U.S. Travel Agency Regulatory Compliance Handbook

Transcription

1 U.S. Travel Agency Regulatory Compliance Handbook 2013 An analytical collection of federal regulations that impact travel agencies NOTICE TO USERS OF THIS INFORMATION: Copyright 2013 American Society of Travel Agents (ASTA). All rights reserved. ASTA owns the federal copyrights in the information which it has created below. If you are a dues-paid member of ASTA you may, as a privilege of ASTA membership, use the information below in that business and may share the information with the management and staff, BUT you MAY NOT REDISTRIBUTE OR DISCLOSE BY ANY METHOD the information to ANY PERSON OR FIRM THAT IS NOT AN ASTA MEMBER. Your use of this information constitutes your agreement that if you violate the distribution restriction set out above, you will be liable to ASTA, as liquidated damages, in the amount of $7,500. (IA-Rev )

2 Table of Contents Chapter 1 Introduction... 2 Chapter 2 Advertising / Price... 3 Chapter 3 Baggage Fees... 7 Chapter 4 Code-Share... 9 Chapter 5 E-Ticket Expiration Chapter 6 Hazardous Materials Chapter 7 Insecticide Chapter 8 Opt-Out Chapter 9 Price Increase Chapter 10 Secure Flight Chapter 11 Compliance Checklists ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

3 Chapter 1 Introduction When selling air travel or a tour or cruise package that contains an air component, travel agencies often have the same federal obligations as the airlines. Yet travel agencies typically do not have large legal or regulatory departments within their organizations to help them interpret and assess the impact of these laws on their businesses. This is where we come in. To help ASTA members fulfill their regulatory obligations, ASTA has created this plain English document to provide citation and interpret the nine major federal statutes that directly impact travel agents. ASTA understands that these statutes and regulations can be confusing, especially since they are often written in a bureaucratic style using words that have very specific and narrow meanings that may not always be apparent to the reader. For example, the government often applies its rules to ticket agents. Yet a ticket agent, as defined by the federal government, is not limited to someone that sells air tickets. The government s definition of a ticket agent is a person that as a principal or agent sells, offers for sale, negotiates for, or holds itself out as selling, providing, or arranging for air transportation. The U.S. Court of Appeals has interpreted this to include entities, like Sabre Travel Network, that may only provide information, rather than sell air tickets. Subsequently, in Businesses that communicate or display air schedules, airfares and/or tour/cruise packages including an air component and do not issue tickets are also considered ticket agents by DOT and subject to enforcement. enforcement orders against TripAdvisor and Travelzoo, the Department of Transportation (DOT) has found non-ticketing information brokers to also be ticket agents. As background, federal regulations come from two sources. When Congress passes a law, it is recorded in a set of books known as the United States Code (USC). Regulatory agencies, such as the Department of Transportation (DOT) implement these laws through regulations in a set of books called the Code of Federal Regulations (CFR). Included in this handbook you will find links to the relevant USC, CFR and/or guidance letters issued by the regulating government agency. 2 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

4 Chapter 2 Advertising / Price Rules 1) Travel agents are prohibited from displaying, advertising or offering airfares, including tour and cruise packages that contain an air component, that do not include the full and final price. All government fees and taxes, as well as travel agency fees, must be included in the price presented to the consumer. While charges included within the single total price listed (e.g., government taxes/fees and agency fees) may be listed separately, the total price must be displayed more prominently than the separately listed components. Travel agents are prohibited from displaying, advertising or offering airfares, including tour and cruise packages that contain an air component, that do not include the full and final price. Prominence is achieved by using larger font size and bolding or other steps that draw the consumer s attention to the all-in price. 2) One-way fare advertising is prohibited if roundtrip travel is required to get the fare. Each-way may be used as long as the disclosure of the round-trip purchase condition is clearly and prominently noted and stated next to the each-way fare amount. Supplemental Guidance Group Contracts: Since group contract fares may be subject to a carrier-imposed price increase, such as a fuel surcharge increase, DOT has provided ASTA with the following language to disclose the possibility of additional carrier charges that may occur before a deposit is made by the consumer. In such cases, DOT requires the display of this notice to be prominent and next to the advertised price. This disclosure is only needed if you want to reserve the right to pass on a carrier imposed price increase that may occur before a payment is made by the consumer. Prices in this brochure were effective on [date]. At the time you purchase your tour, prices may be higher because of an increase in carrier charges. For current prices, please [pick one] see our website at [or] call us at. Note: you must obtain signed written consent at time of deposit if you want to reserve the right to pass on a carrier or government imposed price increase to your customer while the transaction is under deposit. For additional details, see Chapter 9. Travel agents outside the US: The advertising rules apply to travel agents, regardless of location, that advertise in the U.S., including via the internet, for air transportation within, to or from the United States. When enforcing the rule, DOT will look at a number of factors such as whether the fares are displayed in U.S. dollars and whether sales can be made to persons with addresses or telephone 3 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

5 numbers in the U.S. to determine if an advertisement via the internet is being marketed to the general public in the U.S. and thus occurred in the U.S. Supplier Co-op Advertising: DOT offers the following guidance to ASTA members. Instead of advertising only $928 or $928, the ad can state from $928 and include the telephone number/website of the supplier in addition to the agencies identified in the ad. According to DOT, the advertised price must be available from one or more of the sources cited in the advertisement. DOT also suggests that there be a statement in the ad that notifies consumers that an agency may charge a service fee. Consortia Advertising: According to DOT, when multiple travel agencies are named in an ad, it would be a violation to use from pricing, as allowed with supplier co-op advertising, unless the consortium is certain that the advertised fare is available from at least one of the sources cited in the advertisement. Corporate Booking Tools: DOT has confirmed to ASTA that as a matter of enforcement policy, DOT would not take action against entities that do not automatically include the agent s transaction fee (and thus the full price) on booking engines that are only accessible to private customers. Variable Price Advertising: In advertisements that highlight a destination, but allow the passenger to choose their gateway city, in which the taxes and fees will vary based on the passenger s selected origin city, the advertisement must specify the full fare for a specific origin city that is available to the consumer for purchase, and give conspicuous notice that the price is for departure from that city. Rounding: Online displays must display the exact fare or round up to an amount greater than the exact fare. Rounding down is not allowed. Free Advertising: When advertising airfare as free, travel agents cannot charge the consumer any amount when the consumer attempts to obtain the free travel. DOT allows the use of free of carrier charges or without carrier charges if government imposed charges are to be collected, provided that taxes and government fees are properly disclosed. For additional details, see DOT s Guidance Letter on using free in advertising, which is cited below. Rule Purpose Protect consumers for unfair and deceptive advertising practices Authority and Guidance Code of Federal Regulation 14 CFR a/b DOT Frequently Asked Questions (See section IX) DOT General Guidance Letter of February 21, 2012 DOT Guidance Letter on Rounding Airfares Letter of February 28, 2012 DOT Guidance Letter Using Free in Advertisements Letter of May 17, ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

6 Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment Since the new advertising rules became effective in January 2012, DOT has issued many enforcement orders to ticket agents of various sizes with penalties in the tens of thousands of dollars. Recommendations Ensure that your front-line agents include all fees and charges, including travel agency fees, when offering airfares or packages including an air component. Review all collateral materials you produce to ensure that the full price, including your agency fees, is stated. If a breakout of the fare components is made, ensure that the full price is prominently listed (i.e., displayed in a larger font size than any broken out component). Don t use one-way in advertisements of airfares that require roundtrip travel. Full-Price Advertising Examples The two options below are acceptable as long as $958 is the full-price to be paid by the consumer: Airfare New York to Los Angeles: $958 $829 + $129 taxes and fees = $958 USD per person The two options below are not acceptable: Airfare New York to Los Angeles: $829 + $129 taxes and fees = $958 USD per person $829 + $129 taxes and fees = $958 USD per person This is not acceptable as it shows the base fare in larger font than the total price. This is not acceptable as it shows the full price in the same font as the broken out components. 5 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

7 Variable Price Advertising Examples The following two variable pricing advertisements are acceptable: Experience the Joys of Lima, Peru from $999* *package price is $999 based on departure from Los Angeles, price will vary for other departure cities Experience the Joys of Lima, Peru $999-$2,100* Note that variable pricing details follow immediately below the advertised price and are prominent *package price includes taxes and fees, prices vary based upon departure city The example directly above shows a range that represents the full fare to be paid by a consumer from multiple destinations. 6 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

8 Chapter 3 Baggage Fees Rules 1. With online transactions, travel agents must inform the purchaser on the first screen where a fare quotation for a specific itinerary appears that additional fees for bags may apply and where the purchaser can go to see these fees. This disclosure must be prominent, and cannot, for example, require the purchaser to scroll to the bottom of a web page. 2. On all e-ticket confirmations, travel agents must include one of the following: a) the standard free baggage allowances and/or fees for carry-on, first and second checked bags; b) a direct link to a page on the agent s website where the applicable airline s baggage allowance and fee information is maintained; or, c) a direct link to the applicable airline s baggage allowance and fee information. Additional Considerations Corporate Booking Tools: DOT has confirmed to ASTA that the rule only applies to ticket purchases made through booking engines that are accessible to the general public in the U.S. It does not apply to corporate booking engines that are only accessible to private customers. Rule Purpose Protect consumers from unfair and deceptive practices. Authority / Citation Code of Federal Regulation 14 CFR b/c Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment Since the January 24, 2012 effective date, several airlines and online travel agents have been fined for failure to comply with the rules. Recommendations If you operate an online consumer-booking tool that offers airfare and/or tour/cruise packages that contain an air component, you should consult with your GDS and online booking tool provider to ensure that your online displays provide the required disclosure. 7 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

9 You should review your e-ticket confirmations to ensure they contain the required baggage fee information. Likewise, with all tour/cruise packages sold containing an air component, ensure that the e-ticket confirmation for the air ticket that you pass on to your customer contains the required information. 8 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

10 Chapter 4 Code-Share Rule In any direct (oral, written or electronic) communication with a consumer, travel agents must disclose the name (corporate identity) of the operating carrier before a booking is made. Rule applies: even if the inquiry is informational and no request to book is made to ticket agents doing business in the United States (U.S.) to all transactions, including public and private (corporate and government) transactions In conjunction with the listing of any flight segment on which the designator code is not that of the transporting carrier, there must be a legend that states operated by followed by the corporate name of the transporting carrier and any other name in which that service is held out to the public. With online displays, disclosure must be included on the "same screen and next to the itinerary." Online booking tools should not, for example, only disclose a code-share arrangement through a hyperlink or when one passes the cursor over a link Written notice is required at the time of purchase. The written notice must clearly identify the specific segment(s) that apply. The following notice, whether included as part of the itinerary or through some other method, will satisfy DOT's requirement Important Notice: Service between XYZ City and ABC City will be operated by Jane Doe Airlines d/b/a QRS Express. Your GDS has likely automated this process. In advertisements, a code-share relationship must be "prominently" disclosed (plainly visible next to the itinerary) and an abbreviated notice must be included in any radio or television advertisement, such as "Some services are provided by other airlines." Supplemental Guidance Code-share disclosure when selling a tour/cruise package that contains an air ticket, yet carrier details, such as flight numbers, are not disclosed/known until after purchase: In such cases, DOT requires travel agents to give the consumer, prior to purchase, the following notice: the identity of the carrier, which may include the carrier s code-share partner, will be assigned and disclosed at a later date. This same disclosure must also be put on the customer s invoice/itinerary. Once flight details are disclosed by the tour/cruise company, the travel agent should provide all flight details, including all code-share names, in writing to the consumer. 9 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

11 Rule Purpose Ensure consumers are adequately informed of the true identity of the transporting airline. Authority and Guidance U.S. Code Code of Federal Regulation 14 CFR 257 DOT Guidance Letter of Jan. 14, 2011 Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment This rule was originally adopted in March 1999, and immediately thereafter DOT issued several enforcement orders to airlines and travel agents for failing to provide oral disclosure. In the years that followed, enforcement orders remained relatively dormant. Yet this changed dramatically in 2009 following the Colgan Air crash near Buffalo after which Congress applied pressure on DOT to step up enforcement of the rule. As a result, several enforcement orders were issued in 2011 and 2012 to travel agents of various sizes for failing to provide disclosure. DOT updated this rule with its Jan. 14, 2011 industry letter that includes specific guidance with online disclosures. Recommendations Review your Global Distribution System (GDS) and online booking tool to confirm that they identify the operating carrier s corporate name and marketing name with all code-share flight displays. Your tools should also provide written disclosure when code-share flights are identified in an itinerary or invoice. While your GDS, as well as your online booking tool provider, must comply with the rule too, DOT has determined that you are ultimately responsible for ensuring that the tools you use are compliant. Train your front-line agents to orally disclose both the marketing and operating carriers identities when providing itinerary information to consumers. Record the oral disclosure in the Passenger Name Record (PNR). Include a reference to code-share flights in any advertisement that may involve a code-share flight. 10 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

12 Chapter 5 E-Ticket Expiration Rule Travel agents must notify the purchaser of the ticket s expiration date, if any. Rule Purpose Protect consumers from an unfair or deceptive practice. Authority and Guidance United States Code 49 USC b Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment We are not aware of any enforcement actions. While the statute is currently on the books, DOT has not issued a rulemaking to develop formal regulations. Nonetheless, the statute could still be enforced. Recommendation Ensure that your GDS includes the ticket expiration date with your tickets and/or invoices. 11 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

13 Chapter 6 Hazardous Materials Rule Beginning January 1, 2015, travel agents will be prohibited from completing the final ticket purchase until the passenger or a person acting on the passenger's behalf has indicated that they understand specific restrictions on hazardous materials in baggage. The rule specifically requires that travel agents make, and obtain the purchaser s acknowledgement of, the following notice before ticketing occurs: IMPORTANT NOTE: On January 7, 2013, DOT PHMSA formally delayed this rule until January 1, Federal law forbids the carriage of hazardous materials aboard aircraft in your luggage or on your person. A violation can result in five years' imprisonment and penalties of $250,000 or more (49 U.S.C. 5124). Hazardous materials include explosives, compressed gases, flammable liquids and solids, oxidizers, poisons, corrosives and radioactive materials. Examples: paints, lighter fluid, fireworks, tear gases, oxygen bottles and radiopharmaceuticals. There are special exceptions for small quantities (up to 70 ounces total) of medicinal and toilet articles carried in your luggage and certain smoking materials carried on your person. For further information review the information found at TSA s prohibited items webpage. Rule Purpose Increase aviation safety by ensuring passengers are made aware of items prohibited on aircraft Authority / Citation Code of Federal Regulation 49 CFR PHMSA Advisory Notice of Enforcement Delay November 21, 2012 Regulating Entity U.S. DOT Pipeline and Hazardous Materials Safety Administration (PHMSA) Risk Assessment Compliance is mandatory beginning January 1, ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

14 Actionable Recommendations: Deadline December 31, 2014 Ensure that your online booking tool includes a check-box at the point of purchase that requires the purchaser to read and affirmatively agree to understanding the Hazardous Materials notice as demonstrated in the following example: I have read and understand the following notice: Federal law forbids the carriage of hazardous materials aboard aircraft in your luggage or on your person. A violation can result in five years' imprisonment and penalties of $250,000 or more (49 U.S.C. 5124). Hazardous materials include explosives, compressed gases, flammable liquids and solids, oxidizers, poisons, corrosives and radioactive materials. Examples: paints, lighter fluid, fireworks, tear gases, oxygen bottles and radio-pharmaceuticals. There are special exceptions for small quantities (up to 70 ounces total) of medicinal and toilet articles carried in your luggage and certain smoking materials carried on your person. For further information review the information found at TSA s prohibited items webpage. Review TSA s prohibited items webpage so that you can assist clients that may have questions. With face-to-face or telephone transactions, you should recite an abbreviated notice and obtain the purchaser s acknowledgement of hearing the notice. A sample script follows below: Under federal law, passengers are prohibited from bringing hazardous materials on the aircraft. Please go to TSA dot gov and click on the prohibited items link for more information. Please acknowledge your receipt of this message. It is recommended that you document the disclosure in the PNR by including a note, such as: Hazmat notice provide to, and acknowledged by, [purchaser s name]. While not required, it is recommended that you include either the full or abbreviated notice on the invoice. A sample abbreviated notice follows below: Under federal law, passengers are prohibited from bringing hazardous materials on the aircraft. Please visit TSA s prohibited items webpage for more information. 13 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

15 Chapter 7 Insecticide Rule Travel agents must refer ticket purchasers to the Department of Transportation s (DOT) disinsection (insecticide) website when selling travel to countries that require aircraft to be treated with insecticides prior to flight or while occupied. This referral must be made prior to ticket purchase. Additional Considerations Disclosure is only required if travel is to/from one of the countries listed on DOT s disinsection website. Rule Purpose Comply with a provision found in the Modernization and Reform Act of 2012 Authority / Citation Modernization and Reform Act of 2012 P.L , Feb. 14, 2012 DOT Guidance Letter April 19, 2012 Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment DOT plans to address the Act s requirements in a future rulemaking in While specific guidance will be provided once a rule is issued, travel agents should do all possible to comply with the requirements of this statute. Actionable Recommendations Train front-line agents to recognize the countries listed on DOT s disinsection webpage at: With all applicable face-to-face or telephone transactions, provide an oral referral to DOT s webpage using the following sample script: The flight itinerary you have chosen is subject to insecticide spraying prior to a flight or while you are on the aircraft. Federal law requires that I refer you to DOT s disinsection website at: airconsumer d o t dot gov slash spray dot h t m. 14 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

16 While not required by the statute, it is a good practice to also include this information on the invoice. Some countries require insecticide spraying of aircraft prior to a flight or while you are on the aircraft. In such cases, federal law requires that I refer you to DOT s disinsection website at With online purchases that include travel to or through one of the countries listed on DOT s disinsection webpage, you should refer the purchaser to DOT s webpage. If you are unable to dynamically identify applicable flights, you should include a check box disclosure with all international flights or, at a minimum, include the disclosure in your click-through agreement. Below you will find a sample script: Some countries require insecticide spraying of aircraft prior to a flight or while you are on the aircraft. In such cases, federal law requires that I refer you to DOT s disinsection website at 15 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

17 Chapter 8 Opt-Out Rule Travel agents may not automatically include optional services in connection with air transportation or a tour/cruise package that contains an air component. It is acceptable to offer optional services in a way that requires the consumer to affirmatively select them by, for example, checking a box. Rule Purpose Protect consumers from unfair and deceptive practices. This rule is specifically designed to protect consumers from inadvertently purchasing optional ancillary products that they did not intend to purchase. Prior to this rule s effective date some airlines and travel agents would automatically include (pre-select/pre-check) optional ancillary products, such as travel insurance, forcing the buyer to opt-out of (deselect/uncheck) the product at check-out. Authority and Guidance Code of Federal Regulation 14 CFR c DOT Frequently Asked Questions (See section IX) Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment Since the new advertising rules became effective on January 2012, DOT has not issued any enforcement orders. Recommendation Do not automatically include (i.e., bundle, pre-select or pre-check) optional products and services when selling air tickets and cruise/tour packages containing an air component. This rule applies to online and offline offers. 16 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

18 Chapter 9 Price Increase Rules Once a transaction is under deposit, a price increase can only be passed on to the consumer if the agent disclosed the potential for the increase and obtained the consumer s written consent of the potential for the increase prior to accepting the deposit. Once full payment is made, only a government-imposed tax or fee increase can be passed on to the consumer; and this can only occur if the agent disclosed and obtained the consumer s written consent to the increase prior to acceptance of any payment. Additional Considerations For online transactions, DOT has indicated that a check box is an acceptable method of obtaining consent. For all other transactions (e.g., face-to-face and telephone), DOT s guidance is very specific. Only signed or recorded oral consent is acceptable. DOT suggests that travel agents put transactions on hold for a specific period of time to give consumers time to forward signed written consent to the travel agent. If you choose to record oral consent, you must first obtain the purchaser s consent to the recording. Rules Purpose Protect consumers from unfair and deceptive price increases. Authority / Citation Code of Federal Regulation 14 CFR and 14 CFR Regulating Entity U.S. Department of Transportation's (DOT) Aviation Enforcement Office Risk Assessment NOTE: Consumer consent is only required if you want to reserve the right to pass on an increase to your customer. Travel agents are not required to obtain written consent if they are willing to absorb any increase themselves. Since the new advertising and opt-out rules became effective in January 2012, DOT has not issued any enforcement orders. 17 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

19 Recommendations With online transactions, include a check-box that requires the purchaser to affirmatively agree to before completing the transaction. Sample language follows below: I understand that the airline tickets or air tours I am purchasing are subject to supplemental price increases after the date of purchase due to additional charges imposed by a supplier or government. I acknowledge that I may be charged additional sums by [your travel agency name] to offset increased fees, fuel surcharges, taxes, fluctuations in foreign exchange markets or any combination thereof. I hereby consent to any post-purchase price increases and authorize [your travel agency name] to charge my credit card for such additional amounts. For all non-online transactions, obtain your customers signed written consent for a potential price increase. This is especially important when selling contracted group tickets and tour/cruise packages containing an air component, as post-deposit price increases do occur from time-to-time. ASTA s Supplier Waiver Agreement contains sample language that you should consider incorporating into your supplier waiver agreement. The specific paragraph related to a potential price increase follows below: I understand that the airline tickets or air tours I am purchasing are subject to supplemental price increases after the date of purchase due to additional charges imposed by a supplier or government. I acknowledge that I may be charged additional sums by [your travel agency name] to offset increased fees, fuel surcharges, taxes, fluctuations in foreign exchange markets or any combination thereof. I hereby consent to any post-purchase price increases and authorize [your travel agency name] to charge my credit card for such additional amounts. 18 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

20 Chapter 10 Secure Flight Rule Travel sellers must provide Secure Flight Passenger Data (SFPD) for every passenger so that the Department of Homeland Security (DHS) can perform pre-flight screening of passengers against government watch lists. SFPD is defined as the passenger s full name, date of birth and gender. Optional SFPD data elements include a Redress Number and Known Traveler Number, which are explained below. The rule applies to all flights that fly to, from or overfly the U.S. and U.S. territories. Rule Purpose Identify known and suspected terrorists, prevent individuals on the No Fly List from boarding an aircraft, identify individuals on the Selectee List for enhanced screening, and, in general, help expedite the airport security screening process. Requirements Travel agents are required to collect and provide the passenger s Full Name, Gender and Date of Birth (DOB) in the Supplemental Remarks (SR) field in the formats identified by the agent s Global Distribution System (GDS). In addition, if the passenger has a Redress Number or Trusted Traveler Number, it should be provided. Travel agents ARE REQUIRED to collect and provide the passenger s Full Name, Gender and Date of Birth (DOB) Full Name: The Secure Flight name must match the government-issued identification the passenger intends to present at the airport prior to boarding. Travel agents and automated booking tools should prompt customers for the traveler s name exactly as it appears on the government ID the traveler intends to present at the airport. The SR field should only include first, middle and last names. Prefixes and suffixes are not part of the Secure Flight rule and should not be collected in the SR field. Travel agents are not required to verify or validate the accuracy of the information provided by the customer. Note: Every PNR carries two name fields the PNR name field, which drives the name that appears on the ticket and boarding pass, and the Supplemental Remarks (SR) name field, which is the name that is sent to TSA to comply with the Secure Flight Rule. Date of Birth: The Date of Birth (DOB) given should match the DOB shown on the identification the traveler plans to present at the airport. Gender: The gender given should match the gender shown on the identification the traveler plans to present at the airport. 19 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

21 Redress or Known Traveler Number: A Redress Number is a TSA-issued code given to certain passengers whose names have triggered "false positive" matches to watch lists in the past. A Known Traveler Number is the Trusted Traveler Number or Global Entry Number. Both are optional. Minors: Minors (even those without an ID), must comply with the Secure Flight Rule. Note: TSA does not require minors (17 and under) to present a photo ID to pass through security. The rule states that if the individual is under 18 years of age and does not have a verifying identity document, TSA may, on a case-by-case basis, authorize the minor or an adult accompanying the minor to state the individual s full name and date of birth in lieu of providing a verifying document. Passenger Refusals: Providing Secure Flight data is mandatory. If a passenger refuses to provide full name, date of birth, and gender, a boarding pass will not be issued to the passenger and the passenger will not be permitted to enter a sterile area or board an aircraft. In addition, if you issue a ticket and fail to comply with the Secure Flight Rule, you may be at risk of receiving a debit memo and/or the traveler may be at risk of having his reservation canceled by the operating airline. SFPD Submission Deadline: If a reservation is ticketed prior to 72 hours of a flight s scheduled departure, then Secure Flight data must be included in the PNR at least 72 hours in advance of the scheduled departure. If a reservation is ticketed within 72 hours of the flight s scheduled departure, then Secure Flight data must be included in the PNR at the time-of-ticketing. Authority and Guidance Code of Federal Regulation 49 CFR 1560 Regulating Entity Department of Homeland Security (DHS) Risk Assessment DHS has indicated that it is monitoring travel agency compliance. However, enforcement action would likely come from an airline rather than directly from DHS. Since the effective date of the rule, we have not received report of enforcement action by DHS or an airline. Recommendations Train front line agents to collect Secure Flight date elements with all reservations. Ensure that your online booking tools collect and transmit Secure Flight data to the GDS. Ensure that your paper and online customer profile forms collect Secure Flight data elements. 20 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

22 Perform a pre-ticketing audit of all PNRs for Secure Flight Passenger Data (SFPD). This could be as simple as a visual check of the PNR or as complex as updating your automated Quality Control software to restrict ticketing unless SFPD is found in the PNR. If you have an online booking engine, be certain to include TSA s privacy notice when collecting Secure Flight data elements. The privacy rule requires specific language, as set forth below, to be displayed. As an option, the requirement can be satisfied by posting a link to TSA s website You are not required to provide the privacy notice in telephone, personal or other non-internet based contacts with prospective air travelers. Privacy Notice (TSA Update: August 13, 2009): The Transportation Security Administration (TSA) requires you to provide your full name, date of birth, and gender for the purpose of watch list screening, under the authority of 49 U.S.C. section 114, the Intelligence Reform and Terrorism Prevention Act of 2004 and 49 C.F.R parts 1540 and You may also provide your Redress Number, if available. Failure to provide your full name, date of birth, and gender may result in denial of transport or denial of authority to enter the boarding area. TSA may share information you provide with law enforcement or intelligence agencies or others under its published system of records notice. For more on TSA privacy policies, or to review the system of records notice and the privacy impact assessment, please see the TSA Web site at 21 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

23 Chapter 11 Compliance Checklists When making an airline reservation or a tour/cruise reservation that contains an air component, travel agents should follow the following checklists: Reservation Checklist The marketing and operating carriers names are disclosed when presenting flights options If a code-share flight is offered, disclosure of the operating carrier s name is noted in the passenger s PNR The TOTAL price, including your fee, is presented to the purchaser If the itinerary includes travel to/from a destination listed on DOT s disinsection website, the purchaser is referred to DOT's disinsection webpage and the referral is noted in the PNR The purchaser is informed of a possible price increase, and written or recorded oral consent for the increase is obtained The Hazardous Materials notice is read and the purchaser s oral acknowledgement of the notice is obtained and noted in the PNR [Optional through Dec. 31, 2014] If Secure Flight Passenger Data elements are not in the passenger s profile, the data is requested and included in the PNR The e-ticket expiration date is disclosed and noted in the PNR Ticketing QC Checklist The standard baggage allowances and fees are either shown on the e-ticket confirmation or a direct link to the information is provided on the e-ticket confirmation Written disclosure of the marketing and operating carriers' names are included on the invoice/itinerary For all applicable itineraries, a referral to DOT's insecticide website is included The hazardous materials notice is included on the invoice/itinerary [Optional] The ticket expiration date is printed on the e-ticket confirmation 22 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013

24 Online Booking Tool Checklist On the first screen where a fare quotation for a specific itinerary appears, purchasers are notified that additional fees may apply and are given information on how to find them The marketing and operating carriers identities are disclosed whenever flights are presented The TOTAL price, including the agency s fee, is presented Purchasers are not required to uncheck a box to opt-out of optional products/services Purchasers are required to check a box to acknowledge the Hazardous Material notice [Optional through Dec. 31, 2014] Purchasers with applicable itineraries are referred to DOT's insecticide webpage Purchasers are required to check a box to consent to a potential rice increase All Secure Flight Passenger Data elements are collected at time of booking 23 ASTA U.S. Travel Agency Regulatory Compliance Handbook 2013