BEYOND OPEN SKIES A NEW REGIME FOR INTERNATIONAL AVIATIONPDF电子书下载

Chapter 1 Introduction:Preparing for a New Era in International Aviation 1

Ⅰ REPLACING A FLAWED REGULATORY SYSTEM 1

Ⅱ THE 'CHICAGO SYSTEM' AND A PROPOSAL FOR ITS REFORM 5

A An Overview of The Global Air Transport Industry:Passenger/Cargo Services 6

B A Synoptic View of the 'Chicago System' 8

C Open Skies:Seeking Flexibility within the Chicago System 12

Ⅲ A SUMMARY OF CORE PRINCIPLES FOR A SECOND STAGE PLURILATERAL TREATY 17

Chapter 2 Prelude to Change:A Synthesis of Transatlantic Aviation Relations 1993-2008 23

Ⅰ INTRODUCTION:AN EPISTEMIC COMMUNITY RISES 23

Ⅱ RETHINKING BILATERALISM:THE OPEN SKIES DECADE 1993-2003 25

A Beyond Bilateralism:The Baliles Airline Commission 25

B A Bridge to Multilateralism:The Strategic Implications of U.S.Open Skies 29

C The EC Responds to Open Skies:An Incomplete First 'Mandate' 34

D Webs of Influence:International Organizations and Academic Commentators 40

1 Webs of Influence Ⅰ:International Nongovernmental Organizations 40

2 Webs of Influence Ⅱ:International Governmental Organizations 43

3 Webs of Influence Ⅲ:Academic Commentators 46

E Glimmerings of Multilateralism:Some Tentative U.S.Initiatives 52

Ⅲ FIXING A NEW HORIZON FOR OPEN SKIES:U.S./EC AVIATION RELATIONS AFTER 2003 55

A The Force of EC Nondiscrimination Law:The European Court Destabilizes the Nationality Rule 57

B Managing the Fallout:The Commission Secures A Second (Double) Mandate 61

Ⅳ THE TRAJECTORY OF U.S./EC AIR SERVICES NEGOTIATIONS 2003-2007 67

A Toward a U.S./EC Agreement Ⅰ:Political Stalemate 67

B Toward a U.S./EC Agreement Ⅱ:Breaking the Impasse 71

Ⅴ AN EXECUTIVE BRIEFING ON THE 2007 U.S./EC AIR TRANSPORT AGREEMENT 78

A The 17 Keynote Ideas of the 2007 Agreement 79

B The Second Stage Agenda and Timetable 82

1 The Second Stage Timetable 83

2 A Threat of EU Member State Unilateralism 84

3 The Second Stage Agenda:Toward an OAA? 85

Ⅵ CONCLUSION:VISIONARIES,PRAGMATISTS,AND THE SHAPING OF A POST-CHICAGO GLOBAL AVIATION ORDER 93

Chapter 3 Airspace Sovereignty:The Ontology of the Chicago System of International Air Transport Regulation 97

Ⅰ INTRODUCTION:THE CONCEPTUAL FRAMEWORK OF THE CHICAGO SYSTEM 97

Ⅱ AIRSPACE SOVEREIGNTY 99

Ⅲ AT THE HEART OF THE CHICAGO SYSTEM:THE FREEDOMS OF THE AIR AND BILATERALISM 103

A The Nine Freedoms 103

B Trading the Freedoms: The Rise of Bilateralism 109

1 Ex Post Facto Flexibility:The Moderate Liberalism of Bermuda Ⅰ 111

2 Treaty-Based Rigidity:Bermuda Ⅱ 116

Ⅳ THE VENERABLE DOCTRINE OF CABOTAGE 119

A A Principle of Exclusion 119

B Cabotage in a Multilateral Airspace Environment 122

1 Pooling Airspaces in the EC:Can Cabotage Be Traded Away? 123

2 Cabotage and U.S.International Aviation Policy 126

a The Legal Foundations of U.S.Cabotage 126

b The Durability of U.S.Cabotage Restrictions 128

Ⅴ SOVEREIGNTY AND CITIZENSHIP PURITY: THE NATIONALITY RULE 133

A The Substantial Ownership/Effective Control Dyad 133

B Proscribing Multinational Airlines:The Nationality Rule in Domestic Law 135

1 Case Studies in the Nationality Rule and the Unmaking of a U.S. Government Rulemaking 138

a Airline Citizenship:Law and Policy in the United States 138

b DHL/ASTAR and Virgin America:Citizenship as a Competitive Weapon 143

ⅰ DHL/ASTAR 144

ⅱ Virgin America 150

c The DOT's Noble Failure:The 2005/06 Rulemaking 155

C A Future Without the Nationality Rule? 162

1 Alliances:From Code-Sharing to Contract 162

2 Reforming the Nationality Rule in Domestic Law 164

3 Liberalizing the U.S. Domestic Rules on Ownership and Control 167

D Conclusion:The Superior Norm of Nationality 171

Ⅵ FETISHIZING SOVEREIGNTY: THE PUBLIC STAKE IN AIR TRANSPORT 172

A Public Airlines and Public Subsidy 172

B The Retreat of the State:The Age of Deregulation 178

1 New Models of Airline Regulation in the United States and EC 178

2 Airline Privatization in the EU 184

Ⅶ THE REGULATORY REFLEX:COMPUTER RESERVATIONS SYSTEMS AND AIRPORT ACCESS 188

A CRS:From Regulation to Deregulation in 20 Years 189

B The Competitive Quandaries of Airport Access 194

Ⅷ THE LATE-MODEL CHICAGO SYSTEM:STRATEGIC ALLIANCES AND CODE-SHARING 198

A Entrepreneurial Circumventions of the Nationality Rule 198

B Global Marketing Alliances 198

1 Strategies for Alliance-Building 198

2 KLM/Northwest and Its Progeny:The Immunity Artifice 203

C Code-Sharing as 'Pseudo-Cabotage' 208

1 A Code-Share Taxonomy 208

2 Does Code-Sharing Violate Cabotage? 213

3 Code-Sharing:A Costly Compromise for U.S. International Aviation Policy-and for the Airline Industry 214

4 Code-Shares and the Consumer 220

Ⅸ MULTILATERALISM AND REGIONALISM IN THE CHICAGO SYSTEM 223

Ⅹ THE CHICAGO SYSTEM ON THE CUSP OF REFORM 231

Chapter 4 Model Jurisdiction Ⅰ:The United States&Airline Deregulation Within and Beyond a Unitary Airspace 235

Ⅰ INTRODUCTION 235

Ⅱ THE LEGAL AND HISTORICAL BACKGROUND 239

A Prologue:An Apt Quotation 239

B The Regulatory Era:The Kitty Hawk Irony 240

1 CAB Route Authority:The 'Grandfather' Syndrome 242

2 CAB Rate Authority:The 'Pullman' Effect 244

3 CAB Antitrust Authority:Regulatory Omnipotence 246

C Deregulation:The Intellectual Premises 248

D Deregulation:A Political Act of Will 251

1 CAB Route Deregulation:The Fruits of Dormancy 255

2 CAB Fare Deregulation:Zones of Flexibility 258

3 CAB Antitrust Deregulation:The Longest Sunset 259

4 A Regulatory Vestige:The Essential Air Service Program 263

E Scrambling the System:Alfred Kahn's Regulated Deregulation 264

Ⅲ EXPORTING DEREGULATION: PROBING THE LIMITS OF BILATERALISM 268

A The Emergence of an Open Skies International Aviation Policy 268

B The IATCA:An Ambivalent Challenge to Bilateralism 272

1 The IATCA's 'Soft Law' Approach to the Chicago System 274

2 Protecting U.S. Carriers:The IATCA's 'Hard Law' Approach 275

C The IATCA and the Chicago System:Enduring Regulation 279

1 International Designation:Public Franchises and Private Profits 279

2 International Fares:Zonalism and Unilateralism 283

3 International Antitrust Regulation:Wielding the Wand of Immunity 285

a Avoiding the Sunset 285

b Two Case Studies in Alliance Approval and Antitrust Immunity:The Force of Bilateral 'Specificity' 287

c Immunity Proceedings:The Conflict of Competition and Aviation Policy 293

d The SkyTeam Proceedings:Slouching Toward Regulatory Incoherence 297

e Mixing Competition Policy and Politics:The Instability of Immunity Jurisprudence 301

D Moving Beyond Open Skies:The Need to Reconceptualize U.S. International Aviation Strategy 302

1 Open Skies and Retrenchment:U.S. Bilateral Relations 1978-92 302

2 U.S./Europe:A Continuing Story of Aeropolitical Discord 305

3 Resisting Open Skies:The U.S./Asia/Oceania Market 309

4 The U.S. Response:Aerodiplomacy Trumps Retaliation and Denunciation 312

5 A Reconceptualization of Open Skies-Some Preliminary Thoughts 318

a IATCA and the 2007 U.S./EC Air Transport Agreement 322

b The Risks of More Bilateralism 325

Ⅳ A CRITIQUE OF U.S. FEDERAL AIRLINE DEREGULATION 326

A Lessons from the U.S. Experience 326

B Securing Competition in a Deregulated Airline Industry 327

1 The Structural Unpredictability of U.S. Deregulation 327

2 An Enduring Business Model:Complex,Costly Hub-and-Spoke Networks 331

3 CRS:Adjusting to a Post-Regulatory Environment 335

4 Loyalty Programs and Slot/Gate Scarcity:Enduring Non-Price Entry Barriers 340

5 The Death and Life of A Merger Policy for the U.S. Airline Industry 347

a Mergers in the Reagan Era:Laissez-Faire under CAB/DOT Review 348

b After 1989:Stronger Surveillance by the Antitrust Division 352

6 Finding the Proper Regulatory Tempo:A Case Study of the 1998 Predatory Pricing Guidelines 357

a The DOT Enters a Jurisprudential Minefield 357

b The Rational Side of Predation 362

c The DOT Abandons Regulatory a Priorism 365

C Portents of Reregulation:An Industry in Perpetual Transition 368

1 The Lessons of the September 11,2001 'Stabilization' Package 368

a The First Approach of Reregulation:The September 11,2001 'Stabilization' Package 369

b Lessons of the Stabilization Act 373

2 2008:The Reregulation Debate Redux 374

D U.S. Airline Deregulation:An Unfinished Experiment 378

Chapter 5 Model Jurisdiction Ⅱ:The European Community&An Experiment in Multilateral Airline Liberalization 381

Ⅰ INTRODUCTION:AN OVERVIEW OF THE EU AIR TRANSPORT INDUSTRY 381

Ⅱ THE SUPRANATIONAL LEGAL AND POLICY FOUNDATIONS OF EC AIRLINE DEREGULATION 386

A General Principles of the Community Legal Order 386

B The Community Institutions and EC Air Transport Liberalization 388

1 The Council of the European Union 388

2 The European Commission 389

3 The European Parliament 391

4 The European Court of Justice 393

C The Legislative Foundations of the Single Aviation Market:A 'Package' Deal 401

D The EC Treaty's Competition Code:Still Leading from the Center 410

1 The Primary and Secondary Sources of EC Competition Law 411

a Regulating Private Action:Articles 81 and 82,Regulation 1 of 2003 411

b Applying Competition Law to the Airlines 416

c Merger Control in the EC 418

d Regulating Public Action:State Aids 422

E Toward Multilateralism:The EC's External Aviation Relations 424

1 The Open Skies Rulings and the External Competence of the EC 424

2 A Synthesis of the Community's External Competence 432

Ⅲ AN APPRAISAL OF MULTILATERAL AIRLINE DEREGULATION IN THE EC:GUIDEPOSTS FOR THE ERA BEYOND OPEN SKIES 434

A The Demonstration Effect of the European Experiment 434

B Reprising the U.S. Experience:Protecting Competition in a Deregulated Era 435

1 Europe's FTC:The Shifting Role of the European Commission 435

2 Two Case Studies in Supranational Trusteeship:The Article 82 'Dominance' Factor 438

a An Early Example:British Midland v.Aer Lingus 439

b Focusing on the Competitive Structure:The Travel Agency Incentives Case 443

3 Airline Mergers and Alliances:A New Commission Activism 450

a Europe's Airline Culture:Cooperation Trumps Merger 450

b Case Studies in the Commission's Scrutiny of Transatlantic Alliances 453

ⅰ The Nebulous World of Transnational EU Mergers:Air France-KLM 456

ⅱ A Case Study in Community Merger Policy:The easyJet Challenge to Air France-KLM 459

c Conclusion:When the Mergers Come 466

C Regulatory Challenges of Multilateral Airline Liberalization Ⅰ:Issues Common to the U.S.Experience 469

1 Computer Reservations Systems in Europe 469

2 The Infrastructure Challenge 473

3 Passenger Rights:Overexuberant Regulation? 477

D Regulatory Challenges of Multilateral Airline Liberalization Ⅱ:Issues Beyond the U.S. Experience 482

1 Building the Community's External Aviation Policy Ⅰ:The Chicago Bilateral System After the ECJ Open Skies Rulings 482

2 Building the Community's External Aviation Policy Ⅱ:More Verticality and a European Common Aviation Area 488

3 A Concluding Note on the Community's External Aviation Policy 492

E A Conceptual Conflict:The Community Licensing System and the Right of Establishment 492

F Dipping into the Well of Public Subsidy:The Battle Against 'State Aids' 495

1 Two Flag Carriers Under Scrutiny:Olympic and Alitalia 497

2 A New State Aids Challenge:Airport Subsidies 502

3 Should State Aids Be a Transitional Phenomenon? 506

G Conclusion:Some Counterpoints to the EC Deregulation Experiment 507

1 Two General Counterpoints 509

a The Commission's 'Industrial Policy' 509

b A Partial Deregulation of the 'Aviation' Industry 510

2 Three Specific Counterpoints 511

a The Anomaly of Public Service Obligation (PSO) Routes 511

b A Doomed Suggestion:Fare Reregulation 513

c A Cautionary Tale of External Relations 515

Chapter 6 Conclusion:A Proposal for a Second Stage U.S./EC Air Transport Agreement 517

Ⅰ INTRODUCTION:THE CHANGE IMPERATIVE 517

Ⅱ THE IMPERATIVES OF LIBERALIZATION AND GLOBALIZATION 518

A The Global Regulatory Backdrop to Airline Deregulation 518

B A Constitutional Symmetry:U.S./EC Airline Deregulation 521

Ⅲ THE FOUNDATIONS OF A NEW PLURILATERAL AIRSPACE 522

A Introduction:The Narrowness of Open Skies 522

B Visualizing a Multilateral Air Transport Regime 524

C GATS Gradualism:A Search for the Highest Common Denominator 526

1 Introduction 526

2 Applying the GATS Framework Principles to Global Air Transport 528

a The GATS Trade Principles 530

b Most-Favored-Nation 530

c National Treatment 534

d Market Access 535

3 A Critique of the GATS Approach to Multilateralism 535

4 Conclusion:Politics and the GATS 540

D A Plurilateral Reconceptualization of the U.S./EC Second Stage Negotiations 542

E Some Guiding Principles for the Negotiators 544

1 Principle 1:The End of Managed Trade 546

2 Principle 2:The End of Cabotage and Chicago's Contrivance of 'Freedoms' 547

3 Principle 3:A New Doctrine of 'Regulatory' Nationality 548

4 Principle 4:An End to Pricing Controls 550

5 Principle 5:A 'Deep Integration' Program of Regulatory Convergence 551

a Convergence in Air Transport Competition Law and Policy 553

ⅰ Introduction:Globalizing Trends in Competition Law Enforcement 553

ⅱ A Proposal for Competition Surveillance of the Airlines 559

(a)Shaping a Common Body of Competition Law 560

(b)A Rule of Abstention for Competition Enforcement Agencies 561

ⅲ Conclusion 562

b The End of Operating Aid for Failing Carriers 562

c Resetting the Tempo of Regulation:Abstention and Convergence 564

ⅰ A Code for Airport Constraints 566

ⅱ Labor Rights in a Plurilateral Setting 567

6 Principle 6:A Mandatory Supranational Dispute Settlement/Appellate Mechanism 570

a Introduction 570

b A Sector-Specific Supranational Tribunal 572

c Advancing to Private Supranational Dispute Settlement 576

d Private Supranational Dispute Settlement:A Constitutional Possibility? 578

e Conclusion 580

7 Principle 7:Adopting the EC 'Community Designation Clause' for Countries outside the Second Stage Plurilateral 581

Ⅳ BEYOND OPEN SKIES: THE POLITICAL CHALLENGE OF AUTHENTIC LIBERALIZATION 583

Appendix Ⅰ Department of Transportation Statement of United States International Air Transportation Policy May 3,1995 589

Appendix Ⅱ Model U.S. Open Skies Agreement 601

Appendix Ⅲ 2007 U.S./EC Air Transport Agreement 615

Tables of Cases and Administrative Proceedings 659

Select Bibliography 669

Index 695