Table of Contents. About the Author Foreword List of Figures List of Tables List of Abbreviations Acknowledgements. vii xv xvii xix xxi xxv

Table of Contents About the Author vii Foreword xv List of Figures xvii List of Tables xix List of Abbreviations xxi Acknowledgements xxv ...
Author: Hester Cobb
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Table of Contents

About the Author

vii

Foreword

xv

List of Figures

xvii

List of Tables

xix

List of Abbreviations

xxi

Acknowledgements

xxv

CHAPTER 1 Research Questions, Methodology and Structure of the Study §1.01 Objective of the Study §1.02 Civil Aviation Safety as a Global Concern §1.03 The ICAO Global Aviation Safety Plan §1.04 Towards Regional Cooperation on Civil Aviation Safety §1.05 Research Methodology and Main Sources Used §1.06 Review of the Principal Literature on International Law and Aviation Safety Regulation §1.07 Structure of the Study CHAPTER 2 Towards a Global Aviation Safety Oversight Network: Regional Cooperation on Aviation Safety in the Context of the Chicago Convention §2.01 Introduction §2.02 Strengths and Weaknesses of the Chicago Convention from an Aviation Safety Perspective [A] The Principle of State Sovereignty under the Chicago Convention [B] Implementation of SARPs and Notification of Differences [C] Recognition of Certificates and Licences [1] Certificates and Licences Envisaged under the Chicago Convention

ix

1 1 2 10 11 14 16 17

19 19 20 22 23 30 30

Table of Contents [2] [3]

§2.03 §2.04

§2.05 §2.06

Recognition of an Air Operator’s Certificate Other Certificates Not Envisaged under the Chicago Convention [4] International Aviation Safety Agreements [D] Role of ICAO in Global Safety Oversight [E] ICAO Enforcement Efforts and Competences Lessons Learned from the International Maritime Sector ICAO and the Regional Governance of Civil Aviation Safety [A] Development of ICAO Regional Policy [B] The 2010 ICAO Policy and Framework for Regional Cooperation [C] ICAO Views on Regional Aviation Safety Organisations Proposal for a Global Aviation Safety Oversight Network General Conclusions

CHAPTER 3 Definition and Typology of Regional Aviation Safety Organisations §3.01 Introduction §3.02 The RASO Concept in State and ICAO Practice §3.03 Proposal for the Definition of a RASO §3.04 Typology of Regional Aviation Safety Bodies [A] Pre-RASO (Type I): Regional Cooperation Projects of a Technical Nature [1] COSCAPs and Their Transition into RASOs [2] Regional Cooperation System on Safety Oversight in Latin America [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation [3] Regional Cooperative Safety Inspector Schemes [B] Pre-RASO (Type II): A Regional ‘Association’ of Aviation Safety Authorities [C] RASO (Type I): Regional International Aviation Safety Organisation [1] Civil Aviation Authorities of Africa and Madagascar [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation [2] The Pacific Aviation Safety Office [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation [3] The Interstate Aviation Committee [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions

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32 34 37 40 44 47 53 53 55 58 62 64

69 69 69 71 73 74 75 81 81 81 82 83 86 88 88 88 89 90 90 90 91 92 94 94 95

Table of Contents [i] [ii]

§3.05

§3.06

§3.07

The Role of IAC in Aviation Safety Rulemaking The Role of IAC in Aviation Safety Certification and Oversight [iii] The Role of IAC in Air Accident Investigation [c] Practical Aspects of Implementation [4] The Banjul Accord Group Aviation Safety Oversight Organisation [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation [5] Caribbean Aviation Safety and Security Oversight System [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation [D] RASO (Type II): A Supranational Aviation Safety Agency [1] East African Community Civil Aviation Safety and Security Oversight Agency [a] Legal Basis and Organisational Set-Up [b] Main Safety Functions [c] Practical Aspects of Implementation Regional Accident Investigation Organisations [A] Introduction [B] Establishing a RAIO Legal Framework: Current Examples and Practice [1] The Interstate Aviation Committee [2] The Banjul Accord Group Accident Investigation Agency [3] The European Network of Civil Aviation Safety Investigation Authorities Towards a Regional Civil Aviation Authority [A] Introduction [B] The Eastern Caribbean Civil Aviation Authority [1] Origins and Evolution [2] ECCAA Legal and Organisational Status General Conclusions

CHAPTER 4 The European Aviation Safety Agency: Case Study of a Supranational Aviation Safety Organisation §4.01 Introduction §4.02 EASA as Part of the EU Civil Aviation Safety System [A] Introduction [B] The Initial Attempts to Establish EASA in the Form of an International Organisation

xi

96 96 97 97 98 98 99 100 101 101 101 102 103 104 104 105 106 106 106 110 113 114 115 117 117 118 118 120 122

127 127 130 130 131

Table of Contents

§4.03

§4.04

§4.05 §4.06

§4.07

[C] The Benefits of Establishing EASA in the Form of an EU Agency [D] The Limits of EASA Powers as an EU Agency The Role of EASA in International Relations and Its Status under the Chicago Convention [A] The Question of International Legal Personality of EASA [B] The Relationship of ‘International Agency’ between EU and Its Member States [C] Practical Consequences of the Relationship of ‘International Agency’ between EU and Its Member States [D] Legal Status of EASA under BASA and Working Arrangements Contribution of EASA to the Improvement of Global Aviation Safety and Objectives of the Chicago Convention [A] The EU Aviation Safety Regulatory Process [1] Benefits and Shortcomings of the EU Aviation Safety Regulatory Process [2] Compliance of EU Aviation Safety Requirements with Annexes to the Chicago Convention [B] The Role of the EU System in Certification of Civil Aviation Activities [1] Implications from the Perspective of the Chicago Convention [C] The Benefits of the EU System for Oversight and Enforcement [1] EASA Standardisation and Monitoring Activities [2] Enforcement Competences of the European Commission [3] Interaction between EASA Standardisation and Monitoring Activities and ICAO USOAP-CMA [4] Independent EASA Enforcement Actions Association of Non-EU European Countries with EASA [A] Implementation and Safety Benefits of ‘Article 66 Agreements’ EASA as a Single Aviation Authority for Europe: Political Fiction or Long-Term Vision? [A] Milestones towards a European Aviation (Safety) Authority General Conclusions

CHAPTER 5 The Functioning and Evolution of Regional Aviation Safety Organisations §5.01 Introduction §5.02 Typology of Delegation Arrangements §5.03 The Functions of RASOs: Setting Up a RASO Using a ‘Tool Box’ Approach §5.04 Main Trends in RASOs Functioning and Evolution [A] There Is No ‘One Size Fits All’ Approach to RASOs Establishment [B] RASOs Tend to Evolve into ‘Institutionalised’ Structures

xii

132 133 136 136 139 144 145 147 148 149 151 153 155 157 158 158 160 161 162 164 166 168 170

175 175 176 182 188 188 189

Table of Contents [C]

§5.05 §5.06

Efficiencies Stemming from a RASO Should Not Be Taken for Granted [D] Implications of Institutional Choices for the Functioning of RASOs [E] RASOs as Part of the Civil Aviation Safety System of Their Member States [1] Unintended Consequences Related to the Establishment of a RASO RASOs as International Actors General Conclusions

CHAPTER 6 Responsibility and Liability of Regional Aviation Safety Organisations and of Their Member States §6.01 Introduction §6.02 The Principle of Legality and Delegation of State Safety Functions in Civil Aviation [A] Attribution of Competences to Civil Aviation Authorities under Domestic Law [B] Attribution and Delegation of Civil Aviation State Safety Functions under Public International Law §6.03 The Obligation to Establish Aviation Authorities, as Envisaged in the Chicago Convention and Its Annexes [A] ‘State of Registry’ and ‘State of the Operator’ in the Context of Establishing RASOs: Limitations of the Chicago Convention [1] RASO as a ‘State of Registry’ [2] RASO as a ‘State of the Operator’ §6.04 General Principles of International State Responsibility [A] Act or Omission Attributable to a State under International Law [B] Breach of an International Legal Obligation §6.05 International Responsibility of RASOs and Their Member States [A] Determining International Legal Personality of RASOs [B] The Substance of RASOs Responsibility under International Law [1] Preliminary Remarks [2] Ultimate State Responsibility under the Chicago Convention [C] Relevance of RASOs Oversight by Its Member States [D] Parallel Responsibility of RASOs vis-à-vis Non-Member States §6.06 Civil Liability of RASOs for Negligent Safety Oversight under Domestic Law [A] Introduction [B] Non-contractual Liability of Civil Aviation Safety Regulators: Review of Case Law [C] Review of Case Law: Conclusions

xiii

191 194 196 197 199 201

205 205 206 206 209 212 216 217 220 223 223 226 228 228 232 232 233 238 240 244 244 245 247

Table of Contents [D]

§6.07 §6.08

Application of Tort Liability Principles to RASOs [1] Recognition of RASOs Legal Personality in Domestic Proceedings [2] Jurisdictional Immunity of RASOs in Domestic Proceedings [3] Tort Liability Provisions in RASOs Founding Documents Assessing the Need for an Amendment of the Chicago Convention General Conclusions

CHAPTER 7 Conclusions and Recommendations §7.01 Introduction §7.02 Conclusions and Recommendations with regard to Specific Research Questions §7.03 Recommendations for Further Research

248 248 249 250 252 254

261 261 262 279

APPENDIX Core Sample of Organisations Selected for the Study

281

Selected Bibliography

283

Index

307

xiv

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