Page images


APPENDIX A-Continued
Carrier accounting plans of specified ac Public Reference Room,

counting and statistical procedures re-
quired to be filed by carriers under Part

241. Carrier officers and directors reports of Bureau of Operating Rights, Agreements

ownership of stock and other interests Division.

(Form 2786). Charter services performed for Military Public Reference Room,

Airlift Command (Form 243). Extensions of time for report filing--

Do. Foreign air carrier reports of civil alrcraft Do.

charters (Form 217). Foreign indirect air carrier reports-----Freight traffic and revenues in Puerto Rico Do.

market (Form T-94). General interpretation letters, interpreting

Do. provisions of Uniform System of Ac

counts and Reports. Insurance certificates and notices:

Air freight forwarders certificates of Do.

Insurance (Form 350). Air taxi operators certificates of in Bureau of Operating Rights, Supplemen

surance (Form 257) and standard tary Services Division.

endorsements (Form 262). Supplemental air carriers: Certificates Public Reference Room.

of insurance and endorsements

(Forms 606, 607 and 608). Notice of cancellation of insurance by

insurer (Form 609A). Notice of cancellation of Insurance by

carrier (Form 609B). Letters to Chief Accounting Officers of Do.

air carriers requesting specific informa

tion to supplement or amplify reports. Local service carrier summarized passen Office of Comptroller.

ger loads by flight schedule (Schedule

T-5), except subsidy ineligible portions.
MAC charter services reports, consisting Public Reference Room.

of financial and statistical schedules

(Form 243). Magnetic tapes prepared by the Board from Director, Bureau of Accounts and Stareports filed by air carriers.

tistics. Manuals of air carrier accounts and re Bureau of Accounts and Statistics, Regula

porting instructions prescribed by the tions and Reports Division.

National Air Carrier Assoc. (NACA), com Public Reference Room.

mercial charter exchange activity,
membership roster and flight data

(Form 492). Origin-destination survey of airline pas. Director, Bureau of Accounts and Sta

senger traffic, domestic data banks and tistics.

outputs. Passengers denied confirmed space (Form Public Reference Room.

251). Public Accountants reports and reconcilia

Do. tion with Form 41 reports. Scheduled all-cargo services report (Form Do.

242). Standard practice letters prescribing

Do. standard accounting and reporting procedures, supplemental to Uniform Sys

tem of Accounts and Reports. Supplemental air carrier special reports, as Do. required under $ 385.17(1).

50-031-71 -29

APPENDIX A-Continued
Unaccommodated passenger reports (Form Public Reference Room.

Waivers of accounting and reporting re Do.

quirements and record retention. Rout and service authorizations..--

Office of Facilities and Operations, R ords "Book of Official C.A.B. Airline Route Maps Services Section.

and Airport-to-Airport Mileages." (pub

lication) Certificates of public convenience and

Foreign air carrier permits.
Historic and current records and indexes

of points served, airports, dates of serv-
ice inauguration, service deletions, sus-
pensions and restorations, and Board
actions affecting carrier service authori-

zations. Statements of authorization for off-route char. Bureau of Operating Rights, Supplemen

ter trips by foreign air carriers (Part 212): tary Services Division.
Copies of applications for, filings in con-
nection therewith and copies of authori-

Tariff matters.--

Bureau of Economics, Tariffs Section. Agent matters:

Alternate agents' affidavits as to dis

ability of principal tariff publish

ing agent.
Corporate tariff agents' designation of

issuing officer.
Powers of attorney (issued by carriers

to tariff publishing agents).
Tariff publishing instructions (from

carriers to agents).
Certifications of tariff publications and re-

quests for copies. Concurrences (issued by carriers to tariff

publishing carriers). Correspondence with carriers or agents re

questing correction of Part 221 viola

tions in tariffs. Free or reduced-rate transportation:

Access to aircraft or free-transporta

tion requests (SF 160).
Application for, under $ 223.8 of Eco-

nomic Regulations.
Carrier manuals containing instruc-

tions, rules, regulations and prac-
tices governing issuance and inter-

change of passes.
Reports by carriers of free transpor-

tation of technical representatives
of aircraft manufacturers ($ 223.2

(c), (d) of Economic Regulations). Postponed Board actions: Notices of, on

tariffs filed on 45 days notice, and not
acted upon by Board 15 days prior to
effective date, under $ 399.36 of Policy

Rejection notices.
Special tariff permissions.
Tariffs and tariff transmittal letters.
Tariff embargo notices.

APPENDIX A-Continued
Trade agreements Aled under Part 225 of

Economic Regulations.
Walvers from Part 221 of Economic Regu-

Trade association manuals---

Bureau of Operating Rights, Agreements

Division. Unpublished statistical compilations:

Air freight forwarder statistics, compiled Bureau of Accounts and Statistics, Statisfrom Form 244 semiannually.

tical Reports Section, Air carrier route miles statistics, quarterly

Do. compilations. Financial results of scheduled all-cargo

operations, semiannual compilation.
Interim quarterly financial reports of air Public Reference Room,

carriers: Selective summarization of
balance sheet factors, first three

quarters. Supplemental air carrier statistics: Quar Bureau of Accounts and Statistics, Statis

terly report of traffic and financial data. tical Reports Section, Votes of Board Members: Final votes of Board Office of Secretary, Minutes Section. (Remembers in Board proceedings.

quest to be the Secretary.) (PR-110, 35 F.R. 6119, Apr. 15, 1970) APPENDIX B

loads by flight schedules, Schedule T-5, subTYPES OF RECORDS GENERALLY EXCLUDED FROM

sidy ineligible portion; origin-destination AVAILABILITY

survey of airline passenger traffic (interna

tional); MAC charter rate information subThe following list contains by way of ex

mitted in advance of MAC rate proceedings; ample those records which are "exempted

on-line origin and destination of traffic of records” under this part. The examples of

commuter air carriers (Schedule T-1, Form exempted records are listed according to the

298-C); materials related to informal subapplicable subsections of 5 U.S.C. 552(b).

sidy conferences; certain conference mate(1) Documents classified pursuant to Ex

rials and traffic statistics submitted by ecutive Order No. 10501. Classified Board

IATA; Board correspondence to or from air Minutes and classified exhibits in formal

carriers incident to IATA rate conferences proceedings.

and other international conferences; and (2) Personnel rules and practices. Files

air carrier or ATA letters, information or pertaining to the Board's personnel.

views used in developing U.S. positions in Technical manuals and instructions per

international aviation matters. taining to the Board's audit of carrier

(5) Inter/intra-agency memoranda. Board accounts.

Minutes involving items that are pending, (3) Material exempted by statute. Matter

and Minutes not approved. which heretofore has been exempt from pub

Reference or supporting material keyed lic disclosure under Sections 902(f) and 1104

to the Board Minutes. of the Federal Aviation Act, or by specific

Copies of Board decisions awaiting PresiBoard order will continue to be exempt. dential action. Such matters include carrier audit papers

Notation, Calendar, and For Information and correspondence relating thereto, and

memoranda. matters on which the Board has granted a

Budget, Management, Program evaluation, motion for nondisclosure pursuant to § 302.39

Records Disposal, Research, Planning and of its Rules of Practice.

Program files. (4) Trade secrets and commercial or fi

Internal memoranda on the Administrative nancial information, Past or future matter

Conference of the United States. submitted to the Board in confidence but for

Files regarding Board requisitions, equipwhich no formal request under $ 302.39 of ment and space. the Board's Rules of Practice has been made

Memoranda regarding Interagency Comand granted will be held in confidence by

mittees. the Board to the extent deemed allowable.

Intergovernmental communications on No assurance of withholding material is

Loan Guarantee matters. implied by this, however, and affected per Staff analyses not published by the Board. sons should formally request withholding

Research and legislative reference files of under $ 302.39 where they deem it neces the General Counsel. sary to protect their interests.

Memoranda and studies regarding Board Examples of confidential matters under

positions in international aviation matters. this subsection include: Carrier accounting Developmental files, research materials, manuals; local service carrier passenger and workpapers.

(6) Invasion of personal privacy. Correspondence and inquiries regarding Board personnel.

Individual personnel files and records.

(7) Law enforcement investigatory files. Files of the Bureau of Enforcement or other Bureaus regarding alleged violations of the

Federal Aviation Act; e.g. (a) formal and informal case files; (b) civil complaint files involving cases resulting in nonmonetary penalties; and (c) correspondence regarding complaints or alleged violations of the Fed. eral Aviation Act not otherwise filed. (PR-110, 35 F.R. 6121, Apr. 15, 19701




Subpart A-General Sec. 370.735-11 Purpose. 370.735-12 Definitions. 370.735-13 Policy and enforcement. 370.735-14 Procedure for waiver or permis

sion. 370.735-15 Interpretation, advice and dis

semination of information. Subpart Be Gifts, Entertainment and Favors 370.735-21 Conduct prohibited. 370.735-22 Exceptions. 370.735-23 Gifts to superiors. 370.735–24 Gifts from foreign governments. Subpart C-Outside Employment and Other

Activity 370.735-31 General prohibition. 370.735-32 Supplementing Government sal

ary prohibited. 370.735-33 (Reserved] 370.735-34 Teaching, lecturing, and writing. 370.735-35 Approval of outside employment. 870.735–36 Exceptions. 370.735-37 Employment of family members

in aeronautical and related

enterprises. Subpart D-Statutory Requirements 370.735-41 Activities prohibited by Public

Law 87-849. 370.735-42 Limited waiver of the prohibition

against representation. 370.735–43 Waiver of the prohibition against

acts affecting financial inter

ests. 370.735-44 Other statutory requirements.

Subpart - Other Standards of Conduct 370.735-51 Use of Government property. 370.735-52 Misuse of information. 370.735-53 Indebtedness. 370.735-54 Gambling, betting, and lotteries. 370.735-55 General conduct prejudicial to

the Government.

Subpart - Financial Interests Sec. 370.735-71 General prohibition. 370.735–72 Reporting financial interests

and employment. 370.735-73 Employees required to submit

statements. AUTHORITY: The provisions of this part 370 issued under E.O. 11222, 30 F.R. 6469, 3 CFR, 1965 Supp.; 5 CFR. 735.101 et seq.; secs. 201, 202, 204 of the Federal Aviation Act, 72 Stat, 741, 742, 743; 49 U.S.C. 1821, 1322, 1324.

SOURCE: The provisions of this part 370 contained in Special Regulation SPR-18, 32 F.R. 13052, Sept. 14, 1967, unless otherwise noted.

Subpart A-General & 370.735-11 Purpose.

This part sets forth the standards of ethical conduct required of all Board employees, in implementation of Executive Order 11222, May 8, 1965 (30 F.R. 6469), and Part 735 of the Civil Service Commission regulations adopted pursuant thereto (5 CFR Part 735). It also contains references to the several applicable statutes governing employee conduct, particularly Public Law 87-849 (76 Stat. 1119, 13 U.S.C. 201 et seq.), and the “Code of Ethics for Government Service," House Concurrent Resolution 175, 85th Congress, 2d session (72 Stat. B12). § 370.735–12 Definitions.

As used in this part, unless the context otherwise requires

(a) “Employee" means Board members and employees, including special Government employees as defined in 18 U.S.C. 202,1

Subpart Additional Requirements for Special

Government Employees 370.735-81 Use of Government employment. 370.735-62 Use of inside information. 370.735-63 Coercion.

118 U.S.C. 202 defines a "special Govern. ment employee" as including an officer or employee of any independent agency of the United States who is retained, designated, appointed, or employed to perform, with or without compensation, for not to exceed 130 days during any period of 365 consecutive days, temporary duties either on a full-time or intermittent basis.

(b) "Executive order” means Execu The decision thereon shall be entered tive Order 11222 of May 8, 1965 (30 F.R. on each copy of the employee's statement, 6469).

the original of which shall be forwarded (c) "Person" means an individual, a to the Office of Personnel and Security. corporation, a company, an association, & One copy shall be retained by the bureau firm, a partnership, a society, a joint or office head, and the remaining copy stock company, or any other organiza returned to the employee. tion or institution.

(c) An employee whose request is de$ 370.735–13 Policy and enforcement.

nied may appeal to the Executive Direc

tor by forwarding to him, with copies The maintenance of unusually high to the head of the office or bureau and the standards of honesty, integrity, impar Office of Personnel and Security, a statetiality, and conduct by Government em ment setting forth why he believes the ployees is essential to assure the proper the decision of the head of the office or performance of the Government busi bureau should be reversed. ness and the maintenance of confidence (d) If the employee accepts the initial by citizens in their Government. In a decision of the head of the office or buregulatory agency such as the Civil Aero

reau, or if such decision is upheld by the nautics Board, whose actions affect the

Executive Director on review, the emsafety and financial interest of a large ployee shall terminate as soon as is feasinumber of persons (the users of air ble any prohibited employment, activity transportation as well as the suppliers or interest. Whenever an employee terof the service), it is particularly impor minates any employment, activity or intant that every employee be completely terest engaged in or held on the basis of impartial, honest and above suspicion a waiver or modification, or upon termiof improper conduct. Accordingly, the nation after denial of a request to enBoard requires that its employees adhere gage in such activity, he shall so advise strictly to the highest standard of ethical the head of the office or bureau by memconduct in all their social, business, poli orandum, with a copy to the Office of tical and other off-the-job activities, Personnel and Security. relationships and interests as well as in their official actions. All Board employees

$ 370.735–15 Interpretation, advice and

dissemination of information. shall exercise their informed judgment to avoid situations which might result The Chairman will designate a counselin actual or apparent misconduct or con or for the Board who will also serve as flicts of interest. Failure to adhere to the Board's designee to the Civil Service the requirements of the regulations in Commission on matters covered by this this part will constitute cause for disci part, and such number of deputy counplinary action, including, in appropri selors for the Board's employees as may ate cases, removal. Any such administra be appropriate. The Office of Personnel tive disciplinary action may be in addi and Security shall distribute a copy of tion to any penalty prescribed by law. this part to each employee on the Board's § 370.735-14 Procedure for waiver or

roster within 60 days after its approval

by the Civil Service Commission and permission.

thereafter to each new employee upon Unless a different procedure is specif

entrance on duty. At the same time, such ically prescribed, any request for a waiv Office shall advise each such employee of er or special permission with respect the persons who have been designated as to matters relating to this part shall be counselor and deputy counselors, where made and disposed of as follows:

and how counseling services are avail(a) The employee shall forward to the able, where and how access may be obhead of his office or bureau in a timely tained to the statutory and other regulamanner a statement in triplicate setting tory provisions cited in this part, and the forth, specifically and in detail, the facts manner in which financial interests and and circumstances surrounding the mat employment are to be reported pursuant ter and describing the relief requested. to $ 370.735–72. Thereafter from time to

(b) The head of the office or bureau, time as may be appropriate, and at least with the concurrence of the Director of annually, such Office shall again call the Personnel and Security, shall determine attention of each employee to the regulawhether or not the requested relief is tions in this part and again advise each permissible and in accord with the spirit employee of the information heretofore and intent of applicable requirements. specified.

« PreviousContinue »