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$ 298.66 Public disclosure of schedule

T-1 data. Data reported on schedule T-1 of CAB Form 298-C shall not be disclosed, prior to 12 months following the close of the calendar year to which the data relate, except as follows:

(1) To parties to any proceeding before the Board to the extent that such data are relevant and material to the issues in the proceeding upon a determination to this effect by the hearing examiner assigned to the case or by the Board. Any data to which access is granted pursuant to this section may be introduced into evidence, subject to the normal rules of admissibility of evidence.

(2) To agencies and other components of the U.S. Government. The Board will make other disclosure of the subject data, upon its own motion or upon application of any interested person, when the Board finds the public interest so requires. The Board may, from time to time, publish summary information compiled from the traffic data in a form which would not identify individual carrier data. (Sec. 1104, 72 Stat. 797, 49 U.S.C. 1504) (ER605, 35 F.R. 3897, Feb. 28, 1970) Subpart G-Waver of Liability Limits

Under the Warsaw Convention $ 298.70 Waiver of liability limitations.

Every air taxi operator which:

(a) Is a "commuter air carrier" as defined in Subpart A of this part;

(b) Is a party to an interline agreement with a certificated air carrier or a foreign air carrier; or

(c) Is engaged in the carriage of passengers in air transportation between any point in the United States and any point outside thereof, shall file with the Board's Docket Section a signed counterpart to Agreement CAB 18900, an agreement relating to liability limitations of the Warsaw Convention and Hague Protocol approved by Board Order E-23680 dated May 13, 1966, in the form attached hereto as Appendix B (CAB Form 263), and a signed counterpart of any amendment or amendments to such agreement which may be approved by the Board and to which the air taxi operator becomes a party. Such carriers shall file, in addition, a tariff with the Board's Tariffs Section embodying the provisions of the counterpart in the form attached hereto

as Appendix A (CAB Form 298-B). As used in this subpart, "interline agreement” refers to an agreement between an air taxi operator, on the one hand, and one or more certificated air carriers or foreign air carriers, on the other hand, whereby the air taxi operator is authorized to ticket its passengers over the system of the air carrier or foreign air carrier and/or the latter is authorized to ticket its passengers over the system of the air taxi operator. (ER-621, 35 F.R. 7695, May 19, 1970)

NOTE: Special Economic Reg. ER-625, Amdt. 6, 35 F.R. 8927, June 10, 1970, provides as follows:

SECTION 1. The date for reregistration for all air taxi operators including commuter air carriers as defined in Part 298 (14 CFR Part 298) for the year 1970 shall be July 31, 1970.

SEC. 2. The effective date of Regulation ER-621 (Amendment No. 6 to Part 298), 35 F.R. 7695, titled "Waiver of Liability Limits under Warsaw Convention by Certain Air Taxi Oporators; Modification of Permissive Exclusionary Provision in Llability Insurance Policies of Air Taxi Operators," shall be July 31, 1970.

Subpart H/Violations 8 298.80 Enforcement.

In case of any violation of the provisions of the Act, or this part, or any other rule, regulation, or order issued under the Act, the violator may be subject to a proceeding pursuant to sections 1002 and 1007 of the Act before the Board or a U.S. District Court, as the case may be, to compel compliance therewith; or to civil penalties pursuant to the provisions of section 901(a) of the Act; or, in the case of a willful violation, to criminal penalties pursuant to the provisions of section 902(a) of the Act; or other lawful sanctions including revocation of operating authority. (ER-574, 34 F.R. 7126, May 1, 1969. Redesignated by ER-621, 35 F.R. 7695, May 19, 1970)

NOTE: The reporting requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.



299.1 Definitions.
299.2 Exemption.


stockholder who is, or has representa299.3 Filing requirements.

tive or nominee who represents such per299.4 Termination of exemption.

son as, an officer, director, proprietor, 299.5 Effect of exemption.

member, owner, partner, or stockholder AUTHORITY: The provisions of this Part 299 of the person whose aircraft are being issued under secs. 204, 416, 72 Stat. 743; 49

purchased or leased; U.S.C. 1324, 1386.

(2) Which owns, directly or benefi$ 299.1 Definitions.

cially, any financial interest in the person

whose aircraft are being purchased or For the purposes of this part:

leased; (a) "Aircraft" means any aircraft, to

(3) In which any financial interest is gether with spare parts, appurtenances

owned, directly or beneficially, by the and accessories maintained for installa

person whose aircraft are being purtion or use therein.

chased or leased: (b) “Certificated Air Carrier" means

(4) Which controls, is controlled by. any air carrier which holds a certificate

or is under the common control with, a of public convenience and necessity is

person whose aircraft are being pursued under section 401 of the Act, other

chased or leased; than an air carrier which holds a cer

(5) Which has an officer or director tificate of public convenience and neces

who is an officer or director of a corporasity for supplemental air service.

tion or member of a firm which is a (c) "Stockholder" means a person who

stockholder of the person whose aircraft directly or beneficially owns 5 percent or

are being purchased or leased; or more of the outstanding stock of &

(6) Which is a party to an executory company. (d) “Financial interest” means any

agreement with the person whose air

craft are being purchased or leased which relationship where (1) an air carrier

will, or may upon consummation thereof, holds directly or beneficially 5 percent or

result in any of the relationships set more of the outstanding debt, or 5 per

forth in this paragraph. cent or more of any class of the capital

(b) A purchase, lease, or lease with stock, of the person whose aircraft are

purchase option by an air carrier from being purchased or leased or (2) a per

& certificated air carrier of aircraft of son whose aircraft are being purchased

more than or leased holds directly or beneficially 5

(1) $30 million in market value, or percent or more of the outstanding debt,

(2) 10 in number, or or 5 percent or more of any class of the

(3) 20 percent of either the total numcapital stock, of the air carrier purchas

ber, total market value, or total lift ing or leasing such person's aircraft.

capacity (pay load) of aircraft of a (ER-252, 24 F.R. 759, Feb. 4, 1959 as amend.

certificated air carrier, ed by ER-610, 35 F.R. 6323, Apr. 18, 1970)

either in a single transaction or in suc§ 299.2 Exemption.

cessive transactions within a 6-month An air carrier which engages directly period. For purposes of computing total in the operation of aircraft in air trans aircraft in accordance with subparaportation shall be exempt from section graph (3) of this paragraph, all aircraft 408(a) (2) and (3) of the Federal Avia of the certificated air carrier shall be tion Act of 1958, insofar as the pro included except aircraft which are under visions thereof relate to the purchase, lease to such carrier for 6 months or less, lease, or lease with purchase option of and aircraft which are owned by such aircraft from another air carrier or from carrier but are under lease to some other any person engaged in any phase of aero

person for a period of more than nautics, if the underlying agreement has 6 months. been entered into after arm's length (c) A lease with crew or an aircraft bargaining and does not involve:

interchange agreement. (a) A purchase, lease, or lease with (d) An aircraft purchase or lease purchase option by an air carrier:

agreement wherein the payment to the (1) Which has an oficer, director,

person whose aircraft are being purproprietor, member, partner, employee or

chased or leased is directly related to the 1 This exemption does not release a party

gross revenue or profits derived from to an aircraft sale or lease agreement from

the operation of the aircraft. conditions in any Board order prohibiting (ER-252, 24 F.R. 759, Feb. 4, 1959, as amended or limiting transactions involving such party. by ER-283, 24 F.R. 8720, Oct. 28, 1959; ER-418,

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29 F.R. 13421, Sept. 29, 1964; ER-610, 35 F.R. 6323, Apr. 18, 1970) 8 299.3 Filing requirements.

Two copies of the agreement to purchase, lease, or lease with option to purchase aircraft, or a memorandum of oral understanding where the transaction is consummated without written agreement, shall be filed with the Board within 15 days after the date of execution thereof, together with a statement containing & certification of a duly authorized oficial of the air carrier in substantially the following form: The attached agreement was entered into

19.-, and is being filed with the Board by

pursuant to Part 299 of the Board's Economic Regulations. In submitting this agreement, the undersigned herein certifies that such agreement (1) bas been entered into after arm's length bargaining, (2) to his best knowledge and be

Het and so far as he could reasonably deter. mine does not involve any of the relationships set forth in paragraph (a) (4) of $ 299.2, and (3) does not involve any of the other probibited relationships set forth in paragraph (a) of $ 299.2. Insofar as applicable, a statement should also be submitted containing a recital of the specific data relied upon by the air carrier in concluding that the transaction does not exceed any of the limitations of $ 299.2(b). (ER-252, 24 FR. 759, Feb. 4, 1969, as amended by TR-283, 24 FR. 8720, Oct. 28, 1959) $ 299.4 Termination of exemption.

The exemption granted by this part may be terminated by the Board, under appropriate procedures, with respect to any transaction that the Board finds to be inconsistent with the public interest (ER-283, 24 PR. 8720, Oct. 28, 1969) & 299.5 Effect of exemption,

The exemption granted by this part shall not be deemed to constitute a determination for rate-making purposes of the reasonableness of the transaction or an "order made under sections 408, 409 and 412" within the meaning of section 414 of the act. (ER-252, 24 F.R. 760, Feb. 4, 1959. Redesignated by ER-283, 24 FR. 8720, Oct. 28, 1959)

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* To the extent that an agreement coming within this regulation 18 also subject to section 412, the air carrier must comply separately with the filing requirements of Part 261 of this chapter and, if involving supplemental carriers, with any prior approval requirements imposed on them. An outright bale or lease of aircraft without crew is not deemed to be within the purview of section 412.



BOARD PROCEEDINGS 1 Sec. 300.0 Applicability. 800.1 Judicial standards of practice. 800.2 Hearing cases; improper influence. 300.3 Conciseness of presentation. 800.4 Attorney-client relationship. 800.5–300.9 (Reserved] 300.10 Gifts and unusual hospitality. 800.11 Disqualification of Government of.

ficers and employees. 800.12 Practice of special Government em

ployees permitted. 300.13 Permanent disqualification of former

Board Members and employees in matters in which they personally

participated. 800.14 Temporary disqualification of former

Board Members and employees in matters formerly under their of

fcial responsibility. 300.15 [Reserved] 300.16 Waiver of $$ 300.13 and 300.14.

Sec. 300.17 Disqualification of partners of Board

members and employees. 300.18 (Reserved] 300.19 Use of confidential information, 800.20 Vi ns.

AUTHORITY: The provisions of this Part 300 issued under secs. 202, 204, 1001, 72 Stat. 741; 49 U.S.C. 1322, 1324, 1481. $$ 300.10 to 800.20 also issued under 18 U.S.C. 201-218. $ 300.0 Applicability.

The rules of conduct set forth in this part shall govern the conduct of parties and their representatives, and the relationships between the Board, its staff, and all other persons in all Board proceedings and matters, except as otherwise provided in any Board regulation. (PR-75, 28 F.R. 2707, Mar. 20, 1963) § 300.1 Judicial standards of practice.

In many respects the functions of the Board are similar to those of a court and parties to cases before it and those who represent such parties are expected

1 PR-75, 28 F.R. 2707, Mar. 20, 1963.


to conduct themselves with honor and sidered communications on the merits. dignity. By the same token, the mem Any prohibited communication in writbers of the Board, and those of its em ing received by the Board or its start ployees who participate with the Board or the examiner in the case, shall be Members in the determination of cases made public by placing it in the corupon a record, are expected to conduct respondence file of the case which is themselves with the same fidelity to available for inspection and copying standards of propriety that characterize during business hours in the Board's a court and its staff. The standing and Docket Section, but will not be coneffectiveness of the Board are in direct sidered by the Board or the examiner as relation to its observance, that of its part of the record for decision. staff, and the parties and attorneys ap (b) Requests for expeditious treatpearing before it, of the highest stand ment of a pending application will be ards of judicial and professional ethics.

considered communications on the mer(PR-10, 16 F.R. 2932, Apr. 4, 1951)

its. If made by a party or applicant for

intervention, such a request shall be $ 300.2 Hearing cases; improper influ

made by motion (§ 302.18). I made by

any other interested person, such a reIt is essential in cases to be deter qu shall be made in aco dance with mined after notice and bearing and the requirements in § 302.14. A request upon a record, or any other cases which which is not made in accordance with the Board by order may designate, that the Board's rules shall be placed in the the Board's judicial character be rec public correspondence file and will not ognized and protected. Therefore, from be considered by the Board. the time of filing of an application or (c) It is improper that there be any petition which can be granted by the private communication on the merits of Board only after notice and hearing, or, any substantive or procedural issue in in case of other matters, from the time the case to a Member of the Board or to of notice by the Board that such matters the examiner in the case by any members shall be determined after notice and of the Board's staff who participate in hearing and upon a record or that its the hearing as witnesses or as counsel. Rules of Conduct shall be applicable

(d) It is improper that there be any thereto:

effort by any person interested in the (a) A written or oral communication case to sway the judgment of the Board on any substantive or procedural is by attempting to bring pressure or insue in the case to a Member of the Board

fluence to bear upon the Members of the or its staff, or to the examiner in the

Board, its staff or the examiner in the case other than in compliance with the

case, or that such person or any member Board's Rules of Practice by any per

of the Board's staff or an examiner, dison, either in private or public life, shall

rectly or indirectly, give statements to be deemed a private communication on the press or radio, by paid advertisethe merits. Such communications, un

ments or otherwise, designed to influence less otherwise provided for by law or

the Board's judgment in the case. published rule are hereby prohibited:

(e) It is improper that any person Provided, That this prohibition shall not

solicit communications to the Board or be deemed to apply to informal com

any of its members or its staff or to the plaints filed with the Board or to com

examiner in the case other than proper munications with staff members of the

communications by parties or non-parBoard who are in the course of preparing ties permitted under Rules 14 and 15 of a case, or for the purpose of determin

the Board's rules of practice. Anybody ing whether a complaint shall be

soliciting the support of another person docketed, or to the usual informal com

shall call such person's attention to the munications between counsel, including provisions of Rules 14 and 15. discussions to effectuate & stipulation, or (PR-43, 25 F.R. 12432, Dec. 6, 1960, 28 to settlement discussion between parties amended by PR-48, 26 F.R. 4282, May 17, and the Board's enforcement staff, or

1961; 26 F.R. 4423, May 23, 1961, PR-75, 28 investigative activities, or to other com

F.R. 2708, Mar. 20, 1963) munications which are deemed proper

§ 300.3

Conciseness of presentation. in proceedings in the Federal courts. Communications which merely make in. Persons practicing before the Board quiry as to the status of a proceeding should endeavor to present their cases in without discussing issues are not con concise form avoiding cumulative and


repetitious evidence, since the members of the Board participating in the decision of a case, after notice and hearing and upon a record, must familiarize themselves with the evidence in the record and with the arguments made on behalf of the parties orally and in written briefs, and must base their decision solely on the record. (PR-10, 16 F.R. 2932, Apr. 4, 1951) $ 300.4 Attorney-client relationship,

Persons practicing or appearing before the Board, whether or not members of the bar, should have due regard for the standards of professional conduct applicable to the lawyer-client relationship and to the relationship between a lawyer and a judicial tribunal.

(a) The nontechnical nature of the Board's procedure calls for special adherence, by practitioners, to scrupulous standards of fairness, candor, and consideration for the rights of others in the pleadings filed, evidence submitted, conduct of the hearing, and briefs and arguments made. In appearing for a client, the practitioner thereby vouches on his honor that in his opinion the client's cause is one proper for determination, and in presenting pleadings and offering evidence he represents that the same are not offered for unwarranted delay and that in his opinion the content thereof is not misleading. Nor should he indulge in offensive personalities, unseemly wrangling, or intemperate accusations or characterizations.

(b) A practitioner, moreover, should advise bis client to observe the law according to his conscientious belief as to Its permissible meaning and should use his best efforts to restrain his client from improprieties in dealing with the Board or its staff. If a client persists in such improprieties, the practitioner should terminate their relationship. (PR-10, 16 F.R. 2932, Apr. 4, 1951. Redesignated by PR-75, 28 F.R. 2708, Mar. 20, 1963) $$ 300.5-300.9 [Reserved) 8 300.10 Gifts and unusual hospitality.

(a) No person, otherwise than as provided by law for the proper discharge of official duty, shall directly or indirectly give, offer, or promise anything of value to any Board Member or employee for or because of any official act performed or to be performed by such Board Member or employee (18 U.S.C. 201).

(b) It is improper for persons interested in the business of the Board to provide unusual hospitality to the Board or its staff. (PR-75, 28 F.R. 2708, Mar. 20. 1963) § 300.11 Disqualification of Covert

ment officers and employees. No officer or employee of the Federal Government, who is employed to serve more than 130 days in any period of 365 days, shall represent anyone, otherwise than in the proper discharge of his official duties, in any Board proceeding or matter in which the United States is a party or has a direct and substantial interest. (18 U.S.C. 205(2).) IPR-75, 28 F.R. 2708, Mar. 20, 1963) $ 300.12 Practice of special Government

employees permitted. A special Government employee, who qualifies as such under the provisions of 18 U.S.C. 202(a), may participate in Board proceedings only to the extent and in the manner specified in 18 U.S.C. 205. (PR-75, 28 F.R. 2708, Mar. 20, 1963) $ 300.13 Permanent disqualification of

former Board Members and ployees in matters in which they per

sonally participated. No former Board Member or employee, including a special Board employee, shall act as agent or attorney before the Board for anyone other than the United States in connection with any proceeding, application, request for a ruling or other determination, contract, claim, controversy, charge, accusation, or other particular matter involving a specific party or parties in which the United States is a party or has a direct and substantial interest and in which he participated personally and substantially through decision, approval, disapproval, recommendation, rendering of advice, investigation, or otherwise as a Board Member or employee. (18 U.S.C. 207(a).) (PR-115, 35 F.R. 18193, Nov. 28, 1970) § 300.14 Temporary disqualification of

former Board Members and employees in matters formerly under

their official responsibility, Within 1 year after termination of employment with the Board, no former Board Member or employee, including a special Board employee, shall appear personally before the Board on behalf of any person other than the United States in any Board proceeding or mat

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