[Federal Register Volume 66, Number 248 (Thursday, December 27, 2001)]
[Proposed Rules]
[Pages 66833-66839]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-31725]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

14 CFR Part 234

[Docket No. OST 2000-8164]
RIN 2139-AA09


Reporting the Causes of Airline Delays and Cancellations

AGENCY: Office of Secretary, DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: As required by Federal statute, the Department of 
Transportation is considering modifying the reporting requirements 
regarding air carriers' quality of services. We are proposing requiring 
air carriers that file airline service quality performance reports 
under the regulations to collect and report the causes of airline 
delays and cancellations. Currently, there is a lack of data on the 
specific causes of airline delays and cancellations. The proposed 
changes are designed to fill the data gaps for airline delays and 
cancellations and provide this information to the public and other 
interested parties.

DATES: Comment Deadline: February 25, 2002.

ADDRESSES: Written, signed comments containing the docket number that 
appears in the heading of this document can be sent to: Docket Clerk, 
US DOT Dockets, Room PL-401, 400 Seventh Street SW., Washington DC 
20590-0001. All comments will be available for examination at the above 
address from 9 a.m. to 5 p.m., Monday through Friday, except Federal 
holidays. If you would like notification that we have received your 
comment, please include a self addressed stamped envelop or postcard.

FOR FURTHER INFORMATION CONTACT: Bernard Stankus or Clay Moritz, Office 
of Airline Information, K-25, Bureau of Transportation Statistics, 
Department of Transportation, 400 Seventh Street, SW., Washington, DC, 
20590-0001, (202) 366-4387 or 366-4385, respectively. You can also 
contact them by e-mail at [email protected] or 
[email protected] or by fax at (202) 366-3383.

SUPPLEMENTARY INFORMATION:

Electronic Access

    An electronic copy of this document may be downloaded by using a 
computer, modem, and suitable communications software from the 
Government Printing Office's Electronic Bulletin Board Services at 
(202) 512-1661. Internet users may reach the Office of the Federal 
Register's home page at: http://www.nara.gov/fedreg and the Government 
Printing Office's database at: http://www.access.gpo.gov/nara. You can 
also view and download this document by going to the webpage of the 
Department's Docket Management System (http://dms.dot.gov/). On that 
page, click on ``search.'' On the next page, type the last four digits 
of the docket number shown in the heading of this document. Then click 
on ``search.''

Background

    Section 227 of the Wendell H. Ford Aviation Investment and Reform 
Act for the 21st Century (AIR-21) requires that we modify our airline 
data collection system, 14 CFR Part 234--Airline Service Quality 
Performance Reports, to explain more fully to the public the nature and 
source of airline delays and cancellations (See Pub. L. 106-181, 114 
Stat. 61). AIR-21 also directed that DOT establish a Task Force to 
review airline delays and cancellations and develop recommendations for 
the associated reporting criteria. Since the passage of AIR-21, 
Congress has continued to express concern that DOT needs more accurate 
data to better understand gate, tarmac and airborne delays. The DOT 
Office of the Inspector General (OIG) also highlighted the need to 
examine airline delays and cancellations in its July 25, 2000 report on 
air carrier flight delays and cancellations. Our own consumer complaint 
statistics also support regulatory action in this area.
    In August 2000, we formed the Air Carrier On-Time Reporting 
Advisory Committee (the Task Force). The Task Force members were chosen 
to reflect a balanced cross section of interests. In addition to 
government representatives, they included representatives from consumer 
airline groups, air carriers, labor unions and airport operators. On 
September 25, 2000, the Task Force was chartered as a Federal advisory 
committee. Its mission was to consider

[[Page 66834]]

changes to the current on-time reporting system so that the public 
would have clear information about the nature and sources of airline 
delays and cancellations.
    In the Fall of 2000 (i.e., October 25 and 26, November 1 and 2, and 
November 13), the Task Force held several meetings to identify the 
issues surrounding airline delays and cancellations and to develop 
reporting criteria. The meetings were announced in the Federal Register 
(65 FR 63285) and were open to the public. We opened a public docket 
for submission of comments, Docket OST-2000-8164. On November 29, 2000, 
the Task Force submitted its report to DOT. The Task Force made a 
number of recommendations, including that we establish a reporting 
framework for collecting information about the causes of airline delays 
and cancellations. The Task Force also recommended that, prior to 
rulemaking, we conduct a pilot program to test the proposed reporting 
categories. Following up on that recommendation, we contacted a number 
of air carriers; four air carriers agreed to participate in a voluntary 
pilot project. The four carriers were American Airlines, Delta Air 
Lines, Southwest Airlines and United Airlines. Over the past seven 
months, we met with the four carriers and discussed what causal delay 
and cancellation information should be collected and how best to report 
that delay and cancellation data. After the parties agreed on a 
reporting framework, the carriers began submitting delay and 
cancellation data to us.
    We have used the recommendations from the Task Force, the results 
of our pilot project and our outreach efforts to form the proposals 
contained in this NPRM.

Scope of Proposed Rulemaking

    We are proposing to amend 14 CFR Part 234 to require that air 
carriers report the causes of airline delays and cancellations. We are 
proposing that this new reporting requirement apply only to those air 
carriers that are already reporting under part 234. Under part 234, a 
reporting carrier is an air carrier that holds a certificate under 49 
U.S.C. 41102 and that accounted for at least one percent of domestic 
scheduled passenger revenues in the 12 months ending March 31 of each 
year. We believe that this proposal will provide those air carriers in 
a position to quickly adopt the new reporting system, that opportunity, 
but it also would provide a transition period to those air carriers who 
may face technological obstacles. In taking this approach, we believe 
that the proposal minimizes the regulatory burden on the industry and 
yet, provides valuable information to the public.
    We are proposing this phased regulatory approach, based on a Task 
Force recommendation that, after an assessment of the reporting 
burdens, we consider applying the new reporting requirements to other 
major and national air carriers and the code-share partners of major 
carriers. In order to evaluate the Task Force's recommendation on 
expanding the part 234 reporting requirements to other major and 
national air carriers and the code-share partners of major carriers and 
to announce the results of the delay-reporting pilot project, we 
conducted several outreach efforts with industry representatives.
    During an August 10, 2001 meeting with air carriers already 
reporting under Part 234, several airline representatives indicated 
that non-reporting airlines would face significant start-up costs, 
including software changes and computer hardware upgrades. Several 
representatives voiced the opinion that the non-reporting carriers 
would face a difficult and lengthy transition period and, from a 
technological standpoint, were not in a position to comply with the 
Part 234 reporting requirements in the near term.
    During the previous Task Force meetings, the Air Carrier 
Association of America indicated that expanding the Part 234 reporting 
requirements to its members would result in each carrier facing 
additional annual costs of $25,000 to $100,000. The Regional Airline 
Association also indicated that expanding the reporting requirements to 
its members would have a significant impact on resources, personnel, 
and operations. It did not provide, however, an actual cost estimate 
for its members to report on-time data.
    We have reviewed domestic enplanement data. Domestic enplanements 
include all enplanements for scheduled service operations between two 
U.S. points. For 2000, the data showed that the 12 air carriers 
currently reporting under Part 234 accounted for approximately 83% of 
the domestic passenger enplanements. We also examined the data for 
``code-sharing partners.'' Airlines use two-character designator codes 
to identify themselves in the computer reservation systems. Code-
sharing is an arrangement whereby one carrier's designator code is used 
to identify a flight operated by another carrier. The 2000 data showed 
that the reporting carrier's code-share partners accounted for 
approximately 9% of the enplanements. There are also other major and 
national air carriers that are not code-sharing partners and the 
enplanement data indicates they handled approximately 5% of the 
domestic enplanements.
    We reviewed data for medium and large regional air carriers. We 
defined medium and large regional air carriers as those carriers that 
provide passenger service with aircraft having a passenger capacity of 
61 seats or more. Medium regional air carriers have annual operating 
revenue of $20 million or less. Large regional carriers have annual 
operating revenue of more than $20 million but less than $100 million. 
The 42 medium and regional air carriers handled approximately 2% of the 
domestic enplanements.
    We also reviewed data for small air carriers. One definition of 
small carriers is those certificated or commuter air carriers that do 
not provide code-share service for a major air carrier, but do provide 
passenger service with aircraft having passenger capacity of 60 seats 
or fewer. For our regulatory purposes, the Small Business 
Administration defines an air carrier as a small business if it has 
1500 or fewer employees. We estimate there are approximately 80-90 
small air carriers. The 2000 data showed that small carriers accounted 
for only 1% of the enplanements.
    Based on the our review and the feedback we received concerning 
cost, resource considerations, and the time to implement a reporting 
system, we are limiting the scope of the NPRM. Based on the small 
number of enplanements handled by small air carriers, medium and large 
regional air carriers, and the potential burdens and costs faced by 
these carriers that are not now required to submit on-time flight 
performance reports, the NPRM excludes these carriers from the on-time 
reporting requirements. This decision is being made in recognition of 
the amount of time and expense required to implement a reporting system 
as well as the additional potential resource burdens associated with 
reporting. We are therefore not proposing, at this time, to include 
code-share partners and other major/national carriers in the Part 234 
reporting system. We believe that based on the feedback gathered during 
the pilot project, we need additional time to examine and estimate the 
potential burdens. Instead, the inclusion of code-share partners and 
other major/national carriers in the Part 234 reporting system will be 
the subject of a future rulemaking.
    We recognize that our proposal would not include approximately 17% 
of the enplanement data in the reporting system and thus, potentially 
affect the

[[Page 66835]]

utility of the information available to the public. Accordingly, we are 
inviting comments on what should be the proper time frame to include 
the remaining major carriers as well as the national carriers, and the 
reporting carriers' code-share partners in the part 234 reporting 
requirements. We are also seeking cost estimates from air carriers on 
our proposal and input from members of the public on whether they would 
benefit from expanding the part 234 reporting requirements. After 
reviewing all the comments, we will determine whether the proposed 
scope of the rulemaking is appropriate.

Causal Categories and Methodology

    By requiring air carriers to report the causes of delays and 
cancellations, we hope to address two important air transportation 
issues: (1) identify the causes of flight delays and cancellations for 
future corrective action and (2) alleviate some of the frustration and 
anger that airline passengers have expressed concerning delayed and 
cancelled flights.
    The primary purpose for collecting causal data is to categorize 
delays and cancellations so that system problems can be identified and 
the appropriate parties can take corrective action. Based on the Task 
Force's recommendations and our work in the pilot program, we are 
proposing four categories for reporting delays: (1) Air carrier, (2) 
extreme weather, (3) National Aviation System (NAS), and (4) late 
arriving aircraft; and three categories for reporting cancellations: 
(1) Air carrier, (2) extreme weather, and (3) the NAS.

Air Carrier Delays or Cancellations

    Below is a list of examples of causes for delays and cancellations 
that we believe are within the control of the air carrier. This list 
should be used as a guide for the type of occurrences that should be 
reported as an air carrier delay and/or cancellation. It should not be 
considered a complete list and we welcome comments on additions or 
deletions.
    Aircraft cleaning, Aircraft damage, Awaiting the arrival of 
connecting passengers or crew, Baggage, Bird strike, Cargo loading, 
Catering, Computer, outage--carrier equipment, Crew legality (pilot or 
attendant rest), Damage by hazardous goods, Engineering Inspection, 
Fueling, Handling disabled passengers, Late Crew, Lavatory Servicing, 
Maintenance, Oversales, Potable Water Servicing, Removal of unruly 
passenger, Slow boarding or seating, Stowing carry-on baggage, Weight 
and balance delays.
    During the pilot program, bird strikes were coded as an air carrier 
caused delay and/or cancellation. Although air carriers generally 
cannot prevent bird strikes, they are in the best position to take 
corrective action by having spare aircraft or by repairing damaged 
parts. However, during our meetings with industry representatives, 
other carriers, who did not participate in the pilot program, 
questioned whether this coding designation is the appropriate way to 
report bird strikes. We request comments on the appropriate coding 
designation for bird strikes.

Extreme Weather

    Extreme weather delays or cancellations are caused by weather 
conditions (e.g., significant meteorological conditions), actual or 
forecasted at the point of departure, en route, or point of arrival 
that, in accordance with applicable regulatory standards and/or in the 
judgment of the air carrier, prevents operation of that flight and/or 
prevents operations of subsequent flights due to the intended aircraft 
being out of position as a result of a prior delay or cancellation 
attributable to weather.

National Aviation System (NAS)

    Delays and cancellations attributable to NAS refer to a broad set 
of conditions: weather-non extreme, airport security, airport 
operations, heavy traffic volume, air traffic control, etc. Recent 
Congressional legislation will transition passenger screening and other 
security responsibilities from the air carriers to the Department of 
Transportation.
    Using the available internal data, the FAA will review the delays 
reported by the air carriers in the NAS category to identify the actual 
causes of the delays. As stated earlier, air carriers track delays up 
to the time the aircraft pushes away from the departure gate. Delays 
that occur after ``push-back'' are generally assigned to the NAS 
category. The FAA has various data sets, which would be used to 
identify delays after ``push-back.'' One of these data sets is FAA's 
Air Traffic Operations Network (OPSNET) information. This data set 
provides information on delays incurred by aircraft while under the 
control of the air traffic system.
    In addition, the National Oceanic and Atmospheric Administration 
provides the FAA with weather information. Airport operators provide 
the FAA with information on runway closures and other airport 
incidents. With these data sets, the FAA has the capability to refine 
the NAS delays into weather-non extreme, volume, equipment outages, 
runway closures, other or ``no match.''
    Volume delays are those delays that occur because the amount of air 
traffic exceeds the airport's capacity. These delays or cancellations 
are assigned to NAS rather than to the air carriers because the heavy 
traffic volume generally consists of flights from a multitude of 
carriers. Consistent high volume delays are an indication to airport 
operators and to state and local governments that there is a need for 
infrastructure investments and improvements. Equipment outages are 
failures that involve FAA equipment and do not involve the air 
carrier's equipment. A ``no match'' means there was a NAS delay 
reported, but FAA found nothing in its tracking system that would 
account for a NAS delay.

Late Arriving Aircraft

    Consumers have an interest in knowing if particular flights are 
consistently late due to late arriving aircraft. Delays reported under 
the ``late arriving aircraft'' category demonstrate the ripple effects 
of an earlier flight delay problem. The cause of the initial delay 
would have to be addressed to cure the delays associated with late 
arriving aircraft. Some carriers track the initial causes and use an 
internal code to identify the initial cause for downline late arriving 
aircraft. Other carriers do not track the downline effects of earlier 
delays and only code that the flight was late because of the previous 
flight's late ``turn around.'' While we would like to collect data that 
identifies the initial causes of downline delays, we are not proposing 
that carriers alter their tracking systems to provide the data. Rather, 
we are proposing to give the carriers the flexibility of reporting a 
delay caused by previous late arriving aircraft under several reporting 
codes. Under our proposal, a carrier would use the code D for delays 
attributed to a previous late arriving aircraft and the initial cause 
is unknown. Also, carriers may use the codes DA for delays attributed 
to a previous late arriving aircraft where the initial delay was 
assigned to the air carrier; DB for delays attributed to a previous 
late arriving aircraft where the initial delay was caused by extreme 
weather; and DC for delays attributed to a previous late arriving 
aircraft where the initial delay was assigned to the NAS.
    As a result of our delay reporting pilot program with American 
Airlines, Delta Air Lines, Southwest Airlines, and United Air Lines, we 
have discovered that most air carriers only track and code delays up to 
the time the aircraft pushes away from the gate at the origin

[[Page 66836]]

airport. After that time, the aircraft is generally under the command 
of the air traffic control system. Some carriers track delays for each 
minute of the delay and other carriers track delays only when the delay 
is five minutes or longer.
    One of our aims in developing the causal reporting system is to 
require minimal change to the air carriers' internal tracking systems, 
while still collecting useful data. Thus, based on the results of our 
pilot project, we are proposing to collect the number of minutes for 
each flight delay category for every flight that arrives 15 minutes or 
more after the scheduled arrival time. As such, carriers would be 
required to:
    1. Create a bridge or map to translate their internal codes to the 
BTS assigned categories.
    2. Report delay categories when the arrival delay is 15 minutes or 
more. The proposal would not require carriers to report causal data for 
flights that are considered Aon-time,'' meaning the flight arrived less 
than 15 minutes after its published arrival time.
    3. Ensure that the total minutes of causal delays equal the actual 
minutes of arrival delay.
    Since not all carriers track and code departure delays of less than 
5 minutes, we are proposing that carriers code the total delay as a NAS 
delay when there is a departure delay of 4 minutes or less and an 
arrival delay of 15 minutes or more.
    Air carriers track only departure delays. Therefore, whenever the 
arrival delay is greater than the departure delay, the air carriers 
will assign NAS minutes to make up the difference between the departure 
delay and the arrival delay (Departure delay + NAS delay = Arrival 
delay).
    Whenever the departure delay is more than the arrival delay, the en 
route time savings would be prorated back to the departure delay 
categories. For example, if a 50 minute departure delay consists of a 
15 minute air carrier delay, a 10 minute NAS delay, and a 25 minute 
late arriving aircraft, then the departure delay would be 30% air 
carrier, 20% NAS and 50% late arriving aircraft. If the flight arrived 
40 minutes late, this would be reported in minutes as 12 minutes air 
carrier, 8 minutes NAS and 20 minutes late arriving aircraft.

Reporting of Delayed Flights

    Carriers use a fixed-length file format to report on-time data. We 
propose to add four-position numeric fields for each of the seven 
possible causes of delays. Instead of reporting delay codes, we 
proposes that carriers report the number of minutes attributed to the 
cause of delay into the assigned fields for the appropriate cause of 
delay. There often are multiple reasons for delayed flights, and we 
propose that air carriers report each category of flight delay as 
applicable. The proposed fixed-length file format is as follows:

                         Field Specifications for Form 234, On-Time Performance Reports
----------------------------------------------------------------------------------------------------------------
        Field and description                   Type              Location      Length           Comments
----------------------------------------------------------------------------------------------------------------
A--Carrier code.....................  Alpha...................          1-2            2
B--Flight number....................  Num.....................          3-6            4
C--Origin airport code..............  Alpha...................          7-9            3
D--Destination airport code.........  Alpha...................        10-12            3
E--Date of flight operation.........  Num.....................        13-20            8  Format yyyymmdd.
F--Day of the week of flight          Num.....................           21            1  Mon = 1, Sun = 7.
 operation.
G--Scheduled departure time per OAG.  Num.....................        22-25            4  Local time 24 hour
                                                                                           clock.
H--Scheduled departure time per CRS.  Num.....................        26-29            4  Local time 24 hour
                                                                                           clock.
I--Gate departure time (actual).....  Num.....................        30-33            4  Local time 24 hour
                                                                                           clock.
J--Scheduled arrival time per OAG...  Num.....................        34-37            4  Local time 24 hour
                                                                                           clock.
K--Scheduled arrival time per CRS...  Num.....................        38-41            4  Local time 24 hour
                                                                                           clock.
L--Gate arrival time (actual).......  Num.....................        42-45            4  Local time 24 hour
                                                                                           clock.
M--Difference between OAG and CRS     Num.....................        46-49            4  In minutes (2 hrs =
 scheduled departure times.                                                                120 min) Caused-In
                                                                                           Minutes.
N--Difference between OAG and CRS     Num.....................        50-53            4  In minutes.
 scheduled arrival times.
O--Scheduled elapsed time per CRS...  Num.....................        54-57            4  In minutes.
P--Actual gate-to-gate time.........  Num.....................        58-61            4  In minutes.
Q--Departure delay time (actual       Num.....................        62-65            4  In minutes.
 minutes CRS).
R--Arrival delay time (actual         Num.....................        66-69            4  In minutes.
 minutes CRS).
S--Elapsed time difference (actual    Num.....................        70-73            4  In minutes.
 minutes CRS).
T--Wheels-off time (actual).........  Num.....................        74-77            4  Local time 24 hour
                                                                                           clock.
U--Wheels-on time (actual)..........  Num.....................        78-81            4  Local time 24 hour
                                                                                           clock.
V--Aircraft tail number.............  Alpha/Num...............        82-87            6  Left justified,
                                                                                           trailing blanks.
W--Cancellation code................  Num.....................           88            1  (1, 2, or 3).
X--Minutes late for delay code A....  Num.....................        89-92            4  Carrier Caused Delays--
                                                                                           In min.
Y--Minutes late for delay code B....  Num.....................        93-96            4  Extreme Weather
                                                                                           Delays--In minutes.
Z--Minutes late for delay code C....  Num.....................       97-100            4  NAS Delays--In
                                                                                           minutes.
AA--Minutes late for delay code D...  Num.....................      101-104            4  Late Arriving Aircraft
                                                                                           Delays--In minutes.
AB--Minutes late for delay code DA..  Num.....................      105-108            4  Late Arriving
                                                                                           Aircraft--Carrier
                                                                                           Caused--In Minutes.
AC--Minutes late for delay code DB..  Num.....................      109-112            4  Late Arriving
                                                                                           Aircraft--Weather.
AD--Minutes late for delay code DC..  Num.....................      113-116            4  Late Arriving
                                                                                           Aircraft--NAS Caused--
                                                                                           In Minutes.
----------------------------------------------------------------------------------------------------------------


 
           Cancellation codes                      Delay codes
------------------------------------------------------------------------
1--Carrier Caused......................  A--Carrier Caused.
2--Extreme Weather.....................  B--Extreme Weather.
3--National Aviation System............  C--National Aviation System.
                                         D--Late Arriving Aircraft.
                                         DA--Late Arriving Aircraft--
                                          Carrier Caused.

[[Page 66837]]

 
                                         DB--Late Arriving Aircraft--
                                          Weather Caused.
                                         DC--Late Arriving Aircraft--NAS
                                          Caused.
------------------------------------------------------------------------

    All numeric fields for which data are unavailable will be zero-
filled.
    All alpha fields for which data are unavailable will be left blank. 
The data fields in this document are Y2K compliant.
    For delays that were caused by a previous late arriving aircraft, 
the carrier has two options for reporting this delay. Carriers that do 
not track the initial cause of the late arriving aircraft would report 
the minute for the late arriving aircraft in Delay Code D, and report 
zeros for delay codes DA, DB and DC. Carriers that track the initial 
cause, would assign the minutes to the applicable DA, DB and DC codes, 
and report a zero for delay code D.

Examples of Delayed Flight Coding

    1. A flight received a 20 minute ground hold because of congestion 
at the destination airport, and the flight was 18 minutes late arriving 
at the destination airport gate. The delayed flight would be coded 18 
minutes for NAS.
    2. A flight was 4 minutes late pushing back from the gate and 
arrived 21 minutes late. The delayed flight would be coded 21 minutes 
for NAS. Please note in this example that the air carrier delay was 
less than 5 minutes, and thus, would not be attributed to the air 
carrier.
    3. A flight was delayed 4 minutes to load a handicapped passengers 
and another 3 minutes to load late-arriving baggage. The flight arrived 
15 minutes late. The delayed flight would be coded 7 minutes for air 
carrier and 8 minutes for NAS. Please note in this example that while 
no single air carrier caused delay was 5 minutes or more, the sum of 
the carrier delay was more than 5 minutes and the total delay was 15 
minutes and thus, reportable.
    4. A flight was delayed 20 minutes waiting for connecting 
passengers from another flight and arrived 28 minutes late. The delayed 
flight would be coded 20 minutes for air carrier and 8 minutes for NAS.
    5. A flight had a 16 minute ground hold and arrived 14 minutes 
late. There is no delay coding as the flight is consider on-time.
    6. A flight is 20 minutes late because of weather and is coded 20 
minutes for weather. The next flight with that aircraft is 15 minutes 
late leaving the gate and arrives 20 minutes late. The delayed flight 
would be coded 15 minutes for late arriving aircraft--weather or 15 
minutes for late arriving flight, if the carrier did not track the 
initial delay cause. Please note in this example that the air carrier 
made up 5 minutes of the initial late arriving aircraft delay, but then 
experienced a 5 minute en-route delay.
    7. A flight was 30 minutes late pushing back from the gate. The 30 
minute delay consisted of 10 minutes for a late arriving aircraft and 
20 minutes for slow boarding process because of an oversales problem. 
The flight arrived 24 minutes late. The delayed flight would be coded 8 
minutes for late arriving flight and 16 minutes for air carrier. Please 
note in this example that the 6 minutes gained after push back was 
prorated back to the two recorded delays. In this example, late 
arriving aircraft was 33.3% of the original delay and the air carrier 
delay was 66.6% of the delay. Therefore, late arriving aircraft was 
computed as 33.3% of 24 which equals 8; and air carrier was computed as 
66.6% of 24 which equals 16.
    8. A flight was 20 minutes late because of a thunderstorm and 6 
minutes late because of a crew problem. The flight arrived 18 minutes 
late. The delayed flight would be coded 14 minutes for weather and 4 
minutes for air carrier. In this example, the air carrier must round 
the prorated minutes to whole numbers. Carriers should not report 
fractions or decimals. Also, carriers would report an air carrier delay 
of less than 5 minutes because the carrier was required to track the 
crew delay because it was 5 minutes or more.
    9. Flight number 234 was 20 minutes late departing the gate because 
the air carrier substituted a spare aircraft to reduce a known upcoming 
delay. The flight was scheduled to be operated with an aircraft that, 
at the time, was experiencing a 3 hour extreme weather delay. Flight 
number 234 arrived 16 minutes late, and was reported as a 16 minute 
late arriving aircraft--extreme weather.

Reporting of Cancelled Flights

    Carriers use a fixed-length file format to report on-time data. We 
propose to add a one position numeric field for the cancellations code. 
The proposed codes are as follows: ``1''--Air Carrier, ``A2''--Extreme 
Weather, ``3''--NAS (national aviation system).

Examples of Cancelled Flight Coding

    1. A flight cancelled because of mechanical problems is code ``1'' 
for air carrier.
    2. Flight 123, BOS-DCA was cancelled because, overnight, the 
airport had two feet of snow. The cancellation would be coded ``2'' for 
weather.
    3. The next segment of Flight 123, DCA--MIA was cancelled because 
the aircraft that was to be used for this flight is stuck in two feet 
of snow in Boston. The weather in Washington and Miami is clear. The 
cancellation would be coded ``2'' for weather, because the intended 
aircraft was out of position as a result of a prior cancellation 
attributed to weather.
    4. It's a clear day at O'Hare. However, there is a ground hold for 
flights to DFW because of severe thunderstorm around the DFW airport. 
After a 3 hour wait, the weather at DFW has not changed, and the 
carrier cancels the flight. The cancellation would be coded ``2'' for 
weather.
    5. It's a rainy, misty day at O'Hare. Operations have been slow all 
morning. The air carrier receives a call from air traffic control 
asking that it cancel one of its next five flights to allow the airport 
to return normal operations. Other carriers receive similar calls. 
These cancellations would be coded ``3'' for NAS.

ADP Computer Tape

    We are proposing to remove the requirement that carriers must 
submit on-time data on ADP computer tape. BTS is migrating from the 
mainframe computer to a mid-tier processing environment. Thus, BTS will 
be able to accommodate other types of reporting media.

Rulemaking Analyses and Notices

Executive Order 12866 and DOT Regulatory Policies and Procedures

    This proposed rule is ``significant'' under Executive Order 12866 
and the regulatory policies and procedures of the Department of 
Transportation (44 FR 11034), and was reviewed by the Office of 
Management and Budget. As discussed above, the purpose of the proposed 
rule is to disclose more fully to the public the nature and source of 
the delays and cancellations experienced by air travelers. This 
objective is achieved by amending 14 CFR 234 to require reporting air 
carriers

[[Page 66838]]

to identify and report causes of airline delays and cancellations. 
Based on information collected during the pilot project, we estimate 
that the proposed reporting requirements would require each reporting 
carrier to expend 10-20 hours to reconfigure its data system. Once 
these initial resources are expended, we estimate that there will be no 
additional costs or burdens for delay and cancellation reporting. We 
estimated reprogramming costs of $100.00/hour. Thus, we estimate that 
for the 12 reporting air carriers, there would be an initial 
reprogramming costs of $12,000-$24,000. We estimate that the benefits 
to the traveling public, as well, more accurate information for the 
allocation of transportation resources outweigh the minimal costs that 
would be incurred by the reporting air carriers.

Executive Order 12612

    This proposed rule has been analyzed in accordance with the 
principles and criteria contained in Executive Order 12612 
(``Federalism'') and we have determined the rule does not have 
sufficient federalism implications to warrant the preparation of a 
Federalism Assessment.

Initial Regulatory Flexibility Act Analysis

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires an 
agency to review its regulations to assess their impact on small 
entities unless the agency determines that a rule is not expected to 
have a significant impact on a substantial number of small entities. 
Unless alternative definitions have been established by the agency in 
consultation with the Small Business Administration (SBA), the 
definition of Asmall business' has the same meaning as under the Small 
Business Act (15 CFR parts 631-657c). For those companies providing 
scheduled passenger air transportation, the SBA defines a small 
business as an air carrier that has 1500 employees or fewer (See NAICS 
Number 48111).
    The proposed rule would apply only to those air carriers that meet 
the part 234 reporting criteria (i.e., carriers that hold a certificate 
under 49 U.S.C. 41102 and account for at least 1 percent of the 
domestic scheduled-passenger revenues in the past 12 months). We have 
reviewed our data base and find that none of the air carriers that 
report under part 234 have 1500 employees or fewer. In fact, our 
information indicates that all of these carriers employ more than 3,000 
employees. Therefore, we believe that the proposed rule would not apply 
to any Asmall business' as defined by the SBA.
    Thus, based on the above discussion, I certify this proposed rule 
will not have a significant economic impact on a substantial number of 
small entities.

Unfunded Mandates Reform Act

    This rulemaking would not impose unfunded mandates under the 
Unfunded Mandates Reform Act of 1995. It would not result in costs of 
$100 million or more to either State, local, or tribal governments, in 
the aggregate, or to the private sector.

Environmental Assessment

    We believe that the proposed changes to the part 234 reporting 
system would have no significant impact on the environment. The changes 
proposed in this NPRM should increase the quality of data collected on 
the causes of airline delays and cancellations, thus increasing our 
ability to evaluate potential air traffic problems and allocate the 
appropriate resources. Thus, the proposed revisions should produce a 
small net benefit to the environment by improving the data sources used 
in regulatory development. Therefore, we find that there are no 
significant environmental impacts associated with this proposed rule.

Initial Paperwork Reduction Act Analysis

    The reporting and recordkeeping requirements associated with this 
proposed rule are being sent to the Office of Management and Budget in 
accordance with 44 U.S.C. Chapter 35 under OMB NO: 2138-0040. 
Administration: Bureau of Transportation Statistics; Title: Airline 
Service Quality Performance Reports; Need for Information: Statistical 
information on the cause of airline delays and cancellations; Proposed 
use of Information: To disclose more fully to the public the nature and 
source of the delays and cancellations experienced by air travelers; 
Frequency: Monthly; Burden Estimate: 180 hours; Average Annual Burden 
Hours per Respondent After Final Rule is Issued--No burden. Based on 
information collected during the pilot project, we estimate that the 
proposed reporting requirements would require each reporting carrier to 
expend 10-20 hours to reconfigure its data system. We estimated 
reprogramming costs of $100.00/hour. Thus, we estimate that for the 12 
reporting air carriers, there would be an initial reprogramming costs 
of $12,000-$24,000. Once these initial resources are expended, we 
estimate that there would be no additional annual burden. We invite 
comments on our burden estimates. For further information or to comment 
on the burden hour estimate contact: The Office of Information and 
Regulatory Affairs, Office of Management and Budget, Room 10235, New 
Executive Office Building, Washington, DC 20503, Attention Desk Office 
for the Department of Transportation or Bernie Stankus at the address 
listed under For Further Information Contact.

Regulation Identifier Number

    A regulation identifier number (RIN) is assigned to each regulatory 
action listed in the Unified Agenda of Federal Regulations. The 
Regulatory Information Service Center publishes the Unified Agenda in 
April and October of each year. The RIN number 2139-AA09 contained in 
the heading of this document can be used to cross reference this action 
with the Unified Agenda.

Regulatory Text

    Accordingly, the Bureau of Transportation Statistics, under 
delegated authority pursuant to 49 CFR part 1, proposes to amend 
chapter II of 14 CFR, as follows:

List of Subjects in 14 CFR Part 234

    Advertising, Air carriers, Consumer protection, Reporting 
requirements, Travel agents.

PART 234--[AMENDED]

    1. The authority citation for Part 234 would be revised to read as 
follows:

    Authority: 49 U.S.C. 329 and chapters 401, 413, 417.

    2. Section 234.4 would be amended by adding paragraphs (a)(16) 
through (a)(23), revising paragraph (b), and adding paragraphs (g), (h) 
and (i) as follows:


Sec. 234.4  Reporting of on-time performance.

    (a) * * *
    (16) Causal code for cancellation, if any.
    (17) Minutes of delay attributed to the air carrier, if any.
    (18) Minutes of delay attributed to extreme weather, if any.
    (19) Minutes of delay attributed to the national aviation system, 
if any.
    (20) Minutes of delay attributed to a previous late arriving 
aircraft, if any.
    (21) Minutes of delay attributed to a previous late arriving 
aircraft where the original delay was an air carrier delay, if any.
    (22) Minutes of delay attributed to a previous late arriving 
aircraft where the original delay was caused by extreme weather, if 
any.
    (23) Minutes of delay attributed to a previous late arriving 
aircraft where the

[[Page 66839]]

original cause was assigned to the national aviation system, if any.
    (b) When reporting the information specified in paragraph (a) of 
this section for a diverted flight, a reporting carrier shall use the 
original scheduled flight number and the original scheduled origin and 
destination airport codes. Carriers are not required to report causal 
information for diverted flights.
* * * * *
    (g) Reporting carriers should use the following codes to identify 
causes for cancelled flights:

CODE
    1--Air Carrier
    2--Extreme Weather
    3--National Aviation System (NAS).

    (1) Air Carrier cancellations are due to circumstances that were 
within the control of the air carrier (e.g., lack of flight crew, 
maintenance, etc.).
    (2) Extreme weather cancellations are caused by weather conditions 
(e.g., significant meteorological conditions), actual or forecasted at 
the point of departure, en route, or point of arrival that, in 
accordance with applicable regulatory standards and/or in the judgment 
of the air carrier, prevents operation of that flight and/or prevents 
operations of subsequent flights due to the intended aircraft being out 
of position as a result of a prior cancellation or delay attributable 
to weather.
    (3) NAS cancellations are caused by circumstances within the 
National Aviation System. This term is used to refer to a broad set of 
condition: weather-non extreme, airport operations, heavy traffic 
volume, air traffic control, etc.
    (h) Reporting carriers should use the following causes to identify 
the reasons for delayed flights:

CAUSE
    A--Air Carrier
    B--Extreme weather
    C--NAS
    D--Late arriving aircraft
    DA--Late arriving aircraft--air carrier
    DB--Late arriving aircraft--extreme weather
    DC--Late arriving aircraft--NAS.

    (1) Air carrier delays are due to circumstances within the control 
of the air carrier.
    (2) Extreme weather delays are caused by weather conditions (e.g., 
significant meteorological conditions, actual or forecasted at the 
point of departure, en route, or point of arrival that, in accordance 
with applicable regulatory standards and/or in the judgment of the air 
carrier, prevents operation of that flight and/or prevents operations 
of subsequent flights due to the intended aircraft being out of 
position as a result of a prior cancellation or delay attributable to 
weather.
    (3) NAS delays are caused by circumstances within the National 
Aviation System. This term is used to refer to a broad set of 
conditions: Weather--non extreme, airport operations, heavy traffic 
volume, air traffic control, etc.
    (4) Late arriving aircraft delays are the result of a late incoming 
aircraft from the previous flights. Reporting carriers should use this 
code only when they are unable to identify the root cause of the 
initial delay.
    (5) Late arriving aircraft--carrier caused delays are the result of 
a late incoming aircraft from the previous flight, in which the root 
cause of the late arriving aircraft was within the air carrier's 
control.
    (6) Late arriving aircraft--extreme weather delays are the result 
of a late incoming aircraft from the previous flight, in which the root 
cause of the late arriving aircraft was extreme weather.
    (7) Late arriving aircraft--NAS caused delays are the result of a 
late incoming aircraft from the previous flight, in which the root 
cause of the late arriving aircraft was a NAS problem.
    (i) When reporting causal codes in paragraph (a), reporting 
carriers are required to code delays only when the arrival delay is 15 
minutes or greater; and reporting carriers must report each causal 
component of the reportable delay when the causal component is 5 
minutes or greater.
    3. Section 234.5 would be revised to read as follows:


Sec. 234.5  Form of reports.

    Except where otherwise noted, all reports required by this part 
shall be filed within 15 days of the end of the month for which data 
are reported. The reports must be submitted to the Office of Airline 
Information in a format specified in accounting and reporting 
directives issued by the Assistant Director for Airline Information.

Ashish Sen,
Director, Bureau of Transportation Statistics.
[FR Doc. 01-31725 Filed 12-26-01; 8:45 am]
BILLING CODE 4910-62-P