This Scheme is the Sydney Airport Slot Management Scheme 2013.

(1) In this Scheme:

Act means the Sydney Airport Demand Management Act 1997.

Air Navigation Act means the Air Navigation Act 1920.

airport operator means the airport-lessee company for the airport for the purposes of the Airports Act 1996.

allocated — see section 4.

equivalent scheduling season to a northern summer means another northern summer, and to a northern winter means another northern winter.

historical precedence — see section 10.

historics baseline date means:

(a) for a northern summer — 31 January before the northern summer commences; and

(b) for a northern winter — 31 August before the northern winter commences.

Note The ‘size of aircraft’ and ‘use it or lose it’ tests are applied to slot series that are held on the historics baseline date.

IATA means the International Air Transport Association.

kind, in relation to a gate movement, means a gate movement immediately before a take-off or a gate movement immediately after a landing.

new entrant — see section 3.

northern summer means the period that begins at the beginning of the last Sunday in March and ends immediately before the beginning of the following northern winter (in each case in accordance with Universal Coordinated Time).

northern winter means the period that begins at the beginning of the last Sunday in October and ends immediately before the beginning of the following northern summer (in each case in accordance with Universal Coordinated Time).

peak period means:

(a) from 6 am to 11 am on a day other than a Saturday or Sunday; and

(b) from 3 pm to 8 pm on a day other than a Saturday or Sunday.

permanent regional service series — see section 6.

regional service means a flight that takes off and lands within New South Wales.

Note: A particular service might consist of several legs, some of which will be regional services (that is, ones that take off and land within New South Wales) and some of which will not be.

scheduling season means a northern summer or a northern winter.

Secretary means the Secretary of the Department.

‘size of aircraft’ test — see section 8.

slot group means 2 or more slots that together authorise gate movements for flights operated over a nominated period for a specific event.

slot pool: a slot that has not, at any given time, been allocated is taken to be part of the slot pool.

slot return deadline means:

(a) for a northern summer — 15 January before the northern summer commences; and

(b) for a northern winter — 15 August before the northern winter commences.

Note Operators are encouraged to return slots before the relevant slot return deadline each scheduling season. Operators that return slots after the slot return deadline may receive a lower priority in the initial coordination of the next equivalent scheduling season.

slot series means 5 or more slots that authorise the same kind of gate movement at the same time or, if that is not possible, approximately the same time, on the same day of consecutive weeks within one scheduling season.

Example A takeoff slot at 5 pm every Monday during a specified period.

‘use it or lose it’ test — see section 7.

(2) An expression used in this Scheme and in the Air Navigation Act has the same meaning in the Scheme as in that Act.

(3) An expression used in this Scheme and in section 11A of the Air Navigation Act has the same meaning in the Scheme as in that section.

Note 1 Terms defined in section 11A of the Air Navigation Act, or used in that Act generally, include foreign airline and international air service.

Note 2 The following terms used in this Scheme are defined in the Act:

 aircraft

 curfew period

 gate movement

 operator

 slot

 Slot Manager.

3 Meaning of new entrant

(1) In this Scheme, an operator is a new entrant in relation to a slot on a day if:

(a) the operator applied to be a new entrant in relation to the slot under section 13; and

(b) the operator applied to be a new entrant in relation to no more than the qualifying number of slots for that day.

(2) For an operator, the qualifying number of slots for a day is 4 minus the number of slots on that day that, after the initial allocation of historic slots under section 15, have been allocated to the operator and any related operators together.

(3) An operator that applied to be a new entrant in relation to several slots on a day and has informed the Slot Manager of a priority order is taken to have applied for no more than qualifying number of slots, taken in that order.

(4) In this Scheme:

related operator: an operator (the first operator) is taken to be a related operator in relation to another operator (the second operator) if the Slot Manager believes, on reasonable grounds, that:

(a) the first operator holds 25% or more of the relevant interests in the second operator’s shares; or

(b) the first operator effectively controls the second operator.

relevant interest has the same meaning as it has in subsection 11A (3) of the Air Navigation Act.

4 Meaning of allocated

A slot is allocated to an operator when the Slot Manager offers the slot to the operator and the operator accepts the offer.

5 References to aircraft size

In this Scheme, all aircraft within each of the following groups are taken to be of the same size as other aircraft within the group:

(a) aircraft with fewer than 30 seats;

(b) aircraft with from 30 to 49 seats;

(d) aircraft with from 101 to 150 seats;

(e) aircraft with from 151 to 250 seats;

(f) aircraft with from 251 to 350 seats;

(g) aircraft with from 351 to 450 seats;

(h) aircraft with 451 or more seats.

6 Meaning of permanent regional service series

Continuation of existing permanent regional service series

(1) A slot series is a permanent regional service series if:

(a) the equivalent slot series in the previous equivalent scheduling season was a permanent regional service series under this Scheme; or

(b) for each slot in the series, the equivalent slot in the previous equivalent scheduling season was a permanent regional service slot under the Slot Management Scheme 1998.

Extension of permanent regional service series

(2) A slot series that incorporates a permanent regional service series mentioned in subsection (1) is also a permanent regional service series if, for each other slot in the series:

(a) the equivalent slot in each of the 2 previous equivalent scheduling seasons was allocated to the operator to conduct a regional service; and

(b) the operator conducted the regional service in compliance with any ‘size of aircraft’ requirement that applied to the slot.

Creation of new permanent regional service series

(3) A slot series is also a permanent regional service series if, for each slot in the series:

(a) the equivalent slot in each of the 2 previous equivalent scheduling seasons was allocated to the operator to conduct a regional service; and

(b) the operator conducted the regional service in compliance with any ‘size of aircraft’ requirement that applied to the slot.

Reduction or loss of permanent regional service series

(4) Despite subsections (1), (2) and (3), a slot series is not a permanent regional service series if it includes a slot for which, in each of the previous 2 equivalent scheduling seasons:

(a) the equivalent slot was allocated to an operator for a service other than a regional service; and

(b) the operator conducted the other service in compliance with any ‘size of aircraft’ requirement that applied to the slot.

7 ‘Use it or lose it’ test

Note See section 9 for administration of the ‘use it or lose it’ test.

(1) After the completion of a slot series, the Slot Manager must:

(a) assess whether the operator conducted a gate movement of the kind permitted by the series for at least 80% of the slots; and

(b) if the Slot Manager is satisfied that this was not the case:

(i) make a declaration that the operator did not comply with the ‘use it or lose it’ test in relation to the series; and

(ii) notify the operator and the Secretary in writing of the declaration.

(2) If the Slot Manager does not make a declaration in relation to a slot series, the operator is taken to have satisfied the ‘use it or lose it’ test in relation to the series.

8 ‘Size of aircraft’ test

Note See also section 9 for administration of the ‘size of aircraft’ test.

(1) After the completion of a slot series for which there was a requirement as to the size of the aircraft to be used, the Slot Manager must:

(a) assess whether the operator used an aircraft that satisfied the requirement for at least 80% of the slots; and

(b) if the Slot Manager is satisfied that this was not the case:

(i) make a declaration that the operator did not comply with the ‘size of aircraft’ test in relation to the series; and

(ii) notify the operator and the Secretary in writing of the declaration.

Note Under subsection 18 (4), when offering a slot or a slot series to an operator, the Slot Manager may specify that it is a requirement that an aircraft of a particular size be used for the slot or slot series.

(2) If the Slot Manager does not make a declaration in relation to a slot series, the operator is taken to have satisfied the ‘size of aircraft’ test in relation to the series.

9 Administration of ‘size of aircraft’ and ‘use it or lose it’ tests

(1) Before making a declaration under section 7 or section 8, the Slot Manager must consult the operator concerned.

(2) For paragraph 7 (1) (a) or 8 (1) (a), an operator that did not comply with the relevant requirement for a slot is nevertheless taken to have complied if the Slot Manager is satisfied that:

(a) the reasons for the operator not conducting the movement or not using an aircraft of the proposed size were not within the operator’s control; or

(b) taking into account any other relevant matter known to the Slot Manager, the operator had a reasonable excuse for not conducting the movement or not using an aircraft of the proposed size.

(3) The Slot Manager must, if satisfied of a matter under subsection (2), notify the Secretary of that fact.

(4) Without limiting paragraph (2) (a), reasons not within the operator’s control:

(a) include bad weather and closure of the airport; and

(b) do not include the occurrence of a public holiday.

(5) When calculating the percentage mentioned in subsection 7 (1) or 8 (1):

(a) the Slot Manager must treat the following slots as if they had not been allocated:

(i) a slot that was returned on or before the historics baseline date; and

(ii) a slot that was obtained by a slot swap that had effect for a single day; and

(b) the Slot Manager must treat the following slots as if they had been allocated:

(i) a slot that was returned after the historics baseline date; and

(ii) a slot that it obtained by a slot swap that had effect for 2 or more days.

10 Meaning of historical precedence

(1) Subject to this section, an operator has historical precedence to a slot series if:

(a) the corresponding slot series in the previous equivalent scheduling season was allocated to the operator; and

(b) the operator satisfied the ‘use it or lose it’ test and any ‘size of aircraft’ test that applied in relation to that slot series.

(2) If:

(a) in the previous equivalent scheduling season an operator was allocated a permanent regional service series to conduct a service that was not a regional service; and

(b) the operator satisfied the ‘use it or lose it’ and any ‘size of aircraft’ test that applied in relation to that slot series;

the operator does not have historical precedence to that series unless:

(c) in the equivalent scheduling season before the previous equivalent scheduling season, the corresponding series was allocated to the operator to conduct a service that was not a regional service; and

(d) the operator satisfied the ‘use it or lose it’ and any ‘size of aircraft’ requirement that applied to the series.

(3) An operator does not have historical precedence to a slot series that includes:

(a) a slot for which the operator has applied to conduct a service with an aircraft that has less than 18 passenger seats; or

(b) a slot in a peak period for which the operator has applied to conduct a regional service;

unless the slot is part of a permanent regional service series.

Part 2—System for allocation of slots (Act s 35(1))

Division 1—Applying for slots

11 Who can apply for slots

(1) Any operator may apply for a slot.

(2) An operator may apply for a slot to provide a regional service only if:

(a) the slot is part of a permanent regional service series; or

(b) the slot is not during a peak period; or

(i) is to be used to meet a special need; and

(ii) is not part of a slot series or slot group.

(3) An operator may apply for a slot series to operate a service that will be provided using an aircraft that has fewer than 18 passenger seats only if:

(a) the operator has historical precedence to those slots; or

(b) the slot series is a permanent regional service series.

Note Because of subsection 10 (3), the operator will have historical precedence to the slot series for the purposes of paragraph (3) (a) only if the slot series is a permanent regional service series. An application for a slot series for which the operator has historical precedence will be allocated under section 15.

12 How many slots can be applied for at once

An operator may apply for:

(a) a single slot; or

(b) a slot series; or

13 How to apply

(1) An application must:

(a) be in writing; and

(b) be in the form approved, in writing, by the Slot Manager; and

(2) The application must set out the following information:

(a) the applicant’s airline code, or proposed airline code;

(b) the flight number or proposed flight number of the proposed service;

(d) for each slot:

(i) whether the movement proposed is an arrival or a departure; and

(ii) the previous port or next port of the proposed service; and

(iii) the type of aircraft proposed to be used; and

(iv) the number of seats in the aircraft proposed to be used; and

(e) any slots for which the operator is qualified, and wishes, to be a new entrant.

(3) For paragraph (2) (c):

(a) the time may be given in:

(i) the local time that will be in effect on the day of the slot; or

(ii) Universal Coordinated Time; and

(b) the application must specify which time system is used.

(4) The Slot Manager must acknowledge receiving the application.

Division 2—How slots are allocated

14 Preparation for allocation before scheduling season starts

(1) Before a scheduling season (the next scheduling season) starts, the Slot Manager must:

(a) decide which slot series in the next scheduling season each operator has or will have historical precedence to; and

(b) notify each operator in writing of:

(i) the slots the Slot Manager considers each operator has or will have historical precedence to (the slot historics list); and

(ii) the date by which operators must notify the Slot Manager if they disagree with the slot historics list (the agreed historics deadline); and

(iii) any other information the Slot Manager considers relevant to allocation of slots for that scheduling season.

Note Under guidelines issued by IATA, the Slot Manager must do this by the ‘SHL Deadline’ (or ‘Slot Historic List Deadline’). For a northern summer, this is the third Monday in September. For a northern winter, this is the third Monday in April.

(2) An operator must notify the Slot Manager of any disagreement no later than the agreed historics deadline.

Note If the Slot Manager and operator are unable to resolve this disagreement, the operator is able to seek a review of the Slot Manager’s decision under Part 3.

(3) The Slot Manager must invite operators to apply, no later than a date specified by the Slot Manager (the initial submission deadline), for slots in the next scheduling season.

Note Under guidelines issued by IATA, the initial submission deadline is 7 days after the agreed historics deadline.

15 Allocation of slots based on historical precedence

Note Single slots and slot groups are not allocated under this section.

(1) If an operator has applied in response to an invitation under section 14 for a slot series to which it has historical precedence, the Slot Manager must offer the series to the operator unless allocation would be inconsistent with section 18.

(2) If allocation of a slot would be inconsistent with section 18, the Slot Manager must, after consulting the operator, offer another slot to the operator.

(3) The Slot Manager must not, under subsection (2), offer an operator a permanent regional service series if another operator has historical precedence to the series.

Note Allocation of such a slot series is done under section 16, and consistently with paragraph 16 (2) (b).

16 Allocation of other slots as part of initial coordination

(1) When all slots offered under section 15 have been either accepted or rejected by operators, the Slot Manager must offer slots in accordance with this Division to other applicants who applied in response to an invitation under section 14.

Note See sections 18 and 19 for the rules that apply to allocation of slots in accordance with this Division.

(2) When offering slots, the Slot Manager must ensure that:

(a) as close as possible to the first 50% of the slots applied for by both a new entrant and another operator are offered to a new entrant; and

(b) as far as possible, a permanent regional service series is offered to an operator that proposes to conduct a regional service.

Note The Slot Manager completes an initial round of slot allocations using sections 15 and 16 (known as the ‘initial coordination’ under guidelines issued by IATA) before the bi-annual IATA Slot Conference. (Under guidelines issued by IATA, the initial coordination is completed before the ‘SAL deadline’.) The Slot Manager may then allocate further slots after the initial coordination, including after the IATA Slot Conference, under section 17.

17 Allocation of slots after initial coordination

(1) Operators may apply for further slots in a scheduling season at any time.

(2) At any time after the slot return deadline for a scheduling season, the Slot Manager may offer available slots to applicants in accordance with this Division.

Note See sections 18 and 19 for the rules that apply to allocation of slots in accordance with this Division.

18 Rules that apply to all slot allocations

(1) This section applies whenever the Slot Manager offers slots to operators.

(2) The Slot Manager must not offer a slot to an operator if:

(a) allocating the slot would be likely to lead to the maximum movement limit being exceeded; or

Note The maximum movement limit is set out in section 6 of the Act.

(b) the slot would permit a gate movement during a curfew period; or

(3) Before offering a slot to an operator, the Slot Manager must have regard to any advice about the likely effect of the allocation, if made, on the operational efficiency or the capacity of the airport from:

(a) the body that provides air traffic control at Sydney Airport; or

(b) the airport operator.

(4) When offering a slot or a slot series to an operator, the Slot Manager may specify that it is a requirement that an aircraft of a particular size be used for the slot or slot series.

(5) If satisfied that the application was not made in accordance with section 11, the Slot Manager need not allocate the slot applied for, but may consult with the operator and offer a different slot.

19 Rules that apply to allocations of slots other than under section 15

(1) This section applies when the Slot Manager allocates slots other than under section 15.

(2) When allocating slots, the Slot Manager must have regard to:

(a) any advice the Slot Manager has received from the airport operator; and

(b) any guidelines published by the IATA; and

(i) giving priority to changes to historic slots over allocating new requests for the same slot;

(ii) resolving competing applications through consultation and negotiation;

(iii) maintaining a service to routes where regional services have ceased to operate, and of introducing a service to routes where no regional service operates; and

(iv) giving priority to applications for slots to operate larger aircraft over applications for slots to operate smaller aircraft; and

(v) giving priority to operators that propose to operate a year-round service.

(3) If an operator does not accept an offer within 14 days after it is made:

(a) the slot is returned to the slot pool; and

(b) the application is taken to have been withdrawn.

Division 3—Slot swaps

20 Slot swaps

(1) Two operators may apply to the Slot Manager to swap slots.

(2) A slot swap has no effect unless it is approved by the Slot Manager.

(3) In deciding whether or not to approve a slot swap, the Slot Manager must consider the operational efficiency of Sydney Airport.

(4) For the civil penalty provisions of the Act, an operator is taken to have been allocated a slot that it obtained by a slot swap.

(5) A slot swap has effect:

(a) if the Slot Manager specifies a period in the approval — during the specified period; or

Example The Slot Manager could specify a period of 1 day.

(b) otherwise — for the remainder of the scheduling season.

21 Swaps of permanent regional service series

A slot that is part of a permanent regional service series (the original slot) may be swapped with a slot that is not a part of a permanent regional service series (the other slot) for a period of more than one day only if the other slot authorises a gate movement that is within 30 minutes of the time of the gate movement that was authorised by the original slot when it first became such a slot.

Division 4—How allocation is lost

22 Returning slots to pool at operator’s initiative

An operator may return a slot to the slot pool at any time.

Note Operators are encouraged to return slots before the relevant slot return deadline each scheduling season.

23 Operators that do not comply with relevant statutory requirements

(1) This section applies if:

(a) a slot is allocated to an operator; and

(b) at the time of the allocation, the operator does not comply with all of the statutory requirements to operate the proposed service (the relevant statutory requirements).

(2) The Slot Manager may return the slot to the slot pool unless, at least 2 months before the start of the scheduling season, the operator:

(a) complies with the relevant statutory requirements; or

(b) produces evidence that it will comply with those requirements before the start of the scheduling season.

Note The relevant statutory requirements include:

 holding an Air Operator’s Certificate under the Civil Aviation Act 1988 or (in the case of a foreign airline) being permitted by the Civil Aviation Safety Authority to fly to or within Australia; and

 establishing a security program under the Air Navigation Act.

(3) If the operator fails to comply with the relevant statutory requirements before the start of the relevant scheduling season, any slot that has been allocated to the operator is returned to the slot pool.

24 Operators that fail to comply with statutory requirements

(1) If during a scheduling season an operator ceases to comply with the statutory requirements to operate a service, the Slot Manager may return any slot allocated to the operator to the slot pool.

(2) To avoid doubt, an operator is not taken, for subsection (1), to cease to comply with those requirements if the operator’s Air Operator’s Certificate is suspended.

Part 3—Review of decisions (Act s 35(6))

25 Internal review of decisions of Slot Manager

(1) An operator whose interests are adversely affected by a decision of the Slot Manager may apply in writing to the Board of the Slot Manager, within 14 days of being told in writing of the Slot Manager’s decision, for a review of the decision.

(2) The Board may conduct the review in any way that it thinks fair and reasonable.

(3) If the Board is satisfied that the Slot Manager’s decision was unreasonable, it may substitute any decision that the Slot Manager could have made.

26 External review of decisions of Slot Manager

(1) An operator whose interests are adversely affected by a decision made under section 25 may ask the airport operator in writing, within 14 days of being told in writing of the decision, to appoint an arbitrator to review that decision.

(2) The airport operator must appoint an arbitrator who is a legal practitioner of at least 7 years’ standing.

(3) The arbitrator may conduct the arbitration in any way that he or she thinks fair and reasonable, and may make any decision that the Slot Manager could have made.

(4) An applicant, or the Slot Manager, may be represented by a legal practitioner.

(5) The arbitrator’s fees and expenses are payable by the Slot Manager unless the arbitrator certifies in writing that the application was frivolous or unreasonable, in which case the arbitrator’s fees and expenses are payable by the applicant.

(6) An arbitrator may not award costs against the Slot Manager or an operator.

Part 4—Guidelines — declarations (Act ss 11 (4) and 35 (4))

27 Guidelines — declaration that movements do not have to be in accordance with allocated slots

(1) In deciding whether to make a declaration under subsection 11 (4) of the Act, the Slot Manager must have regard to the following:

(a) whether it appears that the physical capacity of Sydney Airport is, or has recently been, limited to 36 or fewer arrivals per hour;

(b) whether airspace or a runway is unavailable or its use is restricted;

(d) any industrial action by people needed for the safe or efficient operation of the airport;

(e) any failure of, or defect in, the equipment required for the safe or efficient operation of the airport;

(f) any aircraft accident, serious incident, or incident (within the meaning of Part 2A of the Air Navigation Act);

(g) any act of unlawful interference with aviation (within the meaning of section 3AE of the Air Navigation Act).

Note 1 Subsection 11 (4) of the Act provides that:

‘The *Slot Manager may, in writing, declare, in relation to the whole or a part of a day, that *gate movements that occur during the period to which the declaration relates are not required to take place in accordance with their allocated slots.’

Note 2 The period must consist of one or more consecutive whole days or part of a day, or one or more consecutive whole days preceded or followed by a part of a day — see subsection 11 (4) of the Act.

(2) If the Slot Manager makes a declaration under subsection 11 (4) of the Act on the basis of a reduction in the physical capacity of the airport, the Slot Manager must consider whether the declaration should also cover a subsequent period that would account for disrupted movements and consequential delays caused by that period of reduced capacity.

(3) Before making the declaration, the Slot Manager must consult, and have regard to, the view of:

(a) the organisation that provides air traffic control at the airport; and

(b) the airport operator;

about the expected physical capacity of the airport during the period.

Part 5—Guidelines — dispensations (Act ss 31 and 35 (5))

28 Guidelines — exceptional circumstances and conditions

(1) Circumstances constitute exceptional circumstances for section 31 of the Act if refusal in the circumstances to allow an aircraft to make a gate movement could jeopardise:

(a) the safety of a person; or

(b) Australia’s international relations.

(2) A dispensation should be subject to a condition that the approval is only for a single gate movement.

Note Subsection 31 (1) of the Demand Management Act provides that:

‘The Slot Manager may grant a dispensation authorising an aircraft to make a gate movement at Sydney Airport in circumstances that would otherwise result in the operator contravening a civil penalty provision if the Slot Manager is satisfied that there are exceptional circumstances justifying the take off or landing.’

Part 6—Authorisations (Act ss 35 (3))

29 Authorisation of other persons to perform functions

(1) The Slot Manager may authorise a person or authority mentioned in subsection (2) to exercise any of the Slot Manager’s powers:

(a) relating to the allocation of slots; or

(b) in connection with a slot that has been allocated.

(2) The persons and authorities are:

(a) Airservices Australia; and

(b) the body that provides air traffic control services at the airport; and

Part 7—Transitional provisions

30 Transitional provisions

(1) In this section:

1998 Scheme means the Slot Management Scheme 1998.

commencement date means 31 March 2013.

(2) A slot that was allocated under the 1998 Scheme for a gate movement that is to occur on or after the commencement date is taken to have been allocated under this Scheme.

(3) An application under the 1998 Scheme that relates to a slot for a gate movement that is to be conducted on or after the commencement date, but which was not dealt with before the commencement date, is taken to have been made under, and in accordance with, this Scheme.

(4) Any preparation for the allocation of slots for a scheduling season that starts on or after the commencement date is taken to have been done in accordance with this Scheme.