Enhancing Airline Passenger Protections, 68983-69004 [E9-30615]
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68983
Rules and Regulations
Federal Register
Vol. 74, No. 249
Wednesday, December 30, 2009
This section of the FEDERAL REGISTER
contains regulatory documents having general
applicability and legal effect, most of which
are keyed to and codified in the Code of
Federal Regulations, which is published under
50 titles pursuant to 44 U.S.C. 1510.
9342 (phone), 202–366–7152 (fax),
Daeleen.Chesley@dot.gov or
Blane.Workie@dot.gov (e-mail).
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REGISTER issue of each week.
On November 15, 2007, the
Department of Transportation (DOT or
Department) issued an Advance Notice
of Proposed Rulemaking (ANPRM) in
Docket DOT–OST–2007–22 entitled
‘‘Enhancing Airline Passenger
Protections.’’ This ANPRM was
published in the Federal Register five
days later. See ‘‘Department of
Transportation, Office of the Secretary,
14 CFR Parts 234, 253, 259, and 399
[Docket No. DOT–OST–2007–0022], RIN
No. 2105–AD72, 72 FR 65233 et seq.
(November 20, 2007). We announced in
the ANPRM that we were considering
adopting or amending rules to address
several concerns, including, among
others, the problems consumers face
when aircraft sit for hours on the airport
tarmac. We observed that, beginning in
December of 2006 and continuing
through the early spring of 2007,
weather problems had kept more than a
few aircraft sitting for long hours on the
tarmac, causing the passengers undue
discomfort and inconvenience. We
observed further that passengers were
also being harmed by the high incidence
of less extreme flight delays. We
acknowledged that the industry and
interested observers have attributed
both the lengthy tarmac waits and many
of the other flight delays to a number of
factors besides weather, such as
capacity and operational constraints, for
example. We also noted that some of
these issues are being addressed by the
Federal Aviation Administration (FAA)
in other contexts.
Citing our authority and
responsibility under 49 U.S.C. 41712, in
concert with 49 U.S.C. 40101(a)(4),
40101(a)(9) and 41702, to protect
consumers from unfair or deceptive
practices and to ensure safe and
adequate service in air transportation,
we called for comment on seven
tentative proposals intended to
ameliorate difficulties that passengers
experience without creating undue
burdens for the carriers. The measures
on which we sought comment in the
ANPRM covered the following subjects:
Contingency plans for lengthy tarmac
delays; carriers’ responses to consumer
problems; chronically delayed flights;
DEPARTMENT OF TRANSPORTATION
Office of the Secretary
14 CFR Parts 234, 253, 259, and 399
[Docket No. DOT–OST–2007–0022]
RIN No. 2105–AD72
Enhancing Airline Passenger
Protections
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AGENCY: Office of the Secretary (OST),
Department of Transportation (DOT).
ACTION: Final rule.
SUMMARY: The Department of
Transportation is issuing a final rule to
enhance airline passenger protections in
the following ways: By requiring air
carriers to adopt contingency plans for
lengthy tarmac delays and to publish
those plans on their Web sites; by
requiring air carriers to respond to
consumer problems; by deeming
continued delays on a flight that is
chronically late to be unfair and
deceptive in violation of 49 U.S.C.
41712; by requiring air carriers to
publish information on flight delays on
their Web sites; and by requiring air
carriers to adopt customer service plans,
to publish those plans on their Web
sites, and audit their own compliance
with their plans. The Department took
this action on its own initiative in
response to the many instances when
passengers have been subject to delays
on the airport tarmac for lengthy periods
and also in response to the high
incidence of flight delays and other
consumer problems.
DATES: This rule is effective April 29,
2010.
FOR FURTHER INFORMATION CONTACT:
Daeleen Chesley or Blane A. Workie,
Office of the Assistant General Counsel
for Aviation Enforcement and
Proceedings, U.S. Department of
Transportation, 1200 New Jersey Ave.,
SE., Washington, DC 20590, 202–366–
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Background
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delay data on Web sites; complaint data
on Web sites; reporting of on-time
performance of international flights; and
customer service plans.
We received approximately 200
comments in response to the ANPRM.
Of these, 13 came from members of the
industry—i.e., air carriers, air carrier
associations, and other industry trade
associations—and the rest came from
consumers, consumer associations, and
two U.S. Senators. In general,
consumers and consumer associations
maintained that the Department’s
proposals did not go far enough, while
carriers and carrier associations
attributed the current problems mostly
to factors beyond their control such as
weather and the air traffic control
system and tended to characterize the
proposals as unnecessary and unduly
burdensome. The travel agency
associations generally expressed
support for consumer protections.
On December 8, 2008, after reviewing
and considering the comments on the
ANPRM, we issued a Notice of Proposed
Rulemaking (NPRM). See 73 FR 74586
(December 8, 2008). The NPRM covered
the following subjects: Contingency
plans for lengthy tarmac delays; carriers’
responses to consumer problems;
chronically delayed flights; reporting
certain flight delay information; and
customer service plans. It did not cover
complaint data on Web sites or
reporting of on-time performance for
international flights, both of which were
raised in the ANPRM. We decided not
to propose to require carriers to publish
complaint data on their Web sites
because we believe the data would be of
little or no value to consumers since
consumers already have access to a
tabulation of airline complaints filed by
passengers with the Department in the
Air Travel Consumer Report. These
complaints are a reliable indicator of the
types of complaints about air travel filed
by passengers with airlines. We also
decided not to propose to require
carriers to report on-time performance
of international flights for a number of
reasons, including concerns that a
reporting requirement could make
carriers less inclined to hold flights for
inbound connections resulting in
hardships for passengers in city-pairs
with infrequent service.
The Department received 21
comments in response to the NPRM. Of
these, 10 comments were from members
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of the industry and the rest came from
consumers and consumer associations.
On the consumer side, eight individuals
filed comments as did three consumer
advocacy organizations: Flyersrights.org
(formerly the ‘‘Coalition for an Airline
Passengers Bill of Rights’’ or CAPBOR),
the Aviation Consumer Action Project
(ACAP) and the Federation of State
Public Interest Research Groups (U.S.
PIRG). Of the industry commenters, two
carriers (US Airways and ExpressJet
Airways), and two airport authorities
(Dallas-Fort Worth International Airport
and The City of Atlanta Department of
Aviation) filed comments. Three
industry associations filed comments:
The National Business Travel
Association (NBTA), the Air Transport
Association of America (ATA), and the
Regional Airline Association (RAA).
Two travel agency associations, the
American Society of Travel Agents
(ASTA) and the Interactive Travel
Services Association (ITSA), also filed
comments, as did the Airports Council
International, North America (ACI–NA).
In general, the consumers and
consumer associations maintain that the
Department’s proposals do not go far
enough and contend that additional
regulatory measures are needed to better
protect consumers. One of the consumer
organizations also expressed
disappointment that the Department
eliminated two of the proposals, while
industry commenters generally
supported that decision. Overall,
carriers and carrier associations
continue to characterize some of the
proposals as unnecessary and unduly
burdensome. ATA also expressed a
number of concerns with the
Department’s preliminary regulatory
evaluation and suggests changes are best
made by addressing weather-related and
air traffic control related issues. The
airport authorities support carriers
having a contingency plan and
coordination of the plans at medium
and large hub airports, while the travel
agency associations expressed support
for consumer protections, with one
noting a concern with ‘‘unfunded
mandates’’ on travel agents to address
problems for which they are not the
cause. The commenters’ positions that
are germane to the specific issues raised
in the NPRM are set forth below. The
Department plans to seek comment on
ways to further enhance protections
afforded airline passengers in a
forthcoming notice of proposed
rulemaking by addressing the following
areas: (1) Review and approval of
contingency plans for lengthy tarmac
delays; (2) reporting of tarmac delay
data; (3) standards for customer service
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plans; (4) notification to passengers of
flight status changes; (5) inflation
adjustment for denied boarding
compensation; (6) alternative
transportation for passengers on
canceled flights; (7) opt-out provisions
where certain services are pre-selected
for consumers at additional costs (e.g.,
travel insurance, seat selection); (8)
contract of carriage venue designation
provisions; (9) baggage fees disclosure;
(10) full fare advertising; and (11)
responses to complaints about charter
service.
Comments and Responses
Tarmac Delay Contingency Plans
1. Covered Entities
The NPRM: Under the proposed rule,
a certificated or commuter air carrier 1
that operates domestic scheduled
passenger service or public charter
service using any aircraft with 30 or
more passenger seats 2 would be
required to develop and implement a
contingency plan for lengthy tarmac
delays. As proposed, it would apply to
all of a covered U.S. carrier’s flights,
both domestic and international,
including those involving aircraft with
fewer than 30 seats if a carrier operates
any aircraft with 30 or more passenger
seats. We asked for comments on
whether the Department should limit
this section’s applicability to carriers
that operate large aircraft—i.e., aircraft
originally designed to have a maximum
passenger capacity of more than 60
seats—and we asked proponents and
opponents of this alternative to provide
arguments and evidence in support of
their positions.
Comments: We did not receive any
comments from individual consumers
or consumer groups regarding which
carriers should be required to develop
and implement contingency plans for
1 A certificated air carrier is a U.S. direct air
carrier that holds a certificate issued under 49
U.S.C. 41102 to operate passenger and/or cargo and
mail service. Air taxi operators and commuter air
carriers operating under 14 CFR Part 298 are
exempted from the certification requirements of 49
U.S.C. 41102. Some carriers that would otherwise
be eligible for the air taxi or commuter exemption
have opted to be certificated. An air taxi operator
is an air carrier that transports passengers or
property under the authority of Part 298 and is not
a commuter air carrier as defined in that rule. A
commuter air carrier is an air taxi operator that
carries passengers on at least five round trips per
week on at least one route between two or more
points according to a published flight schedule,
using small aircraft—i.e., aircraft originally
designed with the capacity for up to 60 passenger
seats. See 14 CFR 298.2.
2 We inadvertently stated ‘‘aircraft with a design
capacity of more than 30 seats’’ in several sections
of the NPRM. However, our intention had been to
state ‘‘aircraft with a design capacity of 30 or more
seats.’’
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lengthy tarmac delays. We did receive
comments on this point from carriers,
carrier associations, and airports.
RAA takes the position that, if the
rule is adopted, it should apply only to
those carriers that hold out services to
the public, ticket passengers, offer
reservation services and control
decisions regarding delays and food and
beverage service. RAA states that over
90 percent of passengers flying on
regional aircraft travel on flights that are
ticketed and handled by mainline
carriers who schedule the flights, and
that most regional carriers have no
direct interaction with consumers in
this regard. RAA also notes that these
passengers’ contracts of carriage are
with the major carrier, not the regional
airline, and that a regional carrier
follows the contingency plan of its
mainline airline partner. RAA explains
that regional airlines that operate under
agreements with more than one network
partner must in some cases comply with
different contingency plans at the same
airport. According to RAA, at times
multiple network carrier contingency
plans could be in effect and even in
conflict on the same flight in instances
where a regional airline operates a
single flight for several different
network carriers. As such, RAA
contends that requiring a regional
carrier to have its own plan would
increase the conflicts and
inconsistencies that could arise as it is
not clear if the regional carrier’s own
contingency plan would supersede the
contracts of the carriers who marketed
and sold the ticket to the consumer.
RAA further asserts that as proposed the
rule unfairly targets regional carriers,
which do not make scheduling and/or
delay decisions and are most often the
first carriers to be subjected to FAA
ground stops.
ExpressJet Airlines agrees with the
comments submitted by RAA. It
emphasizes that regional carriers
operate under code-share agreements
with mainline carriers and that those
contracts dictate scheduling, delay, and
cancellation decisions. It asserts that, as
a result of a regional carrier having
limited control over these decisions, the
rule would impose unfair burdens on
regional carriers. ExpressJet comments
that, should the Department require
carriers to have a contingency plan, all
Part 121 and 135 carriers should have to
abide by the regulations, not just
carriers which operate aircraft having 30
or 60 seats or more, since, it is the
carrier’s opinion, the rule as proposed
discriminates against the larger of the
small regional carriers.
ACI–NA opposes limiting the
application of the rule to air carriers that
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operate aircraft with more than 60 seats
and notes that the rule should extend to
regional airlines as they serve the vast
majority of airports. ASTA also opposes
limiting the application of the rule to
carriers that operate large aircraft and
asserts that the proposal should be
extended to all carriers, pointing out
that the regional airlines carried 160
million passengers in 2007.
US Airways suggests that airports, as
well as other service providers, should
be held equally accountable as a fair
way to share the burden among
regulated entities, and that international
operations should not be part of the
proposed requirements. ATA, which
strongly opposes any requirement for
hard time limits for returning to a gate
and/or deplaning passengers remotely,
specifically requests that international
flights be excluded from any hard time
limits, (1) due to the difficulty
associated with accommodating
passengers if flights are cancelled, (2)
because those flights are better equipped
to keep passengers comfortable for
longer periods of time, and (3) because
the time, costs, and planning associated
with those flights is much higher.
DOT Response: After fully
considering the comments received, the
Department maintains that it is
reasonable to apply the requirement to
any certificated or commuter U.S. air
carrier that operates passenger service
using any aircraft with a design capacity
of 30 or more passenger seats. In
determining to do so, we note that,
according to RAA’s own statistics,
regional airlines now carry one out of
every five domestic air travelers in the
United States. Moreover, most regional
flights are operated by regional carriers
affiliated with a major carrier via a codeshare agreement, a fee-for-service
arrangement, and/or an equity stake in
the regional carrier. DOT statistics also
demonstrate a substantial number of
passengers are carried on flights
operated by aircraft with 30 through 60
seats. According to data from the
Department’s Bureau of Transportation
Statistics (BTS), a total of 668,476,000
domestic passengers were transported in
2008, 96,310,000 of which were on
flights using aircraft with 30 through 60
seats. The large number of passengers
carried on such aircraft accompanied by
the increase in the ‘‘branding’’ of those
operations with the codes of major
carriers has blurred the distinction
between small-aircraft and large-aircraft
service in the minds of many
passengers. As such, it seems
appropriate to extend the rule to these
operations in order to better protect the
majority of consumers.
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In reaching this decision, we have
concluded that we cannot agree with
RAA’s reasoning that regional carriers
should be treated differently than their
mainline code-share partners and not be
responsible to the passengers they
transport on the vast majority of their
operations because of their relationships
to those partners. We recognize that the
larger carrier’s personnel may provide
pre-flight services and make most of the
decisions from an operational
standpoint on code-shared flights with a
regional carrier. As we pointed out in
the NPRM, however, even if the
determination to cancel a flight or keep
it on the tarmac is made by the mainline
carrier or results from action by the
FAA, it is the carrier operating the flight
that has direct contact with the
passengers on the aircraft during a
tarmac delay and that remains directly
responsible for serving them.
Accordingly, we have decided to apply
the rule to both carriers in a code-share
arrangement. We expect that the
mainline carriers and their regional
code-share partners will collaborate on
their contingency plans to come up with
standards that suit both parties. When
multiple network carrier contingency
plans are effective on a single flight
operated by a regional carrier, it would
likely not be practical for the regional
carrier to apply different standards to
individuals on the same flight who
bought their tickets from different
mainline partners. Instead, we expect
the regional carrier to choose to use the
contingency plan that is most beneficial
to all the passengers on that flight.
With regard to the international
flights of U.S. carriers, while we
understand the concerns about applying
hard time limits on deplaning
passengers on international flights
because of the different environment in
which those flights operate, we believe
that it is still important to ensure that
passengers on international flights are
also afforded protection from
unreasonably lengthy tarmac delays.
Therefore, we have decided to apply the
requirement to develop and implement
a contingency plan for lengthy tarmac
delays to both the domestic and
international flights of each U.S. carrier
operating any aircraft with 30 or more
passenger seats. This requirement
applies to U.S. carriers even if they
operate only international scheduled or
charter service.
However, we have arrived at more
flexible requirements with regard to the
content of the contingency plans for a
U.S. carrier’s international flight (i.e.,
flexibility to determine the time limit to
deplane passengers on tarmac) as
compared to its domestic flights,
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recognizing that international flights
operate less frequently than most
domestic flights, potentially resulting in
much greater harm to consumers if
carriers cancel these international
flights. Although carriers are free to
establish their own tarmac delay time
limits for international flights, and even
to have different limits for different
specified situations, these limits must
be included in each carrier’s
contingency plan—they are not to be ad
hoc decisions made during the course of
a flight delay.
An international flight for purposes of
this requirement is a nonstop flight
segment that takes off in the United
States and lands in another country, or
vice-versa, exclusive of non-traffic
technical stops. For example, if a U.S.
carrier operates a direct flight ChicagoNew York-Frankfurt, with some
Chicago-originating passengers destined
for New York and others destined for
Frankfurt, and the aircraft experiences a
tarmac delay in Chicago, then we would
consider the tarmac delay to be on a
domestic flight. This is because
Chicago-New York is a domestic flight
segment even though the final
destination of the flight is Frankfurt,
Germany. If, on the other hand, the
aircraft only stops for refueling or a
crew change in New York and the
airline carries no Chicago-New York
traffic, then we would consider the
tarmac delay in Chicago to be a tarmac
delay on an international flight.
We have decided against applying
this requirement to carriers that operate
using only aircraft with fewer than 30
seats because these entities carry a very
small percentage of passenger traffic and
we are not aware of incidents of lengthy
tarmac delays involving carriers that
only operate aircraft of this size (i.e.,
carriers that exclusively operate aircraft
with a design capacity of 29 passenger
seats or less). We note that the
requirement to develop and implement
contingency plans applies to carriers
who have any aircraft with 30 or more
seats, meaning that it would apply to all
aircraft of those carriers, including those
with fewer than 30 seats.
2. Content of Contingency Plan
The NPRM: Under the NPRM, each
plan would have been required to
include at least the following: The
maximum tarmac delay that the carrier
would permit; the amount of time on
the tarmac that would trigger the plan’s
terms; an assurance of adequate food,
water, lavatory facilities, and medical
attention, if needed, while the aircraft
remains on the tarmac; an assurance of
sufficient resources to implement the
plan; and an assurance that the plan has
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been coordinated with all of the airport
authorities at medium and large hub
U.S. airports served by the carrier. We
specifically asked for comment on
whether the Department should set a
uniform standard for the time interval
that would trigger the terms of carriers’
contingency plans and a time interval
after which carriers would be required
to allow passengers to deplane. If
establishing a time interval was
recommended, we asked commenters to
propose specific amounts of time and
explain why they believe those time
intervals to be appropriate.
Comments: Consumer associations
and individuals generally support a
stronger proposal than that proposed by
the Department. For example,
Flyersrights.org continues to maintain
that the Department should establish
minimum standards for contingency
plans through regulation and should
also review and approve the plans
rather than allow each carrier the
leeway to set what it fears might be
overly lax standards. Specifically, the
organization requests that the
Department set a ‘‘three hours plus’’
time limit for an aircraft to return to the
gate and deplane passengers, if the pilot
determines this can be accomplished
safely. It also requests that in any rule
proposed or adopted, we refer to
‘‘potable water’’ and ‘‘operable
lavatories’’ rather than simply ‘‘water’’
and ‘‘lavatory facilities’’ respectively.
Other consumer associations concur
with Flyersrights.org. ACAP asserts that
this proposal is ‘‘an unlawful delegation
of DOT authority and responsibility to
regulate airlines in the public interest by
delegating this function to the airlines
themselves’’ and that the proposal will
lead to a multiplicity of unenforceable
‘‘standards’’ and ‘‘plans’’ that will offer
fewer passenger protections. ACAP also
suggests three hours as the maximum
interval before passengers are allowed to
deplane and, without being specific,
suggests payments should be made to
passengers who are confined for longer
periods of time.
Individual commenters make similar
points. For example, they tend to think
the Department should set minimum
standards, particularly regarding the
amount of time that triggers the
provisions of the contingency plans and
the maximum amount of time an aircraft
can remain on the tarmac before the
carrier must return the aircraft to a gate
and allow passengers to deplane. Some
comments also suggested specific times
to trigger the terms of a carrier’s
contingency plan and/or for passengers
to be allowed to deplane. For example,
one commenter suggested 1.5 hours and
three hours, respectively.
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The industry commenters expressed a
different point of view. NBTA stated
that it does not support DOT requiring
carriers to develop contingency plans
and specifically the content of those
plans. It does support the
recommendations issued by the Tarmac
Delay Task Force, but does not believe
plans should be required by regulation;
rather, NBTA contends that airlines,
under marketplace constraints, are more
likely to resolve tarmac delay issues in
a manner most beneficial to the largest
number of passengers.
ATA agrees in principle that carriers
should have contingency plans covering
lengthy tarmac delays on domestic
flights, provided that each air carrier is
permitted to decide on the details of its
own plan based on its own unique
facilities, equipment, operating
procedures, and network. ATA reports
that carriers already have both general
contingency plans and airport-specific
contingency plans that reflect the
diverse facilities, equipment and
network of each carrier. ATA notes that
the Tarmac Delay Task Force
recommends coordination among air
carriers, airports, and the appropriate
government agencies, and supports
coordinating contingency plans with
airports, but notes that a carrier cannot
force an airport to cooperate in that
coordination. As such, ATA thinks this
part of the proposed rule should not be
adopted, but if it is, suggests that some
changes are necessary to ensure, for
example, that a carrier is not held
responsible for the airport’s failure to
provide services within its control or for
an airport’s failure to coordinate with a
carrier in executing a plan.
ATA continues to oppose any
requirement for a set interval of time
after which an aircraft must be returned
to the gate, particularly on international
flights, claiming that such a requirement
would do passengers more harm than
good and equate to artificial scheduling
restrictions. Among the potential
negative consequences ATA lists are
potential conflicts with government
agency directives governing safety or
security that could require that
passengers be kept on aircraft, and
increased flight cancellations in any one
place that could affect passengers
further down the line. In addition, ATA
suggests that, if the proposal is adopted,
the Department should include an
exception that exempts carriers from the
rule if returning to the gate would
conflict with orders of the FAA or other
agencies (e.g., Customs & Border
Protection), and notes, among other
things, that in weather delay situations
taxiway configurations are such that
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returning to the gate may not even be
possible.
In general, RAA maintains that the
rule requiring contingency plans should
not be adopted because, it contends, the
rule will not solve the current delay
problem and the Department should
instead focus on initiatives that increase
the efficiency of the Air Traffic Control
(ATC) system. Regarding the content of
contingency plans, similar to ATA, RAA
maintains that the Department should
permit airlines to adopt their own plans
that allow flexibility and reflect their
own circumstances, capabilities, and
passenger service standards. RAA also
asserts that the proposed requirement of
providing ‘‘adequate’’ food and water is
unreasonable and impracticable for
regional airlines because most regional
airlines have no catering facilities and
do not have storage room on smaller
aircraft for contingency supplies. RAA
further states that regional airlines serve
small community airports that do not
have vendors or facilities from which
the airlines could readily obtain
supplies of food and water.
Similar to comments of the airline
associations, US Airways believes that a
rule will not reduce tarmac delays, as
those delays occur due to circumstances
outside a carrier’s control (i.e., weather,
ATC system, etc.), and states that it
already has a plan in place that
addresses how to handle a tarmac delay
of longer than one hour. US Airways
states that a carrier should not be
mandated to return to the gate at a fixed
time, rather this decision should be left
to carrier expertise, and that forcing an
aircraft to return to the gate at a fixed
time may lead to more flight
cancellations. Additionally, the carrier
notes that it has improved its own
performance based on pressure from
market forces. ExpressJet Airlines, who
also asserts that most delays are beyond
the direct control of carriers, thinks that
a DOT rule could have unintended
consequences for the consumer, which
could lead to increased flight
cancellations.
Of the airports and airport authorities
that commented on this proposal,
Dallas-Fort Worth International Airport
approves of the elements of the rule that
require air carriers to (1) develop and
implement contingency plans for
lengthy tarmac delays, (2) include in
their plan the maximum delay that will
trigger the plan’s terms in order to
provide adequate warning to service
providers that may be called upon for
support during the event, and (3) ensure
that the plan has been coordinated with
airport authorities at large and medium
hub airports that the carrier serves. It
also states that ‘‘coordination of each air
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carrier’s contingency plans with the
airports they serve is an important part
of this process to enable shared
situational awareness and timely
response to lengthy delay events in an
effective manner.’’
The City of Atlanta, Department of
Aviation, supports the guidance as
provided by the DOT Tarmac Delay
Task Force, and the Department’s
proposal for carriers to coordinate
contingency plans for lengthy tarmac
delays with medium and large hub
airports. It states that 2 hours is an
appropriate time to trigger the terms of
a carrier’s contingency plan and agrees
that passengers should be provided
basic services as proposed by the
Department. Finally, it states that
carriers’ plans should provide for
communication, coordination, and
collaboration among airport operator,
airlines, Federal agencies, and other
service providers.
ACI–NA supports the proposal, in
general. ACI–NA opines that DOT
should not impose a maximum time
limit for deplaning passengers during
lengthy tarmac delays and that airportspecific plans should not be required, in
order to give airlines flexibility, but it
does support requiring carriers to post
information regarding their plans at
their ticketing and gate areas. ACI states
that DOT should review the plans prior
to their implementation and that
airlines should coordinate their plans
with all airports at which they provide
scheduled or charter service, not just
medium and large hub airports. ACI also
suggests a template be developed that
can be used to assist airlines and
airports in addressing the appropriate
elements for coordination.
As for the travel agency associations,
ASTA strongly supports the notion of
carriers adopting and complying with
contingency plans and believes that the
DOT should review the plans to ensure
they contain specific promises that are
enforceable. ASTA also supports the
imposition of a single mandatory
deplanement time limit, the three hours
provided in the legislation introduced
by Senators Boxer and Snowe and
Representative Mike Thompson.
However, in its initial comments, ASTA
took a different position and opposed
the Federal government mandating a
specific time after which passengers
must be deplaned. Rather, it suggested
allowing each carrier to adopt its own
time limits for each requirement, and
requiring carriers to publish their
policies in print ads and on their Web
sites. ITSA did not comment on this
proposal.
DOT Response: We have decided to
adopt a final rule along the lines set
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forth in the NPRM, with one important
exception: We are strengthening the
protections for consumers from those
initially proposed by setting time limits
(1) for carriers to provide food and water
to passengers; and (2) to deplane
passengers when lengthy tarmac delays
occur on domestic flights. In adopting
this approach, we have carefully
considered all the comments in this
proceeding and believe that our action
strikes the proper balance between
permitting carriers the freedom to make
marketplace-based decisions while
ensuring consumers can count on
receiving the protections they deserve in
the unlikely event of an extended
tarmac delay.
The final rule requires that each plan
include, at a minimum, the following:
(1) An assurance that, for domestic
flights, the air carrier will not permit an
aircraft to remain on the tarmac for more
than three hours unless the pilot-incommand determines there is a safetyrelated or security-related impediment
to deplaning passengers (e.g.,kiiii
weather, air traffic control, a directive
from an appropriate government agency,
etc.), or Air Traffic Control advises the
pilot-in-command that returning to the
gate or permitting passengers to
disembark elsewhere would
significantly disrupt airport operations;
(2) for international flights that depart
from or arrive at a U.S. airport, an
assurance that the air carrier will not
permit an aircraft to remain on the
tarmac for more than a set number of
hours, as determined by the carrier in its
plan, before allowing passengers to
deplane, unless the pilot-in-command
determines there is a safety-related or
security-related reason precluding the
aircraft from doing so, or Air Traffic
Control advises the pilot-in-command
that returning to the gate or permitting
passengers to disembark elsewhere
would significantly disrupt airport
operations; (3) for all flights, an
assurance that the air carrier will
provide adequate food and potable
water no later than two hours after the
aircraft leaves the gate (in the case of a
departure) or touches down (in the case
of an arrival) if the aircraft remains on
the tarmac, unless the pilot-in-command
determines that safety or security
requirements preclude such service; (4)
for all flights, an assurance of operable
lavatory facilities, as well as adequate
medical attention if needed, while the
aircraft remains on the tarmac; (5) an
assurance of sufficient resources to
implement the plan; and (6) an
assurance that the plan has been
coordinated with airport authorities at
all medium and large hub airports that
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68987
the carrier serves, including medium
and large hub diversion airports. Failure
to do any of the above would be
considered an unfair and deceptive
practice within the meaning of 49 U.S.C.
§ 41712 and subject to enforcement
action, which could result in an order
to cease and desist as well as the
imposition of civil penalties.
There is little, if any dispute that
passengers stuck on an aircraft during a
lengthy tarmac delay deserve to be
provided some type of food, potable
water, working lavatories, and, if
necessary, medical care. We believe a
two-hour time limit is a reasonable
maximum time after which carriers
should ensure that passengers
experiencing a tarmac delay are
provided food and potable water.
Carriers, of course, are free to establish
an earlier time at which they will
provide these services. As pointed out
by ATA and confirmed in reports to
Congress by the Department’s Inspector
General, most large carriers already have
contingency plans providing for such
services. As for RAA’s assertion that
most regional airlines lack the resources
to provide adequate food and water
during lengthy tarmac delays, it seems
to be based on a misconception that
extensive supplies are needed. The
Department would consider snack foods
such as pretzels or granola bars that
carriers typically provide on flights to
suffice as ‘‘adequate’’ food. We have
clarified in this rule, as suggested by at
least one commenter, that the water
required under our rule must be
‘‘potable,’’ i.e., drinking water.
We are also persuaded that the
Department should require a set time
limit, in the case of domestic flights, for
the point in time after which carriers
would be required to allow passengers
to deplane, with exceptions for issues
related to safety, or security or other
government requirements that may
arise. Passengers on flights delayed on
the tarmac have a right to know that
there is a reasonable limit and that the
limit will be enforced by the
Department. We conclude that a threehour time limit is the maximum time
after which passengers must be
permitted to deplane from domestic
flights given the cramped, close
conditions on aircraft and the typical
scheduled time for these flights. We
have not selected a maximum delay
time of less than three hours because
taxi times of an hour or more are not
unusual at certain large airports, such as
the New York airports. By holding the
airlines to a bright line rule of threehours after which passengers must be
deplaned, the Department has
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established a tarmac delay limit that is
both reasonable and easier to enforce.
While we agree with consumers and
consumer groups that passengers should
have protection from remaining on an
aircraft on the tarmac for an extended
period of time, we agree with ATA and
other commenters that operational and
safety-related concerns, such as ATCrelated concerns or an inability to return
to the gate without delaying other
aircraft, should be taken into
consideration. Thus, we have also
included an exception for safety,
security, or instances where Air Traffic
Control advises the pilot-in-command
that returning to the gate or permitting
passengers to disembark elsewhere
would significantly disrupt airport
operations. We believe this strikes an
appropriate balance between allowing
air carriers flexibility to address their
operational concerns while also
providing passengers with a reasonable
time after which they can expect to
return to the gate and deplane, as well
as make alternate travel arrangements, if
necessary. Those arrangements could
include re-boarding the same aircraft if
the carrier decides to continue the same
flight to its original destination, in
which case a new three-hour period
would begin when the aircraft left the
gate. The Department views the three
hour time limit as the outside limit at
which time an aircraft should have
returned to the gate or another
appropriate disembarkation area in
order to deplane passengers. If the
carrier has reason to know that a gate or
other appropriate means by which to
deplane passengers will not be available
at the three hour mark, we expect the
carrier to make reasonable attempts to
deplane passengers earlier.
With regard to deplaning passengers
on international flights, we are
persuaded by comments that mandating
a specific time frame for deplaning
passengers on these flights may be
harmful to consumers because of the
different environment in which those
flights operate. Because international
flights are of much longer duration on
average, it is possible that delays may
not have as negative an impact on
consumers and their expectations. Also,
because international flights tend to
operate less frequently than most
domestic flights, flight cancellations
may result in much greater harm to
consumers who are less likely to be
accommodated on an alternate flight in
a reasonable period of time. As such,
while this rule requires U.S. carriers to
establish time limits for deplaning
passengers who experience lengthy
tarmac delays on international
operations, we are permitting carriers
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the flexibility to determine this time
limit. This limit will also allow
exceptions for consideration of safety,
security and instances where Air Traffic
Control advises the pilot-in-command
that returning to the gate or permitting
passengers to disembark elsewhere
would significantly disrupt airport
operations. We note that the Department
is considering revisiting the issue of
whether carriers should set specific time
limits to deplane passengers on
international flights in a supplemental
notice of proposed rulemaking.
Some consumer groups and
individuals requested that the
Department include in the rule a
requirement that the contingency plans
be filed with and be reviewed and
approved by the Department. Such a
requirement is beyond the scope of this
rulemaking. Moreover, we are not
convinced that this requirement is
necessary or the best use of Department
aviation consumer protection resources
at this time. Carriers are required to
adhere to all Department rules, and it
would be a departure from Department
practice to require carriers to file with
it proof that they have done so. The
Department and its predecessor in such
matters, the Civil Aeronautics Board,
have issued numerous other consumer
protection rules that detail specific
requirements carriers must follow
without having carriers file with the
government proof that they have or are
prepared to comply with the rule. We
see some merit in approving carrier
contingency plans if the Department
were to dictate more detailed
requirements regarding their contents
and we plan to explore this approach in
a future rulemaking. In the meantime,
we will review the larger carriers’ plans
and, randomly, other carriers’ plans
within a year of the rule’s effective date
to ensure the plans contain the
provisions as required by this rule.
With regard to coordination of plans,
because tarmac delays are particularly
problematic in situations where flights
must be diverted from their intended
destination airports, this rule requires
carriers to coordinate their plans not
only with medium and large hub
airports to which they regularly operate,
but also with airports that serve as
diversion airports for such operations.
The Department is not convinced by
comments that it should remove the
requirement for airlines to coordinate
with airports because a carrier cannot
force an airport to cooperate in that
coordination. It is essential that airlines
involve airports in developing their
plans to enable them to effectively meet
the needs of passengers. As
recommended by the Tarmac Delay
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Task Force, we also urge carriers to
include in their coordination efforts
appropriate government authorities
such as Customs and Border Protection
and the Transportation Security
Administration, when appropriate.
3. Incorporation of Contingency Plan
Into Contract of Carriage
The NPRM: The NPRM proposed that
each covered carrier would be required
to incorporate its plan in its contract of
carriage and make its contract of
carriage available on its Web site. We
also invited interested persons to
comment on the implications of a
private right of action based on a
carrier’s failure to follow the terms of its
contingency plan and to address the
potential for multiple lawsuits by
classes as well as individual plaintiffs
and the potential for inconsistent
judicial decisions among various
jurisdictions. Additionally, we asked
commenters to address whether and to
what extent requiring the incorporation
of contingency plans in carriers’
contracts of carriage might weaken
existing plans by making carriers more
reluctant to be specific and possibly
expose themselves to liability.
Comments: Flyersrights.org supports
requiring carriers to incorporate their
contingency plans into their contracts of
carriage in order to provide passengers
an avenue for redress for breach of
contract. ASTA also strongly supports
the notion of carriers incorporating the
contingency plans into their contract of
carriages in order to enable consumers
to more effectively enforce their rights.
With regard to the potential for
inconsistent judicial decisions if airlines
must include their plans in their
contracts of carriage, ASTA points out
that this means merely that airlines will
face the same litigation risks that all
businesses face, and notes that the Task
Force recommendations can be used as
a defense.
According to RAA, regional carriers
should not be required to incorporate a
contingency plan into their contract of
carriage because most regional
passengers are subject to the ticketing
carrier’s contract of carriage. ExpressJet
also states that, because a passenger is
flying under the contract of carriage of
the mainline carrier, a passenger’s
recourse should be against the mainline
carrier, and not the regional carrier.
ATA explains that it shares the
Department’s goal of enhancing service
for airline passengers but disagrees that
rules are required to achieve this goal
and strongly opposes incorporation of a
contingency plan into a contract of
carriage. ATA challenges the
Department’s legal authority to do this
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in the aftermath of deregulation. ATA
argues that the Department may not
substitute a different enforcement
process other than the one Congress
intended (i.e., there should not be a
private right of action for violations of
section 41712) and states that such an
imposition would subject carriers to the
vagaries of law in the fifty States.
DOT Response: The Department
disagrees with the arguments of ATA
and other carrier commenters that we
lack the authority to require
incorporation of contingency plans in
contracts of carriage and that such
incorporation would subject carriers to
the risk of inconsistent standards among
various jurisdictions. However, the
Department has decided that it will not
require such incorporation at this time.
Instead, the Department strongly
encourages carriers to incorporate the
terms of their contingency plans in their
contracts of carriage, as most major
carriers have done voluntarily with
respect to their customer service plans.
At the same time, the Department will
undertake a series of related measures to
ensure the dissemination of information
regarding each airline’s contingency
plans. As proposed in the NPRM, the
Department requires that each air carrier
with a Web site post its entire contract
of carriage on its Web site in easily
accessible form, including all updates to
its contract of carriage. The Department
also requires each air carrier with a Web
site that chooses not to include their
plan in its contract of carriage post the
plan itself on its Web site in easily
accessible form. Finally, the Department
will shortly commence a new
rulemaking proceeding addressing
possible further enhancements to airline
passenger protection in which it may
consider, among other things, whether
the voluntary incorporation of
contingency plan terms urged here has
resulted in sufficient protection for air
travelers.
The airlines’ incorporation of their
contingency plans into their contracts of
carriage is an important means of
providing notice to consumers of their
rights, since that information will then
be contained in a readily available
source. Carriers’ contracts of carriage are
generally posted online and must, by
Department rule, be available at
airports. Better informed consumers will
further improve the Department’s
enforcement program as consumers are
more likely to know of and report
incidents where airlines do not adhere
to their plans. Better consumer
information will also create added
incentive for carriers to adhere to their
plans. We believe the incorporation of
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airline contingency plans in contracts of
carriage to be in the public interest.
For these reasons, we strongly
encourage carriers to include their
contingency plans in their contracts of
carriage and are requiring that carriers
with a Web site post either their
contracts of carriage containing the
plans or the plans themselves (if they
chose not to include the plans in their
contracts of carriage) on their Web sites
in easily accessible form. Additionally,
to provide carriers with added incentive
to incorporate their plans into their
contracts of carriage, we will publicize
a list of carriers that do and do not so
incorporate their plans via regular press
releases, the Department’s Web site, and
other means available to us. We will
also be closely monitoring carriers’
responses to our efforts in this regard
and will not hesitate to revisit our
decision here in the airline consumer
protection rulemaking that we plan to
commence in the near future. Finally, if
necessary, we will consider using our
authority to condition carrier
certificates, as required in the public
interest, to ensure that our consumer
protection goals are met. See 49 U.S.C.
41109.
As noted above, while the Department
has decided not to require at this time
incorporation of contingency plans in
airline contracts of carriage, we disagree
with ATA’s contentions that we lack the
authority to require such incorporation
and that the exercise of such authority
would risk creating inconsistent
standards across jurisdictions. Our
broad authority under 49 U.S.C. 41712
to prohibit unfair and deceptive
practices, and under 49 U.S.C. 41702 to
ensure safe and adequate transportation,
clearly encompasses the regulation of
contingency plans. We have
consistently exercised that authority for
decades and will continue to do so.
Moreover, while we have chosen not to
require the incorporation of contingency
plans in airline contracts of carriage at
this time, there is nothing new, or unfair
to carriers, about airlines being subject,
through civil proceedings in State
courts, to action for failing to comply
with their contracts of carriage for air
transportation. To the contrary, carriers
have historically been subject to such
actions and, indeed, the Department has
for years published advice to consumers
about pursuing claims against airlines, if
necessary, in appropriate State small
claims courts precisely because the
Department has no authority to
adjudicate individual claims and make
monetary awards.
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4. Retention of Records
The NPRM: The NPRM proposed that
covered carriers retain for two years the
following information for any tarmac
delay that either triggers their
contingency plans or lasts at least four
hours: The length of the delay; the cause
of the delay; and the actions taken to
minimize hardships for passengers. Our
proposal did not contemplate that the
Department would review or approve
the plans, but we stated that the
Department would consider failure to
comply with any of the above
requirements—including implementing
the plan as written—to be an unfair and
deceptive practice within the meaning
of 49 U.S.C. 41712 and therefore subject
to enforcement action.
Comments: ATA questions the need
for the proposed record-retention
requirement covering lengthy tarmac
delays, asserting that the Department’s
BTS already has reporting requirements
covering similar issues, with the
exception of how carriers respond to
delay situations. With regard to this
category of information, ATA suggests
that a record retention requirement of
six months would be sufficient and
argues that retention of record for long
periods of time will impose additional
and unnecessary costs.
DOT Response: The Department does
not believe that it is advisable to remove
the record-retention requirement for a
number of reasons. First, certificated
U.S. carriers that account for at least one
percent of domestic scheduled
passenger revenue currently provide
delay data to BTS but the requirement
to retain information for lengthy tarmac
delays under this final rule would apply
to additional carriers—any certificated
or commuter air carrier that operates
scheduled passenger service or public
charter service using any aircraft with
30 or more passenger seats. Second,
most of the delay information that this
rule requires carriers to retain is more
specific than the delay data the largest
airlines currently submit to BTS. This
rule requires carriers to retain for two
years the following information on any
tarmac delay that either triggers their
contingency plans or lasts at least three
hours (as opposed to four hours in the
NPRM): The length of the delay, the
specific cause of the delay, and the steps
taken to minimize hardships for
passengers (including providing food
and water, maintaining lavatories, and
providing medical assistance); whether
the flight ultimately took off (in the case
of a departure delay or diversion) or
returned to the gate; and an explanation
for any tarmac delay that exceeded three
hours, including why the aircraft did
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not return to the gate by the three-hour
mark. Aside from the length of the delay
and whether the flight ultimately took
off or returned to the gate, the remaining
information that this rule requires
carriers to retain is not available through
data that the largest airlines submit to
BTS. As for the cause of a delay,
although the largest airlines do submit
information to BTS about the nature of
ground delays, this information is very
general (i.e., air carrier, extreme
weather, National Aviation System,
security, and late arriving aircraft). This
rule requires carriers to retain
information on the specific cause(s) of
the tarmac delay. We note that the
Tarmac Delay Task Force dealt with this
issue in its report to the Secretary, and
listed a number of lengthy on-board
ground delay causal factors.3 We
recommend that carriers use that list for
examples of the types of delay causes
that the Department is looking for
carriers to include in their retained
records. Third, to the extent that carriers
already collect and submit to BTS
certain elements of the information that
this rule requires, then there is no real
burden to them of complying with the
requirement.
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Response to Consumer Problems
1. Designated Advocates for Passengers’
Interests
The NPRM: The NPRM proposed to
require certificated and commuter air
carriers that operate domestic scheduled
passenger service using any aircraft with
30 or more passenger seats to designate,
at its system operations center and at
each airport dispatch center, an
employee to monitor the effects on
passengers of flight delays, flight
cancellations, and lengthy tarmac delays
and to have input into decisions such as
which flights are cancelled and which
are subject to the longest delays.
Comments: ATA supports the idea of
designating an airline employee at a
carrier’s operation center to monitor the
effects of flight delays and cancellations,
provided that the designee is a current
employee who carries out other
responsibilities as well. It does not
support requiring such an employee at
each airport dispatch center, claiming
that this would duplicate existing
procedures and would strain carriers’
resources without easing the problems
that consumers face. In general, RAA
thinks this provision is unnecessary as
airlines have no incentive to leave a
plane full of passengers on the tarmac.
RAA further notes that regional airlines
3 The model contingency plan is available at
https://www.regulations.gov [Docket No. DOT–OST–
2007–0108–0124.2].
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are unable to designate personnel with
responsibility for influencing delay
decisions since delay decision-making
is not a function of regional airline
employees. NBTA characterizes this
proposal as micromanagement of airline
customer service and unnecessary to
meet the needs of its business travelers.
NBTA maintains that an air carrier’s
response to cancellations and delays is
a key factor by which purchasers make
their buying decisions, and opposes a
mandate that airlines create new
customer service positions at each
airport. FlyersRights.org defers to the
Department and the airlines to
determine the best use of airline
manpower to mitigate the effects of
flight delays, cancellations and lengthy
tarmac delays.
DOT Response: The Department has
decided to require carriers to designate
an employee to monitor performance of
their flights; however, we are persuaded
that we should not require carriers to
designate an employee at their systems
operations center as well as at each
airport dispatch center, as long as
whatever employee(s) are designated
can monitor flight delays and
cancellations throughout the carriers’
systems and have input into decisions
regarding how to best meet the needs of
passengers affected by any irregular
operations. By adopting this
performance standard, the Department
leaves it up to each carrier to determine
the most efficient and effective method
to monitor the effects of flight delays
and cancellations (e.g., designate
individual(s) at its systems operations
center, designate individual(s) at each
airport dispatch center, designate
individual(s) at another location). This
rule does not require carriers to hire
new employees to comply with this
provision as these responsibilities may
be borne by current employees in
addition to their other responsibilities.
We disagree with RAA’s assertion that
regional carriers have no control over
decisions on delays, diversions and
cancellations and thus should not be
required to designate an employee to
monitor such occurrences. We recognize
that, as a rule, regional carriers’
mainline partners make most of the
decisions from an operational
standpoint on code-shared flights with a
regional carrier; however, this does not
lead to the conclusion that regional
carriers are or should be totally removed
from the process. Even if the
determination to cancel or delay a flight
or keep it on the tarmac is made by the
mainline carrier, the regional carrier as
the carrier operating the flight is the
entity that knows first-hand the
situation within and surrounding the
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aircraft, that is responsible for passing
information about that situation to the
mainline partner, and that has direct
contact with the passengers and remains
the sole means for directly serving them.
As such, this final rule requires all
airlines operating scheduled passenger
service using any aircraft with 30 or
more passenger seats to designate an
employee to monitor the effects of flight
delays, flight cancellations, and lengthy
tarmac delays on passengers and to
provide input into decisions on which
flights to cancel and which will be
delayed the longest. It applies to all of
a covered U.S. carrier’s scheduled
flights, both domestic and international,
including those involving aircraft with
fewer than 30 seats if a carrier operates
any aircraft with 30 or more passenger
seats. The requirement to designate
advocates for passenger interests applies
to U.S. carriers even if they operate only
international scheduled service.
2. Informing Consumers How To
Complain
The NPRM: Under the proposed rule,
a certificated or commuter air carrier
that operates domestic scheduled
passenger service using any aircraft with
30 or more passenger seats would be
required to inform consumers how to
file a complaint with the carrier (name
of person, address, telephone number,
and e-mail or Web-mail address) on its
Web site, on all e-ticket confirmations,
and, upon request, at each ticket counter
and gate.
Comments: Flyersrights.org supports
the proposal requiring airlines to
provide information to passengers on
how to file a complaint. ACI–NA states
that consumers should be provided
information regarding how to file a
complaint, which should include the
appropriate contact information,
including a contact name, address,
telephone number and e-mail or Web
address.
ATA supports the proposal for
carriers to provide passengers complaint
contact information but contends that
the Department should not dictate the
particular communication method to be
used (e.g., e-mail, carrier’s Web site,
traditional mail, telephone). Instead,
ATA states that the Department should
allow carriers the flexibility to choose
the contact method for customer
complaints, as each of these various
methods carries with them associated
costs. In particular, ATA emphasizes the
expense of telephone ‘‘talk time’’ and
explains that this would impose a high
cost on airlines without countervailing
benefits, given other complaint methods
available to consumers. ATA points out
that all of its members already provide
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complaint contact information on their
Web sites. ATA also reiterates its strong
opposition to the proposal that would
require carriers to include complaint
contact information on e-tickets. It states
that this proposal is unnecessary and
costly as it believes there is no
indication that finding complaint
contact information is a problem and
views e-ticket space as being limited
and having significant commercial value
to the carrier and third parties. ATA
estimates that the ‘‘value to the U.S.
industry as a whole of the e-ticket space,
which it asserts the Department
proposes to ‘confiscate’ is $5 million
annually,’’ an amount it claims far
exceeds the DOT’s estimate of the
proposal’s value. ATA also suggests that
the Department not require airlines to
name a specific employee contact
person for complaint purposes since
airline personnel change frequently, and
recommends that carriers be required to
provide a position/office so complaints
are directed to the right department.
RAA notes that most regional airlines
already have systems in place to handle
passenger complaints and to coordinate
those systems with their mainline
partners. If the Department adopts a
proposal for carriers to provide
passengers complaint contact
information, RAA asserts that any
requirement to post complaint
information on airline Web sites or eticketing confirmations should apply to
the ticketing carrier and not to regional
airlines. According to RAA, many
regional airlines do not have their own
Web sites upon which to post complaint
information and states that only the
ticketing airline should have a ‘‘legal’’
responsibility to consumers claiming
breach of contract. RAA also asserts that
in some cases there is no regional airline
employee at the gate, ticket counter, or
elsewhere in the airport.
DOT Response: The Department
rejects carriers’ suggestions that it leave
completely to the discretion of each
carrier the methods that carriers must
make available to consumers to contact
an airline. While generally the
Department prefers specifying ends
rather than means, it is important to
identify a sufficient number of contact
methods for customer complaints and
require carriers to accept such
complaints to ensure that all passengers
who wish to express their
dissatisfaction are able to do so easily.
For example, if an airline were to only
accept complaints by e-mail then those
without access to the Internet would
face significant difficulty in filing a
complaint. On the other hand, if an
airline were to only accept complaints
by traditional mail then a number of
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individuals may decide against sending
a complaint because of the ‘‘hassle’’
they see in writing a letter, addressing
an envelope, and mailing the letter.
However, we are persuaded that not all
of the contact methods for customer
complaints listed in the proposal are
necessary. In this regard, we agree with
ATA that we need not require carriers
to receive complaints by telephone. In
reaching this conclusion, we do not
mean to imply that carriers should not
have in place some mechanism for
resolving consumer problems in real
time, and failure to do so may require
us to revisit this decision in the future.
We also do not see the necessity in
requiring carriers to accept complaints
by fax. As a result, this rule only
requires carriers to provide passengers
their e-mail or Web-form address and
their mailing address. Of course, in
addition to accepting complaints by email and traditional mail, airlines are
free, and we encourage them, to accept
customer complaints through other
methods. This final rule also clarifies
that it is sufficient for airlines to
identify the designated department
within the airline with which to file a
complaint instead of identifying a
specific employee contact person.
We require that complaint contact
information be provided on carrier Web
sites, on all e-ticket confirmations, and
upon request at all airline ticket
counters and boarding gates. In reaching
this decision, we note that the
comments do not demonstrate that
including complaint contact
information on e-ticket confirmations
would impose substantial costs on
airlines despite such assertions. Only a
limited amount of space on an e-ticket
space is needed to provide complaint
contact information. Moreover, a carrier
can comply with this requirement for
providing contact information on an
electronic e-ticket confirmation or
itinerary by including a link to a Web
site containing the complaint
information in lieu of displaying the
entire text of the contact information,
which will take up even less space on
an e-ticket. It is our opinion that
requiring complaint contact information
on e-tickets and, upon request, at each
ticket counter and departure gate would
be beneficial to consumers as a large
number of passengers do not have
access to the Internet while traveling
and would not be able to access the
complaint contact information through
the airlines’ Web sites.
In response to RAA’s comment that
many regional airlines do not have their
own Web sites and there is no regional
airline employee at the gate or ticket
counter in some airports, we wish to
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68991
make clear that the requirement to have
complaint contact information in those
locations would not apply to those
airlines as the rule does not require
regional carriers that do not have Web
sites or a presence at an airport to
provide information on filing
complaints via these channels.
However, we see no reason to narrow
the coverage of this requirement to
exclude regional airlines. Passengers
who wish to complain to regional
airlines should be able to find out how
to do so.
3. Response to Consumer Complaints
The NPRM: Under the NPRM, a
certificated or commuter air carrier that
operates domestic scheduled passenger
service using any aircraft with 30 or
more passenger seats would be required
to acknowledge receipt of each
consumer complaint within 30 days of
receiving it and send a substantive
response to each complainant within 60
days of receiving it.
Comments: ASTA and Atlanta’s
Department of Aviation strongly support
this proposal. Atlanta’s Department of
Aviation states that acknowledging a
complaint within 30 days and providing
a substantive response within 60 days is
reasonable considering airline concerns
about increased staffing and the need for
consumers to know their complaints
have been received and concerns will be
addressed. Flyersrights.org also
supports the proposal but takes the
position that carriers should be required
to provide a ‘‘proposed final resolution’’
rather than a ‘‘substantive response’’
within 60 days.
Of the carrier associations, ATA
supports requiring carriers to respond to
consumer problems and cites the
voluntary commitments to do so that a
number of carriers have long had in
place. ATA states that its members agree
that consumers should receive an
acknowledgment within 30 days after
their complaints are received, and a
substantive response within 60 days,
with an exception to the 30 day
acknowledgement requirement for
extenuating circumstances such as mail
delivery and address problems, or when
carriers need to obtain additional
information from a passenger. ATA adds
that the Department needs to clarify the
term ‘‘complaint’’ as meaning a
complaint that raises customer service
concerns and that is submitted to the
carrier’s customer relations department.
ATA notes that complaints made
through other means cannot be tracked
by the carriers and the response
coordinated. ACI–NA supports the
Department’s proposal that carriers
should have 30 days to acknowledge a
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complaint and 60 days to provide a
passenger with a substantive response.
ACI–NA also believes the proposal
should apply to all airlines operating
aircraft with more than 30 seats,
including regional carriers.
DOT Response: We have decided to
adopt a rule along the lines set forth in
the NPRM. The Department believes
that 30 days to acknowledge a
complaint and 60 days to provide a
passenger with a substantive response
represent standard practice in the
industry and should allow carriers
adequate time to investigate and
respond appropriately. By ‘‘substantive
response’’ we mean a response that
addresses the specific problems about
which the consumer has complained.
This type of response often results in a
resolution of the complaint. We are also
clarifying that by ‘‘complaint’’ we mean
a specific written expression of
dissatisfaction concerning a difficulty or
problem which the person experienced
when using or attempting to use an
airline’s services and that contains
sufficient information for the carrier to
identify the passenger. Airlines will be
required to acknowledge and respond to
all such complaints even if a passenger
does not submit it directly to the
carrier’s customer relations department.
The Department would expect, as we
find is largely already the case, that a
passenger complaint sent to the wrong
office or department at an airline would
be expeditiously forwarded to the
appropriate office within the airline.
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Chronically Delayed Flights as
Violations of 49 U.S.C. 41712
1. Covered Entities
The NPRM: Under the proposed rule,
the Department would consider any
chronically delayed flight of a
certificated U.S. carrier that operates
passenger service and/or cargo and mail
service and that accounts for at least one
percent of domestic scheduled
passenger revenue to be an unfair and
deceptive practice and an unfair method
of competition within the meaning of 49
U.S.C. 41712.
Comments: RAA takes the position
that this requirement should only apply
to airlines that hold out services to the
public and ticket passengers. RAA
reasons that regional airlines lack the
ability to engage in the behavior the
Department is seeking to prevent since
regional airlines fly schedules
established by major airlines and do not
advertise or publish flight times
independent of the mainline partner.
Similarly, ExpressJet states that this
requirement should not be applied to
regional carriers because they are not
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responsible for making scheduling
decisions. ExpressJet explains that
typical regional carriers operate under a
code-share agreement with one or more
larger air carriers which agreements
grant to the larger carrier the right to
make non-safety related decisions
regarding the regional carrier’s schedule
of flights. ACI–NA expressed
disappointment that the Department
defined ‘‘covered carrier’’ as only those
that account for at least one percent of
domestic scheduled passenger revenue
and did not propose to provide all
consumers the same level of protection.
ACI–NA maintains that the requirement
should apply not only to large carriers
but also to the operations of regional or
feeder carriers. ACI–NA points out that
delays harm passengers just as much
regardless of which certificate holder
operates the aircraft. ACI–NA further
notes that regional airlines operate half
of the daily domestic flights and provide
the only scheduled service to
approximately 70 percent of U.S.
airports.
DOT Response: The Department
continues to believe that the substantial
cost burden that compliance with this
requirement would impose on the
smaller carriers, which are not required
to collect or report on-time performance
data, would outweigh any
corresponding public benefits.
Therefore, the chronically delayed flight
provision should not apply to those
smaller carriers.
Under 14 CFR Part 234, any
certificated U.S. carrier that accounts for
at least 1 percent of domestic
scheduled-passenger revenues is
required to file an ‘‘On-Time Flight
Performance Report’’ with the
Department’s Bureau of Transportation
Statistics on a monthly basis, setting
forth specified information for each of
its flights held out in Official Airline
Guide (OAG), in the computer
reservations systems (CRS), or in other
schedule publications. As a result, the
Department’s Office of Aviation
Enforcement and Proceedings can
obtain data from BTS that enable the
office to determine whether the
schedules that the reporting airlines
cause to be listed in the OAG and CRS
are indicative of the schedules that the
carriers could reasonably be expected to
achieve and whether the reporting
airlines are operating flights that we
would consider to be chronically late.
These data do not currently exist in a
single location for other carriers, i.e.,
smaller carriers, and these carriers
would incur significant costs in setting
up the infrastructure to collect, compile
and report this information. Unless the
Department requires smaller carriers to
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also report on-time performance data, a
prohibition against smaller carriers
operating chronically delayed flights as
defined in this rule would be difficult
and impractical to enforce as there is no
mechanism in place for the Department
to independently determine whether
such carriers are complying with the
requirement. The Department believes
that the cost of requiring smaller carriers
to report on-time performance data in
order to be able to determine whether
these carriers operate chronically
delayed flights outweighs the benefits to
consumers in light of the fact that the
operations of the reporting carriers
account for nearly 90 percent of all
domestic passenger enplanements. As
such, we will not apply this
requirement to smaller carriers. We are
also clarifying that this requirement
does not apply to certificated U.S.
carriers that only operate cargo and mail
service as the concern about chronically
delayed flights involves passenger
service. The final rule applies to
certificated U.S. carriers that operate
passenger service and that account for at
least one percent of domestic scheduled
passenger revenue.
2. Definition of a Chronically Delayed
Flight
The NPRM: In the NPRM, we
proposed to define a chronically
delayed flight as a flight by a covered
carrier that is operated at least 30 times
in a calendar quarter and arrives more
than 15 minutes late, or is cancelled,
more than 70 percent of the time during
that quarter. We proposed that the
Department would consider a
chronically delayed flight to be an
unfair and deceptive practice within the
meaning of 49 U.S.C. 41712 if it is not
corrected before the end of the second
calendar quarter following the one in
which it is first chronically delayed. We
invited interested persons to comment
on an alternate definition of a
chronically late flight as one that is
operated at least 30 times in a calendar
quarter and that arrives at least 30
minutes late at least 60 percent of the
time. We also asked whether we should
adopt an even stricter definition favored
by the Department’s Inspector General
(IG), i.e. a flight that is delayed 30
minutes or more, or cancelled, at least
40 percent of the time during a one
month period. We noted that we were
considering the option of not treating a
flight that remains chronically delayed
for three consecutive quarters as an
unfair and deceptive practice and an
unfair method of competition if every
prospective passenger using any
available channel of purchase is
informed before buying a seat on that
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flight that the flight is chronically
delayed. The NPRM also broadly asked
for comments on other possible chronic
delay standards.
Comments: Flyersrights.org favors a
stricter definition of a chronically
delayed flight than the one proposed in
the NPRM, specifically, that a
chronically delayed flight should be
defined as a flight that operates at least
30 times in a calendar quarter and
arrives more than 15 minutes late more
than 50 percent of the time during that
quarter. Flyersrights.org further states
that it finds woefully lax a requirement
that would allow a carrier to operate a
chronically delayed flight for three
consecutive calendar quarters (9
months) and asserts that carriers should
not be allowed two calendar quarters
(six months) to correct chronically
delayed flights. Instead, Flyersrights.org
suggests that carriers be provided one
calendar quarter (3 month period) to fix
the problem. Flyersrights.org also
disagrees with the option suggested by
the Department not to consider a
chronically delayed flight as an unfair
and deceptive practice if all the
passengers are informed that the flight
is a chronically delayed flight before
purchasing a ticket, as it allows a carrier
to continue providing poor service. It
also states that DOT should provide for
a parallel regulatory approach for
‘‘chronically cancelled’’ flights as well.
Of the consumer associations that
commented on this provision, ACAP
concurs with Flyersrights.org. Several
individual commenters stated that they
believe a chronically delayed flight
should be considered an unfair and
deceptive practice.
Of the carrier associations that
commented, ATA supports the
proposed definition of a chronically
delayed flight as a flight that operates at
least 30 times in a calendar quarter and
arrives 15 minutes late, or is cancelled,
more than 70% of the time during that
quarter. ATA supports the proposal not
to consider it an unfair and deceptive
practice if a passenger is informed when
purchasing a ticket that a flight is
chronically delayed. RAA asserts that a
prohibition on chronically delayed
flights is unnecessary as airlines are
already motivated to provide delay-free
service since airlines incur costs (e.g.,
must pay crews overtime, burn fuel),
negative publicity and adverse
consumer reaction when on-time
performance suffers. RAA emphasizes
that, rather than penalizing airlines, the
Department should focus on improving
the efficiency of our nation’s ATC
system.
ACI–NA maintains that delays cause
passengers to lose confidence in an
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airport’s operations, which can impact
both the airport’s finances and the local
community’s economy. ACI–NA
disagrees with the option put forth in
the rulemaking that the Department not
treat a chronically delayed flight as an
unfair and deceptive practice if the
passenger is informed that a flight is
chronically delayed prior to purchase,
as it questions how DOT could
determine that every passenger has been
appropriately informed. ACI–NA also
questions whether it is reasonable to
define a chronically delayed flight as a
flight that is delayed more than 70% of
the time in a calendar quarter. ACI–NA
explains that a 50% standard is more
reasonable as air travelers should be
able to expect that airlines can arrive at
the promised time for at least half of
their operations. ACI–NA supports the
proposal to consider chronically
delayed flights operated for three
consecutive calendar quarters as an
unfair and deceptive practice.
Of the travel agency associations,
ASTA, supports defining a chronically
delayed flight as an unfair and
deceptive practice, but suggests that the
proposal can be improved in a number
of ways. First, ASTA argues that a
chronically delayed flight should be
defined as a flight that is late more than
50 percent of the time as this is in tune
with the way most people think of this
issue. As an alternative, ASTA notes
that it could also support the DOT
Inspector General’s recommendation of
a 40 percent factor with a 30 minute
trigger. Second, ASTA asserts that
airlines should be able to cure a chronic
delay problem in three months rather
than six months. ASTA notes its
concern that as proposed an airline can
operate a flight that is delayed 70
percent of the time for nine months
before there is a remedy. ASTA also
strongly opposes the ‘‘option’’ of
excusing chronically delayed flights
from being considered an unfair and
deceptive practice if a consumer is
informed of the chronic delay. ASTA
explains that this option encourages the
airlines to continue operating
chronically delayed flights while
shifting the cost burden onto the retail
distribution system to inform the public
about the practice on a flight-by-flight
basis.
DOT Response: The Department
agrees with commenters advocating the
need to strengthen the definition of a
chronically delayed flight and is
adopting a more rigorous set of criteria
for determining what constitutes a
chronically delayed flight in an effort to
further improve carrier performance.
The final rule defines a flight as
chronically delayed if it is operated at
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68993
least 10 times in a month and arrives
more than 30 minutes late (including
cancelled flights) more than 50 percent
of the time during that period. We find
persuasive the comments that suggested
that the Department should define a
flight as chronically delayed if it is late
more than 50 percent of the time rather
than 70 percent of the time, as a flight
that is delayed ‘‘more often than not’’ is
commonly viewed by consumers and
the public at large as being chronically
delayed. From the standpoint of the
consumer, the offering of scheduled
service and the acceptance of
reservations by a carrier give rise to the
justifiable expectation that the carrier
has the intent and the capability to
arrive at the promised time. Consumers
rely on carrier schedules and, to the
extent they are chronically inaccurate,
consumers are seriously harmed. We are
also changing the criteria in the
definition of a chronically delayed flight
related to the number of operations that
must take place in a given time period
from at least 30 operations in a calendar
quarter to at least 10 operations in a
month, as we believe a monthly
standard is a more precise, simplified
and rigorous standard by which to
determine a chronic delay. Further, we
are amending the threshold defining a
flight delay for purposes of this
requirement from 15 minutes late to 30
minutes late because while no consumer
likes delay, the real concern appears to
be with significant delays, the kind that
result in missed connections and other
problems.
With regard to when to classify a
chronically delayed flight as an unfair
and deceptive practice, the Department
agrees with comments that the proposal
provided too much time for airlines to
act to correct chronically delayed
flights. The final rule specifies that a
flight that remains chronically delayed
for more than four consecutive onemonth periods is an unfair or deceptive
practice within the meaning of 49 U.S.C.
41712 and subject to enforcement
action. This more stringent standard
will better ensure that airlines do not
schedule flights that they reasonably
know or should know are going to be
seriously late most of the time, thereby
providing consumers more reliable
information about the actual arrival time
of a flight. We also believe this
provision provides carriers adequate
time to adjust their schedules. Carriers
know at the beginning of month two
whether the flights they operated during
month one were chronically late. We
believe that carriers can make
adjustments to their schedules within
60 days; therefore, we expect that
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during months two, three and four
carriers would adjust their schedule for
each of their chronically late flights to
make the schedule for that flight more
realistic by month five. While flight
delays for weather, mechanical, or other
operational reasons occur frequently in
the airline industry, the Department
considers the continued publishing of
schedules that list chronically late
flights to be one form of unrealistic
scheduling and an unfair or deceptive
practice and unfair method of
competition within the meaning of 49
U.S.C. 41712.
In the NPRM, we expressed some
concern that if a significantly larger
number of flights are defined and
identified as chronically delayed flights
then carriers may choose to cancel these
flights rather than operate them. The
Department believes that the definition
of chronically delayed flight in this final
rule, while more stringent than the one
proposed, will nevertheless not lead to
a large number of flight cancellations as
we have found, based on calendar year
2008 data provided by BTS, that the vast
majority of the chronically delayed
flights as defined in this rule were not
chronically delayed for four or more
consecutive months. This indicates that
carriers were able to ensure that these
flights operated on schedule without
canceling flights.
We are not adopting the option we
suggested in the NPRM of not treating
a flight that remains chronically delayed
for three consecutive quarters (now after
four consecutive months) as an unfair
and deceptive practice if every
prospective passenger using any
available means of purchase is informed
before buying a seat on that flight that
the flight is chronically delayed. We are
concerned that this proposal could
result in more chronically delayed
flights and that it would be difficult for
the Department to determine if all
passengers were properly notified prior
to purchasing a ticket that the flight is
a chronically delayed flight.
3. Unrealistic Scheduling of Flights
(Other Than Chronically Delayed
Flights)
The NPRM: Other than an editorial
change (the removal of references to
‘‘Board’’), the proposal would not make
any other changes to the existing rule
which states that unrealistic scheduling
of flights by any air carrier providing
scheduled passenger air transportation
or the use of any figures, with respect
to the advertising of schedule
performance, purporting to reflect
schedule or on-time performance
without providing detailed information
about the basis of the calculation would
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be an unfair or deceptive practice and
an unfair method of competition within
the meaning of 49 U.S.C. 41712.
Comments: We received only one
comment on this issue. ATA opposes
the proposal to continue requiring that
advertising of on-time performance
reveal the detailed information about
basis of the calculation. ATA states that
the effect of requiring so many data
points will be to prevent the use of this
statistic. ATA also asserts that the
Department should not adopt this
proposal as there isn’t any consumer
demand for this level of detail and it
would create a burden with no public
benefit.
DOT Response: This rule continues to
prohibit carriers providing scheduled
passenger service from engaging in
unrealistic scheduling, which can be
many things beyond the Department’s
definition of a chronically delayed flight
that a carrier continues to hold out for
more than four consecutive months. For
example, a flight that is cancelled 30
percent of the time for a sustained
period of time could be considered to be
unrealistic scheduling. The posting of
unrealistic schedules can have a
significant and harmful impact on
consumers. When a carrier publishes
schedules, it assumes an obligation to
adhere to those schedules insofar as is
reasonable. A carrier’s practice of
publishing schedules that it knows or
should know it probably will not
achieve can also adversely affect
competition, which ultimately redounds
to the further detriment of consumers,
whose choices in air travel may have
been reduced by the carrier’s artifice.
With respect to the advertising of
schedule performance, this rule
continues to regard as an unfair or
deceptive practice the use of any figures
purporting to reflect schedule or ontime performance without indicating the
basis of the calculation, the time period
involved, and the pairs of points or the
percentage of system-wide operations
thereby represented and whether the
figures include all scheduled flights or
only scheduled flights actually
performed. We are not persuaded by
ATA’s assertions that this requirement
is not beneficial to consumers. Without
this requirement, a carrier’s advertising
of on time performance could be very
misleading and consumers would not
have any basis for determining whether
a statistic provided by a carrier is
trustworthy or even relevant to their
particular circumstance.
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Delay Data on Carriers’ Web Sites
1. Covered Entities/Scope
The NPRM: Under current rule,
certificated air carriers that account for
at least 1 percent of domestic scheduled
passenger revenues (‘‘reporting
carriers’’) are required to track on-time
performance, report it to DOT, and
provide, during the course of
reservations/ticketing discussions or
inquires about flights, the on-time
performance percentage for a flight
upon request. In the NPRM, we
proposed to continue requiring
reporting carriers’ reservations agents to
disclose on-time performance
information to consumers only upon
request although we had solicited
comment in the ANPRM as to whether
reservations agents should disclose this
information to consumers without being
asked and whether any disclosure
requirement should be expanded to
cover more types of carriers or travel
agents. In the NPRM, we also proposed
requiring reporting carriers to provide
certain flight delay data on their Web
sites. We proposed to require this delay
data only for flights of reporting carriers
but asked commenters if we should in
addition require the reporting carriers to
post delay data on their Web site for all
their domestic code-share partners’
flights, including those carriers that are
not themselves required to report ontime performance. We decided not to
propose requiring on-line travel
agencies to post delay data on their Web
sites (a proposal upon which we
solicited comment in the ANPRM)
because of concerns that the cost would
outweigh the benefits.
Comments: No one commented as to
whether the proposal to continue
requiring reporting carriers to disclose
the on-time performance code for a
flight upon request should or should not
be expanded to cover more carriers (e.g.,
domestic scheduled passenger service
using aircraft with 30 or more seats) or
more types of flights (e.g., code-share
flights). The comments received on
scope/coverage addressed only the
proposal to require carriers to publish
delay data on their Web sites.
Flyersrights.org recommends that the
regulation require covered carriers to
post flight delay information only for
code-share flights operated by carriers
that report on-time performance, as this
will narrow the amount of information
required. Flyersrights.org suggests that
the Department can expand the
requirement later based on consumer
comments. ACI–NA believes that it is
important for consumers to have access
to comprehensive on-time performance
data and strongly supports requiring
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that flight delay data be made available
on reporting carriers’ Web sites for all
the domestic code-share flights of that
carrier.
ATA states that, given the
Department’s proposal not to impose
any data reporting requirements on
travel agents, the proposal unfairly
burdens the reporting carriers as these
carriers would uniquely bear the cost of
collecting data, programming, and
updating their booking sites to reflect
such data. ATA also contends that the
proposal is unfair to the approximately
thirty percent of passengers who book
through carriers’ Web sites as they
would be burdened with having to see
performance information that they did
not request and likely do not want. ATA
suggests that the ‘‘excessive
performance data display’’ may even
discourage booking travel through
carriers’ Web sites. ATA’s comments
indicate that it supports extending the
requirement for disclosure of flight
delay information on Web sites to cover
online travel agencies if the Department
imposes such a requirement on
reporting carriers. On the other hand,
ITSA supports the preliminary
conclusions reached by the Department
that the cost of imposing a requirement
for online travel agencies to post flight
delay information would vastly
outweigh the benefits to consumers.
ITSA urges the Department to make
final its tentative decision not to apply
this requirement to online travel
companies, global distributions systems
and other third party online reservation
services. ASTA notes that the
Department wisely exempts travel
agencies from the requirement to
disclose flight delay information.
DOT Response: We have decided to
continue to require reporting carriers to
disclose the on-time performance code
for a flight upon request as there were
no comments received on this point and
the rule as is works well from the
Department’s perspective. The final rule
requires a reporting carrier to display on
its Web site flight delay information for
each flight it operates and for each flight
its U.S. code-share partners operate for
which schedule information is
available. The Department believes that
requiring a reporting carrier to display
on its Web sites flight delay information
for each domestic flight it holds out as
its own will help consumers make better
informed decisions when selecting
flights. In adopting this approach, we
are rejecting arguments that requiring a
reporting carrier to provide flight delay
information for domestic code-share
flights operated by carriers that do not
report on-time performance would
unduly burden them. There are
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currently only 21 non-reporting U.S.
carriers that code-share with reporting
carriers, and the on-time performance
data for these carriers may be collected
through third party entities at a
reasonable cost. FlightStats is an
example of a third party which collects
detailed on-time performance data for
many airlines. Moreover, the benefit of
flight delay data to consumers does not
differ based on whether the flight is
operated by a reporting carrier, its
reporting code-share partner or its nonreporting code-share partner. We note
that if more than one reporting carrier
has an agreement with the same codeshare partner, each reporting carrier
must display on its website the on-time
performance information for the covered
flight that bears the reporting carrier’s
code.
We again considered applying the
requirement to publish delay data to
online travel agencies, but we continue
to view the cost of requiring on-line
travel agencies to post the flight delay
information as outweighing the benefits
to passengers. The cost to on-line travel
agencies of complying with such a
requirement is much higher than it is for
the reporting carriers because of costs
associated with reformatting the Global
Distribution Systems (booking engines
used by travel agencies) and Online
Travel Companies (online agencies with
independent airline ticket booking
capabilities).
2. Disclosure of Flight Delay Information
by Airline Reservation Agents
The NPRM: This proposal would not
make any changes to the existing rule
which requires covered carriers to
disclose upon request the on-time
performance of a flight during the
course of reservations/ticketing
discussions, transactions, or inquires
about flights between a carrier’s
employees and the public. We decided
not to propose that the carrier
reservations agents be required to
disclose a carrier’s on-time performance
at the time of booking without being
asked (an issue upon which we solicited
comment in the ANPRM) because of
concerns that the costs of providing this
information to all callers, whether
requested or not, would be unduly
burdensome to carriers and of dubious
benefit to consumers, particularly if the
rule provides for flight delay
information on the carriers’ Web sites.
Comments: Flyersrights.org states its
continued belief that passengers would
like to be told, without having to ask,
about the past on-time performance of
the flight they are discussing on the
phone or in person with a carrier
employee or travel agent. ATA did not
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comment on this provision of the
NPRM. However, at the ANPRM stage,
ATA expressed its strong opposition to
requiring carriers’ reservations agents to
disclose on-time information without
being asked, because of its belief that
the high cost of compliance would
outweigh its speculative benefit.
DOT Response: We have decided to
issue a rule along the lines set forth in
the NPRM. Specifically, the final rule
requires a reporting carrier to disclose
upon request the on-time performance
of a flight during the course of
reservations discussions or inquires
about flights. We note that requiring
carriers to provide passengers on-time
performance data during discussions,
transactions or inquires, even if not
requested, would be burdensome to a
degree and of dubious benefit. We note
that the rule has been amended to
clarify that the requirement to provide
on time performance data upon request
applies whether a member of the public
is speaking with a carrier’s employee or
contractor.
3. Disclosure of Flight Delay Information
on Web Site
The NPRM: This proposal would
require covered carriers to include for
each listed flight in the flight inquiry/
booking stream on their Web sites, at a
point before the passenger selects a
flight for purchase, the following
information for the flight for the most
recent calendar month for which the
carrier has reported on-time
performance data to DOT: (1) The
percentage of arrivals that were on time
(within 15 minutes of scheduled arrival
time); (2) the percentage of arrivals that
were more than 30 minutes late; (3)
special highlighting of any flight that
was late (i.e., arrived more than 15
minutes past scheduled arrival time)
more than 50 percent of the time; and
(4) the percentage of cancellations. We
proposed that this information be
provided by either showing the
percentage of on-time arrivals on the
initial listing of flights and disclosing
the remaining information on a later
page at some stage before a consumer
buys a ticket, or by making available all
the required information via a hyperlink
on the page with the initial listing of
flights. We also proposed to require that
carriers load the delay information for
the previous month into their internal
reservations systems between the 20th
and 23rd day of the current month to
ensure that all carriers are posting
information covering the same period.
Comments: In general, individual
commenters (as opposed to
organizations) who addressed this issue
agree that carriers should be required to
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disclose flight delay information on
their Web sites. One commenter notes
that she has concerns that the cost to
modify and provide delay information
on a carrier’s Web site may be too
burdensome and, consequently, may be
passed on to consumers.
FlyersRights.org urges that airlines be
required to post the on-time
performance data for all their flights
rather than just the nonperforming
flights.
ATA supports requiring disclosure of
on-time arrival percentages for each
flight on a carrier’s Web site for the most
recent reported calendar month as this
information is already reported to BTS.
However, ATA objects to a requirement
for carriers to report and display any
flight delay data not currently required
by BTS. ATA asserts that collecting and
reporting on the data categories
proposed by the Department in its
NPRM would be expensive and overly
burdensome because it would require
substantial efforts to capture this
information, significant reprogramming
of internal software, rebuilding of
portions of Web sites and delay of other
critical technology projects. ATA also
contends that the requirement does not
have any offsetting benefits. ATA
reiterates its comment to the ANPRM
that past delay information is unlikely
to predict future performance because of
variations in seasonal weather. It notes
that 70 percent of delays and
cancellations are due to weather, which
makes performance data from previous
periods a poor predictor of the
passenger’s probable flight experience.
ATA also states that the additional data
that the Department is proposing
carriers make available on their Web
sites would provide little additional
consumer benefit since many carriers
already post on-time data on their Web
sites. ATA further expresses concern
that flight on-time statistics can be
misinterpreted by passengers and
provides an example of a passenger
erroneously assuming a flight will be
delayed in September because it was
delayed in August and arriving late for
the flight and missing that flight.
Similar to ATA, NBTA supports
requiring carriers to provide on-time
performance information to consumers
only ‘‘so long as these requirements are
aligned with performance reports that
carriers must file with DOT.’’ ASTA
states that it is not ‘‘convinced of the
efficacy’’ of the publication of delay
data on a carrier’s Web site. ITSA thinks
this is a matter best left to the
marketplace, and concurs with ATA
that data will be of no use due to the
unpredictability of weather-related
delays. As such, ITSA does not support
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inclusion of this proposal in the final
rule.
DOT Response: The final rule requires
that covered carriers provide on their
Web sites the following on-time
performance information: (1) Percentage
of arrivals that were on time—i.e.,
within 15 minutes of scheduled arrival
time; (2) the percentage of arrivals that
were more than 30 minutes late
(including special highlighting if the
flight was late more than 50 percent of
the time); and (3) the percentage of
flight cancellations if 5 percent or more
of the flight’s operations were canceled
in the month covered. The Department
recognizes that industry representatives
support only the requirement to post ontime (within 15 minutes of scheduled
arrival time) arrival percentages for each
flight on a carrier’s Web site because
this information is already reported to
BTS. However, the Department views
the posting of the percentage of arrivals
that were more than 30 minutes late as
important because consumers are
particularly interested in significant
delays as these delays are the kind that
are likely to result in missed
connections and other serious problems.
The Department is also requiring special
highlighting of flights if they are late
more than 30 minutes of scheduled
arrival time more than 50 percent of the
time to enable consumers to make more
informed travel decisions. For example,
chronic lengthy delays on short flights
may result in passengers choosing other
modes of transportation, choosing
earlier flights or selecting a different
airline. Without a requirement for
carriers to publish such information,
knowing which flights are often late can
be difficult for passengers to determine,
which can lead to frustration and
confusion. Similarly, without a
requirement for carriers to post
information about flights that are
cancelled more than 5% of the time,
consumers would be unaware prior to
purchasing a ticket on that flight that it
is regularly cancelled. We agree with
carriers that publishing data on the
percentage of cancellations for all flights
is an unnecessary burden and may
result in too much ‘‘clutter’’ on the Web
site.
With regard to the manner in which
this information must be posted on
carriers’ Web sites, we have amended
the rule so carriers must show all the
delay data on the initial listing of flights
or by a hyperlink on the page with the
initial listing of flights. We were
concerned that if we permitted carriers
to simply display flight delay
information at any stage before a
consumer buys a ticket it could result in
passengers not having access to that
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information until just before they click
the ‘‘Buy Now’’ button. By providing
flight delay data to consumers at an
earlier stage, they can choose during the
browsing/shopping phase whether or
not to abandon consideration of a given
flight that is canceled regularly or has a
high percentage of delays longer than 30
minutes. To ensure that all carriers are
posting flight delay information
covering the same month, the final rule
maintains the language in the proposal
that carriers load data for the previous
month into their internal reservation
systems between the 20th and 23rd day
of the current month.
Carriers’ Adherence to Customer
Service Plans
1. Covered Entities
The NPRM: This proposal would
require carriers covered by 14 CFR Part
234 (‘‘Airline Service Quality
Performance Reports’’)—i.e., certificated
air carriers that account for at least one
percent of domestic scheduled
passenger revenue (‘‘reporting
carriers’’)—to adopt customer service
plans for their scheduled service and for
public charter flights that they sell
directly to the public and audit their
adherence to their plans annually. We
explained in the NPRM that we are
proposing that the rule include public
charter flights because the operating
carrier is the party responsible for
ensuring that charter passengers receive
many of the promised services in those
customer service plans. The NPRM did
not provide an explanation as to the
reason that the Department tentatively
decided not to cover all U.S. airlines
that operate scheduled passenger
service using any aircraft with 30 or
more passenger seats as proposed in the
ANPRM.
Comments: ATA believes that the
Department should require all carriers
to adopt customer service plans, not just
U.S. airlines that account for at least one
percent of scheduled domestic
passenger revenue. ACI–NA also
supports imposing this requirement on
all carriers, as it does not believe there
is any justification for protecting only a
portion of the traveling public. RAA
identifies six regional carriers that
account for at least one percent of
scheduled domestic passenger revenue
and argues that this requirement should
not apply to any of them since none of
them offer their own reservations
services and do not ticket passengers for
the vast majority of their services.
ExpressJet also filed comments
contending that the requirement for
customer service plans should not apply
to regional carriers operating as code-
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share partners of mainline airlines
because these carriers do not sell or
hold out transportation to customers, as
their mainline partners do.
DOT Response: In response to
comments, the Department has changed
the types of carriers that are covered by
this requirement. We agree with
commenters that the benefits afforded
consumers by airlines’ customer service
plans should be expanded beyond
consumers who purchase tickets for
flights on U.S. airlines that account for
at least one percent of scheduled
domestic passenger revenue. A
substantial number of domestic air
travelers in the United States are carried
on flights using aircraft with 30 through
60 seats. As mentioned earlier, in 2008,
according to data received from BTS, a
total of 668,476,000 domestic
passengers were transported, 96,310,000
of which were on flights using aircraft
with 30 through 60 seats. Many of these
were carried by non-reporting carriers.
Because of the use of smaller aircraft to
carry a significant number of domestic
passengers, we conclude that it is
appropriate to extend the rule to these
operations in order to better protect the
majority of consumers. Moreover, in a
Final Report on Airline Customer
Service Commitments issued on
February 12, 2001, the Department’s IG
recommended that all U.S. carriers be
required to adopt customer service
plans. Subsequently, in a Status Report
on Actions Underway to Address Flight
Delays and Improve Airline Customer
Service issued on April 9, 2008, the IG
recommended that U.S. airlines that
provide domestic scheduled service
using any aircraft with more than 30
passenger seats be required to self-audit
such plans.
With regard to the comments from
RAA and ExpressJet that this
requirement should not apply to
regional carriers when conducting
operations under code-share agreements
with larger carriers, we disagree. We
recognize that regional or other airlines
that code-share with mainline carriers
generally do not offer their own
reservations and ticketing services or
directly perform certain other customer
service elements. However, we cannot
agree that they should not be
responsible at all to the passengers they
transport during many of their
operations because of their relationships
to those larger airlines. Instead, we have
decided to apply the requirement to
adopt and audit customer service plans
in a more flexible manner, as described
below, that takes into account their role,
including the fact that certain carriers
that may not hold out and sell air
transportation to consumers.
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Consequently, this final rule requires
U.S. airlines that operate scheduled
passenger service using any aircraft with
30 or more passenger seats (including
carriers that code-share with mainline
carriers) to adopt and audit a customer
service plan, and to publish this plan on
their Web sites. It is important to note
that this requirement applies to all of a
covered U.S. carrier’s scheduled flights,
both domestic and international,
including those involving aircraft with
fewer than 30 seats if a carrier operates
any aircraft with 30 or more passenger
seats. The requirement to adopt and
audit a customer service plan, and to
publish this plan on the Web site
applies to U.S. carriers even if they
operate only international scheduled
service.
2. Content of Customer Service Plan
The NPRM: We proposed in the
NPRM that, at a minimum, each plan
would have to address the same subjects
as the customer service elements
adopted from the ATA’s Customers First
initiative: (1) Offering the lowest fare
available; (2) notifying consumers of
known delays, cancellations, and
diversions; (3) delivering baggage on
time; (4) allowing reservations to be
held or cancelled without penalty for a
defined amount of time; (5) providing
prompt ticket refunds; (6) properly
accommodating disabled and specialneeds passengers, including during
tarmac delays; (7) meeting customers’
essential needs during lengthy on-board
delays; (8) handling ‘‘bumped’’
passengers in the case of oversales with
fairness and consistency; (9) disclosing
travel itinerary, cancellation policies,
frequent flyer rules, and aircraft
configuration; (10) ensuring good
customer service from code-share
partners; and (11) improving
responsiveness to customer complaints.
We solicited comment on whether we
should also require carriers to describe
in their customer service plans the
services they provide to mitigate
passengers’ inconvenience resulting
from flight cancellations and missed
connections and to specify whether they
provide these services in all
circumstances or only when the cause of
the cancellations or missed connections
were within their control.
Comments: Flyersrights.org and its
members support the proposal and take
the position that the Department should
also establish minimum standards for
carriers to meet their obligations under
the plans, review the plans for
adequacy, and approve them if
appropriate. ASTA also recommends
that the Department undertake to review
the customer plans at least for the
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purpose of a preliminary determination
of whether they are sufficiently specific
and enforceable. NBTA thinks that
customer service is best left to market
forces, but a baseline standard for
passengers’ rights should exist. ATA
supports the proposal that carriers adopt
and adhere to their customer service
plans and states that its members
adopted customer service plans in 2000
and have made these plans available to
the public. In response to the
Department’s question as to whether it
should require carriers to describe in
customer plans the services a carrier
provides to mitigate passenger
inconveniences resulting from
cancellations and misconnections, ATA
states that carriers need flexibility to
take action that will minimize the
impact of delays. In this regard, ATA
explains that carriers should not be
required to provide a list of services, as
it would ultimately diminish passenger
satisfaction due to the loss of flexibility
to deal with specific situations. ATA
also notes that services can be very
specific, change over time, and include
competitively sensitive information.
RAA contends that many of the
subjects proposed to be addressed in a
customer service plan would be
inappropriate if applied to an airline
that does not hold out, market, sell or
ticket its services. RAA states that most
regional carriers do not offer fares, take
reservations, ticket passengers, receive
payment from passengers, provide
refunds to passengers, or have their own
frequent flyer rules or cancellation
policies. ExpressJet asks that the
Department eliminate elements in the
customer service commitments, such as
the requirement that a customer service
plan ‘‘ensure good customer service
from code-share partners,’’ that it asserts
has no applicability to carriers that do
not hold out and sell air transportation
to individuals.
DOT Response: The Department
agrees with comments from RAA and
ExpressJet that some of the subjects
proposed to be addressed in the
customer service plan would only apply
in the context of the relationship
between a seller of the air transportation
and a buyer, and it would thus not be
appropriate to mandate that carriers that
do not offer their own reservation
services or ticket passengers adopt a
plan for addressing these elements.
More specifically, we view the customer
service elements concerning offering the
lowest fare available, allowing
reservations to be held or cancelled
without penalty for a defined amount of
time, and providing prompt ticket
refunds as having no applicability to an
airline that does not hold out, market,
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sell or ticket its services. Similarly, the
commitment concerning disclosing
travel itinerary, cancellation policies,
frequent flyer rules and aircraft
configuration would also not be
applicable to an airline that does not
sell or ticket its services to the extent
these travel-related disclosures are made
at the point of sale. We are further
persuaded that only an airline that sells
air transportation to individual
customers should be required to adopt
a plan ensuring good customer service
from its code-share partners. As such,
airlines that do not offer their own
reservations and ticketing services may
comply with the provisions of the
customer service elements that address
functions they do not perform by
including in their customer service plan
under each of these elements an
explanation that this service is not
provided by them and identifying the
airline that provides the service. With
regard to the other required elements in
a customer service plan, including the
promise to handle overbooked
passengers with fairness and
consistency, we believe that the covered
airlines, whether or not they sell air
transportation to passengers, have
responsibilities in this area and must
fully address these subjects in their
customer service plans.
The Department has decided to
require carriers to describe in customer
plans the services a carrier provides to
mitigate passenger inconvenience
resulting from cancellations and
misconnections. Consumers deserve to
know up front what to expect in such
an event. We believe that carriers
already note in their contracts of
carriage many of the services they will
provide to mitigate passenger
inconveniences due to flight
irregularities. Moreover, our
requirement here is in no way a
limitation on carriers. They always
retain the flexibility to provide
additional services, when necessary.
The Department also agrees with
commenters that there should be some
baseline standard in place to ensure that
the carriers’ customer service plans are
specific and enforceable. The NPRM,
however, did not propose to establish
such standards. Consequently, the
Department plans to seek comment
about establishing standards for
ensuring compliance with customer
service plans in a forthcoming notice of
proposed rulemaking. The preamble to
that NPRM will discuss this issue in
more detail.
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3. Incorporation of Customer Service
Plan Into Contract of Carriage
The NPRM: The NPRM proposed that
each covered carrier be required to
incorporate its customer service plan in
its contract of carriage and make its
contract of carriage available on its Web
site. As in the case of contingency plans
for lengthy tarmac delays, we invited
interested persons to comment on the
implications of our creating a private
right of action here, particularly
potential benefits to passengers,
potential negative consequences, and
the costs to carriers.
Comments: Flyersrights.org notes that
incorporating customer service plans
into a contract of carriage is important
as it provides an avenue for individual
passengers to enforce airline promises.
Flyerrights.org also supports providing
contract of carriage information on a
carrier’s Web site, stating that it
provides passengers an opportunity to
educate themselves on the carrier’s
stated obligations. ACAP and U.S. PIRG
agree with the views of Flyersrights.org.
ASTA also supports incorporating the
customer service plans into the contract
of carriage, but has concerns about its
effectiveness because DOT does not
plan to review the plans to ensure
sufficient specificity and enforceability.
ATA opposes a requirement that these
plans be incorporated in carriers’
contracts of carriage. ATA challenges
the Department’s legal authority to do
this in the aftermath of deregulation and
argues that the Department cannot
substitute Congress’s chosen
enforcement mechanism which
precludes private judicial enforcement
with one of its own creation. ATA also
expresses concern that litigation costs
would increase dramatically over
current levels if each customer service
commitment were incorporated into
airlines’ contracts of carriage.
DOT Response: Although we agree
with the commenters about the benefits
of customer service plans being
incorporated into a carrier’s contract of
carriage, we will not in this final rule
make such incorporation a mandatory
requirement of covered carriers, for the
same reasons as stated in our discussion
of contingency plans. The Department
has determined that for now it should
strongly encourage carriers to
voluntarily incorporate the terms of
their customer service plans in their
contracts of carriage. At the same time,
the Department will undertake a series
of related measures to ensure the
dissemination of information regarding
each airline’s customer service plans.
The Department believes that
incorporation of the customer service
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plans into carriers’ contracts of carriage
provides individuals notice of their
rights and carrier responsibilities in a
readily available source and will help
improve compliance with the matters so
incorporated. However, as stated in our
discussion of contingency plans, we
believe that incentives exist for carriers
to include their customer service plans
in their contracts of carriage and, as
pointed out by the Department’s
Inspector General in his 2006 report,
most major airlines already do so.
As discussed above, the Department
will require each air carrier that has a
Web site to post its entire contract of
carriage on its Web site in easily
accessible form, including all updates to
its contract of carriage. The Department
will also require each air carrier with a
Web site that chooses not to include
their customer service plan in its
contract of carriage to post the plan
itself on its Web site in easily accessible
form.
Many airlines already post their
contract of carriage, including their
customer service plan, on their Web
site. An airline’s contract of carriage is
also available for public inspection at
airports and ticket offices. The purpose
of this requirement is to ensure that
interested consumers can easily review
an airline’s contract of carriage, which
as of the effective date of the rule may
include the customer service plan of
airlines that choose to incorporate such
a plan. By reviewing an airline’s
contract of carriage, consumers can find
out an airline’s stated legal obligations
to passengers and be better informed
about their rights and a carrier’s
responsibilities when problems occur
(for example, the passenger’s rights and
carrier’s responsibilities if an airline
delays or cancels a flight or loses a bag).
This rule also requires each covered
carrier that has a Web site to post its
entire contract of carriage on its site in
easily accessible form. Many airlines
already post their contract of carriage on
their Web site. An airline’s contract of
carriage is also available for public
inspection at airports and ticket offices.
The purpose of this requirement is to
ensure that interested consumers can
easily review an airline’s contract of
carriage, which as of the effective date
of rule may include the customer
service plan of airlines that are required
to have such a plan. By reviewing an
airline’s contract of carriage, consumers
can find out an airline’s stated legal
obligations to passengers and be better
informed about their rights and a
carrier’s responsibilities when problems
occur (for example, the passenger’s
rights and carrier’s responsibilities if an
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airline delays or cancels a flight or loses
a bag).
4. Audit of Customer Service Plans
The NPRM: The NPRM proposed that
each covered carrier audit its own
adherence to its plan annually and make
the results of its audits available for the
Department’s review for two years. We
rejected carriers’ arguments in
comments to the ANPRM against
requiring audits and invited carriers that
oppose self-auditing as unduly
burdensome to provide evidence of the
costs that they anticipate. We also
rejected consumers’ arguments that the
Department should set standards for the
audits, review all audits, or have them
done by our IG.
Comments: NBTA favors giving the
Department’s IG the resources to
conduct audits of carriers’ customer
service plans, and suggests that these
audits be conducted not more frequently
than once every three years and at
similar times in the year to provide
accurate comparative information. ATA
agrees with the self-auditing proposal
because internal auditors are more
familiar with the industry, and it saves
time and training costs associated with
outside auditors. ASTA notes that selfauditing is unlikely to improve the
situation because the ‘‘promises’’
carriers make in their customer service
plans are likely to be aspirational,
lacking in substance and unenforceable.
DOT Response: The rule requires each
carrier to audit its own adherence to its
plan annually and to make the results of
each audit available for the
Department’s review for two years
afterwards. The Department believes
that a system for verifying compliance
with customer service plans is essential.
We believe that requiring covered
carriers to audit their plans annually
will further influence carriers to live up
to their commitments. We agree with
ATA that self-auditing is preferable as
internal auditors are familiar with the
industry and the cost of external audits
can be avoided. The Department’s IG, in
several reports, also recommended that
airlines conduct internal audits to
measure their compliance with their
customer service plans. Some airlines
are already doing so, but most are not.
We disagree with the suggestion that the
IG, rather then the airlines, conduct
routine audits. In the past, in response
to Congressional requests, the IG has
conducted audits of the customer
service commitments that ATA member
carriers voluntarily adopted; however,
these audits, which were costly, lengthy
and resource intensive, were not routine
annual audits. Instead, the audits
focused on the effectiveness of the plans
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and the extent to which each airline met
the provisions under its plan for the
purpose of making recommendations for
improving accountability, enforcement
and consumer protections afforded to
air travelers.
The Department believes that audits
of customer service plans should be
conducted at least once a year to enable
an airline to quickly take action if it
learns that it is not in compliance with
its customer service plans or if it is not
effectively implementing its plan. If
audits are conducted once every three
years as suggested by one commenter,
an airline may not be properly
implementing its customer service plans
for quite some time before it becomes
aware of the problem. We are also not
requiring that the audits be conducted
‘‘at similar times in the year’’ or even
that there be a single unified audit of all
the subjects covered in the customer
service plans, in order to allow each
airline the flexibility to design an audit
program that fits its particular
operational environment.
Retroactive Applicability of
Amendments to Contracts of Carriage
The NPRM: In the NPRM, we
proposed to adopt a rule to prohibit
carriers from retroactively applying any
material amendment to their contracts
of carriage with significant negative
implications for consumers to people
who have already bought tickets. We
asked for commenters to address the
implications of a carrier’s being held to
`
different contract terms vis-a-vis
different passengers on the same flight
if some bought their tickets before the
contract of carriage was amended and
some afterwards.
Comments: NBTA states that
customers on the same flight should be
governed under the same contract of
carriage, and last minute business
travelers should not be subject to
different contracts than other
passengers. ATA also opposes this
measure, and notes that carriers need
flexibility and such a requirement will
discourage carriers from making
improvements in customer service due
to the difficulty of dealing with differing
customer service standards as applied to
passengers depending on the time of
purchase. ASTA thinks the Department
should prohibit retroactive changes to
the contract of carriage, as the contract
is formed at the moment of purchase.
ASTA states that it would be unfair to
the airlines to allow consumers to take
retroactive advantage of improvements
that were not in effect when they bought
their tickets and equally unfair to
consumers to permit an airline to
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change the bargain that existed when
the ticket was purchased.
DOT Response: As we believe that
consumers have the right to receive
accurate information at the time of
purchase about the terms in the contract
of carriage that are applicable to them
and to which they will be held, this
final rule prohibits carriers from
retroactively applying any material
amendment to their contracts of carriage
that has any significant negative
implications for consumers who have
already bought tickets. We believe that
it would be unfair, for example, for a
passenger to purchase a non-refundable
ticket in March for a flight in May and
to learn later that the carrier added a
significant fee in April that the
passenger would be subject to and that
may have affected his/her purchase
decision had he/she been aware of it.
This provision is included in the rule as
a new section 253.9 in Part 253.
Effective Date of Rule
The NPRM: In the NPRM, we
proposed that the final rule take effect
180 days after its publication in the
Federal Register in order to afford
carriers sufficient time to adopt their
plans, modify their computer systems,
and take other necessary steps to be able
to comply with the new requirements
before we begin enforcing them. We
invited comments on whether 180 days
is an appropriate interval for completing
these changes.
Comments: We received few
comments on this issue. Flyersrights.org
suggested that the rules should become
effective after 120 days. NBTA thinks a
‘‘reasonable date should be established
after determining the impact the final
rule will have on carriers.’’ ACI–NA
supports the DOT proposal to make the
final rule effective 180 days after
publication in the Federal Register but
suggests a tiered implementation
schedule providing an extra 120 days to
small and non-hub airports if the
Department adopts its suggestion that
airlines be required to coordinate their
plans with all airports at which they
provide service. ATA recommends a
‘‘significant implementation period’’ as
the rule would require substantial
software and operational changes.
DOT Response: We agree with ATA
and NBTA that carriers should have
sufficient time to implement these
changes. We also agree with
Flyerrights.org that four months is
adequate time for carriers to implement
the necessary changes. Consequently,
for the reasons stated above the rule will
go into effect 120 days after it is
published in the Federal Register.
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Regulatory Analyses and Notices
A. Executive Order 12866 (Regulatory
Planning and Review) and DOT
Regulatory Policies and Procedures
This action has been determined to be
significant under Executive Order 12866
and the Department of Transportation’s
Regulatory Policies and Procedures. It
has been reviewed by the Office of
Management and Budget. The final
Regulatory Evaluation has concluded
that the benefits of the final rule exceed
its costs, even without considering nonquantifiable benefits. The total present
value of benefits over a 20 year period
at a 7% discount rate is $169.7 million
and the total present value of costs over
a 20 year period at a 7% discount rate
is $100.6 million. The net present value
of the rule for 20 years at a 7% discount
rate is $69.1 million. A copy of the final
Regulatory Evaluation has been placed
in the docket.
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B. Regulatory Flexibility Act
The Regulatory Flexibility Act (5
U.S.C. 601 et seq.) requires an agency to
review regulations to assess their impact
on small entities unless the agency
determines that a rule is not expected to
have a significant economic impact on
a substantial number of small entities.
An air carrier is a small business if it
provides air transportation only with
small aircraft (i.e., aircraft with up to 60
seats/18,000 pound payload capacity).
See 14 CFR 399.73. Our analysis
identified 19 small businesses
potentially affected by the requirements
of the final rule. However, although
certain elements of this rule impose new
requirements on these small air carriers,
the Department believes that the
economic impact will not be significant
based on its examination because for
those carriers identified as small
businesses (and for which data on
receipts was readily available)
annualized total costs of the rule are
estimated to be one tenth of one percent
or less of annual receipts per firm. More
specifically, annualized total costs as a
percent of annual receipts ranged from
0.09% to 0.0006%. On the basis of this
examination, the Department certifies
that this rule will not have a significant
economic impact on a substantial
number of small entities. A copy of the
Regulatory Flexibility Analysis has been
placed in docket.
C. Executive Order 13132 (Federalism)
This Final Rule has been analyzed in
accordance with the principles and
criteria contained in Executive Order
13132 (‘‘Federalism’’). This final rule
does not include any provision that: (1)
Has substantial direct effects on the
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States, the relationship between the
national government and the States, or
the distribution of power and
responsibilities among the various
levels of government; (2) imposes
substantial direct compliance costs on
State and local governments; or (3)
preempts State law. Therefore, the
consultation and funding requirements
of Executive Order 13132 do not apply.
D. Executive Order 13084
This final rule has been analyzed in
accordance with the principles and
criteria contained in Executive Order
13084 (‘‘Consultation and Coordination
with Indian Tribal Governments’’).
Because this final rule does not
significantly or uniquely affect the
communities of the Indian Tribal
governments or impose substantial
direct compliance costs on them, the
funding and consultation requirements
of Executive Order 13084 do not apply.
E. Paperwork Reduction Act
As required by the Paperwork
Reduction Act of 1995, DOT has
submitted the Information Collection
Requests (ICRs) abstracted below to the
Office of Management and Budget
(OMB). Before OMB decides whether to
approve these proposed collections of
information and issue a control number,
the public must be provided 30 days to
comment. Organizations and
individuals desiring to submit
comments on the collection of
information requirements should direct
them to the Office of Management and
Budget, Attention: Desk Officer for the
Office of the Secretary of
Transportation, Office of Information
and Regulatory Affairs, Washington, DC
20503, and should also send a copy of
their comments to: Department of
Transportation, Office of Aviation
Enforcement and Proceedings, Office of
the General Counsel, 1200 New Jersey
Avenue, SE., Washington, DC 20590.
OMB is required to make a decision
concerning the collection of information
requirements contained in this rule
between 30 and 60 days after
publication of this document in the
Federal Register. Therefore, a comment
to OMB is best assured of having its full
effect if OMB receives it within 30 days
of publication.
We will respond to any OMB or
public comments on the information
collection requirements contained in
this rule. OST may not impose a penalty
on persons for violating information
collection requirements which do not
display a current OMB control number,
if required. OST intends to obtain
current OMB control numbers for the
three new information collection
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requirements resulting from this
rulemaking action. The OMB control
number, when assigned, will be
announced by separate notice in the
Federal Register.
The ICRs were previously published
in the Federal Register as part of NPRM
(73 FR 74587) and the Department
invited interested persons to submit
comments on any aspect of each of these
three information collections, including
the following: (1) The necessity and
utility of the information collection, (2)
the accuracy of the estimate of the
burden, (3) ways to enhance the quality,
utility, and clarity of the information to
be collected, and (4) ways to minimize
the burden of collection without
reducing the quality of the collected
information.
The final rule contains three new
information collection requirements.
The first is a requirement that
certificated and commuter air carriers
that operate passenger service using any
aircraft with 30 or more passenger seats
retain for two years the following
information about any ground delay that
lasts at least three hours: the length of
the delay, the precise cause of the delay,
the actions taken to minimize hardships
for passengers, whether the flight
ultimately took off (in the case of a
departure delay or diversion) or
returned to the gate; and an explanation
for any tarmac delay that exceeded 3
hours. The Department plans to use the
information to investigate instances of
long delays on the ground and to
identify any trends and patterns that
may develop. The assumptions upon
which the calculations for this
requirement are based have not
changed; however, we have modified
the information collection burden hours
to take into account the fact that the
final rule requires covered carriers to
retain information about any ground
delay that last at least three hours as
opposed to ground delays that last at
least four hours as proposed in the
NPRM. Also, rather than using data
about the total number of tarmac delays
in 2007 as we did in the NPRM, we use
the total number of tarmac delays
averaged in 2007–2008. The second is a
requirement that any certificated and
commuter air carrier that operates
scheduled passenger service using any
aircraft with 30 or more passenger seats
adopt a customer service plan, audit its
adherence to the plan annually, and
retain the results for two years. The
Department plans to review the audits
to monitor carriers’ compliance with
their plans and take enforcement action
when appropriate. We have revised the
information collection burden hours for
this requirement because it applies not
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only to the reporting carriers as
proposed in the NPRM but to all U.S.
airlines that operate domestic scheduled
passenger service using any aircraft with
30 or more passenger seats. The third is
a requirement that each reporting carrier
display on its Web site information on
each listed flight’s on-time performance
for the previous month for both its
flights and those of its non-reporting
code-share carriers. This information
will help consumers to select their
flights. The assumptions upon which
the calculations for this requirement are
based have changed significantly.
Initially, we had estimated that the onetime programming cost for displaying
flight delay data on each covered
carrier’s Web sites would be $20,000.
Based on industry comments received,
we have revised the on-time
programming cost from $20,000 to
$400,000 for each covered carrier. The
median hourly wage for computer
programmers has decreased from $33.47
to $32.73.
For each of these information
collections, the title, a description of the
respondents, and an estimate of the
annual recordkeeping and periodic
reporting burden are set forth below:
1. Requirement To Retain for Two Years
Information About Any Ground Delay
That Lasts at Least Three Hours
Respondents: Certificated and
commuter air carriers that operate
domestic passenger service using any
aircraft with 30 or more passenger seats.
Estimated Annual Burden on
Respondents: From 0 to 21 hours and 15
minutes (1275 minutes) per year for
each respondent. The estimate was
calculated by multiplying the estimated
time to retain information about one
ground delay (15 minutes) by the total
number of ground delay incidents
lasting at least three hours per
respondent (from 0 to 85 incidents,
averaged in 2007–2008).
Estimated Total Annual Burden: A
maximum of 207 hours and 15 minutes
(12,435 minutes) for all respondents.
The estimate was calculated by
multiplying the estimated time to retain
information about one ground delay (15
minutes) by the total number of ground
delay incidents lasting at least three
hours in calendar years 2007–2008
(averaged) for the reporting carriers
(748) and adding the product of the
estimated time to retain information
about one ground delay (15 minutes)
multiplied by 11 percent of the total
number of ground delay incidents
lasting at least three hours in calendar
years 2007–2008 (averaged) for the
reporting carriers (82.28). (The reporting
carriers accounted for 89 percent of
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domestic scheduled passenger service,
so we have assumed that nearly all of
the remaining 11 percent was provided
by other certificated and commuter
carriers using aircraft with more than 30
passenger seats.)
Frequency: From 0 to 85 ground delay
information sets to retain per year for
each respondent. (N.b. Some air carriers
may not experience any ground delay
incident of at least three hours in a
given year, while some larger air carriers
could experience as many as 85 in a
given year according to data on ground
delays in the average of calendar years
2007 and 2008.)
2. Requirement That Each Covered
Carrier Retain for Two Years the Results
of Its Annual Self-Audit of Its
Compliance With Its Customer Service
Plan
Respondents: Certificated and
commuter air carriers that operate
domestic scheduled passenger service
using any aircraft with 30 or more
passenger seats (42 carriers).
Estimated Annual Burden on
Respondents: 15 minutes per year for
each respondent. The estimate was
calculated by multiplying the estimated
time to retain a copy of the carrier’s selfaudit of its compliance with its
Customer Service Plan by the number of
audits per carrier in a given year (1).
Estimated Total Annual Burden: A
maximum of 10 hours and 30 minutes
(630 minutes) for all respondents. The
estimate was calculated by multiplying
the time in a given year for each carrier
to retain a copy of its self-audit of its
compliance with its Customer Service
Plan (15 minutes) by the total number
of covered carriers (42).
Frequency: One information set to
retain per year for each respondent.
3. Requirement That Each Covered
Carrier Display on Its Web Site, at a
Point Before the Consumer Selects a
Flight for Purchase, the Following
Information for Each Listed Flight
Regarding its On-Time Performance
During the Last Reported Month: the
Percentage of Arrivals That Were on
Time, the Percentage of Arrivals That
Were More Than 30 Minutes Late (With
Special Highlighting if the Flight Was
More Than 30 Minutes Late More Than
50 Percent of the Time), and the
Percentage of Flight Cancellations if the
Flight Is Cancelled More Than 5% of the
Time. We Are Adding a Requirement
That a Marketing/Reporting Carrier
Display Delay Data for Its NonReporting Code-Share Carrier(s)
Respondents: Every U.S. carrier that
accounts for at least one percent of
scheduled passenger revenue, maintains
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a Web site, and is not already displaying
the required information (9 carriers).
Estimated Annual Burden on
Respondents: 11,964 hours (717,780
minutes) in the first year and no more
than 12 hours (720 minutes) in
subsequent years for each respondent.
The estimate for the first year was
calculated by adding the estimated
number of hours per respondent for
developing its Web site for data posting
(11,951 hours [717,060 minutes], the
quotient of a one-time programming cost
of $400,000 divided by $33.47, the
median hourly wage for computer
programmers) to the estimated number
of hours for management of data links
(12 hours [720 minutes], estimated at
one hour per month).
Estimated total annual burden:
107,667 hours (6,460,020 minutes) in
the first year and no more than 108
hours (6,480 minutes) in subsequent
years for all respondents. The estimate
for the first year was calculated by
multiplying the number of hours per
respondent for developing its Web site
for data posting (11,951 hours) by the
number of covered carriers (9) and
adding the product of the number of
hours per year for management of data
links (12) and the number of covered
carriers (9). The estimate for subsequent
years was calculated by multiplying the
number of hours per year for
management of data links (12) by the
number of covered carriers requiring
action to come into compliance (9).
Frequency: Development of Web site
for data posting: 1 time for each
respondent. Updating information for
each flight listed on Web site: 12 times
per year (1 time per month) for each
respondent.
F. Unfunded Mandates Reform Act
The Department has determined that
the requirements of Title II of the
Unfunded Mandates Reform Act of 1995
do not apply to this rule.
Issued this 18th day of December 2009 in
Washington, DC.
Ray LaHood,
Secretary of Transportation.
List of Subjects
14 CFR Parts 234 and 259
Air carriers, Consumer protection,
Reporting and recordkeeping
requirements.
14 CFR Part 253
Air carriers, Consumer protection,
Contract of carriage.
14 CFR Part 399
Administrative practice and
procedure, Air carriers, Air rates and
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§ 253.9 Retroactive Changes to Contracts
of Carriage
fares, Air taxis, Consumer protection,
Small businesses.
■ For the reasons set forth in the
preamble, the Department amends 14
CFR Chapter II as follows:
PART 234—[AMENDED]
1. The authority citation for 14 CFR
Part 234 continues to read as follows:
■
Authority: 49 U.S.C. 329 and chapters 401
and 417.
2. Section 234.11 is revised to read as
follows:
■
§ 234.11
Disclosure to consumers.
(a) During the course of reservations
or ticketing discussions or transactions,
or inquiries about flights, between a
carrier’s employees or contractors and
the public, the carrier shall disclose
upon reasonable request the on-time
performance code for any flight that has
been assigned a code pursuant to this
part.
(b) For each domestic flight for which
schedule information is available on its
Web site, including domestic code-share
flights, a reporting carrier shall display
the following information regarding the
flight’s performance during the most
recent calendar month for which the
carrier has reported on-time
performance data to the Department: the
percentage of arrivals that were on
time—i.e., within 15 minutes of
scheduled arrival time, the percentage
of arrivals that were more than 30
minutes late (including special
highlighting if the flight was late more
than 30 minutes of scheduled arrival
time more than 50 percent of the time),
and the percentage of flight
cancellations if 5 percent or more of the
flight’s operations were canceled in the
month covered. The information must
be provided by showing all of the
required information on the initial
listing of flights or by showing all of the
required information via a prominent
hyperlink in close proximity to each
flight on the page with the initial listing
of flights.
(c) Each carrier shall load the
information whose disclosure is
required under paragraphs (a) and (b) of
this section into its internal reservation
system between the 20th and 23rd day
of the month after the month for which
the information is being provided.
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PART 253—[AMENDED]
3. The authority citation for 14 CFR
Part 253 is revised to read as follows:
■
Authority: 49 U.S.C. 40113; 49 U.S.C.
Chapters 401, 415 and 417.
4. A new § 253.9 is added to read as
follows:
■
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An air carrier may not retroactively
apply to persons who have already
bought a ticket any material amendment
to its contract of carriage that has
significant negative implications for
consumers.
■ 5. A new part 259 is added to read as
follows:
PART 259—ENHANCED
PROTECTIONS FOR AIRLINE
PASSENGERS
Sec.
259.1 Purpose.
259.2 Applicability.
259.3 Definitions.
259.4 Contingency plan for lengthy tarmac
delays.
259.5 Customer Service Plans
259.6 Notice and Contract of Carriage.
259.7 Response to consumer problems.
Authority: 49 U.S.C. 40101(a)(4),
40101(a)(9), 40113(a), 41702, and 41712.
§ 259.1
Purpose.
The purpose of this part is to mitigate
hardships for airline passengers during
lengthy tarmac delays and otherwise to
bolster air carriers’ accountability to
consumers.
§ 259.2
Applicability.
This rule applies to all the flights of
a certificated or commuter air carrier if
the carrier operates scheduled passenger
service or public charter service using
any aircraft originally designed to have
a passenger capacity of 30 or more seats,
with the following exceptions: §§ 259.5
and 259.7 do not apply to charter
service.
§ 259.3.
Definitions.
Certificated air carrier means a U.S.
air carrier that holds a certificate issued
under 49 U.S.C. 41102 to operate
passenger service or an exemption from
49 U.S.C. 41102.
Commuter air carrier means a U.S. air
carrier as established by 14 CFR 298.3(b)
that is authorized to carry passengers on
at least five round trips per week on at
least one route between two or more
points according to a published flight
schedule using small aircraft.
Large hub airport means an airport
that accounts for at least 1.00 percent of
the total enplanements in the United
States.
Medium hub airport means an airport
accounting for at least 0.25 percent but
less than 1.00 percent of the total
enplanements in the United States.
Small aircraft means any aircraft
originally designed to have a maximum
passenger capacity of 60 or fewer seats
or a maximum payload capacity of
18,000 pounds or less.
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Tarmac delay means the holding of an
aircraft on the ground either before
taking off or after landing with no
opportunity for its passengers to
deplane.
§ 259.4 Contingency plan for lengthy
tarmac delays.
(a) Adoption of Plan. Each covered
carrier shall adopt a Contingency Plan
for Lengthy Tarmac Delays for its
scheduled and public charter flights at
each large and medium hub U.S. airport
at which it operates such air service and
shall adhere to its plan’s terms.
(b) Contents of Plan. Each
Contingency Plan for Lengthy Tarmac
Delays shall include, at a minimum, the
following:
(1) For domestic flights, assurance
that the air carrier will not permit an
aircraft to remain on the tarmac for more
than three hours unless:
(i) The pilot-in-command determines
there is a safety-related or securityrelated reason (e.g. weather, a directive
from an appropriate government agency)
why the aircraft cannot leave its
position on the tarmac to deplane
passengers; or
(ii) Air traffic control advises the
pilot-in-command that returning to the
gate or another disembarkation point
elsewhere in order to deplane
passengers would significantly disrupt
airport operations.
(2) For international flights that
depart from or arrive at a U.S. airport,
assurance that the air carrier will not
permit an aircraft to remain on the
tarmac at a large or medium hub U.S.
airport for more than a set number of
hours, as determined by the carrier and
set out in its contingency plan, before
allowing passengers to deplane, unless:
(i) The pilot-in-command determines
there is a safety-related or securityrelated reason why the aircraft cannot
leave its position on the tarmac to
deplane passengers; or
(ii) Air traffic control advises the
pilot-in-command that returning to the
gate or another disembarkation point
elsewhere in order to deplane
passengers would significantly disrupt
airport operations.
(3) For all flights, assurance that the
air carrier will provide adequate food
and potable water no later than two
hours after the aircraft leaves the gate
(in the case of departure) or touches
down (in the case of an arrival) if the
aircraft remains on the tarmac, unless
the pilot-in-command determines that
safety or security considerations
preclude such service;
(4) For all flights, assurance of
operable lavatory facilities, as well as
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adequate medical attention if needed,
while the aircraft remains on the tarmac;
(5) Assurance of sufficient resources
to implement the plan; and
(6) Assurance that the plan has been
coordinated with airport authorities at
all medium and large hub airports that
the carrier serves, including medium
and large hub diversion airports.
(c) Amendment of plan. At any time,
an air carrier may amend its
Contingency Plan for Lengthy Tarmac
Delays to decrease the time for aircraft
to remain on the tarmac for domestic
flights covered in paragraph (b)(1) of
this section, for aircraft to remain on the
tarmac for international flights covered
in paragraph (b)(2) of this section, and
for the trigger point for food and water
covered in paragraph (b)(3) of this
section. An air carrier may also amend
its plan to increase these intervals (up
to the limits in this rule), in which case
the amended plan shall apply only to
those flights that are first offered for sale
after the plan’s amendment.
(d) Retention of records. Each air
carrier that is required to adopt a
Contingency Plan for Lengthy Tarmac
Delays shall retain for two years the
following information about any tarmac
delay that lasts at least three hours:
(1) The length of the delay;
(2) The precise cause of the delay;
(3) The actions taken to minimize
hardships for passengers, including the
provision of food and water, the
maintenance and servicing of lavatories,
and medical assistance;
(4) Whether the flight ultimately took
off (in the case of a departure delay or
diversion) or returned to the gate; and
(5) An explanation for any tarmac
delay that exceeded 3 hours (i.e., why
the aircraft did not return to the gate by
the 3-hour mark).
(e) Unfair and Deceptive Practice. An
air carrier’s failure to comply with the
assurances required by this rule and as
contained in its Contingency Plan for
Lengthy Tarmac Delays will be
considered an unfair and deceptive
practice within the meaning of 49 U.S.C.
41712 that is subject to enforcement
action by the Department.
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§ 259.5
Customer Service Plan.
(a) Adoption of Plan. Each covered
carrier shall adopt a Customer Service
Plan applicable to its scheduled flights
and shall adhere to this plan’s terms.
(b) Contents of Plan. Each Customer
Service Plan shall, at a minimum,
address the following subjects:
(1) Offering the lowest fare available;
(2) Notifying consumers of known
delays, cancellations, and diversions;
(3) Delivering baggage on time;
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(4) Allowing reservations to be held
without payment or cancelled without
penalty for a defined amount of time;
(5) Providing prompt ticket refunds;
(6) Properly accommodating
passengers with disabilities and other
special-needs, including during tarmac
delays;
(7) Meeting customers’ essential needs
during lengthy tarmac delays;
(8) Handling ‘‘bumped’’ passengers
with fairness and consistency in the
case of oversales;
(9) Disclosing travel itinerary,
cancellation policies, frequent flyer
rules, and aircraft configuration;
(10) Ensuring good customer service
from code-share partners;
(11) Ensuring responsiveness to
customer complaints; and
(12) Identifying the services it
provides to mitigate passenger
inconveniences resulting from
cancellations and misconnects.
(c) Self-auditing of Plan and Retention
of Records. Each air carrier that is
required to adopt a Customer Service
Plan shall audit its own adherence to its
plan annually. Carriers shall make the
results of their audits available for the
Department’s review upon request for
two years following the date any audit
is completed.
flights an employee who shall be
responsible for monitoring the effects of
flight delays, flight cancellations, and
lengthy tarmac delays on passengers.
This employee shall have input into
decisions on which flights to cancel and
which will be delayed the longest.
(b) Informing consumers how to
complain. Each covered carrier shall
make available the mailing address and
e-mail or Web address of the designated
department in the airline with which to
file a complaint about its scheduled
service. This information shall be
provided on the carrier’s Web site (if
any), on all e-ticket confirmations and,
upon request, at each ticket counter and
boarding gate staffed by the carrier.
(c) Response to complaints. Each
covered carrier shall acknowledge
receipt of each complaint regarding its
scheduled service to the complainant
within 30 days of receiving it and shall
send a substantive response to each
complainant within 60 days of receiving
the complaint. A complaint is a specific
written expression of dissatisfaction
concerning a difficulty or problem
which the person experienced when
using or attempting to use an airline’s
services.
§ 259.6
■
Notice and Contract of Carriage.
(a) Each air carrier that is required to
adopt a Contingency Plan for Lengthy
Tarmac Delays or a Customer Service
Plan may include such plans in their
Contract of Carriage.
(b) Each air carrier that has a Web site
shall post its Contract of Carriage on its
Web site in easily accessible form,
including all updates to its Contract of
Carriage.
(c) Each air carrier that is required to
adopt a Contingency Plan for Lengthy
Tarmac Delays shall, if it has a Web site
but does not include such Contingency
Plan for Lengthy Tarmac Delays in its
Contract of Carriage, post its
Contingency Plan for Lengthy Tarmac
Delays on its Web site in easily
accessible form, including all updates to
its Contingency Plan for Lengthy
Tarmac Delays.
(d) Each air carrier that is required to
adopt a Customer Service Plan shall, if
it has a Web site but does not include
such Customer Service Plan in its
Contract of Carriage, post its Customer
Service Plan on its Web site in easily
accessible form, including all updates to
its Customer Service Plan.
§ 259.7
Response to consumer problems.
(a) Designated Advocates for
Passengers’ Interests. Each covered
carrier shall designate for its scheduled
PO 00000
Frm 00021
Fmt 4700
Sfmt 4700
PART 399—[AMENDED]
6. The authority citation for 14 CFR
Part 399 continues to read as follows:
Authority: 49 U.S.C. 40101 et seq.
7. Section 399.81 is revised to read as
follows:
■
§ 399.81 Unrealistic or deceptive
scheduling.
(a) The unrealistic scheduling of
flights by any air carrier providing
scheduled passenger air transportation
is an unfair or deceptive practice and an
unfair method of competition within the
meaning of 49 U.S.C. 41712.
(b) With respect to the advertising of
schedule performance, it is an unfair or
deceptive practice and an unfair method
of competition to use any figures
purporting to reflect schedule or ontime performance without indicating the
basis of the calculation, the time period
involved, and the pairs of points or the
percentage of system-wide operations
thereby represented and whether the
figures include all scheduled flights or
only scheduled flights actually
performed.
(c) Chronically delayed flights. (1)
This section applies to any air carrier
that is a ‘‘reporting carrier’’ as defined
in Part 234 of Department regulations
(14 CFR Part 234).
(2) For the purposes of this section, a
chronically delayed flight means any
domestic flight that is operated at least
E:\FR\FM\30DER1.SGM
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69004
Federal Register / Vol. 74, No. 249 / Wednesday, December 30, 2009 / Rules and Regulations
10 times a month, and arrives more than
30 minutes late (including cancelled
flights) more than 50 percent of the time
during that month.
(3) For purposes of this paragraph, the
Department considers all of a carrier’s
flights that are operated in a given citypair market whose scheduled departure
times are within 30 minutes of the most
frequently occurring scheduled
departure time to be one single flight.
(4) The holding out of a chronically
delayed flight for more than four
consecutive one-month periods
represents one form of unrealistic
scheduling and is an unfair or deceptive
practice and an unfair method of
competition within the meaning of 49
U.S.C. 41712.
[FR Doc. E9–30615 Filed 12–29–09; 8:45 am]
BILLING CODE 4910–9X–P
COMMODITY FUTURES TRADING
COMMISSION
immediate, but less prescriptive,
documentation regarding a firm’s capital
condition when a firm falls below its
required minimum adjusted net capital.
Finally, the final regulations include
several other minor amendments to
correct certain outdated references and
to make other clarifications to existing
regulations.
DATES: Effective Date: January 4, 2010.
FOR FURTHER INFORMATION CONTACT:
Thelma Diaz, Associate Director,
Division of Clearing and Intermediary
Oversight, 1155 21st Street, NW.,
Washington, DC 20581. Telephone
number: 202–418–5137; facsimile
number: 202–418–5547; and electronic
mail: tdiaz@cftc.gov, or Lawrence T.
Eckert, Special Counsel, Division of
Clearing and Intermediary Oversight,
140 Broadway, New York, New York
10005. Telephone number (646) 746–
9704; and electronic mail:
leckert@cftc.gov.
SUPPLEMENTARY INFORMATION:
17 CFR Part 1
I. Background
RIN 3038–AB87
On October 13, 2009, the Commission
published for comment in the Federal
Register proposed amendments to
Regulations 1.10 and 1.12 (the
‘‘Proposals’’).1 Commission Regulation
1.10 sets forth the financial reporting
requirements for FCMs and IBs 2 and
Regulation 1.12 requires FCMs, IBs and
applicants for registration thereof to
provide notice of a variety of predefined
events as or before they occur.3
The Proposals consisted of several
amendments regarding electronic filing
of financial reports and notices by FCMs
and IBs as well as amendments to
certain other financial reporting
requirements. Specifically, the
Commission proposed amendments to:
(1) Broaden language in the
Commission’s regulations concerning
authentication procedures applicable to
electronic filing of financial reports in
order to enable internet-based filing of
such reports in anticipation of expected
Electronic Filing of Financial Reports
and Notices
erowe on DSK5CLS3C1PROD with RULES
AGENCY: Commodity Futures Trading
Commission.
ACTION: Final rules.
SUMMARY: The Commodity Futures
Trading Commission (‘‘Commission’’ or
‘‘CFTC’’) is amending certain of its
regulations in connection with
electronic filing of financial reports and
related notices. The amendments
broaden the language in the
Commission’s regulations applicable to
electronic filings of financial reports to
clarify that, to the extent a futures
commission merchant (‘‘FCM’’) submits
a Form 1–FR to the Commission
electronically, it may do so using any
user authentication procedures
established or approved by the
Commission. The amendments also
permit registrants to electronically
submit filings in addition to financial
reports, including an election to use a
non-calendar fiscal year, requests for
extensions of time to file uncertified
financial reports and ‘‘early warning’’
notices required under Commission
regulations. In connection with the
filing of financial reports, the
amendments specify, consistent with
other requirements and existing
practice, that a statement of income and
loss is included as a required part of the
non-certified 1–FR filings for FCMs and
introducing brokers (‘‘IBs’’). The
amendments also require more
VerDate Nov<24>2008
15:16 Dec 29, 2009
Jkt 220001
1 74
FR 52434 (Oct 13, 2009). The Commission’s
regulations cited in this rulemaking may be found
at 17 CFR Ch. 1 (2009).
2 For simplicity, references in this Federal
Register release to IBs in connection with financial
reporting and notice requirements are intended to
refer to IBs that are not operating pursuant to a
guarantee agreement.
3 For example, Regulation 1.12(a) requires
immediate telephonic notice, to be confirmed in
writing by facsimile, when a registrant’s (or
applicant’s) adjusted net capital falls below that
required by Regulation 1.17. Other provisions of
Regulation 1.12 require notification to the
Commission for certain ‘‘early warning’’ events.
Regulation 1.12(b), for example, requires
notification by a registrant or applicant if such
entity’s adjusted net capital drops below a specified
threshold.
PO 00000
Frm 00022
Fmt 4700
Sfmt 4700
changes to ‘‘WinJammerTM,’’ an
application used by FCMs that file their
non-certified financial reports
electronically with the Commission; (2)
expand the types of filings that FCMs
and IBs may submit electronically to
include required ‘‘early warning’’
notices and certain other notices and
filings under Regulations 1.10 and 1.12;
(3) provide for less prescriptive, but
more immediate, documentation to be
filed regarding a firm’s undercapitalized
condition; (4) expressly include an
income statement in the required
periodic unaudited financial reports of
FCMs and IBs; and (5) make several
other minor amendments to correct
certain outdated references and to make
other clarifications to existing
regulations.
The 30-day public comment period on
the Proposals expired on November 12,
2009. The Commission received one
written comment on the Proposals,
submitted by the National Futures
Association (‘‘NFA’’). NFA noted its
agreement and support of the
Commission’s Proposals and
commended the Commission for its
review of its electronic filing
requirements and proposal of changes to
reflect technological advances and
current practices. As discussed below,
NFA also encouraged the Commission
to consider certain additional
amendments to further expand the use
of electronic filing in certain
circumstances. NFA did not suggest
delaying the implementation of the
Proposals while these additional
suggestions made by NFA are under
consideration by the Commission. The
Commission further notes that certain
provisions included in the additional
amendments offered by NFA for
consideration may require publication
in the Federal Register for prior notice
and comment before they may be
adopted. For the reasons set forth below,
the Commission has therefore
determined to adopt the amendments as
proposed.
II. Rule Amendments
A. Electronic Filing Issues
1. Amendments to Regulation 1.10
Commission Regulation 1.10(c)
generally sets forth the provisions
governing where and how financial
reports required to be filed by FCMs and
IBs under Regulation 1.10 must be filed.
Regulation 1.10(c)(1) indicates with
whom reports should be filed and
Regulation 1.10(c)(2) addresses the
method for submitting such reports.
Electronic submission of certified
financial reports currently is addressed
separately in Regulation 1.10(b)(2)(iii).
E:\FR\FM\30DER1.SGM
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Agencies
[Federal Register Volume 74, Number 249 (Wednesday, December 30, 2009)]
[Rules and Regulations]
[Pages 68983-69004]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-30615]
========================================================================
Rules and Regulations
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains regulatory documents
having general applicability and legal effect, most of which are keyed
to and codified in the Code of Federal Regulations, which is published
under 50 titles pursuant to 44 U.S.C. 1510.
The Code of Federal Regulations is sold by the Superintendent of Documents.
Prices of new books are listed in the first FEDERAL REGISTER issue of each
week.
========================================================================
Federal Register / Vol. 74, No. 249 / Wednesday, December 30, 2009 /
Rules and Regulations
[[Page 68983]]
DEPARTMENT OF TRANSPORTATION
Office of the Secretary
14 CFR Parts 234, 253, 259, and 399
[Docket No. DOT-OST-2007-0022]
RIN No. 2105-AD72
Enhancing Airline Passenger Protections
AGENCY: Office of the Secretary (OST), Department of Transportation
(DOT).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: The Department of Transportation is issuing a final rule to
enhance airline passenger protections in the following ways: By
requiring air carriers to adopt contingency plans for lengthy tarmac
delays and to publish those plans on their Web sites; by requiring air
carriers to respond to consumer problems; by deeming continued delays
on a flight that is chronically late to be unfair and deceptive in
violation of 49 U.S.C. 41712; by requiring air carriers to publish
information on flight delays on their Web sites; and by requiring air
carriers to adopt customer service plans, to publish those plans on
their Web sites, and audit their own compliance with their plans. The
Department took this action on its own initiative in response to the
many instances when passengers have been subject to delays on the
airport tarmac for lengthy periods and also in response to the high
incidence of flight delays and other consumer problems.
DATES: This rule is effective April 29, 2010.
FOR FURTHER INFORMATION CONTACT: Daeleen Chesley or Blane A. Workie,
Office of the Assistant General Counsel for Aviation Enforcement and
Proceedings, U.S. Department of Transportation, 1200 New Jersey Ave.,
SE., Washington, DC 20590, 202-366-9342 (phone), 202-366-7152 (fax),
Daeleen.Chesley@dot.gov or Blane.Workie@dot.gov (e-mail).
SUPPLEMENTARY INFORMATION:
Background
On November 15, 2007, the Department of Transportation (DOT or
Department) issued an Advance Notice of Proposed Rulemaking (ANPRM) in
Docket DOT-OST-2007-22 entitled ``Enhancing Airline Passenger
Protections.'' This ANPRM was published in the Federal Register five
days later. See ``Department of Transportation, Office of the
Secretary, 14 CFR Parts 234, 253, 259, and 399 [Docket No. DOT-OST-
2007-0022], RIN No. 2105-AD72, 72 FR 65233 et seq. (November 20, 2007).
We announced in the ANPRM that we were considering adopting or amending
rules to address several concerns, including, among others, the
problems consumers face when aircraft sit for hours on the airport
tarmac. We observed that, beginning in December of 2006 and continuing
through the early spring of 2007, weather problems had kept more than a
few aircraft sitting for long hours on the tarmac, causing the
passengers undue discomfort and inconvenience. We observed further that
passengers were also being harmed by the high incidence of less extreme
flight delays. We acknowledged that the industry and interested
observers have attributed both the lengthy tarmac waits and many of the
other flight delays to a number of factors besides weather, such as
capacity and operational constraints, for example. We also noted that
some of these issues are being addressed by the Federal Aviation
Administration (FAA) in other contexts.
Citing our authority and responsibility under 49 U.S.C. 41712, in
concert with 49 U.S.C. 40101(a)(4), 40101(a)(9) and 41702, to protect
consumers from unfair or deceptive practices and to ensure safe and
adequate service in air transportation, we called for comment on seven
tentative proposals intended to ameliorate difficulties that passengers
experience without creating undue burdens for the carriers. The
measures on which we sought comment in the ANPRM covered the following
subjects: Contingency plans for lengthy tarmac delays; carriers'
responses to consumer problems; chronically delayed flights; delay data
on Web sites; complaint data on Web sites; reporting of on-time
performance of international flights; and customer service plans.
We received approximately 200 comments in response to the ANPRM. Of
these, 13 came from members of the industry--i.e., air carriers, air
carrier associations, and other industry trade associations--and the
rest came from consumers, consumer associations, and two U.S. Senators.
In general, consumers and consumer associations maintained that the
Department's proposals did not go far enough, while carriers and
carrier associations attributed the current problems mostly to factors
beyond their control such as weather and the air traffic control system
and tended to characterize the proposals as unnecessary and unduly
burdensome. The travel agency associations generally expressed support
for consumer protections.
On December 8, 2008, after reviewing and considering the comments
on the ANPRM, we issued a Notice of Proposed Rulemaking (NPRM). See 73
FR 74586 (December 8, 2008). The NPRM covered the following subjects:
Contingency plans for lengthy tarmac delays; carriers' responses to
consumer problems; chronically delayed flights; reporting certain
flight delay information; and customer service plans. It did not cover
complaint data on Web sites or reporting of on-time performance for
international flights, both of which were raised in the ANPRM. We
decided not to propose to require carriers to publish complaint data on
their Web sites because we believe the data would be of little or no
value to consumers since consumers already have access to a tabulation
of airline complaints filed by passengers with the Department in the
Air Travel Consumer Report. These complaints are a reliable indicator
of the types of complaints about air travel filed by passengers with
airlines. We also decided not to propose to require carriers to report
on-time performance of international flights for a number of reasons,
including concerns that a reporting requirement could make carriers
less inclined to hold flights for inbound connections resulting in
hardships for passengers in city-pairs with infrequent service.
The Department received 21 comments in response to the NPRM. Of
these, 10 comments were from members
[[Page 68984]]
of the industry and the rest came from consumers and consumer
associations. On the consumer side, eight individuals filed comments as
did three consumer advocacy organizations: Flyersrights.org (formerly
the ``Coalition for an Airline Passengers Bill of Rights'' or CAPBOR),
the Aviation Consumer Action Project (ACAP) and the Federation of State
Public Interest Research Groups (U.S. PIRG). Of the industry
commenters, two carriers (US Airways and ExpressJet Airways), and two
airport authorities (Dallas-Fort Worth International Airport and The
City of Atlanta Department of Aviation) filed comments. Three industry
associations filed comments: The National Business Travel Association
(NBTA), the Air Transport Association of America (ATA), and the
Regional Airline Association (RAA). Two travel agency associations, the
American Society of Travel Agents (ASTA) and the Interactive Travel
Services Association (ITSA), also filed comments, as did the Airports
Council International, North America (ACI-NA).
In general, the consumers and consumer associations maintain that
the Department's proposals do not go far enough and contend that
additional regulatory measures are needed to better protect consumers.
One of the consumer organizations also expressed disappointment that
the Department eliminated two of the proposals, while industry
commenters generally supported that decision. Overall, carriers and
carrier associations continue to characterize some of the proposals as
unnecessary and unduly burdensome. ATA also expressed a number of
concerns with the Department's preliminary regulatory evaluation and
suggests changes are best made by addressing weather-related and air
traffic control related issues. The airport authorities support
carriers having a contingency plan and coordination of the plans at
medium and large hub airports, while the travel agency associations
expressed support for consumer protections, with one noting a concern
with ``unfunded mandates'' on travel agents to address problems for
which they are not the cause. The commenters' positions that are
germane to the specific issues raised in the NPRM are set forth below.
The Department plans to seek comment on ways to further enhance
protections afforded airline passengers in a forthcoming notice of
proposed rulemaking by addressing the following areas: (1) Review and
approval of contingency plans for lengthy tarmac delays; (2) reporting
of tarmac delay data; (3) standards for customer service plans; (4)
notification to passengers of flight status changes; (5) inflation
adjustment for denied boarding compensation; (6) alternative
transportation for passengers on canceled flights; (7) opt-out
provisions where certain services are pre-selected for consumers at
additional costs (e.g., travel insurance, seat selection); (8) contract
of carriage venue designation provisions; (9) baggage fees disclosure;
(10) full fare advertising; and (11) responses to complaints about
charter service.
Comments and Responses
Tarmac Delay Contingency Plans
1. Covered Entities
The NPRM: Under the proposed rule, a certificated or commuter air
carrier \1\ that operates domestic scheduled passenger service or
public charter service using any aircraft with 30 or more passenger
seats \2\ would be required to develop and implement a contingency plan
for lengthy tarmac delays. As proposed, it would apply to all of a
covered U.S. carrier's flights, both domestic and international,
including those involving aircraft with fewer than 30 seats if a
carrier operates any aircraft with 30 or more passenger seats. We asked
for comments on whether the Department should limit this section's
applicability to carriers that operate large aircraft--i.e., aircraft
originally designed to have a maximum passenger capacity of more than
60 seats--and we asked proponents and opponents of this alternative to
provide arguments and evidence in support of their positions.
---------------------------------------------------------------------------
\1\ A certificated air carrier is a U.S. direct air carrier that
holds a certificate issued under 49 U.S.C. 41102 to operate
passenger and/or cargo and mail service. Air taxi operators and
commuter air carriers operating under 14 CFR Part 298 are exempted
from the certification requirements of 49 U.S.C. 41102. Some
carriers that would otherwise be eligible for the air taxi or
commuter exemption have opted to be certificated. An air taxi
operator is an air carrier that transports passengers or property
under the authority of Part 298 and is not a commuter air carrier as
defined in that rule. A commuter air carrier is an air taxi operator
that carries passengers on at least five round trips per week on at
least one route between two or more points according to a published
flight schedule, using small aircraft--i.e., aircraft originally
designed with the capacity for up to 60 passenger seats. See 14 CFR
298.2.
\2\ We inadvertently stated ``aircraft with a design capacity of
more than 30 seats'' in several sections of the NPRM. However, our
intention had been to state ``aircraft with a design capacity of 30
or more seats.''
---------------------------------------------------------------------------
Comments: We did not receive any comments from individual consumers
or consumer groups regarding which carriers should be required to
develop and implement contingency plans for lengthy tarmac delays. We
did receive comments on this point from carriers, carrier associations,
and airports.
RAA takes the position that, if the rule is adopted, it should
apply only to those carriers that hold out services to the public,
ticket passengers, offer reservation services and control decisions
regarding delays and food and beverage service. RAA states that over 90
percent of passengers flying on regional aircraft travel on flights
that are ticketed and handled by mainline carriers who schedule the
flights, and that most regional carriers have no direct interaction
with consumers in this regard. RAA also notes that these passengers'
contracts of carriage are with the major carrier, not the regional
airline, and that a regional carrier follows the contingency plan of
its mainline airline partner. RAA explains that regional airlines that
operate under agreements with more than one network partner must in
some cases comply with different contingency plans at the same airport.
According to RAA, at times multiple network carrier contingency plans
could be in effect and even in conflict on the same flight in instances
where a regional airline operates a single flight for several different
network carriers. As such, RAA contends that requiring a regional
carrier to have its own plan would increase the conflicts and
inconsistencies that could arise as it is not clear if the regional
carrier's own contingency plan would supersede the contracts of the
carriers who marketed and sold the ticket to the consumer. RAA further
asserts that as proposed the rule unfairly targets regional carriers,
which do not make scheduling and/or delay decisions and are most often
the first carriers to be subjected to FAA ground stops.
ExpressJet Airlines agrees with the comments submitted by RAA. It
emphasizes that regional carriers operate under code-share agreements
with mainline carriers and that those contracts dictate scheduling,
delay, and cancellation decisions. It asserts that, as a result of a
regional carrier having limited control over these decisions, the rule
would impose unfair burdens on regional carriers. ExpressJet comments
that, should the Department require carriers to have a contingency
plan, all Part 121 and 135 carriers should have to abide by the
regulations, not just carriers which operate aircraft having 30 or 60
seats or more, since, it is the carrier's opinion, the rule as proposed
discriminates against the larger of the small regional carriers.
ACI-NA opposes limiting the application of the rule to air carriers
that
[[Page 68985]]
operate aircraft with more than 60 seats and notes that the rule should
extend to regional airlines as they serve the vast majority of
airports. ASTA also opposes limiting the application of the rule to
carriers that operate large aircraft and asserts that the proposal
should be extended to all carriers, pointing out that the regional
airlines carried 160 million passengers in 2007.
US Airways suggests that airports, as well as other service
providers, should be held equally accountable as a fair way to share
the burden among regulated entities, and that international operations
should not be part of the proposed requirements. ATA, which strongly
opposes any requirement for hard time limits for returning to a gate
and/or deplaning passengers remotely, specifically requests that
international flights be excluded from any hard time limits, (1) due to
the difficulty associated with accommodating passengers if flights are
cancelled, (2) because those flights are better equipped to keep
passengers comfortable for longer periods of time, and (3) because the
time, costs, and planning associated with those flights is much higher.
DOT Response: After fully considering the comments received, the
Department maintains that it is reasonable to apply the requirement to
any certificated or commuter U.S. air carrier that operates passenger
service using any aircraft with a design capacity of 30 or more
passenger seats. In determining to do so, we note that, according to
RAA's own statistics, regional airlines now carry one out of every five
domestic air travelers in the United States. Moreover, most regional
flights are operated by regional carriers affiliated with a major
carrier via a code-share agreement, a fee-for-service arrangement, and/
or an equity stake in the regional carrier. DOT statistics also
demonstrate a substantial number of passengers are carried on flights
operated by aircraft with 30 through 60 seats. According to data from
the Department's Bureau of Transportation Statistics (BTS), a total of
668,476,000 domestic passengers were transported in 2008, 96,310,000 of
which were on flights using aircraft with 30 through 60 seats. The
large number of passengers carried on such aircraft accompanied by the
increase in the ``branding'' of those operations with the codes of
major carriers has blurred the distinction between small-aircraft and
large-aircraft service in the minds of many passengers. As such, it
seems appropriate to extend the rule to these operations in order to
better protect the majority of consumers.
In reaching this decision, we have concluded that we cannot agree
with RAA's reasoning that regional carriers should be treated
differently than their mainline code-share partners and not be
responsible to the passengers they transport on the vast majority of
their operations because of their relationships to those partners. We
recognize that the larger carrier's personnel may provide pre-flight
services and make most of the decisions from an operational standpoint
on code-shared flights with a regional carrier. As we pointed out in
the NPRM, however, even if the determination to cancel a flight or keep
it on the tarmac is made by the mainline carrier or results from action
by the FAA, it is the carrier operating the flight that has direct
contact with the passengers on the aircraft during a tarmac delay and
that remains directly responsible for serving them. Accordingly, we
have decided to apply the rule to both carriers in a code-share
arrangement. We expect that the mainline carriers and their regional
code-share partners will collaborate on their contingency plans to come
up with standards that suit both parties. When multiple network carrier
contingency plans are effective on a single flight operated by a
regional carrier, it would likely not be practical for the regional
carrier to apply different standards to individuals on the same flight
who bought their tickets from different mainline partners. Instead, we
expect the regional carrier to choose to use the contingency plan that
is most beneficial to all the passengers on that flight.
With regard to the international flights of U.S. carriers, while we
understand the concerns about applying hard time limits on deplaning
passengers on international flights because of the different
environment in which those flights operate, we believe that it is still
important to ensure that passengers on international flights are also
afforded protection from unreasonably lengthy tarmac delays. Therefore,
we have decided to apply the requirement to develop and implement a
contingency plan for lengthy tarmac delays to both the domestic and
international flights of each U.S. carrier operating any aircraft with
30 or more passenger seats. This requirement applies to U.S. carriers
even if they operate only international scheduled or charter service.
However, we have arrived at more flexible requirements with regard
to the content of the contingency plans for a U.S. carrier's
international flight (i.e., flexibility to determine the time limit to
deplane passengers on tarmac) as compared to its domestic flights,
recognizing that international flights operate less frequently than
most domestic flights, potentially resulting in much greater harm to
consumers if carriers cancel these international flights. Although
carriers are free to establish their own tarmac delay time limits for
international flights, and even to have different limits for different
specified situations, these limits must be included in each carrier's
contingency plan--they are not to be ad hoc decisions made during the
course of a flight delay.
An international flight for purposes of this requirement is a
nonstop flight segment that takes off in the United States and lands in
another country, or vice-versa, exclusive of non-traffic technical
stops. For example, if a U.S. carrier operates a direct flight Chicago-
New York-Frankfurt, with some Chicago-originating passengers destined
for New York and others destined for Frankfurt, and the aircraft
experiences a tarmac delay in Chicago, then we would consider the
tarmac delay to be on a domestic flight. This is because Chicago-New
York is a domestic flight segment even though the final destination of
the flight is Frankfurt, Germany. If, on the other hand, the aircraft
only stops for refueling or a crew change in New York and the airline
carries no Chicago-New York traffic, then we would consider the tarmac
delay in Chicago to be a tarmac delay on an international flight.
We have decided against applying this requirement to carriers that
operate using only aircraft with fewer than 30 seats because these
entities carry a very small percentage of passenger traffic and we are
not aware of incidents of lengthy tarmac delays involving carriers that
only operate aircraft of this size (i.e., carriers that exclusively
operate aircraft with a design capacity of 29 passenger seats or less).
We note that the requirement to develop and implement contingency plans
applies to carriers who have any aircraft with 30 or more seats,
meaning that it would apply to all aircraft of those carriers,
including those with fewer than 30 seats.
2. Content of Contingency Plan
The NPRM: Under the NPRM, each plan would have been required to
include at least the following: The maximum tarmac delay that the
carrier would permit; the amount of time on the tarmac that would
trigger the plan's terms; an assurance of adequate food, water,
lavatory facilities, and medical attention, if needed, while the
aircraft remains on the tarmac; an assurance of sufficient resources to
implement the plan; and an assurance that the plan has
[[Page 68986]]
been coordinated with all of the airport authorities at medium and
large hub U.S. airports served by the carrier. We specifically asked
for comment on whether the Department should set a uniform standard for
the time interval that would trigger the terms of carriers' contingency
plans and a time interval after which carriers would be required to
allow passengers to deplane. If establishing a time interval was
recommended, we asked commenters to propose specific amounts of time
and explain why they believe those time intervals to be appropriate.
Comments: Consumer associations and individuals generally support a
stronger proposal than that proposed by the Department. For example,
Flyersrights.org continues to maintain that the Department should
establish minimum standards for contingency plans through regulation
and should also review and approve the plans rather than allow each
carrier the leeway to set what it fears might be overly lax standards.
Specifically, the organization requests that the Department set a
``three hours plus'' time limit for an aircraft to return to the gate
and deplane passengers, if the pilot determines this can be
accomplished safely. It also requests that in any rule proposed or
adopted, we refer to ``potable water'' and ``operable lavatories''
rather than simply ``water'' and ``lavatory facilities'' respectively.
Other consumer associations concur with Flyersrights.org. ACAP
asserts that this proposal is ``an unlawful delegation of DOT authority
and responsibility to regulate airlines in the public interest by
delegating this function to the airlines themselves'' and that the
proposal will lead to a multiplicity of unenforceable ``standards'' and
``plans'' that will offer fewer passenger protections. ACAP also
suggests three hours as the maximum interval before passengers are
allowed to deplane and, without being specific, suggests payments
should be made to passengers who are confined for longer periods of
time.
Individual commenters make similar points. For example, they tend
to think the Department should set minimum standards, particularly
regarding the amount of time that triggers the provisions of the
contingency plans and the maximum amount of time an aircraft can remain
on the tarmac before the carrier must return the aircraft to a gate and
allow passengers to deplane. Some comments also suggested specific
times to trigger the terms of a carrier's contingency plan and/or for
passengers to be allowed to deplane. For example, one commenter
suggested 1.5 hours and three hours, respectively.
The industry commenters expressed a different point of view. NBTA
stated that it does not support DOT requiring carriers to develop
contingency plans and specifically the content of those plans. It does
support the recommendations issued by the Tarmac Delay Task Force, but
does not believe plans should be required by regulation; rather, NBTA
contends that airlines, under marketplace constraints, are more likely
to resolve tarmac delay issues in a manner most beneficial to the
largest number of passengers.
ATA agrees in principle that carriers should have contingency plans
covering lengthy tarmac delays on domestic flights, provided that each
air carrier is permitted to decide on the details of its own plan based
on its own unique facilities, equipment, operating procedures, and
network. ATA reports that carriers already have both general
contingency plans and airport-specific contingency plans that reflect
the diverse facilities, equipment and network of each carrier. ATA
notes that the Tarmac Delay Task Force recommends coordination among
air carriers, airports, and the appropriate government agencies, and
supports coordinating contingency plans with airports, but notes that a
carrier cannot force an airport to cooperate in that coordination. As
such, ATA thinks this part of the proposed rule should not be adopted,
but if it is, suggests that some changes are necessary to ensure, for
example, that a carrier is not held responsible for the airport's
failure to provide services within its control or for an airport's
failure to coordinate with a carrier in executing a plan.
ATA continues to oppose any requirement for a set interval of time
after which an aircraft must be returned to the gate, particularly on
international flights, claiming that such a requirement would do
passengers more harm than good and equate to artificial scheduling
restrictions. Among the potential negative consequences ATA lists are
potential conflicts with government agency directives governing safety
or security that could require that passengers be kept on aircraft, and
increased flight cancellations in any one place that could affect
passengers further down the line. In addition, ATA suggests that, if
the proposal is adopted, the Department should include an exception
that exempts carriers from the rule if returning to the gate would
conflict with orders of the FAA or other agencies (e.g., Customs &
Border Protection), and notes, among other things, that in weather
delay situations taxiway configurations are such that returning to the
gate may not even be possible.
In general, RAA maintains that the rule requiring contingency plans
should not be adopted because, it contends, the rule will not solve the
current delay problem and the Department should instead focus on
initiatives that increase the efficiency of the Air Traffic Control
(ATC) system. Regarding the content of contingency plans, similar to
ATA, RAA maintains that the Department should permit airlines to adopt
their own plans that allow flexibility and reflect their own
circumstances, capabilities, and passenger service standards. RAA also
asserts that the proposed requirement of providing ``adequate'' food
and water is unreasonable and impracticable for regional airlines
because most regional airlines have no catering facilities and do not
have storage room on smaller aircraft for contingency supplies. RAA
further states that regional airlines serve small community airports
that do not have vendors or facilities from which the airlines could
readily obtain supplies of food and water.
Similar to comments of the airline associations, US Airways
believes that a rule will not reduce tarmac delays, as those delays
occur due to circumstances outside a carrier's control (i.e., weather,
ATC system, etc.), and states that it already has a plan in place that
addresses how to handle a tarmac delay of longer than one hour. US
Airways states that a carrier should not be mandated to return to the
gate at a fixed time, rather this decision should be left to carrier
expertise, and that forcing an aircraft to return to the gate at a
fixed time may lead to more flight cancellations. Additionally, the
carrier notes that it has improved its own performance based on
pressure from market forces. ExpressJet Airlines, who also asserts that
most delays are beyond the direct control of carriers, thinks that a
DOT rule could have unintended consequences for the consumer, which
could lead to increased flight cancellations.
Of the airports and airport authorities that commented on this
proposal, Dallas-Fort Worth International Airport approves of the
elements of the rule that require air carriers to (1) develop and
implement contingency plans for lengthy tarmac delays, (2) include in
their plan the maximum delay that will trigger the plan's terms in
order to provide adequate warning to service providers that may be
called upon for support during the event, and (3) ensure that the plan
has been coordinated with airport authorities at large and medium hub
airports that the carrier serves. It also states that ``coordination of
each air
[[Page 68987]]
carrier's contingency plans with the airports they serve is an
important part of this process to enable shared situational awareness
and timely response to lengthy delay events in an effective manner.''
The City of Atlanta, Department of Aviation, supports the guidance
as provided by the DOT Tarmac Delay Task Force, and the Department's
proposal for carriers to coordinate contingency plans for lengthy
tarmac delays with medium and large hub airports. It states that 2
hours is an appropriate time to trigger the terms of a carrier's
contingency plan and agrees that passengers should be provided basic
services as proposed by the Department. Finally, it states that
carriers' plans should provide for communication, coordination, and
collaboration among airport operator, airlines, Federal agencies, and
other service providers.
ACI-NA supports the proposal, in general. ACI-NA opines that DOT
should not impose a maximum time limit for deplaning passengers during
lengthy tarmac delays and that airport-specific plans should not be
required, in order to give airlines flexibility, but it does support
requiring carriers to post information regarding their plans at their
ticketing and gate areas. ACI states that DOT should review the plans
prior to their implementation and that airlines should coordinate their
plans with all airports at which they provide scheduled or charter
service, not just medium and large hub airports. ACI also suggests a
template be developed that can be used to assist airlines and airports
in addressing the appropriate elements for coordination.
As for the travel agency associations, ASTA strongly supports the
notion of carriers adopting and complying with contingency plans and
believes that the DOT should review the plans to ensure they contain
specific promises that are enforceable. ASTA also supports the
imposition of a single mandatory deplanement time limit, the three
hours provided in the legislation introduced by Senators Boxer and
Snowe and Representative Mike Thompson. However, in its initial
comments, ASTA took a different position and opposed the Federal
government mandating a specific time after which passengers must be
deplaned. Rather, it suggested allowing each carrier to adopt its own
time limits for each requirement, and requiring carriers to publish
their policies in print ads and on their Web sites. ITSA did not
comment on this proposal.
DOT Response: We have decided to adopt a final rule along the lines
set forth in the NPRM, with one important exception: We are
strengthening the protections for consumers from those initially
proposed by setting time limits (1) for carriers to provide food and
water to passengers; and (2) to deplane passengers when lengthy tarmac
delays occur on domestic flights. In adopting this approach, we have
carefully considered all the comments in this proceeding and believe
that our action strikes the proper balance between permitting carriers
the freedom to make marketplace-based decisions while ensuring
consumers can count on receiving the protections they deserve in the
unlikely event of an extended tarmac delay.
The final rule requires that each plan include, at a minimum, the
following: (1) An assurance that, for domestic flights, the air carrier
will not permit an aircraft to remain on the tarmac for more than three
hours unless the pilot-in-command determines there is a safety-related
or security-related impediment to deplaning passengers (e.g.,kiiii
weather, air traffic control, a directive from an appropriate
government agency, etc.), or Air Traffic Control advises the pilot-in-
command that returning to the gate or permitting passengers to
disembark elsewhere would significantly disrupt airport operations; (2)
for international flights that depart from or arrive at a U.S. airport,
an assurance that the air carrier will not permit an aircraft to remain
on the tarmac for more than a set number of hours, as determined by the
carrier in its plan, before allowing passengers to deplane, unless the
pilot-in-command determines there is a safety-related or security-
related reason precluding the aircraft from doing so, or Air Traffic
Control advises the pilot-in-command that returning to the gate or
permitting passengers to disembark elsewhere would significantly
disrupt airport operations; (3) for all flights, an assurance that the
air carrier will provide adequate food and potable water no later than
two hours after the aircraft leaves the gate (in the case of a
departure) or touches down (in the case of an arrival) if the aircraft
remains on the tarmac, unless the pilot-in-command determines that
safety or security requirements preclude such service; (4) for all
flights, an assurance of operable lavatory facilities, as well as
adequate medical attention if needed, while the aircraft remains on the
tarmac; (5) an assurance of sufficient resources to implement the plan;
and (6) an assurance that the plan has been coordinated with airport
authorities at all medium and large hub airports that the carrier
serves, including medium and large hub diversion airports. Failure to
do any of the above would be considered an unfair and deceptive
practice within the meaning of 49 U.S.C. Sec. 41712 and subject to
enforcement action, which could result in an order to cease and desist
as well as the imposition of civil penalties.
There is little, if any dispute that passengers stuck on an
aircraft during a lengthy tarmac delay deserve to be provided some type
of food, potable water, working lavatories, and, if necessary, medical
care. We believe a two-hour time limit is a reasonable maximum time
after which carriers should ensure that passengers experiencing a
tarmac delay are provided food and potable water. Carriers, of course,
are free to establish an earlier time at which they will provide these
services. As pointed out by ATA and confirmed in reports to Congress by
the Department's Inspector General, most large carriers already have
contingency plans providing for such services. As for RAA's assertion
that most regional airlines lack the resources to provide adequate food
and water during lengthy tarmac delays, it seems to be based on a
misconception that extensive supplies are needed. The Department would
consider snack foods such as pretzels or granola bars that carriers
typically provide on flights to suffice as ``adequate'' food. We have
clarified in this rule, as suggested by at least one commenter, that
the water required under our rule must be ``potable,'' i.e., drinking
water.
We are also persuaded that the Department should require a set time
limit, in the case of domestic flights, for the point in time after
which carriers would be required to allow passengers to deplane, with
exceptions for issues related to safety, or security or other
government requirements that may arise. Passengers on flights delayed
on the tarmac have a right to know that there is a reasonable limit and
that the limit will be enforced by the Department. We conclude that a
three-hour time limit is the maximum time after which passengers must
be permitted to deplane from domestic flights given the cramped, close
conditions on aircraft and the typical scheduled time for these
flights. We have not selected a maximum delay time of less than three
hours because taxi times of an hour or more are not unusual at certain
large airports, such as the New York airports. By holding the airlines
to a bright line rule of three-hours after which passengers must be
deplaned, the Department has
[[Page 68988]]
established a tarmac delay limit that is both reasonable and easier to
enforce.
While we agree with consumers and consumer groups that passengers
should have protection from remaining on an aircraft on the tarmac for
an extended period of time, we agree with ATA and other commenters that
operational and safety-related concerns, such as ATC-related concerns
or an inability to return to the gate without delaying other aircraft,
should be taken into consideration. Thus, we have also included an
exception for safety, security, or instances where Air Traffic Control
advises the pilot-in-command that returning to the gate or permitting
passengers to disembark elsewhere would significantly disrupt airport
operations. We believe this strikes an appropriate balance between
allowing air carriers flexibility to address their operational concerns
while also providing passengers with a reasonable time after which they
can expect to return to the gate and deplane, as well as make alternate
travel arrangements, if necessary. Those arrangements could include re-
boarding the same aircraft if the carrier decides to continue the same
flight to its original destination, in which case a new three-hour
period would begin when the aircraft left the gate. The Department
views the three hour time limit as the outside limit at which time an
aircraft should have returned to the gate or another appropriate
disembarkation area in order to deplane passengers. If the carrier has
reason to know that a gate or other appropriate means by which to
deplane passengers will not be available at the three hour mark, we
expect the carrier to make reasonable attempts to deplane passengers
earlier.
With regard to deplaning passengers on international flights, we
are persuaded by comments that mandating a specific time frame for
deplaning passengers on these flights may be harmful to consumers
because of the different environment in which those flights operate.
Because international flights are of much longer duration on average,
it is possible that delays may not have as negative an impact on
consumers and their expectations. Also, because international flights
tend to operate less frequently than most domestic flights, flight
cancellations may result in much greater harm to consumers who are less
likely to be accommodated on an alternate flight in a reasonable period
of time. As such, while this rule requires U.S. carriers to establish
time limits for deplaning passengers who experience lengthy tarmac
delays on international operations, we are permitting carriers the
flexibility to determine this time limit. This limit will also allow
exceptions for consideration of safety, security and instances where
Air Traffic Control advises the pilot-in-command that returning to the
gate or permitting passengers to disembark elsewhere would
significantly disrupt airport operations. We note that the Department
is considering revisiting the issue of whether carriers should set
specific time limits to deplane passengers on international flights in
a supplemental notice of proposed rulemaking.
Some consumer groups and individuals requested that the Department
include in the rule a requirement that the contingency plans be filed
with and be reviewed and approved by the Department. Such a requirement
is beyond the scope of this rulemaking. Moreover, we are not convinced
that this requirement is necessary or the best use of Department
aviation consumer protection resources at this time. Carriers are
required to adhere to all Department rules, and it would be a departure
from Department practice to require carriers to file with it proof that
they have done so. The Department and its predecessor in such matters,
the Civil Aeronautics Board, have issued numerous other consumer
protection rules that detail specific requirements carriers must follow
without having carriers file with the government proof that they have
or are prepared to comply with the rule. We see some merit in approving
carrier contingency plans if the Department were to dictate more
detailed requirements regarding their contents and we plan to explore
this approach in a future rulemaking. In the meantime, we will review
the larger carriers' plans and, randomly, other carriers' plans within
a year of the rule's effective date to ensure the plans contain the
provisions as required by this rule.
With regard to coordination of plans, because tarmac delays are
particularly problematic in situations where flights must be diverted
from their intended destination airports, this rule requires carriers
to coordinate their plans not only with medium and large hub airports
to which they regularly operate, but also with airports that serve as
diversion airports for such operations. The Department is not convinced
by comments that it should remove the requirement for airlines to
coordinate with airports because a carrier cannot force an airport to
cooperate in that coordination. It is essential that airlines involve
airports in developing their plans to enable them to effectively meet
the needs of passengers. As recommended by the Tarmac Delay Task Force,
we also urge carriers to include in their coordination efforts
appropriate government authorities such as Customs and Border
Protection and the Transportation Security Administration, when
appropriate.
3. Incorporation of Contingency Plan Into Contract of Carriage
The NPRM: The NPRM proposed that each covered carrier would be
required to incorporate its plan in its contract of carriage and make
its contract of carriage available on its Web site. We also invited
interested persons to comment on the implications of a private right of
action based on a carrier's failure to follow the terms of its
contingency plan and to address the potential for multiple lawsuits by
classes as well as individual plaintiffs and the potential for
inconsistent judicial decisions among various jurisdictions.
Additionally, we asked commenters to address whether and to what extent
requiring the incorporation of contingency plans in carriers' contracts
of carriage might weaken existing plans by making carriers more
reluctant to be specific and possibly expose themselves to liability.
Comments: Flyersrights.org supports requiring carriers to
incorporate their contingency plans into their contracts of carriage in
order to provide passengers an avenue for redress for breach of
contract. ASTA also strongly supports the notion of carriers
incorporating the contingency plans into their contract of carriages in
order to enable consumers to more effectively enforce their rights.
With regard to the potential for inconsistent judicial decisions if
airlines must include their plans in their contracts of carriage, ASTA
points out that this means merely that airlines will face the same
litigation risks that all businesses face, and notes that the Task
Force recommendations can be used as a defense.
According to RAA, regional carriers should not be required to
incorporate a contingency plan into their contract of carriage because
most regional passengers are subject to the ticketing carrier's
contract of carriage. ExpressJet also states that, because a passenger
is flying under the contract of carriage of the mainline carrier, a
passenger's recourse should be against the mainline carrier, and not
the regional carrier.
ATA explains that it shares the Department's goal of enhancing
service for airline passengers but disagrees that rules are required to
achieve this goal and strongly opposes incorporation of a contingency
plan into a contract of carriage. ATA challenges the Department's legal
authority to do this
[[Page 68989]]
in the aftermath of deregulation. ATA argues that the Department may
not substitute a different enforcement process other than the one
Congress intended (i.e., there should not be a private right of action
for violations of section 41712) and states that such an imposition
would subject carriers to the vagaries of law in the fifty States.
DOT Response: The Department disagrees with the arguments of ATA
and other carrier commenters that we lack the authority to require
incorporation of contingency plans in contracts of carriage and that
such incorporation would subject carriers to the risk of inconsistent
standards among various jurisdictions. However, the Department has
decided that it will not require such incorporation at this time.
Instead, the Department strongly encourages carriers to incorporate the
terms of their contingency plans in their contracts of carriage, as
most major carriers have done voluntarily with respect to their
customer service plans. At the same time, the Department will undertake
a series of related measures to ensure the dissemination of information
regarding each airline's contingency plans. As proposed in the NPRM,
the Department requires that each air carrier with a Web site post its
entire contract of carriage on its Web site in easily accessible form,
including all updates to its contract of carriage. The Department also
requires each air carrier with a Web site that chooses not to include
their plan in its contract of carriage post the plan itself on its Web
site in easily accessible form. Finally, the Department will shortly
commence a new rulemaking proceeding addressing possible further
enhancements to airline passenger protection in which it may consider,
among other things, whether the voluntary incorporation of contingency
plan terms urged here has resulted in sufficient protection for air
travelers.
The airlines' incorporation of their contingency plans into their
contracts of carriage is an important means of providing notice to
consumers of their rights, since that information will then be
contained in a readily available source. Carriers' contracts of
carriage are generally posted online and must, by Department rule, be
available at airports. Better informed consumers will further improve
the Department's enforcement program as consumers are more likely to
know of and report incidents where airlines do not adhere to their
plans. Better consumer information will also create added incentive for
carriers to adhere to their plans. We believe the incorporation of
airline contingency plans in contracts of carriage to be in the public
interest.
For these reasons, we strongly encourage carriers to include their
contingency plans in their contracts of carriage and are requiring that
carriers with a Web site post either their contracts of carriage
containing the plans or the plans themselves (if they chose not to
include the plans in their contracts of carriage) on their Web sites in
easily accessible form. Additionally, to provide carriers with added
incentive to incorporate their plans into their contracts of carriage,
we will publicize a list of carriers that do and do not so incorporate
their plans via regular press releases, the Department's Web site, and
other means available to us. We will also be closely monitoring
carriers' responses to our efforts in this regard and will not hesitate
to revisit our decision here in the airline consumer protection
rulemaking that we plan to commence in the near future. Finally, if
necessary, we will consider using our authority to condition carrier
certificates, as required in the public interest, to ensure that our
consumer protection goals are met. See 49 U.S.C. 41109.
As noted above, while the Department has decided not to require at
this time incorporation of contingency plans in airline contracts of
carriage, we disagree with ATA's contentions that we lack the authority
to require such incorporation and that the exercise of such authority
would risk creating inconsistent standards across jurisdictions. Our
broad authority under 49 U.S.C. 41712 to prohibit unfair and deceptive
practices, and under 49 U.S.C. 41702 to ensure safe and adequate
transportation, clearly encompasses the regulation of contingency
plans. We have consistently exercised that authority for decades and
will continue to do so. Moreover, while we have chosen not to require
the incorporation of contingency plans in airline contracts of carriage
at this time, there is nothing new, or unfair to carriers, about
airlines being subject, through civil proceedings in State courts, to
action for failing to comply with their contracts of carriage for air
transportation. To the contrary, carriers have historically been
subject to such actions and, indeed, the Department has for years
published advice to consumers about pursuing claims against airlines,
if necessary, in appropriate State small claims courts precisely
because the Department has no authority to adjudicate individual claims
and make monetary awards.
4. Retention of Records
The NPRM: The NPRM proposed that covered carriers retain for two
years the following information for any tarmac delay that either
triggers their contingency plans or lasts at least four hours: The
length of the delay; the cause of the delay; and the actions taken to
minimize hardships for passengers. Our proposal did not contemplate
that the Department would review or approve the plans, but we stated
that the Department would consider failure to comply with any of the
above requirements--including implementing the plan as written--to be
an unfair and deceptive practice within the meaning of 49 U.S.C. 41712
and therefore subject to enforcement action.
Comments: ATA questions the need for the proposed record-retention
requirement covering lengthy tarmac delays, asserting that the
Department's BTS already has reporting requirements covering similar
issues, with the exception of how carriers respond to delay situations.
With regard to this category of information, ATA suggests that a record
retention requirement of six months would be sufficient and argues that
retention of record for long periods of time will impose additional and
unnecessary costs.
DOT Response: The Department does not believe that it is advisable
to remove the record-retention requirement for a number of reasons.
First, certificated U.S. carriers that account for at least one percent
of domestic scheduled passenger revenue currently provide delay data to
BTS but the requirement to retain information for lengthy tarmac delays
under this final rule would apply to additional carriers--any
certificated or commuter air carrier that operates scheduled passenger
service or public charter service using any aircraft with 30 or more
passenger seats. Second, most of the delay information that this rule
requires carriers to retain is more specific than the delay data the
largest airlines currently submit to BTS. This rule requires carriers
to retain for two years the following information on any tarmac delay
that either triggers their contingency plans or lasts at least three
hours (as opposed to four hours in the NPRM): The length of the delay,
the specific cause of the delay, and the steps taken to minimize
hardships for passengers (including providing food and water,
maintaining lavatories, and providing medical assistance); whether the
flight ultimately took off (in the case of a departure delay or
diversion) or returned to the gate; and an explanation for any tarmac
delay that exceeded three hours, including why the aircraft did
[[Page 68990]]
not return to the gate by the three-hour mark. Aside from the length of
the delay and whether the flight ultimately took off or returned to the
gate, the remaining information that this rule requires carriers to
retain is not available through data that the largest airlines submit
to BTS. As for the cause of a delay, although the largest airlines do
submit information to BTS about the nature of ground delays, this
information is very general (i.e., air carrier, extreme weather,
National Aviation System, security, and late arriving aircraft). This
rule requires carriers to retain information on the specific cause(s)
of the tarmac delay. We note that the Tarmac Delay Task Force dealt
with this issue in its report to the Secretary, and listed a number of
lengthy on-board ground delay causal factors.\3\ We recommend that
carriers use that list for examples of the types of delay causes that
the Department is looking for carriers to include in their retained
records. Third, to the extent that carriers already collect and submit
to BTS certain elements of the information that this rule requires,
then there is no real burden to them of complying with the requirement.
---------------------------------------------------------------------------
\3\ The model contingency plan is available at https://www.regulations.gov [Docket No. DOT-OST-2007-0108-0124.2].
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Response to Consumer Problems
1. Designated Advocates for Passengers' Interests
The NPRM: The NPRM proposed to require certificated and commuter
air carriers that operate domestic scheduled passenger service using
any aircraft with 30 or more passenger seats to designate, at its
system operations center and at each airport dispatch center, an
employee to monitor the effects on passengers of flight delays, flight
cancellations, and lengthy tarmac delays and to have input into
decisions such as which flights are cancelled and which are subject to
the longest delays.
Comments: ATA supports the idea of designating an airline employee
at a carrier's operation center to monitor the effects of flight delays
and cancellations, provided that the designee is a current employee who
carries out other responsibilities as well. It does not support
requiring such an employee at each airport dispatch center, claiming
that this would duplicate existing procedures and would strain
carriers' resources without easing the problems that consumers face. In
general, RAA thinks this provision is unnecessary as airlines have no
incentive to leave a plane full of passengers on the tarmac. RAA
further notes that regional airlines are unable to designate personnel
with responsibility for influencing delay decisions since delay
decision-making is not a function of regional airline employees. NBTA
characterizes this proposal as micromanagement of airline customer
service and unnecessary to meet the needs of its business travelers.
NBTA maintains that an air carrier's response to cancellations and
delays is a key factor by which purchasers make their buying decisions,
and opposes a mandate that airlines create new customer service
positions at each airport. FlyersRights.org defers to the Department
and the airlines to determine the best use of airline manpower to
mitigate the effects of flight delays, cancellations and lengthy tarmac
delays.
DOT Response: The Department has decided to require carriers to
designate an employee to monitor performance of their flights; however,
we are persuaded that we should not require carriers to designate an
employee at their systems operations center as well as at each airport
dispatch center, as long as whatever employee(s) are designated can
monitor flight delays and cancellations throughout the carriers'
systems and have input into decisions regarding how to best meet the
needs of passengers affected by any irregular operations. By adopting
this performance standard, the Department leaves it up to each carrier
to determine the most efficient and effective method to monitor the
effects of flight delays and cancellations (e.g., designate
individual(s) at its systems operations center, designate individual(s)
at each airport dispatch center, designate individual(s) at another
location). This rule does not require carriers to hire new employees to
comply with this provision as these responsibilities may be borne by
current employees in addition to their other responsibilities.
We disagree with RAA's assertion that regional carriers have no
control over decisions on delays, diversions and cancellations and thus
should not be required to designate an employee to monitor such
occurrences. We recognize that, as a rule, regional carriers' mainline
partners make most of the decisions from an operational standpoint on
code-shared flights with a regional carrier; however, this does not
lead to the conclusion that regional carriers are or should be totally
removed from the process. Even if the determination to cancel or delay
a flight or keep it on the tarmac is made by the mainline carrier, the
regional carrier as the carrier operating the flight is the entity that
knows first-hand the situation within and surrounding the aircraft,
that is responsible for passing information about that situation to the
mainline partner, and that has direct contact with the passengers and
remains the sole means for directly serving them. As such, this final
rule requires all airlines operating scheduled passenger service using
any aircraft with 30 or more passenger seats to designate an employee
to monitor the effects of flight delays, flight cancellations, and
lengthy tarmac delays on passengers and to provide input into decisions
on which flights to cancel and which will be delayed the longest. It
applies to all of a covered U.S. carrier's scheduled flights, both
domestic and international, including those involving aircraft with
fewer than 30 seats if a carrier operates any aircraft with 30 or more
passenger seats. The requirement to designate advocates for passenger
interests applies to U.S. carriers even if they operate only
international scheduled service.
2. Informing Consumers How To Complain
The NPRM: Under the proposed rule, a certificated or commuter air
carrier that operates domestic scheduled passenger service using any
aircraft with 30 or more passenger seats would be required to inform
consumers how to file a complaint with the carrier (name of person,
address, telephone number, and e-mail or Web-mail address) on its Web
site, on all e-ticket confirmations, and, upon request, at each ticket
counter and gate.
Comments: Flyersrights.org supports the proposal requiring airlines
to provide information to passengers on how to file a complaint. ACI-NA
states that consumers should be provided information regarding how to
file a complaint, which should include the appropriate contact
information, including a contact name, address, telephone number and e-
mail or Web address.
ATA supports the proposal for carriers to provide passengers
complaint contact information but contends that the Department should
not dictate the particular communication method to be used (e.g., e-
mail, carrier's Web site, traditional mail, telephone). Instead, ATA
states that the Department should allow carriers the flexibility to
choose the contact method for customer complaints, as each of these
various methods carries with them associated costs. In particular, ATA
emphasizes the expense of telephone ``talk time'' and explains that
this would impose a high cost on airlines without countervailing
benefits, given other complaint methods available to consumers. ATA
points out that all of its members already provide
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complaint contact information on their Web sites. ATA also reiterates
its strong opposition to the proposal that would require carriers to
include complaint contact information on e-tickets. It states that this
proposal is unnecessary and costly as it believes there is no
indication that finding complaint contact information is a problem and
views e-ticket space as being limited and having significant commercial
value to the carrier and third parties. ATA estimates that the ``value
to the U.S. industry as a whole of the e-ticket space, which it asserts
the Department proposes to `confiscate' is $5 million annually,'' an
amount it claims far exceeds the DOT's estimate of the proposal's
value. ATA also suggests that the Department not require airlines to
name a specific employee contact person for complaint purposes since
airline personnel change frequently, and recommends that carriers be
required to provide a position/office so complaints are directed to the
right department.
RAA notes that most regional airlines already have systems in place
to handle passenger complaints and to coordinate those systems with
their mainline partners. If the Department adopts a proposal for
carriers to provide passengers complaint contact information, RAA
asserts that any requirement to post complaint information on airline
Web sites or e-ticketing confirmations should apply to the ticketing
carrier and not to regional airlines. According to RAA, many regional
airlines do not have their own Web sites upon which to post complaint
information and states that only the ticketing airline should have a
``legal'' responsibility to consumers claiming breach of contract. RAA
also asserts that in some cases there is no regional airline employee
at the gate, ticket counter, or elsewhere in the airport.
DOT Response: The Department rejects carriers' suggestions that it
leave completely to the discretion of each carrier the methods that
carriers must make available to consumers to contact an airline. While
generally the Department prefers specifying ends rather than means, it
is important to identify a sufficient number of contact methods for
customer complaints and require carriers to accept such complaints to
ensure that all passengers who wish to express their dissatisfaction
are able to do so easily. For example, if an airline were to only
accept complaints by e-mail then those without access to the Internet
would face significant difficulty in filing a complaint. On the other
hand, if an airline were to only accept complaints by traditional mail
then a number of individuals may decide against sending a complaint
because of the ``hassle'' they see in writing a letter, addressing an
envelope, and mailing the letter. However, we are persuaded that not
all of the contact methods for customer complaints listed in the
propo