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Doc 9626 Approved by the Secretary General and published under his authority Second Edition -2004 International Civil Aviation Organization .
at times.The Table of Contents assiststhe reader to determinethe location of material on broadertopics (e. Rather.The main purpose of this Manual on the Regulation of International Air Transportis to meetan ever-increasingneed for a comprehensiveand objective source of information about the many facets of this dynamic activity. that which is common or supplemental all parts of this manual.developing. Thus the approachtaken in the preparation of this manual has been to provide clear and adequateexplanations and guidance in a well ordered context. people involved with aviation financing. This manual is intended to also meet the needs of and be useful to these broader constituencieswithin ICAO Contracting Statesand. all regulation involves regulatory structure. International air transport evokes considerable interest of many people: those associated with airlines. Appendicescontain certainreferencematerials. etc. often without widely accepted definitions (or with conflicting ones) and sometimes with more than one term applied to the same subject.e. Second.so too has its regulation. all regulation involves regulatory content. directed the preparation and publication of this manual. 2.whether least developed.usersof air transport. The process and structure of international air transport regulation have three distinct venues -national. whether small or large. and 3. it was prepared to meet the needs of all ICAO Contracting States. various patterns of activity by people interacting to establishand maintain some desired result for the subject or entities being regulated. or having developed economies. Each broad regulatory topic has its own chapter or section of a chapter in the manual. As international air transport developed and became more complex over the past half century. people in academia and the communications media. bilateral and multilateral.On that page. i. Each relatively short chapter is. each venue has been assigneda separatepart in this manual. Also. aircraft manufacturers. in effect. airports and communities seeking new air services. The air transport authorities of these States may well become the most frequent users of this manual. i. i. to increaseits value to air transport authorities who interact with such constituencies. are in Part 4. tourism development and trade.e. pricing and capacity). members of the general public as well. respectively.. Finally. to forms Part 5. written to compress essentialfacts into one or a few pages. a narrative composedlargely of a series This manual is designedto be "user friendly" and to serve three distinct functions. in so doing. the particular subjects being regulated (such as market access. the organizations or other entities involved and the legal framework (such as licences. General terminology.the term is highlighted in bold italic and its definition or explanation is presented in italics. it can be used as a dictionary of international air transport terms: each term listed in the Index has a definition or an explanation on the page indicated. much new terminology evolved. Yet many others in these States may also find it very useful. Regulation is the giving of authoritative direction to bring about and maintain a desired degree of orde1: All regulation involves regulatory process. eachofwhich may involve many related definitions and explanations). This needwas foreseen by the ICAO Assembly which. The need for and expectedusefulnessof this manual is not confined to any particular State or category of States. air carrier labour. by Resolution A24-11.g. therefore. certain international organizations. First.it can be used as an encyclopedia.e. the bilateral regulatory process. (iii) FOREWORD . Parts 1. which Statesdeal with in all three venues. of definitions and explanations in a logical order of presentation derived from the topic itself. regulations and agreements).traffic rights. and. Similarly. Regulatory contenttopics.
Manual on the Regulation of International Air Transport changes in the last ten years. air navigation. Additionally. competition laws. e-cornmence. which is a compendiumof all the formal policies and guidanceadopted by ICAO in this field (suchas Assembly resolutions. noncommercial transport and specialty air services. such as overflight and landing by private.(iv) Third. as well as the addition of new infonnation. While air transport is more specific. The term "aviation" is often used incorrectly in lieu of the term "air transport". The scope of the manual is limited to the economic aspects of international air transport regulation as distinguished from the technical aspects thereof such as those involving navigation. and privatization of airports). aviation is generic and includes far more topics such as military. as well as non-commercial flying. WHAT IS NEW IN THE SECOND EDITION Along with the trend of globalizationand liberalization.enabling computer-equipped readersto vastly expand their knowledge base. military and State aircraft. and conclusions and recommendations of air transport conferences). aircraft leasing. internationalair transporthas also undergone significant . Although air transport regulators sometimes also regulate commercial non-transport operations. This edition includes many new topics (e.including many that were nonexistent when the first edition was published (e.suchas aerial crop dusting and surveying. Nevertheless. aircraft manufacturing.these other areasof regulation are not totally separable from economic regulation and can affect such matters as airline licensing. megaalliance.'referring to those aspectsrelated to the carriage by air (usually commercial air transport). this manual as a whole canbe useful as a textbook for academic or other educational and training purposes. State aids. safety and security. both topics are outside the scope of this manual. This second edition has been updated and expandedto take account of the developments in international air transport and its regulation since 1996 when the manual was first published. state and private flying.g.g. A number of new air transport terms and definitions have been added. which are ernerging issues drawing increasing regulatory attention.). franchising. This manual both complementsand supplementsICAO Doc 9587-Policy and GuidanceMaterial on the Economic Regulation of International Air Transport. new websites and e-mail addresses(primarily of air transportrelated international organizations and entities) have been added. airport accessand the structure of agreed routes. airline alliances. Council decisions. adds significantly to the manual's value as a user-friendly tool for those who are interested in knowing more about the regulatory aspectsof international air transport. passenger rights. The updating of established topics. B2B. etc.
2-] 2. the Transport 1.1-11.2-1 3. 1.1-3 3.3-5 2..2 Structure BilateralRegulation.0 Introductionto Multilateral Regulation. 3. Management.0-] AirTransport 3. -Evolution of the Bilateral Regulationof InternationalAir Services.1-1 2. Considerations.3 Key Issues of National Regulatory Process andStructure The Relationship and Between LQcation Interested Air of Parties.1-2 1. -Application of States. Air Transport Regulatory 2. Component.0-1 1.3-1 1.2-1 1.3-3 2.1-5 -Basic Elements of the Organizational of the Legal -Basic Component Terminology Dispute Resolution. and Tactical Implementation. 2.1-] 3.2 Structureof Multilateral Regulation..1-7 Component 3.1-3 2.2-2 (v) 3. Strategic 3. of -The Ad Licensing Legislative hoc Authorization Component. 2.0-1 2.:.3-1 -Effects AirTransport State of Aids and Subsidies.3-1 2.1-3 -Consultations Meetings and and Negotiations: Documents.1-1 . of -Initiation of and and Preparation Negotiations: for a Fonnal Types of 2. Relations Involving Groups 2.2-1 1.2-1 Page .2-2 2.0 Introductionto NationalRegulation.4 Types of International Air Services Negotiations 2. ..1-4 Process Multilateral Regulation. of -Process -Fonnal Multilateral Fonnal Meetings.2 Structure of National Regulation. .3-1 2. Amendment Termination of and (Exceptionally) an Agreement 2. Subjects 2.1-1 -Consultations BilateraiConsultation -The Organizations Multilateral Treaty Process. within International 3. 2.2-1 3.1 Process NationalRegulation. -Comity and Reciprocity. 1.3 Key Issues of Bilateral Regulatory Process andStructure -Balancing -Shortcomings Environment Benefits of in a Liberalizing Bilateral Regulatory .0-1 2.1 Process BilateralRegulation.1 2.2-2 -Bilateral Structure.TABLE OF CONTENTS Page Part 1 -NATIONAL REGULATION 2. -Conclusion. The OrganizationalComponent The Legal Component. of Competition Laws to 1.3-6 The Regulators Optimum International Function. 1. of -Basic -Typical 1.0-2 2. Component DocumentTypes Provisions Bilateral (Services) of Bilateral Air on Agreements Agreements.4-1 3-2 Part 3 -MULTILATERAL REGULATION Part 2 -BILATERAL REGULATION 3.1-] 2.3-4 .0 Introductionto BilateralRegulation.2-4 -Types Transport of Closely Related to Air Transport. -A Brief History of the Multilateral Regulation of International 3.
3-4 of a New Multilateral Agreement Air on Transport Trade in The Agreement. 3.6-2 3.8-1 3.2-] 4.6-1 3.4-1 3.5-1 4.4 InternationalCivil Aviation Organization(ICAO) -ICAO -Air -Policy Transport Policy.0-1 4.8-1 -Distinct Features Air Cargo of -Regulation of Air Cargo. 4.2-5 3.3-3 3. 4. 3.2-4 -Main -The Components Organizational lATA of the lATA Structure.4-3 4.. . l.8-3 Regional Other ConventionofI999 Multilateral Instruments. Tariffs. . General Part 4 -REGULATORY CONTENT Services (GATS) and its Air Transport 4.6-2 4.5-1 3.(vi) Manual on the Regulation of International Air Transporl Page The The Chicago Warsaw Conference System and Documents.0 Introduction to Regulatory Content 4.8 InternationalAir 1ransport Association (lATA) 4.and Infomlation. Air Law 3.2 Air Carrier Capacity 3.3 Key Issues Multilateral Regulatory of Process Structure. Process. 4.3-1 4.6-1 3..5-1 4.4-3 3.9-2 3.3-6 4.4-2 4.4-4 3.5-1 4. -Latin -Europe -Africa America and the Caribbean.9-1 3.8-1 3.1-5 4.1-8 4. in Air Carriers 4. 3.4 AirCarrierOwnership -Foreign -SomeExceptions -Use -The of Discretionary the Investment Criteria Criteria. 4:3-2 -Key -MiddleEast 3...~ Air Other Carrier Aviation Organizations. and Possible the Why Processes Multilateral in Approach? the Quest for a -Trade Tariff ~ Coordination Association Activities. Conference 3.4-1 -Traffic -RouteRights -Market -Operational Rights Access Rights. Air 3. the Montreal . .7-1 4.5 Worldwide Intergovernmental Organizations Specialized Organs of theAgencies United Nations. 3. 3..6-1 -Methods for Tariff Regulating Issues Tariffs.6 Non-scheduled Services.5-2 -Types -Definition -Why States and of Regulate Characteristics Tariff.8-2 3.9-1 .4-1 4.1-2 4.4-1 4.3-1 4. Development Guidance Bureau Bodies. of the 4.2-1 3. Organizations. 3.1-12 So-called "Sixth Freedom".6 Regional Intergovernmental Civil AviationOrganizations.3-1 3. Groups Organizations Fonnal Trans-regional Imonnal Trans-regional 4.6-1 3.7 Regional and Trans-regional Intergovernmental Organizations and TradeAreas -KeyIssues Regional Intergovernmental Groups.3 Air Carrier TarilTs 4.7-1 3.2-3 3. 3.3-1 Organizations 3. Traffic Stnicture.as Affected by the 3.1 Basic Market Access.1-1 Annex..4-1 4.9 Non-governmental Organizations.7-6 3.3-2 3.2-5 3.2-3 -Capacity -Capacity Regulationby Governments as Viewed by Air Carriers.3-8 4. Other United Worldwide Nations Intergovernmental 4.4-3 3. of Tariffs.5-2 3.9-3 -Other The NewMultilateralism Generic Likely Structural Elements Organizations AirTransport Interested in 3.5 AirCargo 4.5-] 3.7-6 3. Agreements.
7-5 5. AI-I A2-1A3-1 Prorating. Codesharing Franchising. -Airline -Airline -Airline Alliances. Guidance Material for Users of 4.8 Airline Cooperative Activities. Handling.of Non-scheduled Air 4.10 Airport-relatedMatters.9 AirlinePassengers -Airline's -PassengerRights Condition of Contract/Carriage 4.9-5 2.3 AirServices 5.9-6 INDEX NDICES .7-2 5.7-] 5.10-1 4.6-] 4.10-1 Services..10-2 4.8-1 4.8-2 4. of International -Regulation Services. 4.9-4 4.2 Aircraft -Employment of Earnings -Sale of Non-national and Marketing of International and -Airline AirTransport Product Distribution -Aircraft Electronic Leasing Commerce.9-1 4.10-2 Part 5 -GENERAL TERMINOLOGY Air Services.1 AirCarriers 5. of Airports 4. -Currency Conversion and Remittance Personnel 4. '+.8-4 Fonnats lATA Currency Tariff Conversion for Filings.7-2 4. 4.Table of Contents (vii) -Characteristics -Kinds Air of Non-scheduled Non-scheduled 4.. .4 Airports 4. Passengers. 4.7 Airline Commercial Activities. AirTransport A4-] -Improperly -Unruly or Disruptive Documented Passengers.. System.7-3 4. 4. 3. .0-1 -Privatization -Slot -Ground Allocation.9-1 4.0 Introductionto General Terminology 4. 4.
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