1、Doc 9587 Policy and Guidance Material on the Economic Regulation of international Air Transport Approved by the Secretary General and published under his authority Third Edition 2008 International Civil Aviation Organization Copyright International Civil Aviation Organization Provided by IHS under l
2、icense with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 University Street, Montreal, Quebec, Canada H3C 5H7 For ordenng
3、 information and for a complete listing of sales agents and booksellers please go to the ICAO website at www icao int Third edition 2008 ICAO Doc 9587, Policy and Guidance Material on the Economic Regulation of International Air Transport Order Number 9587 ISBN 978-92-9231-200-8 ICAO 2008 All nghts
4、reserved No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without pnor permission in writing from the International Civil Aviation Organization Copyright International Civil Aviation Organization Provided by IHS under license wit
5、h ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-AMENDMENTS Amendments are announced in the supplements to the Catalogue of ICAO Publications; the Catalogue and its supplements are available on the ICAO website at www.icao.int. The space below is provided to k
6、eep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS No Date -Entered by COtlRIGENDA No Date Entered by (Hi) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license fro
7、m IHS-,-,-FOREWORD 1. This is the third edition of Doc 9587, a compendium of the conclusions, decisions and guidance material developed by ICAO for its Contracting States concerning the economic regulation of international air transport. The origin of this compilation is Doc 9440 prepared pursuant t
8、o Assembly Resolution A23-17 and published in 1984, which was replaced by the first edition of Doc 9587 issued in 1992. The present document updates the second edition issued in 1999 and incorporates new policy guidance developed by the Organization since then. Content and structure 2. The conclusio
9、ns, decisions and guidance material included in the main text are those dealing with economic aspects of international air transport regulation which have received the endorsement of either the Assembly or the Council. In light of the changing regulatory scene, efforts have been made to provide in t
10、his single document a comprehensive coverage of all the relevant ICAO policies and guidance material. To improve user-friendliness and for ease of reference, the main body of the present edition has been structured into eight parts, each under a broad regulatory topic. It has incorporated some new p
11、olicy guidance on emerging issues such as aviation safety and security, and environmental protection, which also bear on the economic regulation of air transport. 3. In addition, this document includes six appendices to provide additional guidance material, mostly developed by a panel of experts or
12、the Secretariat, and approved by the Secretary General. The first three appendices remain the same as in the previous edition, namely; Appendix 1 Guidelines for non-scheduled air services. Appendix 2 Guidance material on the avoidance or resolution of conflicts over the application of competition la
13、ws to international air transport, and Appendix 3 Preferential measures for developing countries in the economic regulation of international air transport. The three new appendices are: Appendix 4, vAch presents the conclusions, model clauses and recommendations of the fifth Wortdwide Air Transport
14、Conference (ATConf/5): Appendix 5, which contains the ICAO Template Air Services Agreements (TASAs); and Appendix 6, which reproduces Assembly Resolution A36-15, Consolidated statement of continuing ICAO policies in the air transport field. Sources and related publications 4. As reflected in this do
15、cument, ICAOs policies in the air transport field stem from certain Articles of the Convention on International Civil Aviation (Chicago Convention), the International Air Services Transit Agreement, the International Air Transport Agreement, and relevant Assembly resolutions. In October 1998, the As
16、sembly adopted Resolution A32-17 to consolidate all eariier Assembly resolutions relating to air transport into a single one, which constitutes a consolidated statement of continuing ICAO policies in the air transport field. This consolidated statement has since been updated regulariy by subsequent
17、Assembly resolutions, the most recent one being Resolution A36-15. 5. In addition to the above, the present document also includes: relevant text from other Assembly resolutions (e.g. on environmental protection) and Council resolutions, statements and decisions; declarations of relevant ICAO confer
18、ences; recommendations adopted by five woridwide Air Transport Conferences (1977, 1980, 1985, 1994 and 2003) that have been approved by the Council; and relevant recommendations developed by the Panel of Experts on the Machinery for the Establishment of International Fares and Rates and by the Air T
19、ransport Regulation Panel (formerty the Panel of Experts on the Regulation of Air Transport Services) that have been endorsed by the Council. (V) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without l
20、icense from IHS-,-,-(vi) Policy and Guidance Material on the Economic Regulation of International Air Transport 6. The following publications provide background for the conclusions and decisions in the present document, along with additional guidance material; Convention on International Civil Aviat
21、ion (Doc 7300) Assembly Resolutions in Force (as of 28 September 2007) (Doc 9902) Report of the Special Air Transport Conference (Doc 9199) Report of the Second Air Transport Conference (Doc 9297) Report of the Third Air Transport Conference (Doc 9470) Report of the Woridwide Air Transport Conferenc
22、e (ATConf/4 - 1994) (Doc 9644) Report of the Worldwide Air Transport Conference (ATConf/5 - 2003) (Doc 9819) 7. Of particular relevance is the Manual on the Regulation of International Air Transport (Doc 9626), prepared by the Secretariat at the request of the Council, which is a basic reference doc
23、ument on the economic regulation of international air transport and which complements and supplements the present document. It contains descriptive and analytical material on existing regulatory process and structure at the national, bilateral and multilateral levels, as well as regulatory content a
24、nd key issues. 8. Guidance material concerning other specific areas of international air transport regulation not included in this document can be found in the following publications; Airport and air navigation services economics and management ICAOs Policies on Charges for Airports and Air Navigati
25、on Sen/ices (Doc 9082) Manual on Air Navigation Services Economics (Doc 9161) Airport Economics Manual (Doc 9562) Manual of Airport and Air Navigation Facility Tariffs Doc 7100) Report on Financial and Related Organizational and Managerial Aspects of Global Navigation Satellite Systems (GNSS) Provis
26、ion and Operation (Doc 9660) Report of the Conference on the Economics of Airports and Air Navigation Sen/ices (ANSConf 2000) (Doc 9764). Facilitation Annex 9 Facilitation Dynamic Flight-related Public Information Displays (Doc 9249) Machine Readable Travel Documents (Doc 9303) International Signs t
27、o Provide Guidance to Persons at Airports and Manne Terminals (Doc 9636) Access to Air Transport by Persons with Disabilities (ICAO Circular 274) Guidelines on Passenger Name Record (PNR) Data (ICAO Circular 309) Taxation ICAOs Policies on Taxation in the Field of International Air Transport (Doc 86
28、32) Environmental protection Guidance on Aircraft Emissions Charges Related to Local Air Quality (Doc 9884) Guidance on the Use of Emissions Trading for Aviation (Doc 9885) Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or net
29、working permitted without license from IHS-,-,-Foreword (vii) Future revision 9. The present edition incorporates conclusions and decisions adopted by the Assembly and the Council which are in effect as of 8 October 2004. Pursuant to Assembly Resolution A36-15, which, inter alia, directs the Council
30、 to keep the guidance contained in this document current and responsive to the requirements of the Contracting States, the compilation will be updated or revised from time to time in light of future decisions of the Assembly and the Council. Copyright International Civil Aviation Organization Provid
31、ed by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-TABLE OF CONTENTS Page Parti. Regulatory Agreements and Arrangements 1-1 A. Chicago Convention 1-B. International Air Services Transit Agreement 1-2 C. International Air Transport Agre
32、ement 7 D. Definition of a Scheduled International Air Service 1-11 E. General Policy on Economic Regulation 1-16 F. Participation and Safeguards 1-18 G. Aviation Safety and Security 1-30 Part 2. Airline Ownership and Joint Operations 2-1 A. Airiine Ownership and Control 2-B. Joint Operating Organiz
33、ations and Pooled Services 2-3 C. Aircraft Operated by International Operating Agencies 4 Part 3. Regulation of Aiiljne Capacity 3-1 A. Model Clause for Predetennination Method 3-B. Model Clause for Bermuda 1 Type Method. 4 C. Model Clause for Free-determination Method 8 D. Capacity and Resources 3-
34、11 Part 4. International Fares and Rates 4-A. Assembly Resolution on Fares and Rates 4-1 B. Bilateral Tariff Clauses 2 C. Multilateral Mechanisms for the Establishment of Fares and Rates 4-19 D. Practices and Procedures conceming the Establishment of Fares and Rates 4-21 E. Rules and Conditions Asso
35、ciated with Scheduled Passenger Fares 4-23 Parts. Computer Reservation Systems 5-A. Assembly Resolution on Computer Reservation Systems 5-1 B. Council Resolution on ICAO CRS Code of Conduct 2 C. Code of Conduct for the Regulation and Operation of Computer Reservation Systems 5-D. Notes on ttie Appli
36、cation of the Code of Conduct 5-9 E. Model Clauses for Computer Reservation Systems 5-27 Part 6. Airline Commercial Matters 6-1 A. Ground Handling 6-B. Currency Conversion and Remittance of Earnings 6-2 C. Payment of Local Expenses 6-3 (ix) Copyright International Civil Aviation Organization Provide
37、d by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,-,-Policy and Guidance Material on the (x) Economic Regulation of International Air Transport D. Non-national Personnel and Access to Local Services 6-3 E. Sale and Mari :* I AT Conf/3 Rec
38、ommendation 7 RECOMMENDS that Contracting States ensure that overflight of their tenitories be permitted on a non-discriminatory basis consistent with obligations assumed by adherence to the Chicago Convention and the Intemational Air Services Transit Agreement. AT Conf/3 Recommendation 8 1. RECOMME
39、NDS that the Council study appropriate measures for resolving special problems brought to the Councils attention regarding impediments to overflight by civil aircraft to and from land-locked countiies. 2. RECOMMENDS that Contracting States not impose unnecessary impediments to overflight of their te
40、nitories by civil aircraft en route to or from land-locked countries, considering the special hardships faced by such countries. Copyright International Civil Aviation Organization Provided by IHS under license with ICAONot for ResaleNo reproduction or networking permitted without license from IHS-,
41、-,-Part 1. Regulatory Agreements and An-angements 1-7 C. INTERNATIONAL AIR TRANSPORT AGREEMENT , 1.5 The Final Act of the Intemational Civil Aviation Conference (Chicago, 1944) also included the Intemational Air Transport Agreement: This agreement for the multilateral exchange of rights came into fo
42、rce in 1945 for 19 States, 8 of which subsequentiy denounced it. As at 1 May 2007, there are 11 parties to the Agreement. The text was drawn up in the English language and no translation has been formally adopted. The French, Spanish and Russian versions have been translated by the ICAO Secretariat.
43、 In 1946 and 1947, ICAOs provisional body (PICAO) attempted to develop a multilateral agreement intended to exchange irafTtc rights and to address ttie regulation of capacity, tariffs and unfair practices. Such an agreement would have supplemented the Intemational Air Transport Agreement. These effo
44、rts were, however, unsuccessful. Since Uien, Intemational air transport has been regulated mostly through bilateral agreements between pairs of States, although multilateralism in commercial rights continues to be an objective of the Organization. (More description of multilateral regulation can be
45、found in Part 3 of Doc 9626 Manual on the Regulation of Intemational Air Transport.) The States which sign and accept this International Air Transport Agreement, being members of the Intemational Civil Aviation Organization, declare as follows: Article I Section 1 Each Contracting State grants to th
46、e other Contracting States the following Freedoms of the air in respect of scheduled international air services; 1) The privilege to fly across its territory without landing; 2) The privilege to land for non-traffic purposes; 3) The privilege to put down passengers, mail and cargo taken on in the te
47、rritory of the State whose nationality the aircraft possesses; 4) The privilege to take on passengers, mail and cargo destined for the territory of the State whose nationality the aircraft possesses; 5) The privilege to take on passengers, mail and cargo destined for the territory of any other Contr
48、acting State and the privilege to put down passengers, mail and cargo coming from any such territory. With respect to the privileges specified under paragraphs (3). (4), and (5) of this section, the undertaking of each Contracting State relates only to through services on a route constituting a reas
49、onably, direct line out from and back to the homeland of the State v/hose nationality the aircraft possesses. The privileges of this section shall not be applicable with respect to airports utilized for military purposes to the exclusion of any scheduled international air services. In areas of active hostilities or of military
