Module 1 PPT Legal Framework of IAL - V2.1 - Aug 2019

Course Goal
Enable representatives of Civil Aviation

Administrations, Civil Aviation Authorities,
Airports and Air Navigation Service
Providers to support their organization in
the implementation of international air
law, through application of appropriate
knowledge and advocacy
International Air Law V2.1 2019 PPT 1.2

End of Module Objective
• Following an overview of
Condition international air law including
case discussions
• Demonstrate familiarity with the
Performance purpose and elements of the
Chicago Convention, including
the structure and function of
ICAO in international law-making
• According to the relevant sections of
Standard
the Chicago Convention

Intermediate Objectives
❑ Demonstrate understanding of the purpose,
principles and rules of the Chicago
Convention
❑ Explain the structure and key functions of
ICAO, including those relevant to law-making
❑ Describe the relevance and function of ICAO
in the context of your own role

Origins of International Law-making:
The Chicago Convention

The Chicago Convention (1944)
❑ Multilateral Convention between
States
✈ Today 193 States Parties
❑ Basis for conventional law-making,

bilateral agreements and other air
law instruments
❑ Basis for technical law-making:
19 Technical Annexes
❑ The Constitution of ICAO
Ref 1.1
The Chicago Convention (1944)
❑ Adopted at the Chicago Conference in 1944
❑ Plays a major role as ‘Magna Carta’ for the
development of international civil aviation
❑ International Air Services Transit Agreement
(IASTA) adopted at the same time
❑ IASTA provides for multilateral exchange of air
transit rights between States
Ref 0.1
Air Navigation - General Principles - 1
❑ A. Airspace sovereignty
✈ Article 1 of Convention
✈ Every State exercises sovereignty in the airspace above
its territory
✈ Territorial limits (Article 2 Convention)
❑ B. Civil and State aircraft (Article 3 Convention)
✈ Convention applies only to civil aircraft
✈ Distinction between civil and State aircraft
✈ No use of weapons against civil aircraft in flight, Art.3 bis
Ref 1.1
❑ C. Scheduled and non-scheduled air services
✈ Articles 5 and 6 Convention
✈ Main distinction
❑ D. Rules of the Air

✈ Article 12: Contracting States undertake to ensure
that their aircraft comply with such rules
✈ They also undertake to keep their own rules uniform
with those established under the Convention
Ref 1.1
❑ E. Nationality of aircraft (Articles 17-19)
✈ Aircraft have the nationality of the State of registry
✈ Aircraft cannot be registered in more than one State
✈ Registration of aircraft is governed by national law
✈ State of registry is responsible inter alia for airworthiness
❑ F. Transfer of oversight functions (Article 83bis)

✈ Articles 12, 30, 31 and 32 (a): functions and duties of State
of registry
✈ Mechanism: transfer agreement Ref 1.1
❑ G. Standards and Recommended Practices
(SARPs)
✈ Articles 37 & 38 Convention
✈ Standards: States undertake to comply or
immediately file a difference
✈ Recommended Practice: “Best practice”, but
recommendation only; States are urged to comply or
file a difference (Assembly Reso. A39-22)
Ref 1.1
❑ H. Domestic Implementation of SARPs
✈ In line with Art. 37 contracting States shall implement
standards and procedures in their domestic law -
rules and regulations
✈ In line with Art. 12 contracting States shall keep their
own air navigation rules and regulations uniform with
those established under the Convention
✈ SARPs need to be given legal effect under domestic
law - usually by Regulation
Ref 1.1
Case Exercise

Case 1
❑ The national carrier of State A intends to offer
new weekly services to State B. So far, there
are no scheduled services to B.
✈ What is required?

Case 1
❑ Due to the principle of sovereignty (Article 1) permission
or other authorization of B is required (Article 6)
❑ The general practice is to negotiate and conclude a
bilateral air transport agreement, where the terms of
permission are expressed
❑ In some exceptional circumstances, authorization in a
form other than a bilateral air transport agreement may
be granted
Ref 1.3
Case 2
❑ An aircraft of your national carrier is intercepted
by military aircraft over State X on grounds of
aerial intrusion
✈ What are the consequences?

Case 2
❑ Military aircraft of X may intercept and require landing,
but must refrain from use of weapons (Article 3bis (a)
and (b))
❑ Intercepted aircraft must follow instructions (Article 3bis
(c))
❑ Interception procedures are set out in Annex 2,
Appendix 2
❑ Further consequences depend on national law and on
circumstances

The International Civil Aviation Organization
(ICAO)

ICAO – Historical Background
Ref 0.1
ICAO Objectives
Article 44 of the Chicago Convention:
“The aims and objectives of the Organization are to
develop the principles and techniques of international
air navigation and to foster the planning and
development of international air transport…”
Ref 1.1
ICAO Objectives
5 Strategic Objectives (2016-2019):
1. Safety
2. Air Navigation Capacity and Efficiency
3. Security & Facilitation
4. Economic Development of Air Transport
5. Environmental Protection

ICAO - Status
UN specialized agency
under UN - ICAO Agreement of 1947, based on
Article 57 of the UN Charter and
Articles 64 and 65 of the Chicago Convention
ICAO Organs
a) The Assembly
b) The Council and its Committees
c) The Air Navigation Commission
d) The Legal Committee
e) Air Navigation Conferences and Divisional Meetings
f) Panels and Working Groups
g) The Secretariat
Ref 0.1
ICAO Organs
Functions:
• Law-making 193 Member
• Standard-setting (through Standards States
and Recommended Practices)
• Judicial and quasi-judicial functions
• Audit
• Other ICAO
Council and Air Navigation

The Assembly The Secretariat
Committees Commission
Legal Committee Conferences and

Divisional Meetings
Panels and
Working Groups
Ref 0.1
ICAO Law-making Function

ICAO Functions – Law-Making
❑ Preparation of international air law instruments:
✈ Initiation, concept and text development
✈ Convocation of a Diplomatic Conference
✈ Adoption and signature
❑ Depositary functions
✈ Ratification of instrument
✈ Deposit of instrument and depositary functions
See ICAO Treaty Collection – Lists of parties, Composite Table

https://www.icao.int/Secretariat/Legal/Pages/TreatyCollection.aspx
ICAO Functions – Law-Making
Ratification of international air law treaties
❑ Confirmation that State will be legally bound
❑ Article 14 Vienna Convention of 1969
❑ Two stage process:
✈Constitutionally required consent is obtained (in most
States from Parliament)
✈State issues instrument of ratification and deposits it
with the Depositary
❑ ICAO is depositary of most air law treaties
See ICAO Treaty Collection - Administrative package for BP2010
ICAO Standard-setting Function

ICAO Functions – Standard-Setting
❑ ICAO sets and updates Standards and
Recommended Practices (SARPs) for the safe
and orderly development of international civil
aviation
✈Article 37 of the Convention
❑ There are over 12,000 SARPs contained in 19

Annexes to the Chicago Convention
Ref 1.1
Standards and Recommended
Practices (SARPs)
❑ INTERNATIONAL STANDARD - “any specification for physical
characteristics, configuration, matériel, performance, personnel or
procedure, the uniform application of which is recognized as necessary
for the safety or regularity of international air navigation and to which
contracting States will conform in accordance with the Convention”
❑ RECOMMENDED PRACTICE - “any specification for physical

characteristics, configuration, material, performance, personnel or
procedure, the uniform application of which is recognized as desirable
in the interest of safety, regularity or efficiency of international air
navigation and to which contracting States will endeavor to conform in
accordance with the Convention”

Practices (SARPs) - Adoption
❑ Article 54: Mandatory functions of Council
“The Council shall:
…
l) Adopt, in accordance with the provisions of Chapter VI
of this Convention, international standards and
recommended practices; for convenience, designate them
as Annexes to this Convention; and notify all contracting
States of the action taken”
Ref 1.1
Practices (SARPs) - Adoption
❑ Mechanism of adoption
✈ Article 90 – 2/3rds majority required
❑ Notification of differences
✈ Article 38 – notification mechanism
Ref 0.1, Ref 1.1

SARPs – Adoption

Annexes to the Chicago Convention - 1
Aviation Personnel: Annex 1
Airspace: Annexes 2, 4 and 11

✈ Annex 2: Rules of the Air
✈ Annex 4: Aeronautical Charts
✈ Annex 11: Air Traffic Services
Aircraft: Annexes 6, 7 and 8
✈ Annex 6: Operation of Aircraft
✈ Annex 7: Aircraft nationality
✈ Annex 8: Airworthiness
Ref 1.2
International Air Law V2.1 2019 S2.34 PPT 1.34
Annexes to the Chicago Convention -2
Aerodromes: Annex 14
✈ SARPs for planning, design, operation and
facilities of aerodromes
Security: Annex 17
✈ SARPs for national organization,
preventive measures and
response management
Safety Management: Annex 19

✈ SARPs related to safety management by States
Ref 1.2
Annexes to the Chicago Convention -3
Other Annexes
✈ Annex 3: Meteorological Services
✈ Annex 5: Units of Measurements
✈ Annex 9: Facilitation
✈ Annex 10: Aeronautical Telecommunications
✈ Annex 12: Search and Rescue
✈ Annex 13: Aircraft Accident and Incident Investigation
✈ Annex 15: Aeronautical Information Services
✈ Annex 16: Environmental Protection
✈ Annex 18: Safe Transport of Dangerous Goods by Air
Ref 1.2
Case Exercise

Case 3
❑ Your national carrier wishes to do away with
rescreening of all transfer passengers at the
airport of your capital.
✈ What is the legal situation?
Ref 1.3
Case 3
❑ Screening/rescreening is governed by
Annex 17
❑ Rescreening of all transfer passengers is
mandated by Annex 17, Standard 4.4.3
❑ Exemption requires seamless validation
process under 4.4.3
Ref 1.3
ICAO Judicial and Quasi-judicial Functions

ICAO Functions –
Judicial and Quasi-judicial
Judicial functions: dispute settlement
❑ Article 84 Convention: ICAO Council is entrusted with dispute
settlement functions
❑ Disputes related to the interpretation or application of the Chicago
Convention or its Annexes, or to the IASTA of 1944
❑ ICAO Council sits as international court
❑ Decisions can be appealed to the International Court of Justice
(ICJ)
❑ Quasi-judicial functions (Article 54 (n) and (j) Convention, and
certain other agreements – e.g. DEN/ICE)

Judicial Functions
To date, the following disputes have been referred to the
Council:
❑ India v. Pakistan (1952)
❑ UK v. Spain (1967)
❑ Pakistan v. India (1971)
❑ Cuba v. United States (1996)
❑ United States v. 15 Member States of the EU (2000)
❑ Presently pending: Brazil v. United States (2016)
❑ Presently pending: Qatar v. Bahrain, Egypt, Saudi Arabia and
the UAE (2017) (Application A); Qatar v. Bahrain, Egypt and
the UAE (2017) (Application B)

ICAO Audit Function

Audit Functions
❑ Universal Safety Oversight Audit Programme
(USOAP)
✈ Set up in 1998 by Assembly Reso. A32-11
✈ Audit of safety-related SARPs and procedures
❑ Universal Security Audit Programme (USAP)

✈ Set up and launched in 2002, C/166
✈ Audit of Annex 17 SARPs and security related procedures
See ICAO Doc 10140 “Assembly Resolutions in Force” - A32-11

Evolution of Universal Safety Oversight Audit Programme (USOAP)
1995-1998 2005-2010
Voluntary
Assessment A35-6 Comprehensive Systems Approach
(CSA)
Programs 35th
Safety-related Provisions in all
Annexes 1,6,8 Assembly Safety-related Annexes
88 Requests CMA
177 USOAP Audits USOAP
67 Assessments
Annex-by-Annex
Approach
1997 1998 2004 2006 2007 2010 2013
DGCA 181 Audits 36th

CONF 162 Follow-ups Assembly
Annexes 1, 6, 8
32th A36-4
Annex-by-Annex Continuous Monitoring
Assembly Approach 37th
Mechanism Assembly
A32-11 Mandatory Audit DGCA Continuous Monitoring
USOAP Programme (USOAP) CONF A37-15 Approach (CMA)
Greater Transparency Public CMA USOAP
1999-2004 Information 2011-2012 2013+
Procedure for SSC Transition

Evolution of Universal Security Audit Programme (USAP)
2008-2013
1989-2001 USAP Cycle II
High-level,
Voluntary Ministerial Annex 17 + Security Related
Technical
Conference Provisions of Annex 9
on AVSEC A35-9 178 USAP Audits
Evaluations
AVSEC 35th A37-17 CMA
Mechanism Assembly State’s AVSEC Oversight System USAP
Limited Level of Disclosure of
Annexe 17 SSeC
140 Requests
112 Assessments
2001 2002 2004 2007 2012 2013 2015
33th Confidentiality of Audit 36th High-level,

Assembly Results Assembly Ministerial 38th
Conferenc
A36-20 e on Assembly
181 Audits 172 Follow-ups AVSEC
Annex 17 Annex 17 A38-15
Continuous Monitoring
Follow-up Approach (CMA)
USAP Cycle I
Missions
2002-2007 2005-2009 2015+

Summary of ICAO Functions
❑ Law-making
❑ Standard-Setting (SARPs)
❑ Judicial and Quasi-judicial
❑ Audit
❑ Other
Ref 0.1
Time to Review – Q1
❑ Explain the relationship between the

Chicago Convention of 1944 and the
functions of ICAO

❑ What are SARPs?

❑ How would a State use SARPs in their
national law-making?

❑ Which body within ICAO is responsible for

carrying out judicial functions?
A. The Assembly
B. The Council
C. The Legal Committee

In Context:
How is international air law and ICAO
relevant to you?

In context activity and discussion
Complete the Job Aid
worksheet
Prepare to discuss how
ICAO influences:
Your organization
Your role
H 0.2 Job Aid/ Case Book

Module Summary
❑ Contemporary international air law began with the
Chicago Convention
❑ ICAO is the organization responsible for
standard-setting and law-making in international
civil aviation
❑ ICAO provides legal framework, standards and
guidance material for member States

Module Review
❑ What did you learn about
✈ The Chicago Convention?
✈ The objectives and organs of ICAO?
✈ The functions of ICAO
✈ Your role in international air law?

Module Evaluation

Module 1 PPT Legal Framework of IAL - V2.1 - Aug 2019

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Course Goal

Enable representatives of Civil Aviation

International Air Law V2.1 2019 PPT 1.2

International Air Law V2.1 2019 PPT 1.3

International Air Law V2.1 2019 PPT 1.4

International Air Law V2.1 2019 PPT 1.5

❑ Basis for conventional law-making,

❑ D. Rules of the Air

❑ F. Transfer of oversight functions (Article 83bis)

International Air Law V2.1 2019 PPT 1.13

International Air Law V2.1 2019 PPT 1.14

✈ What are the consequences?

International Air Law V2.1 2019 PPT 1.16

International Air Law V2.1 2019 PPT 1.17

International Air Law V2.1 2019 PPT 1.18

International Air Law V2.1 2019 PPT 1.21

Council and Air Navigation

Legal Committee Conferences and

International Air Law V2.1 2019 PPT 1.25

See ICAO Treaty Collection – Lists of parties, Composite Table

International Air Law V2.1 2019 PPT 1.28

❑ There are over 12,000 SARPs contained in 19

❑ RECOMMENDED PRACTICE - “any specification for physical

International Air Law V2.1 2019 PPT 1.30

Ref 0.1, Ref 1.1

International Air Law V2.1 2019 PPT 1.33

Airspace: Annexes 2, 4 and 11

Safety Management: Annex 19

International Air Law V2.1 2019 PPT 1.37

✈ What is the legal situation?

International Air Law V2.1 2019 PPT 1.40

International Air Law V2.1 2019 PPT 1.41

International Air Law V2.1 2019 PPT 1.42

International Air Law V2.1 2019 PPT 1.43

❑ Universal Security Audit Programme (USAP)

See ICAO Doc 10140 “Assembly Resolutions in Force” - A32-11

DGCA 181 Audits 36th

International Air Law V2.1 2019 PPT 1.45

33th Confidentiality of Audit 36th High-level,

2002-2007 2005-2009 2015+

International Air Law V2.1 2019 PPT 1.46

❑ Explain the relationship between the

International Air Law V2.1 2019 PPT 1.48

❑ What are SARPs?

International Air Law V2.1 2019 PPT 1.49

❑ Which body within ICAO is responsible for

International Air Law V2.1 2019 PPT 1.50

International Air Law V2.1 2019 PPT 1.51

H 0.2 Job Aid/ Case Book

International Air Law V2.1 2019 PPT 1.53

International Air Law V2.1 2019 PPT 1.54

International Air Law V2.1 2019 PPT 1.55

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