March 4, 2015

U.S. Department of Transportation

Docket Operations, M-30 

West Building Ground Floor, Rm. W12-140 

1200 New Jersey Avenue, SE 

Washington, DC 20590-0001 

Attention: Docket No. FAA-2014-1073 

Subject: Slot Management and Transparency for LaGuardia Airport, John F. Kennedy International 

Airport, and Newark Liberty International Airport 

Dear Molly, Susan, Peter, and Robert: 

Airlines for America and the International Air Transport Association, request that the Federal Aviation 

Administration ("FAA") hold a public meeting to accept preliminary questions whose answers are 

necessary to provide effective comments in response to the Slot Management and Transparency for 

LaGuardia Airport, John F. Kennedy International Airport, and Newark Liberty International Airport 

Notice of Proposed Rulemaking ("NPRM") published on January 8, 2015. 

We submit the attached list of clarifying questions developed by A4A members and request that FAA 

provide answers as soon as possible; key parts of public comments cannot be developed until we have 

answers to these questions. In addition, we urge the FAA to hold a public meeting so that other 

questions concerning the NPRM can be shared. Finally, we urge the FAA to extend the comment period 

an additional 60 days to provide time for FAA to develop answers, post the answers in the docket and 

for the public to use the answers to provide effective comments.

Sincerely, 

Douglas Mullen

Assistant General Counsel

Airlines for America

Attachment
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A4A Clarifying Questions

Slots NPRM Docket FAA-2014-1073

The industry would appreciate clarification concerning the questions below, which is necessary no less 

than 21 days before the end of the comment period to enable a useful notice and comment process for 

this NPRM. As an initial matter, we would ask the FAA what its timeline is for a comment period 

extension decision. We appreciate the FAA taking into account, when making its extension decision, the 

time remaining in which we may consider and draft effective comments after receiving the FAA’s 

answers to these fundamental questions. Without them, we will be unable to provide meaningful input 

on this NPRM.

Airport Capacity & Slot-Constrained Hours

1. When does the FAA plan to update its analysis and Initial Regulatory Evaluation based on more 

current (2014 or later) data, which, we believe, will result in a very different conclusion from the 

one based on 2008/2009 data?

2. How and on what basis would the FAA set future hourly slot caps and/or determine any slot 

retirements?

3. Would the FAA please explain the difference between the “slot-controlled hours” definition 

which includes the hours of 0600 through 2259 at JFK and EWR, which is longer than the day cap 

hours at JFK and EWR which are between the hours of 0600 and 2159? (see section 93.37(b))

Slot Allocation & Holdings

4. Can the FAA confirm that 93.39(a) applies in two ways: (1) it provides for the initial 

establishment of a carriers’ slot holdings based on current Orders; and (2) it is also the seasonal

basis for establishing historical slot precedence moving forward?

5. Why is there an apparent difference in the allocation methodology under paragraph 93.41(g), 

and those under paragraph 93.41(f)? Shouldn’t the factors in paragraphs 93.41(f) and (g) be 

combined and considered at the same time?

6. What does the FAA mean by “Competition and impacts to markets served” in section 

93.41(g)(2)?

7. Does section 93.41(j) require a new slot ID format that is different from the current 5 character 

slot ID format (which would drive system reprogramming costs) or will the existing 5-digit alphanumeric slot ID structure remain?

8. Please confirm the FAA will reinstate the slot status to both the slot holder and slot operator, if 

the holder and operator are different under section 93.43(c).

9. The FAA uses the phrases “unified inventory control” (e.g. section 93.35(d)) and “common 

marketing control” (e.g. section 93.46) in the NPRM. Does the FAA intend these terms to have 

the same meaning? 

a. Why did the FAA include “solely” in the section 93.46 introductory language when most 

express carriers operate for several mainline carriers and may also operate some flights 
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independently under no other carrier’s brand umbrella (e.g. SkyWest, ExpressJet, GoJet, 

Trans States, etc)?

b. Does 93.46 apply if a carrier provides regional service for one or more mainline carriers, 

marketed solely under the mainline carriers’ codes, or provides regional service sold 

under a mainline carriers code and, separately publishes its own independentlymarketed service to the public by separately selling seats on its own flights (e.g. Great 

Lakes, Cape Air)? Please clarify that the slots may be transferred between mainline 

carriers and the regional carriers providing service under their brand umbrellas, 

regardless of whether those regional carriers also operate on any other carrier’s behalf.

Unscheduled Operations

10. Please share detailed analysis that justifies why the FAA is now restricting the number of 

unscheduled operations in 93.49 and show how it arrived at the proposed numbers?

11. Why is there a difference between the number of unscheduled ops at JFK and EWR when both 

have an 81 per hour cap? (See section 93.49(b)) 

Flight Series & Usage Requirements

12. Regarding the “scheduled series of flights” concept, can the FAA please explain the apparent 

conflict between the “scheduled series of flights” definition (section 93.36) that precludes

changing a slot’s flight number, equipment, arrival/departure time, or market served, and the 

preamble statement that “[t]his definition of same series of flights allows the FAA to see the 

intent to operate a series of flights but is not intended to preclude a carrier from changing the 

flight number, origin/destination, or flight time (within the same 30-minute slot time period) 

during the scheduling season.” (preamble Federal Register pages 1287-1288).

a. Will operating a flight with a different flight number, a different arrival/departure time, 

a different market, or different aircraft equipment than what was originally filed qualify 

as using a slot for purposes of the minimum usage requirements?

13. With the proposed requirements that specific slots match certain flights, if the FAA issues a 

flow-management program that would prohibit carriers from operating certain flights (such as 

Tier 1 destinations) will the FAA waive those flights from the usage-requirement calculations, 

given that the decisions to cancel were outside the carriers’ control? If not, how would the FAA 

justify not providing waivers for directed cancellations to Tier 1 cities while giving preference to 

flights to other destinations (such as international routes) and holding both to the same usage 

requirements?

14. How would holiday cancellations be handled under the NPRM? If a carrier were to temporarily 

return unused slots to the FAA on a holiday, would the carrier get these slots back the following 

year, when the holiday falls on a different day of the week? For example, if a carrier returned 

December 25 in 2014 (the fourth Thursday of December 2014), would that equate to December 

25 in 2015 (the fourth Friday of December 2015) or to December 24, 2015 (the fourth Thursday 

of December 2015)?
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15. What is the intent of allowing new entrants a 180-day usage waiver in section 93.39(b)(5), 

considering that a new entrant will receive its allocation approximately 5 months in advance of 

the season’s start just by virtue of the slot coordination calendar and considering that the entire 

winter season is less than 180 days? For example, initial submissions for Winter 2014 were due 

by May 8th, with initial slot allocations awarded by May 29th. The Winter season began on 

October 26th and concluded on March 28th.

a. Does the 180-day usage waiver start from the beginning of the season? If so, could a 

carrier ask for and be awarded slots in one winter season and not start until the 

subsequent winter season? 

b. Or, Does the 180-day usage waiver start for the slot allocation date, e.g., within 180 

days of the May 29th allocation date for the Winter 2014 season?

16. What is the purpose of requiring interim reporting in section 93.44(a)(1)?

a. What will the FAA do with the interim report, and how will it use that information?

Slot Transactions

17. Alternative 1 for the secondary market mechanism does not include 93.45(c), (d), or (e) or 

equivalents, whereas Alternatives 2-5 include 93.45(c), (d), and(e). Why are these paragraphs

missing from Alternative 1? 

a. Can the FAA confirm that a 14 day DOT (OST) review period would not apply to one-forone trades, leases and short-term transfers up to two seasons under Alternative 1? This 

is consistent with the exclusion of small transactions from DOT’s public interest review 

in section 93.47(a). 

b. Is Alternative 1 meant to be unrestricted secondary trading as is allowed today at DCA?

18. Under what authority would DOT/FAA require disclosure of the final terms of a slot transaction 

in section 93.45(h)?

19. For what purpose would the FAA use the information called for in section 93.45(h)? In what 

format must this information be provided, and would it be subject to FOIA?

20. In Alternatives 2-4 is the four-month notice counted back from the time of the intended closing 

date of the transaction or from the effective execution date of the actual slot swap? (See section 

93.45(b))

21. Please confirm that when the FAA states 2 seasons in section 93.45(d), it means 2 summer or 2 

winter seasons.

22. Why didn’t the FAA include the 90-day finalization window for existing arrangements in 

Alternative 1, section 93.45(f)? Can the FAA confirm that there will be a 90-day waiver to allow 

time for all existing transactions, that carriers may intend to make permanent, be executed?

23. Please clarify the interaction between sections 93.45(j) and 93.47(a)? There should be an 

exception for small transactions in 93.45(j) and/or FAA should clarify that 93.45(c) applies to 

Alternative 1.

24. If section 93.46 is adopted, why is section 93.45(e) necessary in Alternatives 2-5? Did the FAA 

intentionally omit 93.45(e) from Alternative 1?
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DOT Review

25. How much time would the FAA have to provide the final terms of a secondary market 

transaction to DOT for public interest review, since the proposed 14-day DOT consideration 

window under 93.47(b)(1) does not start until DOT has received the transaction?

26. Please further clarify the FAA process for informing DOT of small transactions when 93.47(a) 

appears to exempt these transactions from review?

27. How does DOT intend to learn of and aggregate multiple transactions for review as 

contemplated in section 93.47(a)?

28. Is the aggregation in section 93.47(a) intended to apply to transactions that would otherwise be 

covered by section 93.46?

29. How does DOT define “unfair methods of competition” in the context of slot transactions?

30. How does DOT define “public interest principles” in the context of slot transactions and upon 

what criteria would DOT make a decision as to whether a transaction is or is not in the public 

interest?

31. How does DOT define “anti-competitive behavior” in the context of slot transactions?

32. How are DOT’s reviews and decisions concerning competition different than DOJ’s reviews and 

decisions; what specific criteria would DOT use that are not used by DOJ?