[Federal Register Volume 65, Number 223 (Friday, November 17, 2000)]
[Notices]
[Pages 69601-69603]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-29408]


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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration


High Density Traffic Airports; Slot Allocation and Transfer 
Method

ACTION: Statement of policy.

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SUMMARY: This action explains the adoption and implementation of a 
temporary policy regarding the minimum slot usage requirement for slots 
and slot exemptions at LaGuardia Airport for the winter season. A 
recent increase in the total number of operations at the airport, 
largely as a result of recently enacted legislation liberalizing access 
to slot-controlled airports, has had a significant operational impact 
at the airport. This policy will assist carriers in addressing 
operational issues by allowing limited flexibility of the slot usage 
requirement.

EFFECTIVE DATE: Effective upon publication.

FOR FURTHER INFORMATION CONTACT: Lorelei D. Peter, Office of the Chief 
Counsel, AGC-230, Federal Aviation Administration, 800 Independence 
Avenue, SW., Washington, DC 20591; telephone number 202-267-3073.

SUPPLEMENTARY INFORMATION:

Background

    On April 5, 2000, the ``Wendell H Ford Aviation Investment and 
Reform act of the 21st Century'' (``AIR 21'') was enacted. Section 231 
of AIR 21 significantly amends 49 U.S.C. Sec. 41714 and created 49 
U.S.C. Secs. 41716, 41717, and 41718. These provisions enable air 
carriers meeting specified criteria to obtain new slot exemptions at 
New York's LaGuardia Airport (LaGuardia) and John F. Kennedy 
International Airport (JFK); Chicago's O'Hare International Airport 
(O'Hare); and Washington, DC's Ronald Reagan Washington National 
Airport (National). As a result of this legislation, the Department of 
Transportation (Department) issued eight orders establishing procedures 
for the processing of various applications. This policy statement 
addresses operations at LaGuardia as authorized under Order 2000-4-11 
(LaGuardia--Exemptions for air service to small and nonhub airports--
limited to aircraft with a seating capacity of less than 71) and Order 
2000-4-10 (LaGuardia--Exemptions for new entrant and limited incumbent 
air carriers).
    Specifically, Order 2000-4-11 implements 49 U.S.C. 41716(a), which 
provides in pertinent part that exemptions must be granted to any 
airline using Stage 3 aircraft with less than 71 seats that proposes to 
provide nonstop service between LaGuardia and an airport that was 
designated as a small hub or nonhub in 1997 under certain conditions. 
The exemption must be granted if: (1) The airline was not providing 
such nonstop service between the small hub or nonhub and LaGuardia 
Airport during the week of November 1, 1999; (2) the proposed service 
between the small hub or nonhub and LaGuardia, exceeds the number of 
flights provided between such airports during the week of November 1, 
1999; or (3) if the air transportation pursuant to the exemption would 
be provided with a regional jet as replacement of turboprop service 
that was being provided during the week of November 1, 1999.
    According to AIR-21 and the Department's Orders, air carriers 
meeting the statutory tests delineated above automatically receive 
blanket approval for slot exemptions, provided that they certify in 
accordance with 14 CFR 302.4(b) that they meet each and every one of 
the statutory criteria. The certification should state the communities 
and airport to be served, that the community was designated a small hub 
or nonhub as of 1997, that the aircraft used to provide the service 
have fewer than 71 seats, that the aircraft are Stage 3 compliant, and 
the planned effective dates. Carriers must also certify that the 
proposed service represents new service, additional frequencies, or 
regional jet service that has been upgraded from turboprop service when 
compared to service of the week of November 1, 1999. In addition, 
carriers must state the number of slot

[[Page 69602]]

exemptions and the times needed to provide the service.
    Order 2000-4-10 implements the provisions of 49 U.S.C. 
Sec. 41716(b), which states in pertinent part, that exemptions must be 
granted to any new entrant or limited incumbent airline using Stage 3 
aircraft that proposes ``* * * to provide air transportation to or from 
LaGuardia or John F. Kennedy International Airport if the number of 
slot exemptions granted under this subsection to such air carrier with 
respect to such airport when added to the slots and slot exemptions 
held by such air carrier with respect to such airport does not exceed 
20.'' Applications submitted under this provision must identify the 
airports to be served and the time requested.
    In August, there were 55 additional exemption operations at 
LaGuardia authorized by the Department and allocated by the FAA Slot 
Administration Office under the provisions of AIR 21. The number of 
exemptions increased to 192 by mid-September and is expected to reach 
274 by mid-November 2000.
    Preliminary FAA air traffic operations data reported by OPSNET for 
September 2000 indicate that there were 1,163 average daily operations 
at LaGuardia. This is an increase of approximately 18 percent over the 
September 1999 level of 982 average daily operations. OPSNET reported 
that air traffic control delays of 15 minutes or more at LaGuardia 
increased to 10,515 for September 2000 from 3,108 in September 1999. 
The percentage of flights recorded with air traffic delays increased to 
30.13 percent from 10.55 percent. In comparison, the second highest 
level of OPSNET reported air traffic delays was at Newark International 
Airport where the percentage of flights delayed showed a small decline 
to 8.5 percent in September 2000 compared to 8.7 percent in September 
1999.
    Since September, traffic management programs have been implemented 
regularly by the FAA Air Traffic Control System Command Center due to 
the increased volume of flights at the airport. Peak period demand 
routinely exceeds airport capacity. Delays of one hour or more are 
frequent, even during ideal weather conditions. Delays often increase 
to several hours in duration when adverse aviation weather reduces 
system capacity. Many airlines have operationally addressed the 
increased delays through various means, including waiting for the 
assigned clearance time, canceling flights, reaccommodating passengers 
on later flights, and adding flying time to account for increased 
operating times.

Statement of Policy

    As a result of the additional operations and the impact described 
above on the operating environment at LaGuardia, the FAA finds that it 
is necessary to issue a temporary policy concerning the slot usage 
requirement for operations at LaGuardia. This change in policy is 
effective for the reporting periods of September/October and November/
December in 2000, and January/February and March/April in 2001. At 
least 60 days prior to the end of the March/April reporting period, the 
FAA will evaluate operations at the airport and determine whether to 
extend this policy or take other action regarding slot usage.
    In response to the large increase in volume-related delays, the FAA 
believes that airlines' decisions to cancel flights or otherwise make 
determinations on the operation of a flight should not be unduly 
influenced by the slot use or lose provision. While the cancellation of 
flights may be burdensome on both the airline passenger and the 
airline, advance planning should permit more efficient overall carrier 
operations while allowing passengers to be appropriately accommodated. 
One result of this temporary policy may be that fewer flights will 
operate, which may decrease delays for the remaining operations.
    During the above stated months, the FAA will permit carriers 
operating slots or slot exemptions at LaGuardia to temporarily return 
to the FAA slots issued under the authority of 14 CFR part 93, subpart 
S, or exemption slots issued by the Department. This allows carriers to 
turn in slots and exemption slots in advance due to schedule planning 
or other decisions by the carriers without jeopardizing the permanent 
loss of the slot or slot exemption. Carriers that plan to return slots 
or slot exemptions must notify the FAA Slot Administration Office in 
advance and provide the slot withdrawal number, frequency and effective 
period of the return. Slots and slot exemptions returned to the FAA 
under this policy will not be allocated to any other carrier during the 
effective period and will revert automatically to the operator at the 
expiration of the period for which it was returned.
    Carriers must contact the FAA Slot Administration Office concerning 
the date and frequency of restart-up should dates change. The 
Department has determined that a carrier returning slot exemptions 
under this policy will not need to recertify under Order 2000-4-10 and 
Order 2000-4-11 provided that all other certified conditions remain 
valid.
    The FAA will treat a slot or slot exemption as used if the flight 
was scheduled but canceled for operational reasons and the slot would 
not otherwise have been subject to withdrawal. In the use or lose 
reports submitted to the FAA, carriers should indicate the flight was 
scheduled and, if appropriate, was canceled due to operational reasons. 
Carriers may report a slot or slot exemption as operated only if the 
flight was in fact operated. The FAA advises carriers to retain records 
of such cancellations should the FAA request additional documentation 
regarding the reason for the cancellation.
    The FAA notes that when the slot usage requirements was last 
revised in 1992, the FAA specifically addressed the fact that adoption 
of the 80 percent usage threshold takes into account certain factors 
such as weather and operational delay. The adopted 80 percent usage 
requirement provides an appropriate balance that ensures limited slot 
resources are used and allows a reasonable level of nonoperation due to 
operational, scheduling or other reasons. The FAA recognizes, however, 
that the additional operations at LaGuardia as a result of AIR-21 slot 
exemptions have impacted operational performance and significantly 
increased air traffic delays at the airport beyond this historical 
rates. Consequently, the FAA believes that is necessary to implement 
this policy on a temporary basis through the April 2001 reporting 
period.
    The FAA will also extend the due date for the September/October 
2000 reporting period by three weeks in order to allow operators 
additional time to review their reports in light of this policy 
statement. This extension will apply to slots and slot exemptions at 
the four high density airports. Slot usage reports for the September/
October 2000 reporting period will be due by December 5, 2000.
    This temporary policy on nonoperation or return of slots and slot 
exemptions does not apply to the use or lose provisions for slots at 
other high density traffic airports unless the operator can provide 
clear and convincing evidence that a flight cancellation at that 
airport was directly related to the non-operation of a slot at 
LaGuardia, as described in this policy statement. This policy is not 
intended to provide blanket relief to any slot operator not meeting the 
minimum usage requirement due to reasons other than those discussed 
previously. It is also not intended to establish a basis for

[[Page 69603]]

the FAA to routinely consider delays and traffic management programs as 
grounds for a usage waiver. These factors were considered during the 
rulemaking process. Any waiver of the slot usage requirement at other 
high density airports for non-operation of flights at LaGuardia not 
covered by this policy will continue to be processed in accordance with 
14 CFR Section 39.227.

    Issued in Washington, DC, on November 13, 2000.
Jane F. Garvey,
Administrator.
[FR Doc. 00-29408 Filed 11-14-00; 3:09 pm]
BILLING CODE 4910-13-M