func- tional airspace blocks (FABs), which are to be designed no longer to reflect national boundaries, but according to operational requirements, and encompassing the airspace of several states. As FABs have a strong impact on national sovereignty, the present study aims to answer the question of whether the European Union will be successful in promot- ing their implementation. The specific case analyzed for this purpose is the Functional Airspace Block Europe Central (FABEC). As it covers the area with the highest air traffic density in Europe, FABEC plays a paramount role for the Single European Sky. A first significant institutional step was taken when a treaty between FABEC member states was signed at the end of 2010. However, although bi- and multilateral collaboration between air navigation service providers in the FABEC area has intensified, major challenges pre- vail in terms of functional airspace redesign and in the attempt to find specific institutional arrangements that go beyond simple forms of cooperation. Theoretical and methodological approach To identify the supporting and constraining elements affecting FAB development, the study reverts to two theories of political integration offering conflicting viewpoints on the factors that are supposed to be decisive for the progress of integration. The liberal inter- governmentalist account proposes a ‘bottom-up’ perspective, in which domestic societal actors determine the need for enhanced cooperation in a specific policy area. This need is II Executive Summary subsequently accommodated by national governments and taken to an international nego- tiation setting, where the level of integration is ‘bargained’ between states. Supranational organizations only play a minor role in this context and merely serve as facilitators of ne- gotiation processes. Rationalist supranationalism identifies growing regulatory structures and ‘path dependencies’ at the supranational level, which nation states find increasingly difficult to escape from. Hence, integration is rather governed by supranational organiza- tions, leaving little room for unilateralist leanings of individual states. Based on the first theory, the study has compared the relative influencing power of various domestic stake- holders assumed to be relevant in the area of ATM in terms of their impact on governmen- tal preferences related to cooperation and integration: national defense authorities, air navigation service providers, major air carriers, and staff associations representing air traf- fic controllers. It has then attempted to determine differentiations in bargaining power be- tween FABEC states. Based on the second account, EU regulatory activity in the field of ATM was examined in relation to the evolution of competences assigned to the institu- tions of the European Union. Conclusions and possible way forward It can be concluded from the analysis that, with regard to the implementation of functional airspace blocks, the EU is considerably limited by the sovereign interests of states. The Union lacks the necessary legal basis to take supranational decisions with respect to na- tional airspace and infrastructure. However, supranational pressure is steadily growing and becomes harder for nation states to avoid. It was demonstrated that the European Commis- sion searches for ways to make extensive use of its regulatory capacity even in the absence of additional competences. The two subsequent timeframes under analysis, referred to as SES I and SES