1、ICA0 CIRCULAR 283-AT/119 CIRCULAR 2001 REGULATORY IMPLICATIONS OF THE ALLOCATION OF FLIGHT DEPARTURE AND ARRIVAL SLOTS AT INTERNATIONAL AIRPORTS Approved by the Secretary General and published under his authority INTERNATIONAL CIVIL AVIATION ORGANIZATION MONTREALOCANADA COPYRIGHT International Civil
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13、fway House, 1685, Johannesburg, Republic of South Africa Spain. A.E.N.A. - Aeropuertos Espaoles y Navegacin Area, Calle Juan Ignacio Luca de Tena, 14, 2/01 Catalogue of ICAO Publications and Audio-visual Training Aids Issued annually, the Catalogue lists all publications and audio-visual training ai
14、ds currently available. Monthly supplements announce new publications and audio-visual training aids, amendments, supplements, reprints, etc. Available free from the Document Sales Unit, ICAO COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesFOREWORD Introdu
15、ction During the past ten years, the increase in commercial air services has continued to outstrip available capacity at more and more airports. Although many of these airports are located in Europe, there are growing numbers in other regions as well. Moreover, because of the interconnected aspect o
16、f air transport, capacity constraints at someairports impact on other airports within the international airtransport system. Environmental, economic, political and physical constraints on increasing airport capacity have, in some instances, exacerbated this problem. Governments, airlines and airport
17、s have each developed measures designed to overcome or ameliorate situations of insufficient airport capacity. However, governments are increasingly likely to face additional situations where the demand by airlines to initiate or increase commercial operations cannot be met because of a lack of airp
18、ort capacity. In light of this, the ICAO Council included in the Programme Budget of the Organization for 7999-2000-2007, a study on the regulatory implications of slot allocation at airports. Scope This study concentrates on the regulatory implications of the current situation; trends for airports
19、where the demand by airlines to use the airport exceeds its capacity (on a continuous basis or during peak periods); the regulatory framework involved; and the means by which States, airports and airlines have sought to alleviate or minimize this situation. The study also assesses current and potent
20、ial mechanisms for dealing with a chronic shortage of airport capacity and suggests possible improvements of and alternatives to the existing systems. While the study addresses the linkage between airspace congestion and airport congestion, it does not address the potential issue of slot allocation
21、for air traffic management per se, focusing on airport capacity management (encompassing approach and aerodrome control, runway and terminal capacity). Sources The documents listed in the Bibliography which appears at the end of this study have been extensively referenced. The study was prepared by
22、the ICAO Secretariat with information and assistance provided by Airports Council International (ACI) and the International Air Transport Association (IATA). A draft was reviewed by the ICAO Air Transport Committee in March 2000 and by the ICAO Conference on the Economics of Airports and Air Navigat
23、ion Services in June 2000. The present text of the study takes into account comments made in the Committee and at the Conference and has been updated to reflect subsequent regulatory developments. COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling Services(i0 ICA O C
24、ircular 283-A TA 19 Further work Pursuant to Recommendation 14 of the Conference on the Economics of Airports and Air Navigation Services, ICA0 will undertake further work on developing guidance on procedural aspects of slot allocation with respect to equity and non-discrimination, consistent with A
25、rticle 15 of the Convention on International Civil Aviation and including possible mechanisms for dispute resolution. COPYRIGHT International Civil Aviation OrganizationLicensed by Information Handling ServicesTABLE OF CONTENTS Page EXECUTIVE SUMMARY . (v) Chapter 1 . TERMINOLOGY 1 Chapter 2 . CURRE
26、NT SITUATION AND TRENDS . 2 Theconceptofairportcapacity 2 The concept of an airport slot 3 Capacity-constrained airports 4 External constraints on increasing airport capacity . 9 Chapter 3 . REGULATORY FRAMEWORK 10 Global 10 National . 12 Regional . 11 Chapter 4 . MEASURES TO DEAL WITH SCARCITY 14 D
27、emand-sideapproaches . 15 Supply-sideapproaches . 14 Chapter 5 . ASSESSMENTS OF EXISTING MEASURES. POSSIBLE IMPROVEMENTS AND ALTERNATIVES . 18 19 Assessments of existing measures 18 Improvements to the existing system . Proposed alternatives 21 BIBLIOGRAPHY . 22 (i) COPYRIGHT International Civil Avi
28、ation OrganizationLicensed by Information Handling ServicesEXECUTIVE SUMMARY 1. Although the situation in each capacity-constrained airport varies widely, with the steady increase in air traffic it is clear that more and more States will be confronted with slot allocation decisions. These decisions
29、will be particularly difficult in the international arena because, as a market access issue, slot allocation involves which airlines will operate to and from a capacity-constrained airport and which will not, often when airlines from both groups have the underlying traffic rights and authorization t
30、o operate international air services to and from the city in which the airport concerned is located. 2. Increasing airport capacity through new or enlarged airports, runways and terminals is clearly the best solution for a capacity-constrained airport. However, it is equally clear that this solution
31、 is not feasible at a number of airports with environmental, physical and other constraints which prevent their replacement or expansion. For these cases, States must find some means to deal effectively and fairly with situations where the demand to operate commercial air services exceeds the capaci
32、ty of the airport. 3. Measures to manage a lack of airport capacity can improve the situation in the short term and help to avoid bilateral disputes related to the allocation of airport slots for international services. Improvements in air traffic control and groundside facilitation as well as to ex
33、isting mechanisms for slot allocation can increase the use of existing capacity and thereby provide some relief from a shortage of airport capacity. 4. Some issues related to capacity-constrained airports will involve broader regulatory policy questions, such as the enhancement of competition, the a
34、voidance of excessive concentration and abuses of dominant positions, as well as the compatibility of broad market access with capacity-constrained airports. Although the broad granting of traffic rights bilaterally and regionally with multiple airline designation creates additional potential demand
35、 for airport slots, it also provides some relief in the form of flexibility to use alternate airports and cities which can accommodate new and increased air services. 5. A number of States will nevertheless have the task, in the long term as well as the short term, of balancing conflicting objective
36、s in terms of which international air services will be able to use their capacity- constrained airports. In fashioning responses to this problem, States will have to take into account the legal framework provided by the Chicago Convention, air services agreements, regional and national slot allocati
37、on rules and existing voluntary mechanisms for managing insufficient airport capacity. However, the response will have to fit the situation of the individual airport(s) concerned and will therefore vary depending on the nature of the constraint and the means taken to overcome it. COPYRIGHT Internati
38、onal Civil Aviation OrganizationLicensed by Information Handling ServicesChapter 1 TERM I NOLOGY 1.1 For the purposes of this study the following terms and definitions have the meaning indicated. Airport capacity - the number of passengers and amount of cargo which an airport can accommodate in a gi
39、ven period of time; it is a combination of runway capacity and terminal capacity. Airport slot- a designated day and time (usually within a 15- or 30-minute period) for an aircraft to arrive at or depart from an airport. Air Traffic Control (ATC) slot- the take-off or landing time of an aircraft whi
40、ch is assigned by the relevant ATC authority to make optimum use of available capacity at points en route or at the destination airport by sequencing the air traffic to regulate its flow efficiently. Capacity-constrained airport - an airport at which the demand for airport slots for commercial opera
41、tions exceeds the available supply. Curfew - a period of time during which no commercial flights are allowed to use an airport, for example, between midnight to 0600 hours local time, almost always to reduce the adverse effects of aircraft noise on nearby communities. Historical slot - in IATA Sched
42、ule Coordination Procedures, a slot which has been operated by an airline in the previous similar season (e.g. summer to summer). /ATA Schedule Coordination Conference - a voluntary assembly of both IATA and non-IATA airlines for the sole purpose of providing a forum for reaching consensus on the sc
43、hedule adjustments necessary to conform to airport capacity limitations. Noise limitation - a restriction on the use of an airport by certain aircraft which do not meet an aircraft noise criterion, e.g. exceeding the noise levels in Volume I, Chapter 3, to Annex 16 of the Convention on International
44、 Civil Aviation (the Chicago Convention). Runway capacity- the number of aircraft movements which aeronautical authorities determine can safely be operated, usually stated as the total number of landings and take-Offs per hour. Slot retention requirement - a specific level of use required during a c
45、ertain period of time to retain an assigned airport slot, usually stated as a percentage, e.g. 80 per cent of the maximum possible Operations; sometimes referred to as a “use-or-lose” rule. Terminal capacity - the number of passengers and tonnes of cargo per hour which can be processed in a terminal
46、 building (sometimes referred to as passenger or cargo throughput). Window- a period of time during which a non-stop flight between two airports can operate when one or both of the airports concerned is not open 24 hours a day. 1 COPYRIGHT International Civil Aviation OrganizationLicensed by Informa
47、tion Handling ServicesChapter 2 CURRENT SITUATION AND TRENDS The concept of airport capacity 2.1 Airport capacity is a combination of runway and terminal capacity. Runway capacity is determined by the aeronautical authorities, usually in terms of the number of movements (landings or take-Offs which
48、can safely be performed per hour), taking into account such factors as the physical characteristics of the runway and the surrounding area, altitude, the types of aircraft involved (larger aircraft may mandate greater separation) and air traffic control (approach and aerodrome control) capabilities.
49、 2.2 Terminal capacity is the number of passengers and amount of cargo which an airport can accommodate in a given period of time, sometimes referred to as passenger or cargo throughput. The type of passenger or passenger mix can influence the rate of passenger throughput. International passengers who must clear customs and immigration require more time and space than domestic passengers who are not subject to these procedures. Domestic and international cargo presents a similar situation. Thus, in general, terminals with a high percentage of dom
