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 Licence agreement concerning inclusion of doctoral thesis in the License: 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