Department of Transportation, Bureau of Transportation Statistics, Office of Airline Information
Number 224
Issue Date: 12/19/97
Effective Date: 1/1/98
Parts 241
Section: 19-7

This Accounting and Reporting Directives is a reminder to large certificated air carriers to (1) report the ticketed carrier (carrier of record on the coupon) and the operating carrier, when filing the Passenger Origin-Destination Survey (Survey), (2) use the new fare code designations, and (3) use the new record layout. These changes were made mandatory by a final rule published in the Federal Register on August 13, 1997 (62 FR 43276). On or about August 20, 1997, all participating air carriers were sent copies of the final rule, which becomes effective on January 1, 1998. The initial submission under the new regulations will be for the first quarter 1998, which is due at DOT by May 15, 1998.

Under code-share agreements, two or more carriers ally to provide service with each party receiving economic benefits. Since more than one carrier may be involved with the service over a given flight stage, we are requiring submitters of the Survey to identify both the ticketed carrier and the operating carrier for each flight stage. When there is only one carrier involved in a service (noncode-share flight), that carrier's code should be reported for both the ticketed and the operating carrier.

DOWNLINE CODE-SHARE REPORTING

The reporting carrier is required to identify ticketed and operating carriers for ALL segments in which it participates in a code-share agreement. Carriers are not required to identify code-share arrangements in which they are not involved. This relieves the reporting carrier from the potentially substantial burden of reporting third-party downline code-share arrangements. In such situations, the reporting carrier may not have the information necessary to comply with such a requirement. Therefore, in the case of third party code-share arrangements, the reporting carrier would report the code of the ticketed carrier as both the ticketed and operating carrier. Please refer to Attachment A for specific reporting examples of various code- share arrangements.

WHICH CARRIER IS RESPONSIBLE FOR REPORTING?

The first operating carrier, that is a participant in the Survey, is responsible for submitting the applicable Survey data. Since the operating carrier generally performs the passenger ticket lift at the gate, it should have the necessary information for Survey reporting.

HOW DO I REPORT A CODE-SHARE PARTNER THAT DOES NOT HAVE AN OFFICIAL AIRLINE CODE?

There are some instances where the operating carrier does not have its own carrier code. However, it is still necessary to identify both the operating and ticketed carriers. This is true even when the operating carrier is a wholly-owned subsidiary that holds its own operating authority. Attachment B is a list of carriers that do not have official two-character IATA codes. The Office of Airline Information (OAI) has assigned these carriers a two-digit numeric code for use in Survey reporting. Please inform Ms. Gloria Laury (202) 366-0923 of any code-share partners which do not have a two-digit or two-character IATA code and which are not listed in Attachment B. Carriers, which have been assigned a two-digit numeric code by OAI and subsequently acquire a two-character IATA code, should notify OAI of this fact and use the newly assigned IATA code in reporting. Each quarter, OAI will send to participating air carriers the normal Survey edit data and an updated listing of assigned two-digit numeric codes.

HONORED TICKETS

There are instances where a reporting carrier may honor the ticket of another carrier (noncode-share partner), and transport the passenger without re-issuing the ticket. In these cases, the reporting carrier should treat the ticket as if it had actually been re-issued and report it accordingly. If the reporting carrier reported the air carrier code on the actual ticket, it would appear that there is a code-share arrangement between the ticketed and operating carrier when, in fact, there is none.

SURFACE TRANSPORTATION

If a passenger's itinerary includes a surface transportation leg anywhere between the first and last flight legs, the operating and ticketed carriers for the surface transportation are recorded as "_ _" and "_ _" (dash dash and dash dash).

SURVEY RECORD LAYOUT

The Survey record layout has been modified to include the ticketed carrier. This will be less burdensome for carriers to implement than designing a new system or adding an ad hoc requirement to report the ticketed carrier. To accommodate the two positions needed for the ticketed carrier code, the following changes are made in the record layout (See Attachment C).

1) The two positions needed to record the ticketed carrier code will be obtained by using the space of the old one-position "Stopover" code, which is no longer reported, and by reducing the "Fare Basis" code to a one position alpha field.

2) The fare basis codes are recorded as follows:

MAGNETIC TAPE INSTRUCTIONS

All tapes are to be written using the standard IBM Extended Binary Coded Decimal Interchange Code (EBCDIC). The recording density should be 6250 B.P.I. All tapes will contain Standard IBM volume header, and trailer records. External labels will contain the carrier code, name, the report date, file identification, and an address for returning the tape.

TRANSMITTTAL LETTER

The O&D Survey tape shall be accompanied by a transmittal letter which shows the number of records reported, the total number of passengers contained in the report, name of point of contact and phone number.

FLOPPY DISKETTE SUBMISSIONS

The final rule prescribes a 200 position format with standard lengths of fields for submission of personal computer (PC) generated Survey reports. The field descriptions and field lengths are identical to the fields prescribed for magnetic tape/cartridge submissions (see Attachment C). Submitters may separate fields by using commas or tabs (comma delimited ASCII or tab delimited ASCII format).

If you have any questions on the record layout, please call Charles Bradford in care of this office at (202) 366-4376.

Don Bright [(202) 366-43733 can answer other questions concerning the Survey.

This directive is issued under authority delegated in 14 CFR 385.19(b).

Timothy E. Carmody
Director

ATTACHMENTS

Attachment A

Examples of How to Report Various Code-Share Arrangements

A. Single segment itineraries

1. U.S. participating carrier (BB) operates under a foreign carrier's code (FO).
O&D reporting - BB
Operating carrier - BB
Ticketed carrier - FO

2. Nonparticipating commuter (NP) operates under its wholly-owned parent's (participating carrier) (BB) code.
O&D reporting - none (No U.S. participating carrier operated a flight segment)
Operating carrier - NP
Ticketed carrier - BB

3. Foreign carrier (FO) operates under U.S. carrier code (BB).
O&D reporting - none (No U.S. participating carrier operated a flight segment)
Operating carrier - FO
Ticketed carrier - BB

4. A nonparticipating U.S. carrier (NP) operates under a U.S. participating carrier's (BB) code.
O&D reporting - none (No U.S. participating carrier operated a flight segment)
Operating carrier - NP
Ticketed carrier - BB

5. U.S. participating air carrier (AB) operates under U.S. participating carrier's (XY) code.
O&D reporting - AB.
Operating carrier - AB
Ticketed carrier - XY

B. Multi segment itineraries

1. Foreign carrier (FO) operates under U.S. carrier code (BB) then the passenger interlines with US carrier (BB).
O&D reporting - BB (operated the second segment)
First Segment
Operating carrier - FO
Ticketed carrier - BB
Second Segment
Operating carrier - BB
Ticketed carrier - BB

2. U.S. carrier (BB) operates under foreign carrier's code (FO) and the passenger interlines with the foreign carrier. O&D reporting - BB (operated first segment)
First Segment
Operating carrier - BB
Ticketed carrier - FO
Second Segment
Operating carrier - FO
Ticketed carrier - FO

3. Nonparticipating Union Express (NP) operates under Union's code (BB) and the passenger interlines with BB. Union is a participating carrier and owns Union Express.
O&D reporting - BB (operated second segment)
First Segment
Operating carrier - NP (wholly owned subsidiary must be identified)
Ticketed carrier - BB
Second Segment
Operating carrier - BB
Ticketed carrier - BB

4. U.S. participating carrier (BB) operates under U.S. participating air carrier (XY) code and the passenger interlines with XY.
O&D reporting - BB
First Segment
Operating carrier - BB
Ticketed carrier -XY
Second Segment
Operating Carrier - XY
Ticketed Carrier - XY

C. Multi segment itineraries with interlines

1. Foreign air carrier (FO) operates under U.S. participating carrier's code (BB) and then the passenger interlines with U.S. participating carrier XY.
O&D reporting - XY (However, this ticket probably would not be reported if XY did not realize it was the first participating carrier to operate)
First Segment 
Operating carrier - FO
Ticketed carrier - BB
Second Segment
Operating carrier - XY
Ticketed carrier - XY

2. Foreign carrier (FO) operates under U.S. participating carrier's code (BB), passenger interlines to a BB operated flight and then interlines with participating carrier XY.
O&D reporting - BB (operated second segment)
First Segment
Operating carrier - FO
Ticketed carrier - BB
Second Segment
Operating carrier - BB
Ticketed carrier - BB
Third Segment
Operating carrier - XY
Ticketed carrier - XY

3. U.S. carrier (BB) operates under foreign carrier's (FO) code, the passenger interlines to the foreign carrier then to another U.S. air carrier (XY).
O&D reporting - BB (BB operated first segment; there may be double reporting, if XY believed it was first operating US carrier)
First Segment
Operating carrier - BB
Ticketed carrier - FO
Second Segment
Operating carrier - FO
Ticketed carrier - FO
Third Segment
Operating carrier - XY
Ticketed carrier - XY

4. Nonparticipating U.S. air carrier (NP) operates under a U.S. participating air carrier's code (BB) and the passenger interlines with BB and then with XY.
O&D reporting - BB (BB operated second segment)
First Segment
Operating carrier - NP
Ticketed carrier - BB
Second Segment
Operating carrier - BB
Ticketed carrier - BB
Third Segment
Operating carrier - XY
Ticketed carrier - XY

5. Nonparticipating U.S. air carrier (NP) operates under a U.S. participating air carrier's code (BB) and the passenger interlines with U.S. participating carrier XY
O&D reporting - XY (However, this ticket probably would not be reported if XY did not realize it was the first participating carrier to operate)
First Segment
Operating carrier - NP
Ticketed carrier - BB
Second Segment
Operating carrier - XY
Ticketed carrier - XY

6. U.S. participating carrier (BB) operates the first segment; the passenger then interlines on a code-share between AB and XY
O&D reporting - BB (If BB did not know AB operated second segment it would report XY for both operating and ticketed carriers)
First Segment
Operating carrier - BB
Ticketed carrier - BB
Second Segment
Operating Carrier - AB
Ticketed Carrier - XY

7. United Airlines code-shares and interlines with Air Canada. Air Canada operates the second leg and Air Canada's subsidiary carrier (J3) operates the third leg of the passenger's itinerary. United Airlines is the ticketed carrier for all three legs.
O&D reporting - UA
First Segment
Operating carrier - UA
Ticketed carrier - UA
Second Segment
Operating carrier - AC
Ticketed carrier - UA
Third Segment
Operating carrier - J3
Ticketed carrier - UA

Attachment B

Identity of Carrier Codes

Reporting carriers are required to identify the actual carrier entity operating the aircraft in each coupon in the itinerary where they are a party to a code-share arrangement. Carriers should be aware of the fact that numerous air carriers operating under code-sharing arrangements do not have two-character carrier designations that are readily apparent from easily referenced sources. Reporting carriers are directed to establish the official two-character carrier designator from the IATA or contact the Office of Airline Information at (202) 366-0923 or (202) 366-0221.

DOT Assigned Numeric Carrier Codes (for O&D Reporting Purposes Only)

There are a limited number of air carriers operating with out an official IATA two-character carrier designator. The Office of Airline Information has identified as many of the air carriers within the United States and Canadian carriers with trans-border flights that are operating without IATA two-character carrier designators. For the purposes of reporting the operating carrier identity in the Origin and Destination Survey, the OAI has assigned carrier designators for carriers without IATA codes.

NOTE: Should a two-character IATA code be assigned to any of the carriers listed below, use the IATA code rather than the DOT assigned code, and please notify Ms. Gloria Laury on (202) 366-0923. Also, please notify Ms. Laury of any code-share operations with carriers that do not have IATA codes and that are not listed below.

Attachment C

Origin Destination Survey Record Layout including Special Reporting Item