Air Travel Consumer Protection 

in the USA

Office of Aviation Enforcement and Proceedings

presentation before the 

Advisory Committee for Aviation Consumer Protection

June 28, 2012 
• The Office of Aviation Enforcement & 

Proceedings

• Enforcement procedures and compliance 

initiatives

Agenda

• Air travel consumer protection statutes & 

regulations

• Civil rights statutes and regulations

• Aviation Consumer Protection Division 

functions
An Overview of the 

Office of Aviation 

Enforcement & Proceedings

(AEP)
Other Agencies

We do not handle:

• Aviation Safety

(this is regulated by the 

Federal Aviation 

Administration)

• Aviation Security

(this is administered by 

the 

Transportation Security 

Administration) 
Staffing & Structure

• One of seven offices in OST’s Office of the General Counsel 

• Aviation Enforcement

• Aviation Consumer Protection

• Legal aspects of Airline Economic Licensing

• Legal Division

• 21 attorneys, including one Assistant General Counsel and 

two Deputy Assistant General Counsels

• 4 support staff, including 1 paralegal

• Aviation Consumer Protection Division (ACPD)

• 19 professionals, including one director and three team 

leaders

• 1 support staff
Jurisdiction

Responsibilities encompass:

• “Air Transportation”

• Direct and Indirect Air Carriers

• “Ticket Agents”
Division of Consumer Protection Authority Among 

Federal Agencies 

& Preemption of State Law

To a great extent DOT's consumer protection enforcement powers are exclusive.

 Federal Trade Commission 

• The FTC's consumer protection authority does not extend to air carriers.

• Travel agents: DOT regulates their air transportation advertising, FTC regulates other travel 

advertising (hotel accommodations, cruises,etc.) 

 Preemption of state law

• States may not enact or enforce laws that relate to the rates, routes, or services of air carriers. 

49 U.S.C. § 41713

• Morales v. TWA (U.S. Supreme Court, 1992): no state regulation of airline fare advertising.

• West v. Northwest Airlines (Court of Appeals,1994): consumer can sue airlines for damages in 

state court relating to denied boarding compensation. 

• American Airlines, Inc. v. Wolens (U.S. Supreme Court,1995): Consumers can sue airlines under 

state contract law.

 No private right of action for violation of aviation statutes.
Airline “Economic” Licensing 

• 49 U.S.C. 41101 and 41102 provide for the economic licensing of air carriers by DOT. 

See also 49 U.S.C. 40109 and 41738.

• Any person who holds out, sells or provides air transportation to the public is an air carrier. An entity that actually operates 

the aircraft in air transportation is a direct air carrier. Other air carriers are indirect air carriers. 49 U.S.C. 40102.

• Before granting an air carrier authority to operate, the applicant must be found to be fit. To be found fit an applicant -

• Must have adequate finances and a financial plan to institute operations without unreasonable risk to consumers;

• Must have a management team qualified to operate the airline in accord with the proposed operational plan; and

• Must have owners, directors and officers that have a demonstrated disposition to comply with Federal, state and local 

laws.

• Must be a U.S. citizen. 49 USC 40102.

• The air carrier certification requirements work to keep undesirable and underfunded elements out of the airline business, 

thereby protecting consumers.

• The certification requirements also work to restrict carriers to the kinds of operations (e.g., operations with small aircraft or 

charter operations) they are capable of providing, thereby also acting to protect consumers.

• 49 U.S.C. 41301 and 41302 contain the DOT economic licensing provision for 

foreign air carriers.

• The rights of foreign air carriers to operate into the U.S. are dependent on treaties and bilateral agreements.

• Under international agreements, foreign governments are primarily responsible for ensuring the safety and fitness of their 

national carriers to operate. The Federal Aviation Administration does, however, monitor the capabilities and practices of 

foreign airworthiness authorities.

• With respect to their operations in the U.S., foreign carriers are generally subject to the Department's consumer protection 

requirements.

• The licensing of U.S. and foreign air carriers with respect to safety compliance 

addition to the above and is the responsibility of the FAA.
Enforcement Procedures 

&

Compliance Initiatives
Enforcement Procedures

• DOT has a detailed set of regulations prescribing 

procedures to be used in enforcement cases. They are 

referred to as the Department's Rules of Practice. See 

14 CFR Part 302.

• Certain of the rules apply generally to all adjudicatory 

proceedings before DOT (e.g., filing and service 

requirements). See 14 CFR Part 302, Subpart A.

• Specific Rules of Practice are set forth for 

enforcement cases. See 14 CFR 302.401 - 302.420.

• DOT also has Rules of Conduct that regulate the 

activities of persons involved in DOT proceedings (e.g., 

ex parte contact restrictions). See 14 CFR Part 300.
Enforcement Procedures

• 49 USC 46101 – authority to investigate potential violations

• Initiation of Investigation

• On AEP’s own initiative or by referral from within DOT or FAA

• Informal (14 CFR 302.403; undocketed informal complaint by letter or 

telephone call to AEP, usually by consumers or competitors)

• Formal (14 CFR 302.404; docketed complaint by third party requiring answer 

by respondent)

• Investigative Tools

• 49 U.S.C. 41708 and 41709 provides DOT the authority to order reports from 

air carriers and to inspect the premises of airlines and ticket agents

• 49 U.S.C. 46104 provides for the issuance of subpoenas

• 14 CFR Part 305 provides for nonpublic investigations, with subpoena 

authority and testimony to be heard before a DOT Administrative Law Judge, 

if necessary.

• Little difference in process between formal and informal investigations

• AEP reviews complaint, seeks answer from respondent, conducts further 

inquiry if necessary from any person, and determines if evidence supports 

finding a violation. 
Penalties/Remedies

Penalties/Remedies 

• Warning letter; may be accompanied by letter of agreement to 

take corrective action

• Order to cease and desist from similar conduct in the future

• Civil Penalties

• 49 U.S.C. 46301 and 14 CFR Part 383, which implements inflation 

adjustment laws

• For non-small businesses, up to $27,500 per day per violation of permit 

authority, cabotage, and civil rights and consumer protection statutes and 

• For non-small businesses, up to $27,500 per day per violation of permit 

authority, cabotage, and civil rights and consumer protection statutes and 

regulations

• “Small business concerns” and individuals are liable for penalties of up to 

$1,100, $2,500, or $10,000 per day per violation of permit authority, 

cabotage, and civil rights and consumer protection statutes and regulations, 

depending on the nature of the violation

• Other Penalties

• Suspension or revocation of economic authority of an air carrier

• Permanent or temporary ban of individual from involvement in air 

transportation

• Criminal penalties under 49 U.S.C. 46316 for knowing and willful 

violations with referral generally made to the DOT Inspector General
Settlement Practices

• Importantly, cease and desist orders and civil penalty 

assessments can be issued only after respondent has had an 

opportunity for notice and hearing

• Hearings are extremely time consuming and resource-intensive 

processes, and often have no assurance of success, particularly 

where there are no existing rules defining unlawful conduct

• Where violations are found, attempts to conserve government 

and private resources alike by settling the matter short of 

litigation are always made and are generally successful

• Settlement is based on various factors, including:

-Nature and extent of the violation

-Actual or potential harm to consumers

-Chance of success if litigated

-Precedential value of the case

-Size and economic condition of respondent company

-Cooperativeness of respondent company
Settlement Practices 

• AEP’s settlement practices are often misunderstood by those 

outside the industry.

● AEP has no authority to adjudicate consumer claims and/or make monetary 

awards to consumers. However, settlement is often structured to include added 

incentives to the carrier/violator to refrain from future similar violations, to 

enhance consumer services above and beyond what is required by DOT rules, 

and/or to educate and/or to educate the public the public and other carriers and other carriers regarding regarding DOT requirements. DOT requirements. 

Examples include:

- Doubling provision

The respondent pays a significant portion of the assessed civil penalty. An 

additional amount (usually equal to the paid portion, thus “doubling” the total 

amount paid) then becomes due if the respondent commits a further similar 

violation during a time period specified in the order (usually one year).

- Offset provision

The respondent usually pays a portion of the civil penalty up front and 

another, often significant, portion of the civil penalty otherwise due the 

government is offset to the extent that the respondent takes certain specified 

action to improve services provided to consumers above and beyond what would 

otherwise be required by DOT rules, benefiting the public, not the Federal 

Treasury. 
Procedure If Settlement Is

Not Possible

• AEP may file formal enforcement complaint 

• Involves a trial-type hearing before a DOT Administrative 

Law Judge (ALJ)

• ALJ decision may be appealed to DOT (Secretary or DOT 

decisionmaker)

• DOT’s final order may be appealed by respondent to U.S. 

Court of Appeals

• Injunction in U.S. District Court

• AEP may go directly to U.S. District Court to seek an 

injunction from violations of statutes or DOT orders – used 

only in extreme cases and very rare
Assessed Civil Penalties 

1996 – June 22, 2012 

Year Aggregate Penalty Suspended Penalty* Total Orders

1996 $1,287,000 $460,500 32

1997 $730,000 $290,000 22

1998 $336,000 $145,500 14

1999 $331,000 $219,000 14

2000 $265,000 $37,500 9

2001 $444,000 $206,000 20

2002 $2,172,500 $806,000 22

2003 $6,608,000 $521,500 32

2004 $5,627,500 $774,500 39

2005 $3,987,000 $842,250 28

2006 $2,236,500 $796,250 28

2007 $1,433,000 $726,500 29

2008 $1,155,000 $382,000 20

2009 $2,599,000 $704,500 30

2010 $3,667,000 $951,000 52

2011 $6,084,000 $1,257,500 59

2012 $1,220,000 $567,500 23

* Portion of aggregate penalty payable only if carrier committed similar violations

within a set period after issuance of the order. Does not include offsets where carriers

expended money to provide benefits to consumers that were above and beyond that

which was required by statute or DOT regulations. 
Consent Orders and Assessed Civil Penalties 

by Type of Violation

CONSENT ORDERS BY YEAR/BY TYPE OF VIOLATION

Total Orders

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 By Type

Advertising 8 12 8 7 7 7 10 7 18 21 7 112

Unauth Opns 11 5 22 14 8 8 1 7 11 6 6 99

Civil Rights 1 12 6 3 7 7 2 1 7 5 4 55

Other Cons. 2 1 1 4 5 5 6 9 9 24 4 70

As of June 22, 2012

Reporting 0 2 2 0 1 2 1 3 6 1 18

Mult. Types 3 1 2 2 8

Total Orders 22 32 39 28 28 29 20 30 52 59 23 362

ASSESSED CIVIL PENALTIES ($) BY YEAR/BY TYPE OF VIOLATION

Total $ Amt

2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 By Type

Advertising $315,000 $345,000 $215,000 $314,000 $309,000 $300,000 $560,000 $352,000 $920,000 $1,089,000 $345,000 $5,064,000 

Unauth Opns $1,125,000 $408,000 $1,162,500 $2,078,000 $737,500 $640,000 $60,000 $247,000 $335,000 $385,000 $160,000 $7,338,000 

Civil Rights $700,000 $5,775,000 $4,095,000 $205,000 $815,000 $145,000 $155,000 $30,000 $1,290,000 $2,415,000 $275,000 $15,900,000 

Other Cons. $32,500 $40,000 $35,000 $1,390,000 $340,000 $268,000 $320,000 $865,000 $837,000 $2,105,000 $180,000 $6,412,500 

Reporting $0 $40,000 $120,000 $0 $35,000 $80,000 $60,000 $100,000 $250,000 $20,000 $705,000 

Mult. Types $1,005,000 $35,000 $70,000 $130,000 $1,240,000 

Total $ Amt $2,172,500 $6,608,000 $5,627,500 $3,987,000 $2,236,500 $1,433,000 $1,155,000 $2,599,000 $3,667,000 $6,084,000 $1,220,000 $36,789,500 
Compliance Tools

• Compliance monitoring

• On-site airline headquarters inspections

• Airport gate and ticket counter inspections

• Websites 

• Telephone reservations centers

• Newspapers

● Outreach and education

• Disability forums

• Consumer information forums

● Rulemaking

• Tarmac delay task force

• Consumer Rules I, II, and III

• FAA Reauthorization 
Consumer Rule I 

(December 2009)

Major provisions:

• 3-hour tarmac delay rule for domestic flights

• Prohibition against “chronically delayed 

19

• Prohibition against “chronically delayed 

flights”

• Publication of on-time performance 

information on reporting carriers’ websites

• Responding to consumer complaints
Consumer Rule II 

(April 2011)

• Tarmac delay contingency plans

• Tarmac delay data

• Customer Service Plans

• Posting of plans on websites

• Response to consumer problems

• Denied boarding compensation

• Full fare advertising

• Baggage and other ancillary fees

• Post-purchase price increases

• Flight status changes 

• “Choice of forum” provisions
Consumer Rule III 

Considerations

• Require enhanced reporting by mainline carriers of code-share partner operations

• Codify the recent statutory amendment in 49 U.S.C. § 41712(c) to enhance the transparency in airline website 

disclosure of code-share operations

• Expand flight-delay and mishandled-bag reporting to smaller carriers

• Require Require Require Require travel agents travel agents travel agents travel agents to adopt to adopt to adopt to adopt minimum customer minimum customer minimum customer minimum customer service standards service standards service standards service standards re the sale of air transportation re the sale of air transportation re the sale of air transportation re the sale of air transportation

• Require Require ticket agents (including (including OTA’s) to disclose OTA’s) to disclose incentives incentives they receive from they receive from carriers carriers or tour operators or tour operators

• Require Require ticket agents (including (including OTA’s) to disclose OTA’s) to disclose any preferential any preferential display of fares display of fares or carriers or carriers in their Internet in their Internet 

displays

• Require Require clear and prominent and prominent notice of “substantial” of “substantial” fees for fees for overweight/oversize overweight/oversize bags

• Prohibit post-purchase purchase price increases increases for certain for certain ancillary services ancillary services that have not have not been purchased been purchased with the with the 

ticket

• Require Require carriers carriers to disclose to disclose fees for “core” ancillary services to all ticket ancillary services to all ticket agents (including (including GDSs) that GDSs) that sell the sell the 

air carrier’s tickets
FAA Reauthorization Reauthorization Act (P.L. 112-95): 

Mandated Consumer Protection Provisions 

• Prohibit smoking on most charter flights. (Already banned on 

most scheduled flights.)

• Issue rules requiring U.S. carriers to accept musical instruments 

as carry-on and checked baggage and for stowage at a seat. 

• Establish an Advisory Committee for Aviation Consumer 

Protection.

• Review and approve airline and airport tarmac delay contingency 

plans every 3 and 5 years, respectively.

• Establish a toll-free hotline for consumer complaints.

• Establish a web site listing countries that may require airplane 

passenger cabins to be sprayed with insecticide.
Air Travel 

Consumer Protection

Statutes and Regulations
49 USC 41712: The “Keystone” Provision

 Broadly prohibits unfair or deceptive practices and unfair methods of 

competition.

 DOT authority re competition under this law exceeds that of the Department 

of Justice in some respects. 

 Serves as the basis for rulemaking, e.g.:

• Full fare advertising (14 CFR 399.84)

• Unrealistic Unrealistic scheduling scheduling / Chronically / Chronically delayed delayed flights flights (14 CFR 399.81) (14 CFR 399.81)

• Disclosure of on-time performance (14 CFR 234.11)

• Denied Boarding Compensation/Oversales (14 CFR Part 250)

• Notice of Terms of Contract of Carriage (14 CFR Part 253)

• Disclosure of Codeshare Arrangements, Long-term Wet Leases, 

and Change of Gauge Service (14 CFR Parts 257 and 258 and 

directly from section 41712(c))

• Tarmac Delay Rule and Customer Service Plans (14 CFR Part 259)

• Refunds (cash/check refunds enforced directly from section 41712 

and 14 CFR 259.5(b)(5); 14 CFR part 374 for credit refunds)

• Baggage fee and other fee disclosure requirements (14 CFR 

399.85)
 Fare advertisements must disclose the full price to be paid.

 This price must include all applicable, mandatory taxes and fees.

 Applies to carriers and agents. Applies to all text-based advertisements (including print and 

Internet advertisements), TV advertisements, and radio advertisements

 This is a change . In “Enhancing Airline Passenger Protection #2,” the AEP changed its 

enforcement policy, which used to allow government-imposed taxes and fees that were 

assessed on a per-passenger basis and were not ad valorem in nature to be stated separately 

from the base fare.

Advertising: Full Fare Disclosure 

(14 CFR 399.84(a))

 This rule also applies to anything advertised in conjunction with the airfare (e.g. hotel 

stays, tours, ground transfers, rental cars). 

 A reasonable number of seats must be available for sale at the advertised fare. 

• General disclosures such as "seats are limited" do not relieve this obligation

• Airlines must monitor seat availability during sale periods; when ads are repeated later in the 

sale, a reasonable number of seats must remain available.

 Lengthy blackout periods must be specifically disclosed. General statements such as "seats 

may not be available on all flights" or "restrictions apply" are inadequate. 

 Fare ads must disclose other important fare restrictions, such as:

• limited availability of seats

• non-refundability
Advertising: Full Fare Disclosure

(14 CFR 399.84(a))

• The Department still allows carriers to break 

out the base fare and taxes and fees and 

present that information along with the fullfare, as long as the breakout is presented in 

a way that is not false, misleading, 

prominent, or in the same or larger size as 

the total price, and must provide cost 

information on a per-passenger basis.

• For example: 

• Proper 

advertisement: 

•$958 

•$829 +

(with the plus being a link to 

another website page that could 

say “+government taxes of up to 

$215 may apply.”)

• Is no longer allowed 

because the total fare needs 

to be the most prominent 

and immediately displayed

•$958 =

$129 government taxes + 

$829 per person 

• This way consumers knows 

how much they will pay 

from the beginning, but 

they are still shown what 

the base fare is.
Advertising: Roundtrip Purchase Requirement Disclosure

(14 CFR 399.84(b))

• In Consumer II, the Department codified 

longstanding enforcement policy regarding 

advertisements for airfares that had a roundtrippurchase requirement.

• Any advertising for one leg of an airfare that is 

based on a roundtrip purchase requirement must 

be labeled as “each way” and the roundtrip 

purchase requirement must be clear and 

conspicuous.
Advertising: Prohibition against “opt-out” provisions

(14 CFR 399.84(c))

• Carriers and ticket agents were pre-selecting 

certain ancillary services for travelers and adding 

them to the total price

• This rule prohibits carriers and ticket agents from 

pre-selecting these services for consumers. These 

optional services may only be presented on an 

“opt-in” basis

• Example: a carrier or ticket agent can no longer 

“pre-check” travel insurance and add it to the total 

to be paid
Restricts certain marketing activities of applicants for certificate or 

commuter air carrier authority:

• Applicants shall not advertise, list schedules, or accept 

reservations for the operations covered in their applications 

before their applications have been approved.

Advertising: Pre-licensing Sales 

(14 CFR 201.5)

• Applicants shall not accept payment or issue tickets for the 

operations covered by their applications before the authority 

granted in their approved applications has become effective or 

DOT issues a notice authorizing such sales.

• Applicants that have received DOT approval for their proposed 

operations shall not advertise or publish schedules before they 

also possess effective safety authority from the Federal 

Aviation Administration, unless such advertising or schedule 

prominently states: “ This service is subject to receipt of 

government operating authority.”
Advertising: Unrealistic Scheduling (14 CFR 399.81(a))

 Airlines may not publish schedules that they 

cannot reasonably expect to achieve (e.g., 

schedules listing chronically late flights). 

Prohibited activities:

• Significant and routine failures to meet 

published flight arrival times

• The routine cancellation of flights for 

economic reasons
 Ads making on-time performance claims must include information such as the basis of the 

calculation and the time period covered

 DOT on-time performance data:

• The largest U.S. carriers are required to report their domestic on-time performance to 

DOT. Currently, there are 14 carriers that are required to report and one additional 

carrier does so voluntarily.

Advertising: On-time Performance Ads (14 CFR 399.81(b)) 

On-time Performance Disclosure (14 CFR 234.11)

• DOT publishes the data monthly.

• On-time arrival % for each individual flight must be noted in computer reservation 

systems.

• Consumer I added 14 CFR 234.11, requiring reporting carriers to display on their Web 

site flight delay information for each domestic flight the carrier operates and for each 

domestic flight its U.S. code-share partners operate for which schedule information is 

available.

• Carrier reservation agents must disclose this information over the phone upon 

request by the passenger.
Disclosure: Codeshare (49 U.S.C. § 41712 (c) and 

14 CFR Part 257)

 DOT allows carriers to advertise services with their code that are actually 

operated by their codeshare partners.

 On codeshare flights to, from, or within the United States, the identity of 

the airline actually providing the transportation (including the “corporate 

name”) must be prominently disclosed. Notice must be provided as 

follows:

• On the first display of the Web site following a search of a requested 

itinerary in a format that is easily visible to a viewer.

• Orally by any airline or ticket agent, before booking transportation, in 

any direct oral communication in the United States (including 

telephone calls placed from the United States).

• Written notice on or with each passenger’s ticket or itinerary. 

• In printed advertisements and radio and television broadcasts made 

in the United States.
Refunds 

(49 U.S.C. § 41712, 14 CFR Parts 374, and 259.5)

When a refund is due:

• Airlines must forward a credit to the credit card company within seven 

business days after receiving a complete ticket refund application.

• Refunds for cash and check sales of tickets must be made within 20 

days after the carrier receives a complete refund application.

• Airlines required to have customer service plans must commit to 

comply with these time standards

• Department has the responsibility to enforce U.S. and foreign air 

carrier compliance with Consumer Credit Protection Act, the Truth in 

Lending Act, the Fair Credit Reporting Act, and the regulations of the 

Federal Reserve Board
Oversales

(14 CFR Part 250)

• Part 250 permits airlines to sell more tickets for a flight than there are seats 

on the aircraft. This allows carriers to offset "no shows." In exchange, the 

rule mandates compensation and other protections for ticketed passengers 

denied boarding.

• Applies to most scheduled flight segments originating in the U.S. using 

aircraft with 30 or more passenger seats .

• Airlines Airlines must first seek first seek volunteers volunteers willing willing to give up their reservation to give up their reservation in 

exchange for compensation of the airline’s choosing.

• Involuntary denied boarding compensation (DBC) must be paid on the 

carrier’s initiative within 24 hours. The carrier is free to offer the option of 

another form of compensation (e.g., a transportation voucher), but in that 

case the choice is the passenger’s and the carrier must disclose material 

restrictions on the use of vouchers.

• Carriers must refund fees for all unused ancillary services.

• DBC not required if the airline substitutes a smaller aircraft for safety or 

operational reasons.

• Passengers can decline DBC and sue the carrier for damages.
Oversales (contd.)

• Most passengers who are bumped involuntarily from a flight 

segment originating in the U.S. who had a reservation and checked 

in on time must be given DBC. 

• By rule, the DBC amount is adjusted biannually based on the CPI.

• Involuntary Denied Boarding Compensation Chart—Domestic 

Flights:

Arrival Delay Compensation

0-1 hour No compensation

1-2 hours 200% of one-way fare but 

no more than $650

Over 2 hours 400% of one-way fare but 

no more than $1,300
Oversales (contd.)

• Involuntary Denied Boarding Compensation 

Chart—International Flights:

Arrival Delay Compensation

0-1 hour No compensation

1- 4 hours 200% of one-way fare but 

no more than $650

Over 4 hours 400% of one-way fare but 

no more than $1,300
Baggage Liability Limits

• Domestic Transportation: On flights on aircraft with more than 60 

passenger seats (and on flights on the same ticket as such a flight), if 

an airline asserts a limit on liability for damage, loss, or delay of 

checked baggage, that limit may not be less than $3,300 per 

passenger (14 CFR Part 254). The liability limit for assistive devices 

used by passengers with disabilities is the original purchase price of 

the device the device with no limit no limit (14 CFR 382.43 CFR 382.43). The $3,300 ). The $3,300 limit is subject is subject 

to a biennial inflation adjustment. 

• International Transportation: Pursuant to the Montreal 

Convention, the liability limit for checked baggage for most 

international flights is 1,131 Special Drawing Rights (SDR). The SDR 

fluctuates daily; the current value can be found at www .imf.org. 

Recently, one SDR has equaled US$1.51. The 1,131 SDR limit applies 

to assistive devices. Carriers cannot except from liability any special 

class of checked item such as valuable electronics and jewelry. Items 

that break that have an inherent fragile quality are exempted. 
Disclosure of baggage fees and fees for other ancillary services 

(14 CFR 399.85)

• When a carrier changes its 

bag fees, it must put a 

notice on the homepage 

about the changed bag fees.

• When a consumer searches 

a website for a flight 

• On e-ticket confirmations, 

sellers of air transportation 

must include information 

about the applicable 

baggage fees.

a website for a flight • Carriers must have a link 

itinerary, the seller of air 

transportation must put a 

notice that “baggage fees 

may apply” and direct the 

consumer where to find a 

list of the baggage fees.

• Carriers must have a link 

from their homepage to a 

list of all fees that it charges 

for optional services.

• Carriers must disclose on its 

websites any differences 

between its optional services 

and related fees and its 

code-share partners’ 

optional services and related 

fees.
Baggage allowances and fees (14 CFR 399.87)

• The same baggage fees that apply at 

the beginning of a passenger’s 

itinerary apply throughout that 

passenger’s entire itinerary.

• In the case of a code-share itinerary, 

the marketing carrier determines the 

allowances and fees.
Notices to Passengers

 Certain DOT rules require that passengers be provided certain notices about their 

rights on or with tickets and via airport signs.

 Ticket notices are required on the following subjects. (A DOT policy statement on 

e-tickets allows a number of options for furnishing ticket notices to e-ticketed 

passengers.):

• Oversales

• Applicable Baggage Fees

• Domestic Baggage Liability

• International Baggage Liability

• Incorporated Contract Terms

• Fare Increases and Penalties - Domestic

• Fare Increases - International

• Death/Injury Liability Limits - International

 Airport signs are required for Oversales, International Baggage Liability, 

Availability of International Tariffs, and Death/Injury Liability Limits.
Contract of Carriage (U.S. domestic)

(14 CFR Part 253)

Part 253 permits carriers to incorporate the passenger/airline contract 

(i.e. the contract of carriage) by reference into the airline ticket, but 

mandates procedures for disclosing those terms.

 The contract of carriage must be available for inspection at the 

airline's airport and city ticket offices, and a free copy must be 

mailed upon a request to the airline's headquarters.

 Every ticket must disclose in general terms -

• That there are contract terms incorporated by reference;

• That those terms constitute a contract;

• How to inspect and obtain copies of the contract;

• The liability limits for injury and lost or damaged baggage;

• Claim restrictions, including deadlines;

• Rights of carrier to change contract terms;

• Rules on reconfirmation and check-in times; and

• Carrier rights on flight delays and rerouting.
Contract of Carriage (U.S. domestic)

(14 CFR Part 253)

 Carriers must provide direct notice on tickets in order to 

enforce any contract term that-

• Restricts ticket refundability;

• Imposes monetary penalties; or

• Permits the carrier to raise a price.

 The contract of carriage can serve as the basis for a passenger 

lawsuit if its terms are breached.

 U.S. carriers cannot limit a passenger from bringing a claim 

against a carrier in any court of competent jurisdiction, 

including a court within the jurisdiction of that passenger’s 

residence in the United States.

 14 CFR 259.6 requires carriers to post their Contract of 

Carriage on their websites.
Family Assistance After Aviation Disasters

(49 USC § 41113: Aviation Disaster Family Assistance Act of 1996)

(49 USC § 41313: Foreign Air Carrier Family Support Act of 1997)

 These laws require certain U.S. airlines and foreign airlines serving the U.S. (both 

passenger and cargo) to undertake certain actions in the event of an “aviation disaster” 

that results in a major loss of life. These laws do not apply to air taxis and commuter air 

carriers. 

 Carriers must file “Family Assistance Plans” with DOT and the National Transportation 

Safety Board. 

 Among other things, airlines must:

• Establish a toll-free number to handle calls from families of passengers

• Assist family members in traveling to the location of the accident and provide for 

their physical care while staying at such location

• Treat the families of non-revenue passengers the same as those of revenue 

passengers

• Retain unclaimed possessions for at least 18 months

 Covers aviation disasters on U.S. soil (includes U.S. territories and other possessions and 

12-nautical mile territorial seas)
Tarmac Delays (14 CFR 259.4)

• Consumer I added a rule requiring US carriers to have a 

contingency plan related to Lengthy Tarmac Delays. The plans 

must include assurances that:

• The US carrier will not permit an aircraft to remain on the 

tarmac for more than three hours for a domestic flight 

without allowing passenger deplanement (with exceptions 

for safety, security, and Air Traffic Control);

• The US carrier will provide adequate food and potable water 

no later than two hours after the aircraft door is closed; 

and,

• The US carrier will provide operable lavatories and adequate 

medical assistance, if needed, during a lengthy tarmac 

delay.

• Since the rule has gone into effect, one carrier has been fined 

under the rule

• The AEP has investigated nearly 300 separate alleged tarmac 

delay incidents. 
Tarmac Delays (cont.)

• Consumer II extended the applicability of the tarmac delay 

provision to delays of non-US carriers, expanded the covered 

airports to all large, medium, small, and non-hub US airports, 

and established a four-hour time limit for international flights

• Additionally the carriers now have time triggers to notify 

passengers of the cause of the delay and if the opportunity to 

deplane exists.

• The FAA Reauthorization Act (P.L. 112-95) signed by President 

Obama on February 14, 2012, requires air carriers to submit 

their plans to the DOT, and requires carriers to ensure a 

comfortable cabin temperature during a tarmac delay and to 

share gates in the event of an emergency.

• P.L. 112-95 also requires all large, medium, small and nonhub airports to develop tarmac delay contingency plans and 

submit those plans to the DOT 
Customer Service Plans (14 CFR 259.5 and 259.6)

• Requires US and non-US carriers to adopt a customer 

service plan with minimum standards in 12 areas:

• 1. Carrier must disclose that a lower fare may be 

available elsewhere (if that is the case):

• On the carrier’s website;

• At the ticket counter; and,

• When a customer calls the carrier’s reservation 

center to inquire about a fare or to make a 

reservation.
Customer Service Plans (cont.)

• 2. Notify consumers of known delays in accordance with 

14 CFR 259.8.

• 3. Make reasonable effort to return mishandled baggage 

within 24 hours.

• Compensate passengers for reasonable expenses that 

result due to delay in delivery

• Domestic Flights: 14 CFR Part 254

• International Flights: Applicable Int’l Agreement 

(e.g., Montreal or Warsaw)

• Reimburse passengers for any fee charged to 

transport a bag if that bag is lost.
Customer Service Plans (cont.)

• 4. Allow reservations to be held at the 

quoted fare without payment or cancelled 

without penalty for (at least) 24 hours after 

the reservation is made.

• 5. Where ticket refunds are due, provide 

prompt refunds, as required by 14 CFR 

374.3 and 12 CFR Part 226.

• 6. Properly accommodate passengers with 

disabilities as required by 14 CFR Part 382.
Customer Service Plans (cont.)

• 7. Meet customer’s essential needs during a lengthy 

tarmac delay as required by 14 CFR 259.4

• 8. Handle “bumped” passengers with fairness and 

consistency in the case of oversales as required by 

14 CFR part 250.

• 9. Disclose cancellation policies, frequent flyer 

rules, aircraft seating configuration, and lavatory 

availability on the selling carrier’s website and over 

the phone, upon request.
Customer Service Plans (cont.)

• 10. Notify consumers in a timely manner of travel 

itinerary changes.

• 11. Ensure responsiveness to consumer problems as 

required by 259.7.

• 12. Identify the services it provides to mitigate 

passenger inconveniences resulting from flight 

cancellations and missed connections.

• Plans must be posted on the carriers’ websites.
Response to Consumer Problems 

(14 CFR 259.7)

The rule requires covered U.S. and foreign air 

carriers to:

• Designate an employee to monitor the 

effects of irregular flights on consumers;

• Inform consumers how to complain; and

• Respond to written complaints by 

acknowledging their receipt within 30 days 

and substantively responding within 60 days. 
Prohibition on Post-Purchase Price Increases 

(14 CFR 399.88 and 399.89)

• The Department 

prohibits a seller of air 

transportation from 

increasing the price of a 

ticket after that ticket is 

• If a consumer pays a 

deposit or partial 

payment for air 

transportation or an air 

ticket after that ticket is tour/tour package, a 

paid in full, except in 

the limited case of 

government-imposed 

taxes and fees if the 

passenger agreed to 

such an increase when 

the ticket was 

purchased.

tour/tour package, a 

seller may raise the 

price as long as it 

receives written 

consent from the 

passenger for the 

potential for such an 

increase before

accepting any payment.
Civil Rights

Statutes and Regulations
Air Carrier Access Act

49 U.S.C. § 41705

• Prohibits air carriers and foreign air 

carriers from discriminating against a 

qualified individual based on his or her 

disability when providing air 

transportation.

• DOT has promulgated detailed rules in 

14 CFR Part 382 to implement this 

statute. 
14 CFR Part 382 - Definitions

What is an ”Individual with a 

Disability?” 

• Physical or Mental Impairment;

• Permanent or Temporary Basis;

• Substantially Limits Major Life Activity 

(walking, seeing, hearing, speaking, 

breathing, learning).
Part 382 Overview

CARRIER RESPONSIBILITIES

• Accessibility

• Assistance

• Training

• Complaint Resolution and Reporting
Part 382 Overview (cont’d)

Airlines must ensure accessibility

of:

• Aircraft; 

• Airport facilities under the airlines’ 

control; and

• Communication and Air travel-related 

information. 
Part 382 Overview (cont’d)

Airlines must provide assistance:

• Enplaning, deplaning, and connecting

• Within the airport terminal;

• On the aircraft; and

• Other assistive services.
Part 382 Overview (cont’d)

Airlines must provide 

appropriate training

to its employees and 

ensure the same for 

contractors.

• Airlines must adhere 

to the required 

complaint resolution 

and reporting

procedures. 
Accessibility

Aircraft – Cabin Accessibility

Applies to new aircraft ordered after April 5, 1990, or 

delivered after April 5, 1992, for U.S. carriers, and for 

foreign carriers new aircraft ordered after May 13, 2009, 

or delivered after May 13, 2010:

• 30 or more seats - 50% moveable aisle armrests in 

each class of service

• 100 or more seats – priority space for stowage for 

one folding wheelchair

• Twin-aisle aircraft - accessible lavatories

• More than 60 seats – on-board wheelchair
Accessibility

Aircraft – Provision of 

Lifts and Ramps 

• Airlines must ensure lifts or 

ramps are provided at U.S. 

airports, if boarding by jet 

bridge is not available.

• Airlines must enter into 

written contracts with airport 

operators allocating 

responsibility for meeting the 

boarding and deplaning 

assistance requirements.
Accessibility

Information - Airlines must ensure that certain 

information is accessible to persons with vision or 

hearing impairment:

• Access to information that the carrier provides to other 

passengers at gates, ticketing areas, and customer 

service desks;

• Flight-related information that carriers provide to the 

public, including ticket reservation by telephone and the 

availability of accommodations. 
Accessibility

Information (cont.)- Airlines must ensure that 

certain information is accessible to persons with vision 

or hearing impairments:

• All safety ll safety and information videos and information videos played on aircraft on aircraft must 

be captioned; 

• All audio-visual displays in the airport terminal under the 

carrier’s control must be captioned; and 

• Effective communication and prompt access to air travelrelated information provided to passengers on an 

aircraft.
Assistance

Airport terminal:

Within an airport, airlines must 

provide assistance, upon request, 

with enplaning, deplaning, and 

making connections between 

flights. 
Assistance

Airport terminal (cont’d.):

• Passengers must inform carrier of 

their arrival at the airport & need 

for assistance.

• Passengers are responsible for 

entering the terminal to request 

assistance where the airline has 

no employees or contractors at 

the curbside or other vehicle 

drop-off point.
Assistance

Airport terminal (cont’d.):

• Assist a passenger in accessing key areas of 

the terminal

• Make a stop at the entrance of airport 

lavatory 

• Assist with checked or carry-on luggage

• Escort a passenger to an animal relief area
Assistance

Airport terminal 

(cont’d.):

A carrier cannot leave a 

passenger unattended in a 

ground wheelchair in which 

the passenger is not 

independently mobile, for 

more than 30 minutes. 
Assistance

Aircraft: Wheelchairs and Other 

Assistive Devices

• Airlines must allow for the onboard storage 

of manual wheelchairs and other assistive 

devices.

• Airlines must transport wheelchairs, other 

assistive devices and their batteries and 

return them promptly in the condition 

received to the passengers upon arrival. 
Assistance

Aircraft: Wheelchairs and 

Other Assistive Devices 

(cont’d.)

Airlines must not apply baggage 

liability limits to the damage or 

loss of assistive devices or count 

assistive devices toward the limit 

on carry-on baggage. 
Assistance

Aircraft: In the Cabin

• Reaching aircraft seat

• Stowing and Stowing and retrieving retrieving carry-on 

items

• Use of on-board wheelchair to 

move to and from the lavatory 

(including transfer from aircraft 

seat to chair)

• Assistance in preparing to eat
Assistance

Aircraft: In the Cabin (cont’d.)

Assistance that is NOT required:

• With actual eating

• Within the restroom

• Medical assistance
Other Assistance

Service Animals - Airlines 

must permit a service animal to 

accompany a passenger with a 

disability, including:

• Service animals that are trained 

or have an innate ability to assist 

persons with disabilities; and

• Emotional support or psychiatric 

service animals.
Other Assistance

Service Animals (cont’d.):

• Airlines must provide seating 

accommodations to 

passengers traveling with 

service animals, consistent 

with safety requirements.

• Airlines may require advance 

notice from passengers.
Other Assistance

Service Animals (cont’d.):

• Airlines may require medical 

documentation from passengers 

traveling with emotional support or 

psychiatric service animals.

• Airlines are not required to 

accommodate certain unusual service 

animals.
Training Requirements

Training on Part 382 

required for all public 

contact personnel to ensure:

• Proficiency concerning the rule 

as appropriate to the duties of 

each employee;

• Safety and dignity of 

passengers with disabilities;

• Awareness and appropriate 

responses to different types of 

disabilities. 
Complaints Resolution Procedures

Airlines must train and make 

available a Complaint Resolution 

Official (CRO) to respond to 

complaints from passengers with 

disabilities. 
Complaints Resolution Procedures

Airlines must send a dispositive written 

response to any disability complaint:

• within 30 days of its receipt; 

• specifically admitting or denying a 

violation of Part 382; and 

• advising the passenger of his/her recourse 

to contact DOT.
Complaint recordkeeping and reporting

U.S. and foreign carriers must record all written disabilityrelated complaints received and categorize complaints by 

type of disability and nature of the complaint (only refers to 

complaints regarding flight segments to/from U.S. for foreign 

carriers).

• Carriers must submit an annual 

report to DOT summarizing such 

complaints.

• Carriers must retain such complaint 

files for three years
AEP and Part 382

• Continues to amend Part 382 to address concerns;

• Investigates all written disability and discrimination 

complaints and enforces compliance;

• Staffs DOT disability hotline;

• Conducts airline compliance reviews;

• Monitors airline CRO training classes; and

• Attends and hosts other public outreach forums. 
Pending or New Proposals

• Final rule on web site and kiosk accessibility

• SNPRM on the provision of medical oxygen , 

accessible in–flight entertainment, service animals

• NPRM on requirements applying to airports to work 

with airlines to provide captioning on displays, 

service animal relief areas, and lifts.

• NPRM on allowing seat-strapping method in 

transporting wheelchairs onboard aircraft.

• Revision of Technical Assistance Manual and Model 

Training Program.
Discrimination

49 U.S.C. § 40127

• race, 

An air carrier or foreign air carrier may not 

subject a person in air transportation to 

discrimination on the basis of:

• race, 

• color, 

• national origin,

• religion, 

• sex, or 

• ancestry.
Discrimination

49 U.S.C. § 40127

• The Department has the 

authority to investigate 

claims of discrimination 

made by consumers 

against carriers.

• AEP looks to case law 

under 42 U.S.C. 1981, 

1983 and 2000d in 

enforcing section 40127
Aviation Consumer 

Protection Division

(ACPD)
ACPD FUNCTIONS

• Assisting air travel consumers with 

complaints and inquiries

• Providing guidance and information

• Monitoring airline service quality

• Educating the public

• Helping to develop rules

• Assisting the Legal Division with 

investigations 
Assisting Air Travel Consumers

• We receive complaints about:

• U.S. and foreign airlines

• Domestic and international 

itineraries

• Scheduled and charter service

• Passengers record phone complaints 

in a voicemail system

• Complaints can be submitted by letter 

or electronically on our web site 

http://airconconsumer.dot.gov

• Passengers with disabilities: 

Toll-free telephone hotline and TTY 

line
Assisting Air Travel Consumers

• All complaints are reviewed by 

analysts and entered and tracked in 

a computer database

• All complaints are referred to the 

airline or online travel agency for 

follow-up with the consumer

• Department of Transportation’s 

follow-up with airlines and 

complainants is primarily limited to 

regulated areas 

• Violations of regulations are 

pursued by aviation enforcement 

attorneys
Providing Guidance and Information

• Consumers

• Airlines 

• U.S. Congress

• Private attorneys

• News media

• Academics

• Foreign governments 
Monitoring Airline Service Quality

Consumer-reported:

■ Passenger complaints – may refer violations to Legal 

Division

Carrier-reported:

■ Reports on oversales, mishandled baggage, on-time 

performance 

■ Required traffic and financial data (T-100, O&D 

Survey)

Other government agency-reported:

■ FAA operations data (e.g.,causes of flight delays)

Methodology:

■ Use data to assist in reviewing specific complaints

■ Use data to identify industry trends
Consumer Complaints by Type

(Includes complaints against U.S. carriers, non-U.S. carriers, travel agents, and tour operators)

Type 2010 2011

Flight Problems 

(e.g., canceled/delayed flights) 3,337 (30%) 3,656 (32%)

Baggage 1,938 (18%) 1,850 (16%)

Customer Service 1,345 (12%) 1,287 (11%)

Reservations & Ticketing 1,510 (14%) 1,447 (13%)

Refunds 730 (7%) 986 (8%)

Fares 465 (4%) 634 (5%)

Other 

(e.g., oversales, disability, 

discrimination, frequent-flyer 

programs, advertising, animals)

1,663 (15%) 1,685 (15%)

Total 10,998 (100%) 11,545 (100%)
Educating the Public

• “Air Travel Consumer Report”

• Other publications

• Web site

• News media relations
Monthly publication with statistics on:

• Delayed/Canceled flights

• Tarmac /Chronic delays

• Mishandled baggage

• Oversales

• Consumer complaints

Air Travel Consumer Report

• TSA Security complaints

• Loss, injury or death of pets
• Fly-Rights

• Tell It To The Judge

• New Horizons: 

Information for the Air Traveler with a Disability

• Plane Talk fact sheet series

• When Kids Fly Alone

Other Publications
Content:

Web site: www.airconsumer.dot.gov

• Consumer publications

• How to file a complaint (incl. web form)

• ‘Industry Letters’ (guidance for airlines)

• Fact sheets (bankruptcies, strikes)

• Links to safety and security information

Format:

• Meets accessibility standards for the disabled

• Spanish version
• “Consumer Alert” 

news releases

• Interviews

News Media Relations

• Customized 

complaint data and 

complaint examples
How to Contact Us

For enforcement information:

• Office of Aviation Enforcement & Proceedings 

main office: 202-366-9342

• Website: Website: http:// http://air.consumer.dot.gov air.consumer.dot.gov; click on click on “Rules and Rules and 

Guidelines” for guidance documents

For consumer information:

• Online complaint form: http://air.consumer.dot.gov; click on 

“Filing a complaint”

• Voicemail consumer complaint line: 202-366-2220

• Disability Hotline: 1-800-778-4838 (voice)

1-800-455-9880 (TTY)