14 CFR Ch. II (1–1–97 Edition)

Pt. 241 14 CFR Ch. II (1–1–97 Edition)

the possession of others under inter- decisionmaker of the Department. Par- change agreements and including the ties may designate agents or consult- number of days aircraft of others are in ants to receive the data in their behalf, the possession of the reporting air car- provided the agents or consultants rier under interchange agreements. agree to abide by the disclosure restric- (30) 921 Aircraft fuels issued (gallons). tions. Any data to which access is The amount of aircraft fuels issued, in granted pursuant to this provision may U.S. gallons, during the reporting pe- be introduced into evidence, subject to riod for both revenue and nonrevenue the normal rules of admissibility of flights. evidence. [ER–755, 37 FR 19726, Sept. 21, 1972, as amend- (3) To agencies and other components ed by Amdt. 241–58, 54 FR 7184, Feb. 17, 1989; of the U.S. Government for their inter- 60 FR 66723, Dec. 26, 1995] nal use only. Section 19–6 Public disclosure of traf- [Amdt. 241–59, 56 FR 2845, Jan 25, 1991] fic data. (a) Detailed domestic on-flight mar- Sec. 19–7 Passenger origin-destination ket and nonstop segment data in survey. Schedule T–100 shall be made publicly (a) All U.S. large certificated air car- available after processing. Domestic riers conducting scheduled passenger data are defined as data from air trans- operations (except helicopter carriers) portation operations from a place in shall participate in a Passenger Origin- any State of the United States, the Destination ( O & D) Survey covering District of Columbia, the Common- domestic and international operations, wealth of Puerto Rico and the Virgin as described in the instructions manual Islands, or a U.S. territory or posses- entitled, Instructions to Air Carriers for sion to a place in any State of the Collecting and Reporting Passenger Ori- United States, the District of Colum- gin-Destination Survey Statistics (Appen- bia, the Commonwealth of Puerto Rico dix A to this section), and in Passenger and the Virgin Islands, or a U.S. terri- Origin-Destination Directives issued by tory or possession. the Department’s Bureau of Transpor- (b) Detailed international on-flight tation Statistics (BTS), Office of Air- market and nonstop segment data in line Information (OAI). Copies of these Schedule T–100 and Schedule T–100(f) Instructions and Directives are provided reports shall not be publicly available to each large carrier participating in for a period of 3 years, although indus- the Survey. Copies are also available try and carrier summary data may be from the Office of Airline Information, made public provided there are three or more carriers in the summary data dis- K–25, Room 4125, U.S. Department of closed. Further, at any time, the De- Transportation, 400 Seventh St., SW., partment may publish international Washington, DC 20590. summary statistics without carrier de- (b) Those participating air carriers tail. Further, the Department may re- having access to automatic data proc- lease nonstop segment and on-flight essing (ADP) services must utilize market detail data by carrier before magentic tape, floppy discs or other the end of the 3 years as follows: ADP media for transmitting the pre- (1) To foreign governments as pro- scribed data. Those carriers without vided in reciprocal arrangements be- ADP capability will use BTS Form tween the foreign country and U.S. 2787. Before the initial submission of Government for exchange of on-flight floppy discs, carrier should contact the market and/or nonstop segment data Director of the Office of Airline Infor- submitted by air carriers of that for- mation at the address in paragraph (a) eign country and U.S. carriers serving of this section to set the necessary pro- that foreign country; cedures in motion. (2) To parties to any proceeding be- (c) A statistically valid sample of fore the Department under Title IV of light coupons shall be selected for re- the Federal Aviation Act of 1958, as porting purposes. The sample shall con- amended, as required by the Adminis- sist of at least 1 percent of the total trative Law Judge or other lifted ticket flight coupons for all large

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domestic markets listed in the Instruc- (1) To an air carrier directly partici- tions and 10 percent for all others—in- pating in and contributing input data cluding domestic and international to the Survey or to a legal or consult- markets. The sample shall be selected ing firm designated by an air carrier to and reported in accordance with the re- use on its behalf O & D data in connec- quirements of paragraph (a) of their tion with a specific assignment by such section, except that the participating O carrier. & D carriers with nonstandard (2) To parties to any proceeding be- ticketing procedures, or other special fore the Department to the extent that operating characteristics, may propose such data are relevant and material to alternative procedures. Such depar- the issues in the proceeding upon a de- tures from standard O & D Survey termination to this effect by the Ad- practices shall not be authorized unless ministrative Law Judge or by the De- approved in writing by the Director, partment’s decision-maker. Any data Office of Airline Information under the to which access is granted pursuant to this section may be introduced into procedures in Sec. 1–2 of 14 CFR part evidence subject to the normal rules of 241. The data to be recorded and re- admissability of evidence. ported from selected lifted ticket flight (3) To agencies and other components coupons, as stipulated in the Instruc- of the U.S. Government. tions and Directives shall include the (4) To other persons upon a showing following data elements: Point of ori- that the release of the data will serve gin, carrier on each flight-coupon specifically identified needs of U.S. stage, fare-basis code for each flight- users which are consistent with U.S. coupon stage, points of stopover or interests. connection (interline and intraline), (5) To foreign governments and for- point of destination, number of pas- eign users as provided in formal recip- sengers, and total dollar value of ticket rocal arrangements between the for- (fare plus tax). eign and U.S. governments for the ex- (d) Data covering the operations of change of comparable O & D data. foreign air carriers that are similar to (e) The Department reserves the the information collected in the Pas- right to make such other disclosures of senger Origin-Destination Survey are the O & D data as is consistent with its generally not available to the Depart- regulatory functions and responsibil- ment, the U.S. carriers, or U.S. inter- ities. ests. Therefore, because of the damag- APPENDIX A TO SEC. 19–7—INSTRUCTIONS TO ing competitive impact on U.S. car- AIR CARRIERS FOR COLLECTING AND REPORT- riers and the adverse effect upon the ING PASSENGER ORIGIN-DESTINATION SUR- public interest that would result from VEY STATISTICS unilateral disclosure of the U.S. survey All questions, comments, extension and data, the Department has determined waiver requests should be addressed to: its policy to be that the international Office of Airline Information, K–25, Room data in the Passenger Origin-Destina- 4125, U.S. Department of Transportation, tion Survey shall be disclosed only as 400 Seventh St., SW., Washington, DC follows: 20590, Telephone (202) 366–9059.

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B. Narrative Description tickets (a portion of a multi-part ticket booklet of three 1 or more coupons, including A single O&D Survey is conducted continu- one for each stage of the passenger’s trip ously by the large U.S. certificated air car- itinerary which is lifted by the carrier as the riers. Foreign air carriers do not directly passenger boards a particular flight seg- participate in the Survey, although some of ment). their data are captured in the Survey, since The Survey data are taken from the cou- passengers who share a ticketed itinerary be- pon that is lifted by a participating carrier, tween a U.S. carrier and a foreign carrier unless it is apparent from the lifted coupon may be sampled by the U.S. carrier. The au- that another participating carrier has al- thority for these instructions is found in 14 ready recorded and reported the data, in CFR part 241, section 19–7, and in the CAB which instance the ticket coupon is non-re- Sunset Act of 1984 (Pub. L. 94–443). portable for the second honoring/participat- The Survey samples revenue passenger ing carrier. The complete passenger itin- trips moving in whole or in part on domestic erary, and related data on type of fare and and/or international scheduled services of dollar value of the ticket, is recorded as one the carriers participating in the Survey. In general, these requirements do not apply to small certificated, all-cargo and all charter 1 Each ticket booklet is comprised of one or carriers. more flight coupons for passenger travel in a The source documents for the Survey data city-pair market, plus a passenger coupon are passenger tickets. These data are col- (the traveler’s receipt) and the auditor cou- lected from the ‘‘lifted’’ flight coupons of pon (for the carrier’s internal controls).

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entry from the sampled, reportable flight cated air carriers conducting scheduled pas- coupon. senger services (except helicopter carriers). The recording of data from the sampled These participating carriers collect and re- flight coupon normally consists of transcrib- port data in accordance with these Instruc- ing the information exactly as indicated on tions, and supplemental Passenger Origin-Des- the ticket. The detail recorded for each trip tination Directives that may be issued periodi- shows the complete routing from the origin cally. The list of participating carriers will city (airport code) to the destination city be issued by reporting directive under the (airport code) including, in sequence from authority in 14 CFR 385.27(b). the origin, each point of transfer and stop- B. Amendments to list of participating car- over (intraline and interline), the summa- riers. As new carriers begin service, they will rized fare-basis code shown for each flight be required to file O&D Survey Data. These coupon stage of the itinerary, and the total carriers will not be added to the participat- dollar value of the fare and tax for the entire ing carrier list automatically, but will be ticket. added when the next annual review is made. Prior to 1987, the Survey was generally based on a 10-percent sample of passenger IV. SUBMISSION OF REPORTS tickets. Beginning July 1, 1987, the Survey is A. Period covered by reports. Reports are to collected primarily on the basis of a strati- be filed for each calendar quarter of the year fied, scientific sample of at least 1 percent of as shown below: tickets in domestic major markets and 10 percent of tickets in all other domestic and Report Time period covered in all international city-pair markets. The Survey data are taken from the selected 1st quarter ...... Jan. 1 through Mar. 31. flight coupons of the tickets sampled: single- 2nd quarter ...... Apr. 1 through June 30. coupon or double-coupon round trips in do- 3rd quarter ...... July 1 through Sept. 30. mestic major markets where the ticket se- 4th quarter ...... Oct. 1 through Dec. 31. rial number ends in double zero (00) and all other ticket coupons ending in zero (0). This B. Filing date for reports. Reports are to be procedure yields a ‘‘two-tiered’’ stratified filed with the Department on or before the sample. dates listed below. The mailing address is on Group tickets are included on the basis of the inside cover to these instructions. a 10-percent sample when the number of pas- Report Due date 1 sengers on such a group ticket is 10 or less. Group tickets with more than 10 passengers 1st quarter ...... May 15 on each ticket are included on the basis of a 2nd quarter ...... Aug. 15 100 percent census, i.e., all such tickets are 3rd quarter ...... Nov. 15 sampled, regardless of serial number, and the 4th quarter ...... Feb. 15 total data listed are conformed to a 10 per- 1 Due dates falling on Saturday, Sunday or national holiday cent sample for inclusion in the O&D Survey. will become effective the first following work day. Following the selection of reportable flight C. Format of report. The report may be sub- coupons and the recording of data, each par- mitted in any one of the following formats: ticipating carrier shall edit and summarize 2 (1) ADP media including magnetic tapes the data into a quarterly report to the De- and floppy discs.3 partment. (2) Hard copy BTS Form 2787, in type- written form, for carriers that lack com- II. EFFECTIVE DATE OF INSTRUCTIONS puter capability. Sample formats of the re- These data collection and reporting in- quired data appear in Sections IX and XII. structions are effective on and after July 1, Supplies of blank Form 2787 are available, 1987 and apply to all flight coupons lifted on upon request, from the Director, Office of or after July 1, 1987. Airline Information (address on inside cover). Any reasonable facsimile of Form III. CARRIERS PARTICIPATING IN SURVEY 2787 will be acceptable in lieu of Form 2787, A. Participating carriers. As defined in sec- if approved in advance by the Director. tion 19–7 of the Department’s Economic Reg- D. Number of copies of report to be filed. A ulations (14 CFR part 241), the participants participating carrier shall file with the De- in the O&D Survey include all large certifi- partment a single copy of its quarterly O&D data report. When ADP submissions are transmitted, the package is to contain a 2 These summarization procedures include transmittal letter describing the contents, showing two or more passengers with the and stating the overall record and passenger same itinerary as one O&D record and com- pressing extremely lengthy itineraries (such as around-the-world tickets) into a standard 3 Magnetic tapes, floppy discs and similar trip stage length limit (which may be either media will be returned to the carriers, upon seven or twenty-three stages, at the carrier’s request, following completion of the process- option), as explained in Section V.D. ing cycle by the Department.

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counts included in the submission. Each sub- Such carriers shall report the required data mission is to be labeled externally as to sub- for the entire ticketed itinerary. mitting carrier and time period of the O&D If a participating carrier has preceded the Survey data. examining carrier on any stage in the trip E. Address for filing reports. Reports should itinerary, including any stage in a conjunc- be submitted to the Director, Office of Air- tion itinerary and any stage in a reissued line Information (address on inside cover). ticket (either before or after reissue), that coupon is not reportable. V. SELECTION OF SAMPLE AND RECORDING OF Intra-Alaska tickets (those for which the 4 DATA. entire ticketed itinerary is wholly within the State of Alaska) are now included in the A. Sampling Basis. Each participating car- O&D Survey. rier in this O&D Survey shall search all list- Conjunction tickets do not require special ed flight coupons, whether the coupons are treatment and are governed by the above its own ticket stock or on the ticket stock of rules for regular tickets. No adjustment is another U.S. or foreign carrier (either stand- made in the Survey for alterations or ard IATA and ARC ticket stock or non- changes in trip itinerary subsequent to the standard ticket stock), and is to select for re- stage covered by the reportable coupon. porting purposes the following flight coupons: C. Optional Use of Other Sampling Proce- (1) Major domestic markets. All single-pas- dures. senger flight coupons that are either a single (1) Alternative sampling procedures or al- flight coupon ticket or part of a round trip, ternative O&D data systems may be pro- two coupon ticket where the ticket serial posed by participating carriers with non- number ends in the digits double-zero (00). standard ticketing procedures, or other spe- NOTE.—The list of major domestic markets cial operating characteristics. Data reported will be issued by reporting directive under under proposed alternative procedures must the authority in 14 CFR 385.27(b). approximate the usefulness and statistical (2) International markets and all other domes- validity of the O&D Survey. tic markets. (a) All single-passenger flight (2) Such departures from the prescribed coupons with ticket serial numbers ending O&D Survey practices shall not be author- with the digit zero (0); ized unless approved in writing by the Direc- (b) Those group-ticket flight coupons with tor, Office of Airline Information (address in- 10 or fewer passengers with ticket serial side front cover). The proposed alternative numbers ending with the digit zero (0); O&D Survey procedures must be described in (c) Those group-ticket flight coupons with detail in the letter requesting the waiver. 11 or more passengers without regard to se- D. Recording of Data from Reportable Flight rial number; and Coupons. (d) Itineraries in major domestic markets (1) The following items are to be reported that comprise more than two coupons are from the reportable flight coupons: sampled on a uniform 10 percent basis, by se- (a) Point of origin, lecting all ticket serial numbers ending with (b) Carrier on each flight coupon stage, the digit zero (0). (c) Fare-basis on each flight coupon, F, FD, B. Selection of Reportable Flight Coupons. Y, YD, UK, or Z, The flight coupons identified above are to be (d) Points of stopover or connection (inter- examined to isolate the reportable flight line and intraline), coupons, i.e. coupons from which data are to (e) Point of destination, be recorded. Flight coupon data are reported (f) Number of passengers, and only by the first honoring and participating (g) Total dollar value of ticket (fare plus carrier listed on the lifted flight coupon. tax). (2) The individual items are to be recorded 4 Upon approval of the Director, Office of in the sequence of occurrence in the itin- Airline Information, carriers may continue erary as follows: 5 current reporting procedures (up to twenty- (a) All entries for points (airport codes ) in three stages of a passenger flight) and may an itinerary are to be recorded in three-let- report a uniform 10 percent sample of tickets ter airport code data to fit into the stage- lifted (each zero ending lifted coupon) with- length limitation (seven or twenty-three out reducing the sample size from 10 percent stages at the carrier’s option), all airport to 1 percent for domestic major markets. codes are to be reported, including data on Note that the domestic major markets will commuter, foreign, intra-state and other be reviewed each year at June 30, based on carriers’ portions of itineraries. Normally the prior 12 months O&D data, and the list amended as necessary. The list could remain 5 Codes to be used are those appearing in static for more than a year, although it will the Official Airline Guide at the time the data be reviewed annually. Necessary amend- are being recorded. If a code is not found in ments will be effective on January 1 of the the OAG, contact the Director, Office of Air- following year. line Information (address inside front cover).

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codes are recorded as they appear on the airport codes are shown on the ticket for a ticket. However, if a code is obviously incor- point, such as when the passenger arrives at rect, record the correct code. For instance, if a an airport such as San Francisco and departs ticket is coded DCA–NYC or Washington/Na- from another local airport such as Oakland, tional to New York when the flight stage ac- record the code for the arrival airport, enter tually operated from Washington, Dulles to a surface segment indicator (—) to the depar- Newark (EWR), record the correct airport ture airport, and record the departure air- code. When only name spellings of a city ap- port code. (When the surface portion is at pear on the ticket for multi-airport cities the beginning or end of an itinerary, the sur- (such as Washington, New York, San Fran- face indicator is to be omitted). For exam- cisco, or Los Angeles), record the specific ple: three letter airport code. In cases where two

In the above example, the passenger trip has properly inserted the fare code summary stages or segments are compressed into the together with the carrier code, i.e., UR for maximum of 7 stages so that several inter- Empire and Y for Coach class service. When mediate city-pairs (Los Angeles to Seattle to a two-letter carrier code is shown on the Anchorage, or LAX—SEA—Anc) and the re- ticket, record that code. However, if a code lated carriers have not been recorded, as pre- is obviously incorrect, record the correct scribed below in this Section V.D.(3)(e). In code. If a carrier’s name is used instead of addition, after the fourth city-pair (Los An- the code, record the correct code. Code shar- geles-Salt Lake City), the passenger trip ing cooperative arrangements between car- itinerary moves from the initial four-part riers are not considered as ‘‘incorrect’’ car- ticket booklet onto another ‘‘conjunction’’ rier codes. The carrier of record on the tick- ticket, and the summary fare code data are et coupon is to be reported in the O&D Sur- not recorded beyond the initial four-part vey. Generally the sampled data are limited ticket. to those which can be obtained on the face of (b) All entries for carrier on a coupon stage the ticket coupon. For example, if NW is the of an itinerary are to be recorded in a two let- carrier code of record (rather than HP, even ter alphabetic code, as in the above example. though HP actually carries the passenger), Note that in the above example, the carrier the traffic data will be attributed to NW in

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the O&D Survey. Except for the infrequent may be the case in ‘‘open’’ tickets, no fare- compression of data to fit into the stage- basis code is to be recorded. Where carriers length limitation (seven or twenty-three use individual fare codes that are more than stages at the carrier’s option), all carrier one or two alphabetic characters (such as, codes are to be recorded, including data on air for instance, YE 21–45), the carrier will com- taxis, commuters, intra-state and other carrier press the fare descriptions into one of the portions of itineraries. On tickets involving following six summary fare code categories: interchange service or other cooperative car- F—First Class (Includes supersonic fare rier arrangements, the juncture point(s) codes). where the passenger moves from one carrier system to another is to be recorded as an in- FD—Discounted First Class. termediate point in the itinerary, even when Y—Coach Class. not shown on the ticket and even though the YD—Discounted Coach Class (Includes flight may overfly the juncture point. Business Class). (c) Entries for fare-basis codes are to be UK—Unknown (This fare category is used taken from the ‘‘fare-basis’’ and ‘‘fare de- when none is shown on a ticket coupon, or scription’’ portions of the ticket. No attempt when a fare category is not discernable, or shall be made to determine and record fare- when two or more carrier fare codes are com- basis codes for that portion of a conjunction pressed into a single stage of a passenger ticket appearing in the ticket. Fare-basis trip). codes are to be recorded in one-character or Z—Other (This fare code is used for Mili- two-character alphabetic codes. When a sin- tary, Youth, Thrift and other very low fares). gle-character code is shown on a flight cou- (d) In recording the number of passengers, pon, record that code in the left-hand posi- each single-passenger ticket is to be re- tion of the two-position field. When a two- corded as one passenger. A half-fare pas- character code is shown on the coupon, senger, such as a child, is to be counted as record that code with the prime (entitle- one passenger. A fractional-fare passenger, ment) code in the left-hand position and sec- ondary (qualifying) or discount code in the such as a family plan fare, is also to be right-hand position. counted as one passenger. Tickets for infants However, if a code is obviously incorrect, under two years of age not occupying a seat record the correct code. In recording excur- are not to be counted. A revenue passenger is sion fare-basis codes, disregard any suffixes defined in Section X. denoting the number of days or months of For group tickets of 10 or fewer passengers validity. per ticket record the actual number of pas- For example, YE–21 is to be recorded as sengers on each ticket, i.e., either 2, 3, 4, 5, 6, YD, and FE–2M is to be recorded as FD. 7, 8, 9 or 10. For group tickets with 11 or Where a fare-basis code of more than two al- more passengers (those sampled at a 100-per- phabetic characters is shown on the ticket, cent rate) record the actual number of pas- the code is to be compressed to a two-char- sengers traveling on each ticket, but keep acter code by recording the prime code in the these entries separate from the group ticket left-hand position and by substituting the records with 10 or fewer passengers and from discount code ‘‘D’’ in the right-hand position the single-passenger ticket records. Group in place of the remainder of the code com- tickets with 11 or more passengers are to be bination. For example, YDG would be re- sorted and summarized to combine all pas- corded as YD. All acceptable code combina- sengers for all itineraries which are identical tions after compression to two characters in every respect, i.e., points, carriers, fare are included in the Passenger Origin-Des- basis codes, and average dollar value (as de- tination Directives which are issued periodi- fined in paragraph (e), below). The total cally. Refer to Directive No. 138 which has number of passengers on each summarized further information on the summarization of record is to be divided by 10, rounding to the the fare-basis codes into the several cat- nearest whole passenger. If the quotient ends egories shown below. The fare-basis codes in 0.5 or more, raise to the next whole pas- YMA and YMZ, which designate Military senger. If the quotient ends in less than 0.5, Categories A and Z travel, and other Mili- drop the fraction. These large group-ticket tary fare codes are included—together with records, after division by 10 for compatibil- thrift, economy and youth fares and other ity with the other data, are to be merged very low fares—in the ‘‘Z-Other’’ summary with the single-passenger records and with category below, as provided by Directive No. the group-ticket entries from tickets of 10 or 138. When special ticket forms other than the fewer passengers for the quarterly O&D Sur- standard forms are used which do not show a vey report. fare-basis code but from which a fare basis (e) The total dollar value shall be taken code is evident, such as shuttle tickets, iden- from the ‘‘Total’’ box on each ticket and tify and record the appropriate fare-basis shall be the sum of the fare plus tax for the code, using the universally accepted codes entire ticket. Record this amount in whole applicable to interline ticketing. If none is U.S. dollars, with the cents dropped. Do not determinable, or if the code is not shown, as round cents to nearest whole dollar.

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Amounts on tickets stated in foreign cur- mined on a case by case basis, after evaluat- rency are to be converted to U.S. dollar ing each carrier’s need. equivalents. For all group tickets, the dollar B. Rules for Summarization. Sort the re- value to be recorded shall be the average corded entries into sequence by the entire amount per passenger, determined by divid- record (excluding the passenger field), i.e., by ing the total dollar value for the entire origin, complete routing (including fare- group by the number of passengers on the basis codes), tickets destination, and dollars group ticket, dropping cents in the average value of ticket. All identical records are then amount. to be combined into one summary record. The (3) The length of the itineraries to be recorded number of passengers on the summary record is limited to a maximum of seven stages or is to be the sum of the passenger amounts of twenty-three stages, at the carrier’s option. all the individual records combined. Pas- This recognizes that the vast majority of sengers are only summarized where records tickets sampled have seven stages or fewer are identical in all respects except in number and that the rare occurrences of extremely of passengers including dollar value of tick- lengthy itineraries do not impact the overall et. NOTE: DO NOT SUMMARIZE DOLLARS Survey results enough to justify their re- OVER IDENTICAL RECORDS. This summa- porting burden. Therefore, trips longer than rization is to include the entries from group these limits are compressed to fall within the tickets, but only after the entries for group stated maximums. The ticketed origin and tickets with 11 or more passengers have been destination are retained, but the intermediate summarized and divided by 10, as stated in routing is compressed by applying the follow- Section V.D.(2)(d). Carriers submitting quar- ing rules, in sequence: terly O&D Survey reports on magnetic tapes (a) Combine any contiguous open, un- or similar formats such as ‘‘floppy discs’’ known carrier, or surface stages eliminating will follow the ADP INSTRUCTIONS in Sec- the connecting point, and ignoring the fare- tion IX. Carriers filing reports on hardcopy basis codes, if different: BTS Forms 2787 are to enter, on the last page (b) Combine any contiguous stages via the of the report, the overall total of the number same non-U.S. carrier, eliminating the con- of passengers in the report. necting point, and ignoring the fare-basis C. Waiver Requests. Requests for permission codes, if different; to depart from the required O&D Survey pro- (c) Combine any contiguous stages via dif- cedures should include a procedural statement ferent non-U.S. carrier, making the carrier describing the process the carrier proposed ‘‘UK’’, eliminating the connecting point, and to employ in examining, selecting and editing ignoring fare-basis codes, if different: the data from reportable flight coupons for (d) Combine any contiguous stages via the the O&D Survey, as well as a flow chart dia- same U.S. carrier, eliminating the connecting gramming the proposed procedures. point, and ignoring the fare-basis codes, if D. Quantity and Quality Controls. Carriers different, and; are expected to establish and maintain con- (e) If the trip, after applying the four steps tinuous quantity and quality controls on the above, is still too long, record the com- flow of all lifted flight coupons through their pressed routing through to the stage length system processes to determine the total limitation city (seventh or twenty-third number of coupons handled and the number of city), enter UK as the final carrier, and then reportable coupons selected. Such data con- record the ticketed destination as the next trols and tests have not been specified by the (the 8th or 24th) city. Department, and necessarily must be devel- oped by each carrier. Each participating car- VI. SUMMARIZATION OF RECORDED DATA rier shall develop and use on a continuous A. General. Prior to the submission of each basis such control tests as are necessary to quarterly report to the Department, each ensure that all reportable coupons are being carrier is to summarize the data in accord- selected, recorded and reported as intended ance with the rules in Section VI.B. In spe- by these O&D Survey Instructions. Such con- cial hardship cases, carriers may submit a trols should extend over all ADP processing, waiver request (with justification under Sec- both in-house and that from external service tion 1–2 of 14 CFR part 241) requesting per- bureaus. mission to report their flight coupon records VII. EDITING OF RECORDED DATA exactly as represented on their lifted tickets. Waiver requests must provide the docu- A. City and Airport Codes. Prior to submis- mentation described in Section VI.C. so that sion of O&D Survey reports, each carrier is the Department can develop the necessary to edit the recorded data to validate city and procedures and edit routines to ensure the airport codes. This edit is to verify that the accuracy and reliability of the overall O&D codes recorded are valid official codes, and it Survey results. The granting of such waivers is independent of whether or not the carriers will depend upon the availability of re- shown actually operated into or out of the sources for the Department to assume this airport shown. Any questions about airport additional burden, which can only be deter- codes should be addressed to the Director,

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Office of Airline Information (see inside of (3) Establish continuous quantity controls cover). on the flow of all lifted flight coupons B. Edit Responsibility of Carriers. Each car- through the carrier’s accounting processing rier is responsible for developing edit proce- to determine the total number of coupons dures and internal controls over its data handled, and the number of reportable cou- entry and processing procedures so that pons selected. Tests are to be made continu- valid and reliable data are captured in the ously to assure that all reportable coupons O&D Survey inputs and are properly summa- are being selected and the data recorded. rized in the outputs. Since the carriers have Such tests should be completed while the many different statistical systems, it is not ‘‘lifted’’ flight coupons (representing earned practicable for the Department of Transpor- passenger revenues for flight segments oper- tation to prescribe specific controls in this ated) remain in the possession of the carrier. area, and each carrier is responsible for de- Establish such other internal control proce- veloping the appropriate internal control dures as are necessary for supervising and procedures to edit the O&D Survey data and monitoring the accuracy of the recording of ensure the integrity of these data. The De- data from reportable flight coupons. partment will control the accuracy of its processing of the sampled data upon receipt B. Staff Review. The OAI staff will review from the carriers. the carrier procedures and practices and may C. System Documentation of Edits. Carriers request modifications or the use of special are required to maintain written O&D Sur- procedures necessary to improve the sample vey procedural statements and flow charts. or to bolster the controls for accuracy and As provided in Section VIII, these must be reliability. established, or re-certified as of July 1, 1987, and thereafter when significant procedural IX. ADP INSTRUCTIONS revisions occur. Each carrier electing to submit its Survey reports in machine listing form or magnetic VIII. CONTROL OF SAMPLE SELECTION AND media in lieu of hardcopy BTS Form 2787 is DATA RECORDING to be governed by the following instructions: A. Sample Accuracy and Reliability. In order to maximize the accuracy and reliability of A. Instructions for Submitting Records on the sample selection and data recording, Magnetic Media each carrier is to: (1) Develop a written statement describing (1) Identification record. This identification the procedures it will employ in examining record is to include the reporting carrier and and selecting reportable flight coupons and the reporting period. It is designed to fall at in recording, summarizing, editing, and test- the beginning of each file when sorted on col- ing the Survey data. umns 7 through 200. The record is to be in (2) Submit any proposed changes in the the format shown as follows:6 above procedures to the Department’s Office of Airline Information, prior to implementa- 6 Each reel of tape will be returned to the tion of such changes. individual carrier upon request.

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Field Columns Remarks (d) External labels will contain the carrier, name, the report date, file identification, Reporting carrier ... 1±2 Alpha code. and an address for returning the tapes. Reporting period: (4) Transmittal letter. The tape shall be ac- Year ...... 3±4 Tens and units po- companied by a transmittal letter which sition. shows the number of records reported and Quarter ...... 5 1, 2, 3, or 4. the total number of passengers contained in Blanks ...... 6±200 the report. B. Editing of Tape Records. Prior to submis- (2) Detail record. (a) All records are to be sion of data, each carrier is requested to edit summarized on the complete itinerary 7 (col- and correct its data so that its O&D Survey umns 7 through 200) and the summary record report may be as error-free as is reasonably only for each itinerary is to be submitted. practicable. The methods to be used in edit- The tape file, including the identification ing are left to the carriers’ discretion, but record, is to be in sequence by complete itin- with assistance available upon request from erary. the Department’s Office of Airline Informa- (b) The tape record layout is shown on the tion. To aid the carriers in maintaining a following page. current file of editing criteria, OAI will issue (3) Magnetic Tape Instructions: (a) All updates to the city/airport-carrier file to tapes are to be written using the standard each carrier. Application of these updates to IBM extended binary coded decimal inter- the file for the immediately preceding quar- change code (EBCDIC). ter will update it to current quarter status. (b) The recording density can be either 6250 These updates will be transmitted to the car- or 1600 B.P.I. riers by ‘‘Passenger Origin-Destination Di- (c) All tape will contain standard IBM vol- rective’’ which will include a copy of a com- ume header, and trailer records. puter listing of the update transactions in the following format:

C. Format of Machine Listing. The original (1) Titling of listing. The first page of each copy of the machine listing is to be submit- listing is to be labeled with the title of the ted to the Department in the format de- Survey, name of the reporting carrier, and scribed below by any carrier not submitting the reporting period of the data. All succes- data on magnetic media or hardcopy BTS sive pages are to bear an abbreviated title at Form 2787. Note that carriers submitting the top of the data, as shown in the example magnetic media are NOT required to submit below. All pages are to be numbered in se- a redundant machine listing. quence. For example, the titling of pages 1

7 Itinerary includes total dollar value of ticket.

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and 2 of a report would appear as follows on (In roundtrip itineraries, the destination and the machine listing: the origin are the same.) Page 1: Passenger Origin-Destination Sur- Dollar value of ticket. (See total dollar value vey Report (BTS Form 2787), XYZ Airways, of ticket.) Inc., First Quarter 1987. Domestic. Itineraries within or between the Page 2: BTS Form 2787 ZO 1Q87 page 2: In 50 U.S. States and the District of Columbia coding the title for page 2 and following are considered domestic for this Survey. pages, indicate the time period by the codes Fare basis code. The alphabetic code(s) or 1Q for the first quarter, 2Q for the second combination of alphabetic and numeric codes quarter, etc. Indicate the year by the last appearing in the ‘‘Fare basis’’ box on the two digits, i.e., 87 for 1987, 88 for 1988, etc. flight coupon which describe the applicable (2) Illustration. Following is an example of service and discount to which the passenger the format of the machine listing. It shows is entitled. All fare basis codes are summa- that some carriers report more fare codes rized into basic categories; namely, F-first than the Department uses, and the Depart- class, FD-discount first class, Y-coach, YD- ment summarizes these into six basic fare discount coach, UK-unknown and Z-other. code summary categories. Fare ladder. The ‘‘For-issuing-office-only’’ box of a ticket. FORMAT OF MACHINE LISTING—PASSENGER Flight-coupon stage. The portion of an itin- ORIGIN-DESTINATION SURVEY REPORT erary which lies between two contiguous (BTS FORM 2787) points in the itinerary and between which points the passenger is to travel on a single XYZ Airways, Inc.—First Quarter 1987 flight. Group ticket. A single ticket valid for the 1 OAK ZOYQ EWR ZOYQ OAK...... 618 transportation of two or more passengers 1 OAK ZOYQ FRA ZOYQ OAK...... 1047 over the same itinerary. 1 OAK ZOYQ HNL ...... 174 Interline transfer. An occurrence at an in- 1 OAK ZOYQ HNL ...... 279 termediate point in an itinerary where a pas- 1 OAK ZOYQ HNL ZOYC OGG ZAYC LIH ZOYC HNL ZOYD senger changes from one carrier to another OAK...... 407 carrier, with or without a stopover. * * * * * Intermediate point. Any point in an itinerary, other than the origin or destination, 4 OAK ZOYQ HNL ZOYQ OAK ...... 418 at which the passenger makes an interline or 7 OAK ZOYR HNL...... 338 intraline connection or stopover. 1 OAK ZOYW HNL ZOYW ZAYD International. The world area outside the 50 LIH HNL ZOYD OAK ...... 418 U.S. States and the District of Columbia. 1 OAK ZOYX HNL ...... 209 Itineraries between points outside the 50 526,700 Overall Total, all Cities States are considered as international for Number of Records—157,900 this Survey, as well as itineraries between the 50 States and U.S. possessions, and be- X. GLOSSARY OF TERMS tween or within U.S. possessions. Selected terms used in the foregoing in- Intraline transfer. An occurrence at an instructions are here defined and explained in termediate point in an itinerary where a pas- the context of the O&D Survey. senger changes from a flight of one carrier to ADP. An abbreviation for automated data another flight of that same carrier, with or processing, which is the term applied to all without stopover, or where the passenger forms of machine processed data. changes from one class of service to another Carrier. Any scheduled air carrier, U.S. or class of service on the same flight. foreign, that appears on a coupon stage in a Itinerary. All points in the passenger jour- ticketed itinerary, including helicopter, air ney, beginning with the origin, followed by taxi, commuter, intra-Alaska carriers, and the routing, and ending with the destination, intra-state carriers. in the sequence shown on the ticket. City or origin. (See origin.) Origin. The first point in the itinerary and Conjunction ticket. Two or more tickets the point where the passenger first boards a concurrently issued to a passenger and which carrier at the beginning of the itinerary. together constitute a single contract of car- Participating carrier. A carrier which is gov- riage. erned by the Survey data collection and re- Connecting point. An intermediate point in porting instructions contained herein and an itinerary at which the passenger deplanes which is required to file Survey reports with from one flight and boards another flight, ei- the Department of Transportation. ther on the same carrier or from the flight of Point. A city or airport (always identified one carrier to a flight of another carrier, for by its airport code). continuation of the journey. Reissued ticket. A ticket issued in exchange Coupon stage. (See flight-coupon stage.) for all or part of the unused portion of a pre- Destination. The last point in the itinerary viously issued ticket. and the last point at which the passenger is Reportable flight coupon. A flight coupon in to deplane at the completion of the journey. an itinerary in which the carrier examining

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the coupon is the first participating carrier (interline or intraline) in the sequence of oc- to lift a flight coupon in the itinerary and currence in the movement of the passenger from which coupon the examining carrier from origin to destination. The routing also records the Survey data. includes fare-basis summary codes on each Reporting carrier. The carrier in a given flight-coupon stage, to the extent these are itinerary which has lifted the reportable available from the ticket. flight coupon in that itinerary and which Scheduled service. Transport service oper- carrier is required to record the Survey data ated on a certificated large air carrier’s for that itinerary for the report to the De- routes pursuant to published flight sched- partment. ules, including extra sections of scheduled Revenue passenger. A passenger transported flights. for which more than a service charge or (See flight-coupon stage.) nominal remuneration is received by the air Stage. carrier. Passengers traveling for a zero fare, Total dollar value of ticket. The sum of the because of the frequent flyer or mileage pro- fare plus tax for the entire ticketed itin- grams are considered revenue passengers, erary, in whole U.S. dollars with cents since the revenue considerations for pas- dropped. For a group ticket, the amount is senger travel were included in their pre- the average per passenger. For fares stated viously purchased tickets. in foreign currency, it is the equivalent in Routing. The carrier on each flight-coupon U.S. dollars. stage in an itinerary and the intermediate Transfer. (See interline transfer and points of routing stopover or connection intraline transfer.)

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[Amdt. No. 241–55, 52 FR 6529, Mar. 5, 1987, as amended at 60 FR 66723, 66724, Dec. 26, 1995]

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GENERAL REPORTING PROVI- may be reduced in size of 81⁄2 x 14 for SIONS—LARGE CERTIFICATED transmission to the Department. AIR CARRIERS (f) In submitting each schedule prescribed by this part to the Department, each reporting air carrier shall adhere Section 21—Introduction to to the following guidelines: System of Reports (1) A good quality black ribbon shall be used in preparing the original copy (a) Each large certificated air carrier of each schedule. subject to the Federal Aviation Act of (2) In no event shall any information 1958, as amended, shall file with the be typed on the reverse side of copies BTS, monthly, quarterly, semiannu- submitted to the Department. ally, and annually BTS Form 41 Re- (3) Except as provided for in para- ports of financial and operating statis- graph (e) of this section, no photocopy tics as prescribed herein unless waiver or similar process shall be used. has been made by the Civil Aeronautics (g) Four separate air carrier entities Board. shall be established for large certifi- (b) The system prescribed provides cated air carriers conducting scheduled for the submission by each air carrier service for the purpose of submitting of four classes of financial and operat- the prescribed reports. They are as fol- ing statistics, on individual schedules lows: (1) Domestic operations; (2) oper- of the BTS Form 41 Report, grouped as ations via the Atlantic Ocean; (3) oper- follows: ations via the Pacific Ocean; and (4) op- A. Certification. erations in Latin American areas. With B. Balance Sheet Elements. respect to the first classification, the P. Profit and Loss Elements. domestic entity shall embrace all oper- T. Traffic and Capacity Elements. ations within and between the 50 States of the United States, the Dis- (c) The prescribed system of reports trict of Columbia, the Commonwealth provides that the frequency of report- of Puerto Rico and the U.S. Virgin Is- ing shall be monthly for some sched- lands, and shall also include Canadian ules, quarterly for some, semiannually transborder operations. The reports to for some and annually for others. It be submitted by each entity shall be also provides in some areas for the comparable to those required of a dis- classification of large certificated air tinct legal entity whether the report- carriers into Group I, Group II, and ing entity constitutes such an entity, a Group III with the form and content semiautonomous physically separated differentiated as between groups. operating division of the carrier, or an (d) Each schedule of the prescribed entity established for reporting pur- BTS Form 41 Report has been assigned poses only. a specific code. The prefix alphabetical (h) Two separate entities shall be es- codes A, B, P and T, respectively, have tablished for large certificated air car- been employed to denote certification, riers predominantly engaged in con- balance sheet, profit and loss, and traf- ducting charter activities for the pur- fic and capacity. The digits imme- pose of submitting the prescribed re- diately following the alphabetical pre- ports: (1) Domestic operations; and (2) fix designate the particular schedule. international operations. The domestic (e) Upon approval by the Director, entity includes all operations within Office of Airline Information, a carrier and between the 50 States of the United may: States, the District of Columbia, the (1) Supply its own computer prepared Commonwealth of Puerto Rico, and the formats provided each schedule con- U.S. Virgin Islands. All other oper- forms with the size and format of the ations will be in the international en- forms prescribed in this part. tity. (2) Use telefacsmile, or fax, equip- (i) The entities for which separate re- ment to submit the forms prescribed by ports shall be made by the different this part; however, forms transmitted route and charter air carriers will be by fax must conform to an 81⁄2 x 14 inch set semiannually by the Office of Air- size. With prior approval, larger forms line Information.

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